## TOXIC CHEMICAL RELEASE INVENTORY

ALTERNATE THRESHOLD FOR LO W ANNUAL REPORTABLE AMOUNTS; TOXIC CHEMICAL RELEASE REPORTING

INFORMATION COLLECTION REQUEST SUPPORTING STATEMENT

OMB CONTROL NO. 2070-0143 EPA ICR #1704.06

November, 2002

1 IDENTIFICATION OF THE INFORMATION COLLECTION . . . . . . . . . . . . . . . . . . 1 1(a) Title and Number of the Information Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1(b) Short Characterization/Abstract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2 NEED FOR AND USE OF THE COLLECTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 2(a) Need/Authority for the Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 2(b) Practical Utility/Users of the Data ......................................4

3 NON-DUPLICATION, CONSULTATIONS, & OTHER COLLECTION CRITERIA . 5 3(a) Non-Duplication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 3(b) Increasing Public Awareness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 3(c) Effects of Less Frequent Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 3(d) General Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 3(e) Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 3(f) Sensitive Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

4 THE RESPONDENTS AND THE INFORMATION REQUESTED ...............6 4(a) Respondents/SIC Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 4(b) Information Requested . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

5 THE INFORMATION COLLECTED--AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT . . . . . . . . . . . . . . . . . . . 10 5(a) Agency Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 5(b) Collection Methodology and Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115(c) Small Entity Flexibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 5(d) Collection Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

6 ESTIMATING THE BURDEN AND COST OF THE COLLECTION . . . . . . . . . . . . 12 6(a) Estimating Respondent Burden . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 6(b) Estimating Respondent Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 6(c) Estimating Agency Burden and Cost . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 6(d) Bottom Line Burden Hours and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 6(e) Reasons for Change in Burden . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 6(f) Burden Statement (To appear on Collection Instrument) . . . . . . . . . . . . . . . . . . 19

ATTACHMENT A RELEVANT STATUTES: EPCRA SECTION 313 AND PPA SECTION 6607 . . . . A-1

ATTACHMENT B 40 CFR Part 372: Toxic Chemical Release Reporting: Community Right-to-Know . B- 1

ATTACHMENT C Form A Certification Statement EPA Form 9350-2 (Proposed Revision) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . C-1

ATTACHMENT D TRI REPORTING PACKAGE FOR 2000 REPORTING CYCLE (EPA 745-B-00-001, FEBRUARY 2001) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D-1

ATTACHMENT E EPA ICR 1704.06, OMB No. 2070-0143, Response to Public Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E-1

ATTACHMENT F EPA ICR 1704.06, OMB No. 2070-0143, Response to OMB Terms of Clearance Notice January 18, 2001 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F-11 1 IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title and Number of the Information Collection

Title: Alternate Threshold for Low Annual Reportable Amounts; Toxic Chemical Release Reporting

EPA ICR No. 1704.06

OMB Control No. 2070-0143

1(b) Short Characterization/Abstract

This Information Collection Request (ICR) covers the public reporting and record keeping requirements associated with Toxics Release Inventory (TRI) reporting based on an alternate threshold for facilities with low amounts of listed toxic chemicals in waste. EPA collects information from facilities and enters it into TRI under the authority of section 313 of the Emergency Planning and Community Right-to-Know Act (EPCRA) (42 U.S.C. 11001 et seq .) and section 6607 of the Pollution Prevention Act (PPA) (42 U.S.C. 11071 to 11079). EPCRA section 313 requires owners or operators of certain fac ilities (i.e., facilities in listed Standard Industrial Classification (SIC) codes) manufacturing, processing, or otherwise using any of over 650 listed toxic chemicals and chemical categories (hereafter “listed toxic chemicals”) in excess of the applicable threshold quantities to report on their environmental releases and transfers of and waste management activities for such chemicals annually. Under section 6607 of the PPA, facilities must provide information on the quantities of the toxic chemicals in waste streams and the efforts made to reduce or eliminate those quantities. A covered facility must file a separate form for each toxic chemical manufactured, processed or otherwise used in excess of the reporting thresholds established in section 313(f)(1).

OMB last approved this Information Collection request in January 2001 with an expiration date of January 31, 2003. The existing reporting and recordkeeping requirements associated with the Form A Certification Statement are discussed in this ICR (EPA ICR #1704), which is separate from the ICR related to TRI Reporting Form R (EPA ICR #1363). The reporting and recordkeeping requirements associated with the Form R are contained in a separate ICR and are approved under OMB Control #2070-0093 (EPA ICR #1363). Please note that these two ICRs function entirely separately, such that the OMB action taken with regard to EPA ICR #1704 applies only to the alternate reporting requirements and the Form A Certification Statement.

As specified by 5 CFR 1320.12(a)(1), EPA issued a Federal Register notice on July 1, 2002 (67 FR 44197), which sought comments on the renewal of this ICR as required by 5 CFR 1320.8(d) regarding the burden estimates and the information collection activities described in the proposed ICR. EPA has reviewed and responded to the Form R and Form A Certification Statement comments received during the 60 day comment period and has included its responses2 as ATTACHMENT E. The proposed revised Form A Certification Statement is included in this document as ATTACHMENT C. This modified Form will not become effective until OMB approves it. EPA’s response to OMB’s January 19, 2001 Terms of Clearance for the Form A Certification Statement is included as part of this ICR as Attachment F.

In the July 1, 2002 Federal Register notice (67 FR 44197), EPA requested comment on one change to the Form A Certification Statement: the addition of a field in Part I, Facility Identification Information for the email address of the facility technical contact person. EPA received public comments regarding this proposed change and has responded to those comments in Attachment E. None of the those who submitted comments were opposed to the addition of the data field, but some raised concerns regarding the protection of privacy. These concerns are responded to in Attachment E. A copy of the proposed Reporting Form R (EPA Form 9350-2) is included as Attachment C.

This ICR is for the Form A Certification Statement. EPA established an alternate threshold for a category of facilities with low amounts of a listed toxic chemical in wastes. A facility that meets the section 313 reporting thresholds, but estimates that the total annual reportable amount of the listed toxic chemical does not exceed 500 pounds per year, can take advantage of the alternate manufacture, process or otherwise use thresholds of 1 million pounds per year for that listed toxic chemical, provided that certain conditions are adhered to. Each qualifying facility that chooses to apply this alternate manufacture, process or otherwise use threshold must file a Form A Certification Statement, certifying that they met the condition of the alternate threshold for one or more chemicals for each listed chemical for which the fac ility exceeded statutory thresholds. The Form A Certification Statement is submitted to both the EPCRA reporting center and the designated state recipient in the same manner that the Form R is submitted. The Form A Certification Statement provides a signed statement that the sum of the amount of the listed toxic chemical or chemicals in wastes did not exceed 500 pounds for this reporting year, and that the chemical(s) was manufactured, processed, or otherwise used in an amount not exceeding 1 million pounds during this reporting year.

Responding to this information collection requires determining whether a chemical is eligible for certification under the alternate threshold, and completing the Form A Certification Statement. A single Form A Certification Statement may contain as many listed toxic chemicals as met the conditions of the alternate threshold. For a facility certifying for a single listed toxic chemical, the burden is estimated to average 13.7 hours for facilities submitting a certification statement under EPCRA section 313. (This includes the time required for calculations, Form A Certification Statement completion, and record keeping.) By comparison, the average time required for calculations, form completion, and record keeping for Form R is estimated to average 19.5 hours per form. Thus, for a facility filing Form A Certification Statement for a single chemical, the alternate threshold yields an average savings of 5.8 hours.

For a facility certifying multiple chemicals on a Form A Certification Statement, the per chemical burden on the facility is reduced. An average of 2.4 chemicals per facility were reported3 to EPA using Form A Certification Statements for the 2000 reporting year. About 50 percent of the facilities using the Form A Certification Statement reported on one chemical, another 20 percent reported on two chemicals, 15 percent on three chemicals, and the remaining 15 percent of facilities reported on 4 or more chemicals.

2 NEED FOR AND USE OF THE COLLECTION

2(a) Need/Authority for the Collection

Section 313 of EPCRA, 42 U.S.C. 11023, requires certain fac ilities that manufacture, process, or otherwise use listed toxic chemicals in excess of the applicable threshold quantities to report their environmental releases of such chemicals annually. Beginning with the 1991 reporting year, such facilities also began reporting source reduction and recycling data for listed chemicals, pursuant to section 6607 of the Pollution Prevention Act, 42 U.S.C. 13106. Copies of 42 U.S.C. 11023 and 13106 are included in Attachment A.

Each covered facility must file a separate report for each listed chemical manufactured, processed or otherwise used in excess of the reporting thresholds established in section 313(f)(1). EPA has authority to revise these threshold amounts pursuant to section 313(f)(2); however, such revised threshold amounts must obtain reporting on a substantial majority of total releases of the chemical at all facilities subject to section 313.

This ICR is for the Form A Certification Statement. EPA established an alternate threshold under EPCRA section 313(f)(2) for a category of fac ilities with low amounts of a listed toxic chemical in wastes. A facility that meets the appropriate reporting thresholds, but estimates that the total amount of the chemical in waste does not exceed 500 pounds per year, can take advantage of alternate manufacture, process, or otherwise use thresholds of 1 million pounds per year for that chemical, provided that certain conditions are met. A facility that chooses to apply the alternate threshold must submit an EPA Toxic Chemical Release Inventory Form A Certification Statement (EPA Form #9350-2). EPA’s regulations implementing TRI reporting are codified at 40 CFR part 372. A copy of 40 CFR part 372 is included as Attachment B.

The information being collected on the Form A Certification Statement is necessary to fulfill EPA’s responsibilities under EPCRA section 313(f)(2). A Form A Certification Statement addresses the statutory mandates and the public's right-to-know while allowing regulatory relief for facilities having lower volumes of chemicals in wastes. Form A provides appropriate information relating to the location of facilities manufacturing, processing or otherwise using these chemicals, that the chemicals are being manufactured, processed or otherwise used at current reporting thresholds, and that the sum of amounts of the chemical in waste did not exceed 500 pounds for that reporting year. The requirement to submit a Form A Certification Statement fosters continued attention to chemical management practices and provides a locational tool vital to any compliance program or other interested party. It is necessary to receive some type of4 specific indication that a facility is taking advantage of the alternate threshold annually to assist in any compliance monitoring and enforcement efforts.

2(b) Practical Utility/Users of the Data

The Paperwork Reduction Act, 44 U.S.C. 3502(11), states that “the term 'practical ut ility' means the ability of an agency to use information, particularly the capability to process such information in a timely and useful fashion.” EPA has demonstrated that it can process and utilize TRI information in a timely and useful fashion, as well as make the information available in a timely fashion for a variety of further useful purposes. This information is collected annually and is subsequently disseminated within a year of its receipt. Further information on Agency activities is summarized in Section 4(a).

According to EPCRA section 313(h), the data submitted in the forms are intended to “inform persons about releases of toxic chemicals to the environment; to assist governmental agencies, researchers, and other persons in the conduct of research and data gathering; to aid in the development of appropriate regulations, guidelines, and standards; and for other similar purposes.” The purpose of the Agency’s collection of this information is therefore to facilitate the availability of this information to the public.

TRI data made available as a result of this information collection is used by many different individuals and organizations, including concerned citizens, environmental and public interest groups, journalists, government agencies, the financial and business community, the regulated community, and educational and research institutions. Government agencies, researchers and environmental and public interest groups use data collected under EPCRA section 313 to produce national, regional, state and local level reports. Governments use the data to set priorities, target voluntary initiatives, and evaluate the development of regulations. Citizens and local interest groups use TRI data to assess the status of toxic chemicals in their community and to determine priorities for concern. Investment analysts use TRI data to provide recommendations to clients seeking to make investments on an environmental basis. Insurance companies and lenders look to TRI data as an indication of potential environmental liabilities. Many reporting companies use TRI data in preparing annual environmental reports, similar to annual reports on financial performance. The ICR for Form R (OMB #2070-0093, EPA #1363) provides specific examples of some of the actual uses of TRI data.

The Form A Certification Statement provides information that a section 313 listed chemical is being manufactured, processed or otherwise used at threshold levels specified in 40 CFR part 372.25. Through the use of the Form A Certification Statement, the individuals and groups described above will continue to have knowledge that the sum of the amounts in waste for a particular facility did not ex ceed a specified amount for the chemical for which the alternate threshold was applied.5 3 NON-DUPLICATION, CONSULTA TIONS, & OTHER COLLECTION CRITERIA

3(a) Non-Duplication

The information requested by the Form A Certification Statement represents a subset of information requested by Form R. To the extent that this reporting option is used, corresponding data will not be reported under Form R. Information comparing TRI reporting to information available under other statutes is available in the ICR for Form R (OMB #2070-0093, EPA #1363).

3(b) Increasing Public Awareness

EPA has emphasized the Form A Certification Statement during training sessions, directly contacted potentially eligible facilities, and made some modifications to the reporting package to make the Form A Certification Statement easier to identify and use. These actions, in addition to the additional time for which the Form A Certification Statement option has been available, have increased the level of use of the Form A Certification Statement.

3(c) Effects of Less Frequent Collection

Section 313 requires annual reporting. Section 313(I) permits EPA to modify the reporting frequency by rulemaking, after submitting a notification to Congress. As Form A Certification Statements are required to be submitted on or before July 1 following the year in which the facility's activities occur, and as the national data are available from EPA within a year after EPA receives data, a less frequent collection of information would delay the availab ility of the data to the public. Since TRI represents the best available database tracking multimedia releases, transfers and other handling of listed toxic chemicals, changes in reporting frequency would have profound impacts on the quality and value of the data for purposes of planning, establishing baselines and tracking performance.

EPA’s Office of Enforcement and Compliance Assurance (OECA) has stressed the need to continue to collect information on an annual basis that a facility is manufacturing, processing, or otherwise using a listed section 313 chemical in threshold amounts set out in 40 CFR part 372.25. Submission of the Form A Certification Statement allows EPA and other data users to identify facilities applying the alternate threshold. In order to target facilities effectively and efficiently for compliance inspections, EPA must be able to distinguish between facilities that did not report under EPCRA section 313 because they took advantage of this regulatory amendment, and facilities that did not report for other reasons.

In addition, the State and many of the Regional TRI program offices have submitted comments that echo enforcement concerns raised by OECA to the effect that the submission of a Form A Certification Statement is “paramount” to the ability of EPA and states to readily verify6 compliance with the regulation or to enforce against violations. Additionally, a report may provide sufficient information to citizens and interest groups and prevent unnecessary legal actions that might otherwise be pursued if there was a complete absence of information for a given facility.

By requiring the Form A Certification Statement on an annual basis, any compliance assistance or enforcement program, as well as other interested parties, are able to determine that the facility is continuing to manufacture, process, or otherwise use a listed section 313 chemical and that the amounts associated with these activities are in excess of current reporting thresholds.

3(d) General Guidelines

This information collection is consistent with the requirements of 5 CFR 1320.6, except that respondents may be required to submit information that is confidential. Specifically, reporting facilities are required to identify the chemical for which reports are submitted. Respondents can, however, claim the chemical identity as a trade secret, although they must provide a generic name as part of the information that is made available to the public. EPA securely stores and maintains the true identity of the chemical. EPA will disclose information that is covered by a claim of confidentiality only to the extent permitted by, and in accordance with, the procedures in 40 CFR part 2.

EPA actively encourages the use of automated techniques, most notably PC-based report generating programs produced both by the Agency and by the private sector and other submissions on magnetic media. EPA recognizes that not all reporting facilities are able to or are interested in investing the time and funds necessary to employ such automated techniques. The final decision on how to report is ultimately the reporting facility's.

3(e) Confidentiality

Respondents may designate the specific chemical identity of a substance as a trade secret. Procedures for submission and review of trade secret claims under section 313 are set forth in 40 CFR part 350 and are covered by another EPA ICR (EPA ICR #1428; OMB #2050-0078).

3(f) Sensitive Questions

This collection does not request any sensitive information.

4 THE RESPONDENTS AND TH E INFORMATION REQUESTED

4(a) Respondents/SIC Codes

A facility must report to TRI if it meets all three of the following criteria:7 (1) Has a primary Standard Industrial Classification (SIC) code covered by the regulations;

(2) Has 10 or more full-time employees (or the hourly equivalent of 20,000 hours); and

(3) Manufactures, processes, or otherwise uses any of the listed toxic chemicals or chemical categories above the applicable threshold. Currently, the thresholds are 25,000 pounds for chemicals manufactured (including imported) or processed, and 10,000 pounds for chemicals otherwise used.

The industries currently subject to reporting under EPCRA section 313 include SIC major groups 10 (metal mining), except SIC code 1011, 1081, and 1094; 12 (coal mining), except SIC code 1241; 20 through 39 (manufacturing); as well as industry codes 4911, 4931, 4939 (electricity generating facilities), limited to facilities that combust coal and/or oil for the purpose of generating power for distribution in commerce; 4953 (refuse systems), limited to facilities regulated under RCRA Subtitle C; 5169 (chemicals and a llied products wholesaling, not elsewhere classified); 5171(petroleum bulk stations and terminals); and 7389 ( limited to facilities primarily engaged in solvent recovery services on a contract or fee basis). Qualifying federal facilities also report to TRI as a result of Executive Order 12856.

Under the final PBT (Persistent, Bioaccumulative and Toxic Chemicals) Rule, published October 29, 1999, all PBT chemicals are excluded from eligib ility for alternate threshold reporting (i.e., Form A Certification Statement cannot be used to report PBT chemicals).

With the exception of the PBT chemicals, the Form A Certification Statement can be submitted by those facilities that would otherwise be required to submit a Form R, but determine that they are eligible to apply the alternate threshold based on the sum of amounts in waste. Therefore, the alternate threshold does not bring additional facilities into EPCRA section 313 regulation that are not already part of the regulated community.

4(b) Information Requested

(I) Data Items

The following information must be reported on a Form A Certification Statement pursuant to 40 CFR part 372:

(1) Reporting year. (2) An indication of whether the chemical identified is being claimed as trade secret. (3) Chemical name or names and CAS number(s) (if applicable) of the chemical(s), or the category(ies) or the generic chemical name(s). (4) Signature of a senior management official certifying the following: pursuant to 40 CFR8 part 372.27, “ hereby certify that to the best of my knowledge and belief for the toxic chemical listed in this statement, the sum of reportable wastes did not exceed 500 pounds for this reporting year and that the chemical was manufactured, or processed, or otherwise used in an amount not exceeding 1 million pounds during this reporting year.” (5) Date signed. (6) Facility name and address. (7) Mailing address of the facility if different than (6). (8) Toxic chemical release inventory facility identification number if known. (9) Name and telephone number of a Technical Contact. (10) The four-digit SIC codes for the facility or establishments in the facility. (11) Latitude and longitude coordinates for the facility. (12) Dun and Bradstreet Number of the facility. (13) EPA Identification Number(s) (RCRA I.D. Number(s) of the fac ility). (14) Facility NPDES Permit Number(s). (15) Underground Injection Well Code (UIC) I.D. Number(s) of the facility. (16) Name of the facility's Parent Company. (17) Parent Company's Dun and Bradstreet Number.

These 17 elements are a subset of the information collected on Form R. Beyond the change to element 3 which allows for multiple chemicals to be reported on a single Form A Certification Statement, the only element unique to the Form A Certification Statement is element 4. Element 4 of the Form A Certification Statement corresponds to the certification statement on Form R and represents a signed statement by a facility owner/operator or senior management official. Unlike Form R, the signed statement on the Form A Certification Statement certifies that the sum of amounts of the listed chemical in waste did not exceed 500 pounds and that the amounts manufactured, or processed, or otherwise used did not exceed 1 million pounds for that
year.
A copy of the Form A Certification Statement is included in Attachment C. A copy of the TRI reporting package and instructions for the 2000 reporting cycle (February, 2001) is included in Attachment D.

Justification for elements requested :
Elements 1 through 6 relate to the conditions being met in order to claim eligibility for the submission of a Form A Certification Statement. These elements are essential in meeting the statutorily mandated requirement of continuing to capture a substantial majority of releases for each listed EPCRA section 313 chemical.

Elements 7 through 17 are requested for identification purposes. Of these, elements 7 through 9 are necessary to determine which facility is claiming the alternate threshold along with the information needed to contact the claimant. Elements 10 through 17 are requested in order to cross-reference the facility and level of activity being certified with other reporting systems in9 addition to more accurately tracking the fac ility's TRI reporting history. These data elements are essential for enforcement purposes and have proven to be useful for cross program multimedia investigations.

(ii) Respondent Activities

The regulated community is expected to comply with the reporting requirements by completing the Form A Certification Statement and mailing it to EPA and the appropriate state agency. Section 313(g)(2) provides that a "fac ility may use readily available data (including monitoring data) collected pursuant to other provisions of law, or where data are not readily available, reasonable estimates of the amounts involved." Respondents are not required to develop new information.

The same level of assistance presently available to Form R respondents is available to those facilities applying the alternate threshold and completing the Form A Certification Statement. Instructions and guidance documents are available, and a toll-free hotline is available to handle general and technical inquiries from the regulated community. The following steps will be completed by a facility using the alternate threshold:

Compliance Determination Calculations (Compliance) Completion of Form (Disclosure) Substantiation of a Trade Secret Claim (not performed by all respondents) Record keeping Supplier Notification (not performed by all respondents) Petition Submission (not a requirement)

Compliance Determination . Facilities must first determine if they are eligible to apply the alternate threshold, and/or provide supplier notification. The determination is based on the SIC code(s) for the facility, the number of full-time employees or equivalents, the chemicals manufactured, processed or otherwise used at the facility, and the quantity of those chemicals.

Calculations (Compliance) . A facility has to calculate the annual reportable amount for a chemical in order to determine if the facility is eligible to apply the alternate threshold. The annual reportable amount is calculated as the combined total of the amounts released at the facility (including disposal), treated at the facility (as represented by amounts destroyed or converted by treatment processes), recovered at the facility as a result of recycling operations, combusted for the purpose of energy recovery at the facility, and transferred from the facility to off-site locations for the purpose of recycling, energy recovery, treatment, or disposal. In addition, the facility must also determine that it did not manufacture, process, or otherwise use more than 1 million pounds of the listed chemical.

Completion of Form (Disclosure) . Each facility taking advantage of the alternate10 threshold must complete the Form A Certification Statement described under section 3(b)(I).

Substantiation of a Trade Secrecy Claim . Respondents wanting to make a trade secrecy claim for the chemical identity should refer to documentation requirements discussed in the Trade Secrecy ICR for EPCRA (EPA #1428, OMB #2050-0078).

Record keeping . Each facility taking advantage of the alternate threshold is required to maintain records for a period of three years from the date of the submission of the Form A Certification Statement, and to make them available upon request. These records provide substantiation that an appropriate threshold determination was made and that the sum of amounts in total waste did not exceed 500 pounds for that chemical for that reporting year. This documentation is necessary for any compliance effort verifying the claims made by a facility taking advantage of the alternate threshold. Facilities must maintain a copy of each Form A Certification Statement and Form R submitted, as well as the documents, calculations, and other information they collected for developing the reports submitted.

Supplier Notification . No additional supplier notification requirements are associated with the Form A Certification Statement.

Petition Submission . No additional procedures relating to petition submissions are required by the Form A Certification Statement.

5 THE INFORMATION COLLECTED--AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT.

5(a) Agency Activities

EPA activities for this ICR parallel requirements established for reporting TRI releases on Form R (OMB #2070-0093, EPA #1363), approved February, 2000, including:

Assistance to Respondents Data Management Data Processing and Quality Control Systems Maintenance and Operation Making the Data Available to the Public List Revisions and Petition Reviews Trade Secrecy Reviews

Assistance to Respondents . Assistance to respondents is offered in the same manner as described by the Form R ICR (OMB #2070-0093, EPA #1363). These assistance efforts extend to facilities for completion of a Form A Certification Statement.11 Data Processing and Quality Control . Once a Form A Certification Statement is submitted and received by the EPCRA Reporting Center, the information is recorded into the TRIS Oracle database. If submitted electronically (floppy disk), the information is automatically read into TRIS; if the Form A Certification Statement was submitted in hardcopy, the information is manually keyed into TRIS. Automated data quality checks and field verifications are built into the electronic reporting software (ATRS - Automated TRI Reporting Software). Additional data quality checks, field verifications, and reconciliations are performed sequentially once the electronic submission is read into TRIS or once the hardcopy is completely keyed in.

Systems Maintenance and Operations . The TRIS database is maintained on an Oracle server on an isolated, secure local area network at the EPCRA Reporting Center. Standard database management activities are routinely preformed to maintain data and system integrity. Tape backups of the TRIS database are made nightly.

Availability of the Data . In accordance with statute, a copy of the database is publicly available in electronic format using the Agency's internet site (the data is also maintained on the Agency's intranet site). Users can access the data using either Envirofacts or TRI Explorer. Both tools allow the user to view individual chemical submissions, all submissions for a given facility, or summary information by Zip Code, city, county, state, EPA Region, or nationally. Searches can be conducted in numerous ways, including on a chemical basis or by industry SIC code.

In addition to the public electronic database, EPA has also made the TRI information available through a variety of other electronic and non-electronic means. EPA prepares a national data release report that describes the annual data received and presents extensive summary information in text, charts, and graphics. Electronic versions of the database are available in .dbf and comma delimited format from the Agency's web site. Versions of the Oracle TRIS database are available upon special request.

Trade Secrecy Reviews . A respondent may claim a chemical as trade secret on the Form A Certification Statement in the same manner as when filing a Form R. When a respondent claims a chemical identity as a trade secret, a substantiation must be included. Respondents often claim trade secret status on Form R but do not provide substantiation. In those cases, EPA must review the claim and contact the respondent to determine the true intent. In many cases, the trade secret claim was not intended and no substantiation is made. Trade Secrecy reviews, including the costs to EPA, are discussed in greater detail in the ICR for the Trade Secrecy Rule for EPCRA (EPA #1428, OMB #2050-0078).

5(b) Collection Methodology and Management

The Form A Certification Statement can be submitted using EPA’s magnetic media reporting program, and EPA encourages the submission of Form A Certification Statements electronically. The use of electronic reporting serves to reduce the reporting burden on industry. It also reduces both the cost and the time required for EPA to enter, process, and make the data12 available. For the 2000 TRI reporting cycle, approximately 80% of Form A Certification Statements and Form Rs were submitted electronically.

5(c) Small Entity Flexibility

Small entities, as defined by the statute, are exempt from reporting. In addition, the alternate threshold is advantageous to those entities which might be classified as small under other definitions. The range established by the 500 pound category may apply proportionally higher to smaller entities, thereby resulting in greater regulatory relief for these facilities. EPA considered a number of different threshold levels when it promulgated this rule. This alternate threshold was chosen because it best balanced burden reduction with the need for data and information, and is consistent with the requirements of EPCRA section 313.

Furthermore, EPA has prepared various materials to assist facilities in reporting to TRI, thereby lowering the cost of reporting. These materials include detailed reporting instructions, a question and answer document, magnetic media reporting, general technical guidance, and industry specific guidance documents. In addition, EPA maintains a toll-free hotline to answer regulatory and technical questions to assist facilities.

Through the development of the Form A Certification Statement (in conjunction with the petition process, electronic reporting, efforts to review the original list of TRI chemicals to determine whether any of those chemicals do not meet the listing criteria, and other mechanisms), EPA has reduced, to the extent practicable and appropriate at this time, the burden on persons providing the information being collected under EPCRA section 313. EPA continues to work with affected parties to identify opportunities for further burden reduction.

5(d) Collection Schedule

Section 313 requires annual reporting for the Form R. The respondent and Agency schedule of activities associated with the collection and processing of information under EPCRA section 313 is unchanged for the alternate threshold. Whether making a Form R submission or submitting a Form A Certification Statement based on the alternate threshold, respondents must submit their forms to EPA for any given reporting year on or before July 1 of the succeeding year.

6 ESTIMATING THE BURDEN AND COST OF THE COLLECTION

6(a) Estimating Respondent Burden This section presents the burden of this information collection activity on respondents in terms of the time required for facility personnel to perform the steps outlined in Section 3 of this document. These burden estimates are base d upon previous ICRs and economic analyses, respondent experience as reflected in comments to EPA and other parties, and information acquired through site visits and telephone interviews.1 Facilities must also determine whether they are within a covered Standard Industrial Classification (SIC) code; have the equivalent of 10 or more full-time employees; and manufacture, process or use any of the listed toxic chemicals above the threshold quan tity. The time required for compliance determination at all facilities in covered SIC codes with 10 or more employees is already accounted for in the Form R information collection request (OMB #2070-0093).

13 The burden to respondents is estimated for Form A requirements. Burden estimates are developed for the compliance activities and then multiplied by the number of facilities or reports (as appropriate) to estimate the total burden to respondents. The burden estimates used by EPA are national average values. As with any average, some facilities will be above the average, and others will be below it. Large, complex facilities may require more than the average time to comply. However, there are many other facilities subject to the rule that are not large or complex. Therefore, EPA believes that its burden estimates represent reasonable national averages. The tasks associated with the alternate threshold reporting include report calculations and certification, form completion, and recordkeeping and submission. 1 Specifically:

• Rule Familiarization: Facilities that are reporting under section 313 for the first time must read the reporting package and become familiar with the reporting requirements. This includes the time needed to review instructions, and the time needed to train personnel to be able to respond to a collection of information.

• Calculations/Certification: Facilities must gather data and perform calculations to determine eligibility for the alternate threshold. This includes the time to search data sources, and the time to complete and review the information.

• Form Completion: Facilities must complete the form. Facilities can now use a single Form A to submit certifications for all chemicals that are eligible for the alternate threshold.

• Recordkeeping/Submission: Facilities must maintain recordkeeping systems and submit the completed Form A to EPA and the states.

Each of these steps is described in more detail below.

Rule Familiarization

If a facility will be reporting under the section 313 requirements for the first time, fac ility staff must review and comprehend the reporting requirements. At a minimum, this effort will involve reading the instructions to the Toxic Release Inventory Reporting Forms, however, it may also involve consulting EPA guidance documents, attending a training course, and/or calling the EPCRA technical hotline. The cost associated with rule familiarization occurs only in the first year that a facility becomes subject to reporting. In subsequent years, staff are assumed to be familiar with the requirements that apply to their facility. Thus, the facility would no longer bear this cost. Similarly, facilities that already report on one or more existing TRI chemicals will not2 USEPA/OPPT, Regulatory Impact Analysis of the EPCRA Section 313 Alternate Threshold Final Rule
, November 18, 1994.

14 incur a rule familiarization cost.

Calculations/Certification

To certify that a listed toxic chemical qualifies for the alternate threshold, a facility must estimate its annual reportable amount and the amount manufactured, processed, or otherwise used. If a facility's annual reportable amount for a listed toxic chemical is 500 pounds or less, the facility is eligible to apply the alternate threshold of 1 million pounds manufactured, processed or otherwise used.

Recordkeeping/Submission

After a facility has certified a listed toxic chemical as eligible for the alternate threshold, it incurs additional labor costs for recordkeeping and submission. Recordkeeping allows a facility to use the information in making calculations in subsequent years, and as documentation in the event it receives a compliance audit. Fac ilities may maintain such records as estimation methodology and calculations, engineering reports, inventory, incident and operating logs, and any other supporting materials needed to document eligib ility for the alternate threshold. Facilities must transmit Form As to EPA and State authorities.

Form A Completion

If a facility is eligible to apply the alternate threshold, it must complete the Form A. The facility completes one Form A that contains certifications for all the listed toxic chemicals to which it is applying the alternate threshold.

Respondent Burden

The calculations needed to determine eligibility for the Form A are a subset of the calculations necessary to complete Form R. Thus, the time required to calculate the annual reportable amount was estimated in previous ICRs by aggregating EPA’s estimates of the time required to calculate each of the sections of Form R that are relevant to determining annual reportable amount. According to this estimate, calculations for a Form A take approximately 64 percent of the time of calculations for the Form R. 2

For the purposes of this ICR, first-year reporting burden hour estimates have not been modified from previous ICRs. However, based on EPA’s recent revision to the unit burden estimates for Form R calculations, EPA now estimates that calculating an annual reportable amount for Form A will require an average of 9.3 hours for each listed toxic chemical that the3 USEPA/OEI, Estimates of Burden Hours for Economic Analyses of the Toxics Release Inventory , June 10, 2002.

4 USEPA/OEI, Estimates of Burden Hours for Economic Analyses of the Toxics Release Inventory , June 10, 2002. Note th at one outlier among the 9 facilities reported a much higher per chemical burden than the other 8 facilities. Without this outlier, the average of facility-level burden hours per chemical certification would be 3.8 to 4.9 hours per chemical certified.

15 facility must report under EPCRA section 313. 3 EPA’s estimates by activity and labor category are shown in Table 1.

Table 1 Average Annual Burden Hour Estimates for Form A

Activity Management Technical Clerical Total Hours First-year activities Rule Familiarization - first-time filers 12 22.5 0 34.5 Calculations/ Certification - first-time filers 16.3 26 2.2 44.5 Form A Completion - first-time filers 0.15 1.8 0.15 2.1 Recordkeeping/Submission 0 2.4 0.6 3 Total 28.45 52.7 2.95 84.1 Subsequent year activities Calculations/ Certification - subsequent year filers 3.4 5.5 0.4 9.3

Form A Completion - subsequent year filers 0.1 1.2 0.1 1.4 Recordkeeping/Submission 0 2.4 0.6 3 Total 3.5 9.1 1.1 13.7

In April 2002, EPA contacted nine fac ilities that file Form As to gather information on the typical facility level burden associated with using the reporting form. The total facility level burden estimates were reported in ranges. Depending on whether the midpoint or maximum of the range was used, the average of facility-level burden hours per chemical certification was reported at 11.2 to 15.5 hours. EPA’s estimate of 13.7 hours for a facility certifying one chemical on a Form A falls within this range. 4

6(b) Estimating Respondent Costs

Respondent costs are related to the number of chemicals certifications reported on the Form As and the loaded hourly rates of the personnel who complete the reporting activities. The total reporting burden is estimated to average 84.1 hours for a facility submitting a single certification statement under EPCRA section 313 for the first time. (This includes the time required for rule familiarization, calculations/certification, Form A completion, and5 USEPA/OEI, Wage Rates for Economic Analyses of the Toxics Release Inventory Program , June 10, 2002. Note that the wage rates used in this supporting statement have been inflated to March 2002 using an ECI-based adjustment factor of 1.03 as prescribed in this reference. The loaded hourly rates are $52.38 for management labor, $42.57 for technical labor, and $23.09 for clerical labor.

16 recordkeeping/submission.) The total reporting burden is estimated to average 13.7 hours for a facility submitting a single certification statement under EPCRA section 313 in subsequent reporting years. (This includes the time required for calculations/certification, Form A completion, and recordkeeping/submission.) By comparison, the average time required for calculations, form completion, and recordkeeping/submission for Form R is estimated to average 19.5 hours per form. Thus, for a facility filing Form A for a single chemical, the alternate threshold yields an average savings of 5.8 hours in subsequent reporting years.

For a facility that certifies multiple chemicals on a Form A, the burden per reported chemical is reduced. An average of 2.4 chemicals per facility were reported to EPA using Form As for the 2000 reporting year. About 50 percent of the fac ilities using Form A reported on one chemical, another 20 percent reported on two chemicals, 15 percent on three chemicals, and the remaining 15 percent of facilities reported on 4 or more chemicals. The typical per facility burden and cost for certifying one to three chemicals is shown in Table 2. The loaded hourly rates used in Table 2 correspond with the loaded hourly rates for the relevant labor categories in the Form R ICR renewal. 5

Table 2 Annual Burden and Cost per Facility (Assuming 1, 2, or 3 Chemicals)

Activity Number of Chemicals Reported on Each Form A 1 Chemical 2 Chemicals 3 Chemicals
hours cost hours cost hours cost First-year filers Rule Familiarization - first-time filers 34.5 $1, 586 34.5 $1,586 34.5 $1,586 Calculations/ Certification - first-time filers 44.5 $2,011 89 $4,022 133.5 $6,033 Form A Completion - first-time filers 2.1 $88 2.1 $88 2.1 $88 Recordkeeping/Submission 3 $116 6 $232 9 $348 Total per Facility 84.1 $3,801 131.6 $5,928 179.1 $8,055 Average per Chemical 84.1 $3,801 65.8 $2,964 59.7 $2,685 Subsequent year filers Calculations/ Certification - subsequent year filers 9.3 $421 18.6 $842 27.9 $1,263
Form A Completion - subsequent year filers 1.4 $59 1.4 $59 1.4 $59 Recordkeeping/Submission 3 $116 6 $232 9 $348 Total per Facility 13.7 $596 26 $1,133 38.3 $1,670 Average per Chemical 13.7 $596 13 $567 12.8 $55717 6(c) Estimating Agency Burden and Cost

EPA will incur costs to process the Form As, perform outr each and training, disseminate information, develop policy and guidance, respond to petitions, and perform compliance and enforcement audits. EPA measures its resource requirements in terms of the number of forms that must be processed. EPA employees (as measured by full time equivalents, or FTEs) and extramural costs are separated into a fixed component and an variable component. The fixed component of EPA FTEs and costs is described in the Form R ICR (OMB #2070-0093). The variable component is the amount that varies depending on the number of forms. The variable component reflects total extramural data processing costs divided by the total number of reports processed in the 2000 reporting year. EPA expends $27.50 in variable costs for each form processed. A total of 5,121 Form As are expected to be filed. Thus, the total annual burden to EPA is estimated to be $140,828 in variable costs for Form A.

6(d) Bottom Line Burden Hours and Costs

Total respondent burden is related to the number of chemicals certifications reported on the Form As and the number of facilities that file Form As. The number of respondents and responses is based on the actual numbers of facilities making chemical certifications on Form As in the latest reporting year. As shown in Table 3, usage of Form A has increased since 1995, the first year the form was available. Starting in 1998, non-manufacturing industries began reporting to TRI using both Form A and Form R. Also starting in 1998, respondents were allowed to make multiple chemical certifications on a single Form A. Note that electronic submissions allow some companies to report for multiple facilities on a single Form A, which is why there are fewer facilities than Form As. Note also that facilities can file both Form Rs and Form As, so the total number of TRI reporting facilities is less than the sum of facilities filing Form Rs and facilities filing Form As.

Table 3 Usage of Form A vs. Form R

Form A Form R Reporting Year Facilities Responses Chemicals Facilities Responses 1994 N/A N/A N/A 23,663 77,941 1995 3,231 6,865 6,865 21,373 70,749 1996 3,618 7,720 7,720 20,757 67,713 1997 5,185 10,947 10,947 19,594 64,148 1998 5,822 5,627 13,942 21,089 75,978 1999 5,444 5,085 12,894 20,167 72,450 2000 5,451 5,121 13,209 20,669 78,304

In an effort to reduce reporting burden, EPA has developed intelligent software for the6 USEPA/OEI, Estimates of Burden Hours for Economic Analyses of the Toxics Release Inventory , June 10, 2002.

7 Since 1994, there have been three reporting years with no major programmatic changes. Based on reporting for 1996, 1997, and 1999, the average rate of facilities that file using new TRIFIDs is 4.7%. These facilities filed an average of 4.5% of the Form As. For the purposes of this ICR, these facilities represent "first-time filers."

18 desktop computer called TRI–Made Easy (TRI-ME) to assist facilities in determining and completing their reporting obligations. Over the three years of the ICR period, EPA expects adoption rates of TRI-ME to increase rapidly. For the purposes of this ICR, EPA uses an annualized estimate of 60 percent of reports being filed using TRI-ME. Note that 73 percent of responses were received electronically for the 1999 reporting year. For the 2000 reporting year, this percentage increased to 79 percent. EPA expects to attain similar adoption rates for TRI-ME by the end of the ICR renewal period.

Based on responses from facilities that tested TRI-ME in Reporting Year 2000, EPA expects that TRI-ME will result in a burden reduction of 25 percent in the activities of Form R Completion and Recordkeeping/Submission. 6 For the Form A ICR, this burden reduction estimate is applied to the activities of Calculations/Certification and Recordkeeping/Submission.

Total respondent burden and cost for Form A, including an adjustment for TRI-ME, is shown in Table 4. 719 Table 4 Total Annual Respondent Burden and Cost

ACTIVITY Hours Number of Facilities Number of Chemicals Total Burden Rule Familiarization - First-year filers 34.5 256 N/A 8, 839 Calculations/Certification - First-year filers 44.5 N/A 594 26,433 Form A Completion - First-year filers 2.1 256 N/A 538 TRI-ME Reduction - First-year filers (11.9) N/A 357 (4,248) Calculations/Certification - Subsequent year filers 9.3 N/A 12,615 117,316 Form A Completion - Subsequent year filers 1.4 5,195 N/A 7,273 TRI-ME Reduction - Subsequent year filers (3.1) N/A 7,569 (23,464) Recordkeeping/Submission - All filers 3 N/A 13,209 39,627
Total Burden 172,313 ACTIVITY Cost Number of Facilities Number of Chemicals Total Cost

Rule Familiarization - First-year filers $1, 586 256 N/A $406,328 Calculations/Certification - First-year filers $2,011 N/A 594 $1,194,534 Form A Completion - First-year filers $88 256 N/A $22,545 TRI-ME Reduction - First-year filers ($532) N/A 357 ($189,924) Calculations/Certification - Subsequent year filers $421 N/A 12,615 $5,310,744 Form A Completion - Subsequent year filers $59 5,195 N/A $306,493 TRI-ME Reduction - Subsequent year filers ($134) N/A 7,569 ($1,014,246) Recordkeeping/Submission - All filers $116 N/A 13,209 $1,532,244
Total Cost $7,568,718

Total annual respondent burden and cost for completing the Form A are estimated at 172,313 burden hours with a loaded labor cost of $7.57 million per year. Total EPA cost for processing the Form As is estimated at $140,828 per year.

6(e) Reasons for Change in Burden

The estimated burden described above differs from what is currently in OMB’s inventory for alternate threshold reporting: 14,793 responses (chemicals) and 644,761 burden hours. The burden estimated in this supporting statement differs from OMB’s inventory as a result of adjustments to estimates of the number of responses (from 14,793 responses (chemicals) to 5,121 responses (Form As)), changes to subsequent year unit reporting burden estimates (from 30.2 to 9.2 burden hours per chemical certified on a Form A), and an adjustment for use of TRI-ME for those forms completed using TRI-ME. Table 5 summarizes the major program changes and adjustments that have been made over the last several years, as well as changes due to adjustments in this ICR supporting statement.

6(f) Burden Statement (To appear on Collection Instrument)20 The annual public burden for this collection of information, which is approved under OMB Control No. 2070-0143, is estimated to average 13.7 hours for a fac ility that certifies one chemical per Form A. Responding to this information collection requires 1) determining whether a listed toxic chemical is eligible for certification under the alternate threshold, and 2) completing the Form A. The burden of determining eligibility for certification and associated recordkeeping is estimated to average 12.3 hours for each chemical that is certified. The burden of completing the Form A is estimated to average 1.4 hours, regardless of the number of chemicals being certified. The total burden per response is the combination of these two, and will vary depending on the number of listed toxic chemicals being certified.

Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB control numbers for EPA’s regulations are listed in 40 CFR part 9 and 48 CFR chapter 15.

To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for min imizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID No. OEI-2002-0004, which is available for public viewing at the OEI Docket in the EPA Docket Center (EPA/DC), EPA West, Room B102, 1301 Constitution Ave., NW, Washington, DC. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the Reading Room is (202) 566-1744, and the telephone number for the OEI Docket is (202) 566-1752. An electronic version of the public docket is available through EPA Dockets (EDOCKET) at http://www.epa.gov/edocket . Use EDOCKET to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically. Once in the system, select “search,” then key in the docket ID number identified above. Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, DC 20503, Attention: Desk Office for EPA. Please include the EPA Docket ID No. OEI- 2002- 0004 and OMB control number 2070-0143 in any correspondence.

The completed forms should be submitted in accordance with the instructions accompanying the form, or as specified in the corresponding regulation.21 Table 5 Changes in Form A Burden

Activity - Explanation # 1704 - Form A (OMB #2070-0143) # 1784 - Industry Expansion (OMB #2070-0157) Responses Burden Hours Responses Burden Hours 1995 Program Change - Alternate Threshold: This rule established an alternate report for low reportable amounts and had its own ICR. 23,288 803,436 — —

1995 Program Change - Petition Delistings: EPA granted several petitions to delist chemicals from the list of chemicals subject to reporting. -2,241 -77,539 — —

1996 Program Change - Petition Delistings: -533 -18,442 — —
1996 Adjustment - Form A ICR Renewal: Minor adjustment to burden. — + 2,328 — —
1997 Program Change - Industry Expansion: This rule expanded the list of industries subject to reporting under TRI. — — +45,415 +2,704,085

1997 Adjustment - ICR Amendments: The burden hours for the industry expansion rule (with minor adjustment to burden) were incorporated into the Form R and Form A ICRs by OMB. +7,121 +281,517 -45,415 -2,704,085

1998 Form A ICR. Program Change: Reporting change to allow submission of multiple chemicals on a single Form A. -14,478 -82,264

— —

1999 Adjustment - Form A ICR renewal - 4,085 - 262,161

— — 2000 Form A ICR Renewal +5,721 -2,114 — — 2003 Proposed Form A ICR Renewal : This request incorporates accounting adjustments to more accurately reflect reporting burden and actual number of
responses. -9,672 -472,448 — —

CURRENT TO TALS ---------------------- 5,121 172,313 0 0A-1 ATTACHMENT A

RELEVANT STATUTES: EPCRA SECTION 313 AND PPA SECTION 6607A-2 EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW ACT SECTION 313

UNITED STATES CODE TITLE 42 - THE PUBLIC HEALTH AND WELFARE CHAPTER 116 - EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW

SUBCHAPTER I - EMERGENCY PLANNING AND NOTIFICATION

§ 11023. Toxic chemical release forms

(a) Basic requirement

The owner or operator of a facility subject to the requirements of this section shall complete a toxic chemical release form as published under subsection (g) of this section for each toxic chemical listed under subsection (c) of this section that was manufactured, processed, or otherwise used in quantities exceeding the toxic chemical threshold quantity established by subsection (f) of this section during the preceding calendar year at such fac ility. Such form shall be submitted to the Administrator and to an official or officials of the State designated by the Governor on or before July 1, 1988, and annually thereafter on July 1 and shall contain data reflecting releases during the preceding calendar year.

(b) Covered owners and operators of facilities

(1) In general

(A) The requirements of this section shall apply to owners and operators of facilities that have 10 or more full-time employees and that are in Standard Industrial Classification Codes 20 through 39 (as in effect on July 1, 1985) and that manufactured, processed, or otherwise used a toxic chemical listed under subsection (c) of this section in excess of the quantity of that toxic chemical established under subsection (f) of this section during the calendar year for which a release form is required under this section. (B) The Administrator may add or delete Standard Industrial Classification Codes for purposes of subparagraph (A), but only to the extent necessary to provide that each Standard Industrial Code to which this section applies is relevant to the purposes of this section. (C) For purposes of this section - (i) The term "manufacture" means to produce, prepare, import, or compound a toxic chemical. (ii) The term "process" means the preparation of a toxic chemical, after its manufacture, for distribution in commerce - (I) in the same form or

physical state as, or in a different form or physical state from, that in which it was received by the person so preparing such chemical, or (II)A-3 as part of an article containing the toxic chemical.

(2) Discretionary application to additional facilities

The Administrator, on his own motion or at the request of a Governor of a State (with regard to facilities located in that State), may apply the requirements of this section to the owners and operators of any particular facility that manufactures, processes, or otherwise uses a toxic chemical listed under subsection (c) of this section if the Administrator determines that such action is warranted on the basis of toxicity of the toxic chemical, proximity to other facilities that release the toxic chemical or to population centers, the history of releases of such chemical at such facility, or such other factors as the Administrator deems appropriate.

(c) Toxic chemicals covered

The toxic chemicals subject to the requirements of this section are those chemicals on the list in Committee Print Number 99-169 of the Senate Co mmittee on Environment and Public Works, titled "Toxic Chemicals Subject to Section 313 of the Emergency Planning and Community Right-To-Know Act of 1986" (42 U.S.C. 11023) (including any revised version of the list as may be made pursuant to subsection (d) or (e) of this section).

(d) Revisions by Administrator

(1) In general

The Administrator may by rule add or delete a chemical from the list described in subsection (c) of this section at any time.

(2) Additions

A chemical may be added if the Administrator determines, in his judgment, that there is sufficient evidence to establish any one of the following: (A) The chemical is known to cause or can reasonably be anticipated to cause significant adverse acute human health effects at concentration levels that are reasonably likely to exist beyond facility site boundaries as a result of continuous, or frequently recurring, releases. (B) The chemical is known to cause or can reasonably be anticipated to cause in humans - (i) cancer or teratogenic effects, or (ii) serious or irreversible - (I) reproductive dysfunctions, (II) neurological disorders, (III) heritable genetic mutations, or (IV) other chronic health effects. (C) The chemical is known to cause or can reasonably be anticipated to cause,A-4 because of - (i) its toxicity, (ii) its toxicity and persistence in the environment, or (iii) its toxicity and tendency to bio accumulate in the environment, a significant adverse effect on the environment of sufficient seriousness, in the judgment of the Administrator, to warrant reporting under this section. The number of chemicals included on the list described in subsection C of this section on the basis of the preceding sentence may constitute in the aggregate no more than 25 percent of the total number of chemicals on the list. A determination under this paragraph shall be based on generally accepted scientific principles or laboratory tests, or appropriately designed and conducted epidemiological or other population studies, available to the Administrator.

(3) Deletions

A chemical may be deleted if the Administrator determines there is not sufficient evidence to establish any of the criteria described in paragraph (2).

(4) Effective date

Any revision made on or after January 1 and before December 1 of any calendar year shall take effect beginning with the next calendar year. Any revision made on or after December 1 of any calendar year and before January 1 of the next calender year shall take effect beginning with the calendar year following such next calendar year.

(e) Petitions

(1) In general

Any person may petition the Administrator to add or delete a chemical from the list described in subsection (c) of this section on the basis of the criteria in subparagraph (A) or (B) of subsection (d)(2) of this section. Within 180 days after receipt of a petition, the Administrator shall take one of the following actions: (A) Initiate a rulemaking to add or delete the chemical to the list, in accordance with subsection (d)(2) or (d)(3) of this section. (B) Publish an explanation of why the petition is denied.

(2) Governor petitions

A State Governor may petition the Administrator to add or delete a chemical from the list described in subsection (c) of this section on the basis of the criteria in subparagraph (A), (B), or (c) of subsection (d)(2) of this section. In the case of such a petition from a State Governor to delete a chemical, the petition shall be treated inA-5 the same manner as a petition received under paragraph (1) to delete a chemical. In the case of such a petition from a State Governor to add a chemical, the chemical will be added to the list within 180 days after receipt of the petition, unless the Administrator - (A) initiates a rulemaking to add the chemical to the list, in accordance with subsection (d)(2) of this section, or (B) publishes an explanation of why the Administrator believes the petition does not meet the requirements of subsection (d)(2) of this section for adding a chemical to the list.

(f) Threshold for reporting

(1) Toxic chemical threshold amount

The threshold amounts for purposes of reporting toxic chemicals under this section are as follows: (A) With respect to a toxic chemical used at a facility, 10, 000 pounds of the toxic chemical per year. (B) With respect to a toxic chemical manufactured or processed at a facility - (i) For the toxic chemical release form required to be submitted under this section on or before July 1, 1988, 75,000 pounds of the toxic chemical
per year. (ii) For the form required to be submitted on or before July 1, 1989, 50,000 pounds of the toxic chemical per year. (iii) For the form required to be submitted on or before July 1, 1990, and for each form thereafter, 25,000 pounds of the toxic chemical per year.

(2) Revisions

The Administrator may establish a threshold amount for a toxic chemical different from the amount established by paragraph (1). Such revised threshold shall obtain reporting on a substantial majority of total releases of the chemical at all facilities subject to the requirements of this section. The amounts established under this paragraph may, at the Administrator's discretion, be based on classes of chemicals or categories of facilities.

(g) Form

(1) Information required

Not later than June 1, 1987, the Administrator shall publish a uniform toxic chemical release form for facilities covered by this section. If the Administrator does not publish such a form, owners and operators of facilities subject to the requirements of this section shall provide the information required under this subsection by letterA-6 postmarked on or before the date on which the form is due. Such form shall - (A) provide for the name and location of, and principal business activities at, the facility; (B) include an appropriate certification, signed by a senior official with management responsibility for the person or persons completing the report, regarding the accuracy and completeness of the report; and (C) provide for submission of each of the following items of information for each listed toxic chemical known to be present at the facility: (i) Whether the toxic chemical at the facility is manufactured, processed, or otherwise used, and the general category or categories of use of the chemical. (ii) An estimate of the maximum amounts (in ranges) of the toxic chemical present at the facility at any time during the pr eceding calendar year. (iii) For each waste stream, the waste treatment or disposal methods employed, and an estimate of the treatment efficiency typically achieved by such methods for that waste stream. (iv) The annual quantity of the toxic chemical entering each environmental medium.

(2) Use of available data

In order to provide the information required under this section, the owner or operator of a facility may use readily available data (including monitoring data) collected pursuant to other provisions of law, or, where such data are not readily available, reasonable estimates of the amounts involved. Nothing in this section requires the monitoring or measurement of the quantities, concentration, or frequency of any toxic chemical released into the environment beyond that monitoring and measurement required under other provisions of law or regulation. In order to assure consistency, the Administrator shall require that data be expressed in common units.

(h) Use of release form

The release forms required under this section are intended to provide information to the Federal, State, and local governments and the public, including citizens of communities surrounding covered facilities. The release form shall be available, consistent with section 11044(a) of this title, to inform persons about releases of toxic chemicals to the environment; to assist governmental agencies, researchers, and other persons in the conduct of research and data gathering; to aid in the development of appropriate regulations, guidelines, and standards; and for other similar purposes.

(I) Modifications in reporting frequency

(1) In generalA-7 The Administrator may modify the frequency of submitting a report under this section, but the Administrator may not modify the frequency to be any more often than annually. A modification may apply, either nationally or in a specific geographic area, to the following: (A) All toxic chemical release forms required under this section. (B) A class of toxic chemicals or a category of facilities. (C) A specific toxic chemical. (D) A specific facility.

(2) Requirements

A modification may be made under paragraph (1) only if the Administrator - (A) makes a finding that the modification is consistent with the provisions of subsection (h) of this section, based on - (i) experience from previously submitted toxic chemical release forms, and (ii) determinations made under paragraph (3), and (B) the finding is made by a rulemaking in accordance with section 553 of title 5.

(3) Determinations

The Administrator shall make the following determinations with respect to a proposed modification before making a modification under paragraph (1):

(A) The extent to which information relating to the proposed modification provided on the toxic chemical release forms has been used by the Administrator or other agencies of the Federal Government, States, local governments, health professionals, and the public. (B) The extent to which the information is (i) readily available to potential users from other sources, such as State reporting programs, and (ii) provided to the Administrator under another Federal law or through a State program. (C) The extent to which the modification would impose additional and unreasonable burdens on facilities subject to the reporting requirements under this section.

(4) 5-year review

Any modification made under this subsection shall be reviewed at least once every 5 years. Such review shall examine the modification and ensure that the requirements of paragraphs (2) and (3) still justify continuation of the modification. Any change to a modification reviewed under this paragraph shall be made in accordance with this subsection.A-8 (5) Notification to Congress

The Administrator shall notify Congress of an intention to initiate a rulemaking for a modification under this subsection. After such notification, the Administrator shall delay initiation of the rulemaking for at least 12 months, but no more than 24 months, after the date of such notification.

(6) Judicial review

In any judicial review of a rulemaking which establishes a modification under this subsection, a court may hold unlawful and set aside agency action, findings, and conclusions found to be unsupported by substantial evidence.

(7) Applicability

A modification under this subsection may apply to a calendar year or other reporting period beginning no earlier than January 1, 1993.

(8) Effective date

Any modification made on or after January 1 and before December 1 of any calendar year shall take effect beginning with the next calendar year. Any modification made on or after December 1 of any calendar year and before January 1 of the next calendar year shall take effect beginning with the calendar year following such next calendar
year.
(j) EPA management of data

The Administrator shall establish and maintain in a computer data base a national toxic chemical inventory based on data submitted to the Administrator under this section. The Administrator shall make these data accessible by computer telecommunication and other means to any person on a cost reimbursable basis.

(k) Report

Not later than June 30, 1991, the Comptroller General, in consultation with the Administrator and appropriate officials in the States, shall submit to the Congress a report including each of the following: (1) A description of the steps taken by the Administrator and the States to implement the requirements of this section, including steps taken to make information collected under this section available to and accessible by the public. (2) A description of the extent to which the information collected under this section has been used by the Environmental Protection Agency, other Federal agencies, the States, and the public, and the purposes for which the information has been used.A-9 (3) An identification and evaluation of options for modifications to the requirements of this section for the purpose of making information collected under this section more useful.

(l) Mass balance study

(1) In general

The Administrator shall arrange for a mass balance study to be carried out by the National Academy of Sciences using mass balance information collected by the Administrator under paragraph (3). The Administrator shall submit to Congress a report on such study no later than 5 years after October 17, 1986.

(2) Purposes

The purposes of the study are as follows: (A) To assess the value of mass balance analysis in determining the accuracy of information on toxic chemical releases. (B) To assess the value of obtaining mass balance information, or portions thereof, to determine the waste reduction efficiency of different facilities, or categories of facilities, including the effectiveness of toxic chemical regulations promulgated under laws other than this chapter. (C) To assess the utility of such information for evaluating toxic chemical management practices at facilities, or categories of facilities, covered by this section. (D) To determine the implications of mass balance information collection on a national scale similar to the mass balance information collection carried out by the Administrator under paragraph (3), including implications of the use of such collection as part of a national annual quantity toxic chemical release program.

(3) Information collection

(A) The Administrator shall acquire available mass balance information from States which currently conduct (or during the 5 years after October 17, 1986 initiate) a mass balance-oriented annual quantity toxic chemical release program. If information from such States provides an inadequate representation of industry classes and categories to carry out the purposes of the study, the Administrator also may acquire mass balance information necessary for the study from a representative number of facilities in other States. (B) Any information acquired under this section shall be available to the public, except that upon a showing satisfactory to the Administrator by any person that the information (or a particular part thereof) to which the Administrator or any officer, employee, or representative has access under this section if made public would divulge information entitled to protection under section 1905 of title 18, suchA-10 information or part shall be considered confidential in accordance with the purposes of that section, except that such information or part may be disclosed to other officers, employees, or authorized representatives of the United States concerned with carrying out this section. (C) The Administrator may promulgate regulations prescribing procedures for collecting mass balance information under this paragraph. (D) For purposes of collecting mass balance information under subparagraph (A), the Administrator may require the submission of information by a State or facility.

(4) Mass balance definition

For purposes of this subsection, the term "mass balance" means an accumulation of the annual quantities of chemicals transported to a facility, produced at a facility, consumed at a facility, used at a facility, accumulated at a fac ility, released from a facility, and transported from a facility as a waste or as a commercial product or byproduct or component of a commercial product or byproduct.A-11 POLLUTION PREVENTION ACT SECTION 6607

UNITED STATES CODE TITLE 42 - THE PUBLIC HEALTH AND WELFARE CHAPTER 133 - POLLUTION PREVENTION

§ 13106. Source reduction and recycling data collection

(a) Reporting requirements

Each owner or operator of a facility required to file an annual toxic chemical release form under section 11023 of this title for any toxic chemical shall include with each such annual filing a toxic chemical source reduction and recycling report for the pr eceding calendar year. The toxic chemical source reduction and recycling report shall cover each toxic chemical required to be reported in the annual toxic chemical release form filed by the owner or operator under section 11023(c) of this title. This section shall take effect with the annual report filed under section 11023 of this title for the first full calendar year beginning after November 5, 1990.

(b) Items included in report

The toxic chemical source reduction and recycling report required under subsection (a) of this section shall set forth each of the following on a fac ility-by-facility basis for each toxic chemical:

. (1) The quantity of the chemical entering any waste stream (or otherwise released into the environment) prior to recycling, treatment, or disposal during the calendar year for which the report is filed and the percentage change from the previous year. The quantity reported shall not include any amount reported under paragraph (7). When actual measurements of the quantity of a toxic chemical entering the waste streams are not readily available, reasonable estimates should be made based on best engineering judgment (2) The amount of the chemical from the facility which is recycled (at the facility or elsewhere) during such calendar year, the percentage change from the previous year, and the process of recycling used. (3) The source reduction practices used with respect to that chemical during such year at the facility. Such practices shall be reported in accordance with the following categories unless the Administrator finds other categories to be more appropriate. (A) Equipment, technology, process, or procedure modifications. (B) Reformulation or redesign of products. (C) Substitution of raw materials. (D) Improvement in management, training, inventory control, materials handling, or other general operational phases of industrial facilities. (4) The amount expected to be reported under paragraph (1) and (2) for the twoA-12 calendar years immediately following the calendar year for which the report is filed. Such amount shall be expressed as a percentage change from the amount reported in paragraphs (1) and (2). (5) A ratio of production in the reporting year to production in the previous year. The ratio should be calculated to most closely reflect all activities involving the toxic chemical. In specific industrial classifications subject to this section, where a feedstock or some variable other than production is the primary influence on waste characteristics or volumes, the report may provide an index based on that primary variable for each toxic chemical. The Administrator is encouraged to develop production indexes to accommodate individual industries for use on a voluntary basis. (6) The techniques which were used to identify source reduction opportunities. Techniques listed should include, but are not limited to, employee recommendations, external and internal audits, participative team management, and material balance audits. Each type of source reduction listed under paragraph (3) should be associated with the techniques or multiples of techniques used to identify the source reduction technique. (7) The amount of any toxic chemical released into the environment which resulted from a catastrophic event, remedial action, or other one-time event, and is not associated with production processes during the reporting year. (8) The amount of the chemical from the facility which is treated (at the facility or elsewhere) during such calendar year and the percentage change from the previous year. For the first year of reporting under this subsection, comparison with the previous year is required only to the extent such information is available.

(c) SARA provisions

The provisions of sections 11042, 11045(c), and 11046 of this title shall apply to the reporting requirements of this section in the same manner as to the reports required under section 11023 of this title. The Administrator may modify the form required for purposes of reporting information under section 11023 of this title to the extent he deems necessary to include the additional information required under this section.

(d) Additional optional information

Any person filing a report under this section for any year may include with the report additional information regarding source reduction, recycling, and other pollution control techniques in earlier years.

(e) Availability of data

Subject to section 11042 of this title, the Administrator shall make data collected under this section publicly available in the same manner as the data collected under section 11023 of this title.B- 1 ATTACHMENT B

40 CFR Part 372: Toxic Chemical Release Reporting: Community Right-to-KnowC-1 ATTACHMENT C

Form A Certification Statement EPA Form 9350-2 (Proposed Revision)

(Note: An electronic copy of this attachment is not available. Please contact the Environmental Protection Agency at the address noted in the Federal Register notice for a complete copy of this ICR.)D-1 ATTACHMENT D

TRI REPORTING PACKAGE FOR 2000 REPORTING CYCLE (EPA 745-B-00-001, FEBRUARY 2001). INCLUDES INSTRUCTIONS FOR FORM A CERTIFICATION STATEMENT

(Note: An electronic copy of this attachment is not available. Please contact the Environmental Protection Agency at the address noted in the Federal Register notice for a complete copy of this ICR.)E-1 ATTACHMENT E

EPA ICR 1704.06, OMB No. 2070-0143, Response to Public CommentsF-1 ATTACHMENT F

EPA ICR 1704.06, OMB No. 2070-0143, Response to OMB Terms of Clearance Notice January 18, 2001F-2 

### Alternate Threshold for Low Annual Reportable Amounts; Toxic Chemical Release Reporting; Response to OMB Terms of Clearance Notice

OMB Control Number: 2070-0143, OMB Expiration Date: 01/31/2003

Background

On January 18, 2001, OMB approved EPA ICR 1704-05, OMB Control Number 2070-0143, for two years with terms related to burden reduction to be responded to at the time of submission of the ICR renewal. This submission constitutes EPA’s response to OMB’s terms of clearance for EPA ICR 1704-05, Alternate Threshold for Low Annual Reportable Amounts, and is being submitted to OMB as an attachment to its request for OMB approval of EPA ICR 1704-06, Alternate Threshold for Low Annual Reportable Amounts, due to expire on January 31, 2003.

For this ICR renewal (1704.06, OMB Control No. 2070-0143), EPA estimates that the total average annual burden hour estimate for the Form A Certification Statement is 13.7 hours for a facility submitting a single certification statement under the Emergency Planning and Community Right-to-Know Act (EPCRA) section 313. The estimate of total burden for reporting using the Form A Certification Statement is 145,534 burden hours. This year’s estimate represents a substantial reduction in burden, over 500,000, than what is currently in OMB’s inventory for alternate threshold reporting, 644,761 burden hours. As described in detail in Section 6 of the Supporting Statement for the EPA ICR 1704.06 renewal, this reduction in the burden estimate for the Form A Certification Statement is a result of adjustments to estimates of number of responses, changes to unit reporting burden estimates, and an adjustment for use of TRI-ME (TRI Made-Easy reporting software). TRI-ME is an intelligent reporting software program that is expected to significantly decrease the reporting burden by walking filers through the reporting process, eliminating much of the analysis required to make compliance determinations and calculate release quantities. Burden reduction with TRI-ME is estimated to be 15-20% for all TRI reporters.

Use and Potential Use of the Form A Certification Statement

Tables 1 through 4 present information on Form A Certification Statement usage over time and in reporting year 2000. Table 1 presents facilities’ usage of the Form A Certification Statement from reporting year 1995, the first year that alternate threshold reporting was in effect, to 2000, the last reporting year for which data have been submitted. Form A Certification Statement usage increased somewhat from 1995 to 1997, and has remained relatively constant since 1997.F-3 Table 1: Actual Form A Usage Over Time

1995 1996 1997 1998 1999 2000

Percent of All Forms 8.8% 10.2% 14.6% 15.5% 15.1% 14.4%

Percent of All Facilities 14.0% 15.9% 23.3% 24.1% 23.6% 23.2% Note: As of 2000, PBT chemicals with lower thresholds could not be reported on Form A. Excluding reports on PBT chemicals, Form As comprised 15.6% of all forms in 2000.

Table 2 describes current utilization of the Form A Certification Statement. Expanding Form A Certification Statement eligibility by raising established thresholds seems premature given that the Form A Certification Statement is underutilized by reporting facilities at current threshold levels. Table 3 describes actual and potential Form A Certification Statement reporting in terms of the number of chemicals affected. Table 4 describes Form A Certification Statement usage at the facility level.

Table 2: Reporting Year 2000 Use and Potential Use of the Form A Certification Statement

Number of Chemicals Reported on Form A Percent of Total Forms Number of Facilities Percent of All Facilities

Submitted 13,209 14.4 5,451 23.2
Submitted plus Potential Form As 23,976 26.2 10,736 45.7

Notes: 1. "Number of Facilities" refers to the number of facilities that submitted at least 1 Form A Certification Statement. 2. "Potential Form As" are Form Rs that have a total of current year section 8.1 through 8.7 of 500 lbs. or less.

Table 3: Number of Chemicals Affected Number of chemicals eligible for 100% Form A conversion Total number of chemicals reported on Form A

Actual 24 32

Potential 50 72

Table 4: Information Affected at the Facility LevelF-4 Facilities submitting at least 1 Form A Certification Statement Facilities Submitting Only Form A Certification Statements (no Form R reports)

Actual 5,451 2,942

Potential 10,736 4,677

In addition to emphasizing its availability during TRI training sessions, EPA has considered at length several other options for reducing burden in TRI reporting using the Form A Certification Statement. Each option considered and its feasability are discussed below.

Alternate year reporting

This option assumes that EPA would modify the TRI reporting frequency to a two year reporting cycle (i.e., facilities would only report TRI data every other year). Although biennial reporting appears on the surface to provide a significant avenue for reducing burden for TRI reporters, statutory findings and the process required to achieve the modification do not support it. First, to meet statutory requirements on modifying the reporting frequency, EPA must first notify Congress and then wait to initiate the rulemaking to propose the modification for at least 12 months. In addition, EPA must find:

(A) ...that the modification is consistent with the provisions of subs ection (h) of [section 313] based on - (i) experience from previously submitted toxic chemical release forms, (ii) determinations made under paragraph (3).]

Paragraph (3), in turn, provides that EPA must determine

(A) The extent to which information relating to the proposed modification provided on the toxic chemical release forms has been used by the Administrator or other agencies of the Federal government, States, local governments, health professionals and the public.

(B) The extent to which information is (i) readily available to potential users from other sources, such as State reporting programs, and (ii) provided to the Administrator under another Federal law or through as State program.

(C) The extent to which the modification would impose additional and unreasonable burdens on facilities subject to the reporting requirements under this section.

EPA is concerned about the availability of information that would allow the Agency to make the requisite findings under paragraph 3(B); for example, EPA has received only 1 year of data from facilities reporting at the lower lead thresholds, and the Agency believes that information reported annually to the TRI program is not "readily available" from any existingF-5 source. In addition, other EPA and State databases simply cannot substitute for the multimedia data that is reported under EPCRA Section 313 or the Pollution Prevention Act of 1990 (PPA). The other existing EPA databases encompass much more limited chemical information and do not substitute for TRI data in terms of frequency of reporting, and the ease of use and access that the TRI program provides to the public. In addition, the potential burden reduction of this option would be limited by the need for facilities to re-familiarize themselves with reporting procedures in alternate years. Although re-familiarization would probably be somewhat less burdensome than first-year reporting, this would substantially reduce potential burden reduction. Finally, EPA requested comment on a similar option during the PBT rulemaking. See, 64 Fed. Reg. 688, 718-719 (January 5, 1999). The majority of commenters expressed concern that such an option would introduce confusion for the regulated community and data users and would not significantly reduce burden. Further, they expressed concern that it could discourage facilities from establishing common standard procedures for data collection. Commenters also expressed concern that it would result in data gaps, undermining data consistency and tracking. Many commenters believed that time-series reporting is a fundamental attribute of TRI.

Streamlined certification of "no sign ificant change" in alternate years.

This option would allow facilities to certify that their releases and other waste management quantities reported for the current reporting year have not changed significantly from the previous reporting year.

This option would not represent a significant burden reduction because fac ilities must first calculate their releases and other waste management quantities in order to determine that they have not significantly changed. In addition, EPA would need to determine whether this option is equivalent to a modification in reporting frequency and how such arguments would be addressed (see discussion in Alternate year reporting section above). It would also need to be decided whether this option essentially grants a de minimi s exemption in total quantities, and, if so, whether total quantity can be justified under the plain language of the statute and whether other regulatory exemptions need to be modified to take this into
account.

Expanding Form A Certification Statement Eligibility

Under EPCRA section 313(f)(2), EPA may revise thresholds only to the extent that the revised threshold obtains reporting on a substantial majority of total releases of the chemical at all facilities subject to EPCRA section 313. For purposes of determining what constitutes a "substantial majority of total releases," EPA interprets the language in section 313(f)(2), "fac ilities subject to the requirements of [section 313]," to refer to those fac ilities that fall within the category of facilities described by sections 313(a) and (b)

B i.e., the facilities currently reporting. Subsection (a) lays out the general requirement that "the owner or operator of facilities subject to the requirements of this section shall" file a report underF-6 EPCRA section 313. Subsection (b) then defines the fac ilities subject to the requirements of this section:

[t]he requirements of this section shall apply to owners and operators of facilities that have 10 or more full-time employees and that are in Standard Industrial Classification Codes 20-39,... and that manufactured, processed, or otherwise used a toxic chemical listed under subsection (c) of this section in excess of the quantity of that toxic chemical established under subsection (f) of this section during the calendar year for which a toxic chemical release form is required under this section.

Thus, in revising the reporting thresholds, EPA must ensure that under the new thresholds a substantial majority of releases currently being reported will continue to be reported. The Agency has no information, at this stage, to indicate that it will be able to meet this standard were it to increase the Form A thresholds.

Further, it is important for the public to know detailed information about even small quantities of toxic chemicals in waste from facilities that handle high volumes of listed toxic chemicals. Efficient toxic chemical management practices of these facilities provide an example to other facilities of these practices. Also, if such facilities continue to be required to use the Form R, the chances of facilities that manage large volumes of listed toxic chemicals inappropriately would be reduced.

Exclude Recycling and Energy Recovery Quantities and Increase the Level of the Production-Related Waste Threshold from the Current 500 lbs. to 1000, 2000, or 5000 lbs.

If certain waste management practices are excluded from the waste threshold calculation, greater amounts of toxic chemicals in waste will no longer be reported, and members of the public who use TRI information to identify opportunities for increasing such beneficial uses, as well as initiatives that support reduction measures, could lose valuable information about what facilities are doing in these areas and how much material is still being managed as waste.

In addition, Section 6607 of the Pollution Prevention Act of 1990 (PPA) specifically requires facilities that must comply with section 313 of EPCRA to provide source reduction and recycling data. PPA section 6607(b)(2) requires reporting of "[t]he amount of the chemical from the facility which is recycled (at the facility or elsewhere) during such calendar year, the percentage change from the previous year, and the process of recycling used." Congress passed the PPA to collect additional data as a means to measure industry’s progress in reducing waste. Section 6602(a)(4) of the PPA states that "Source reduction is fundamentally different and more desirable than waste management and pollution control. The Environmental Protection Agency needs to address the historical lack of attention to source reduction." Excluding volumes associated with waste management activities such asF-7 recycling and energy recovery from the waste threshold calculation may undermine source reduction and conflict with national policy established by the PPA.

In 1998, the National Environmental Trust (NET), examined a proposal from the National Advisory Council for Environmental Policy and Technology (NACEPT) Toxics Data Reporting (TDR) Committee to increase the annual reportable waste amount criterion from 500 pounds to 5,000 pounds. The TDR Co mmittee thought that the loss of TRI data would be too great, and did not support making any changes to the current level of the waste criterion. The committee supported attempts to encourage more complete use of the Form A under current eligibility requirements.

The next two tables, Table 5 and 6, present impacts from changing the basis of the threshold determination and increasing the levels of the production-related waste reportable amount. These analyses are based on data received for TRI reporting year 2000. Table 5 presents the estimated impacts in terms of data lost compared to cost savings under different scenarios when the production-related waste reportable amount is increased from the current level of 500 lbs. to 1,000, 2,000 and 5,000 lbs. The first scenario presented is an increase in the current level of production-related waste to 1,000, 2,000 and 5,000 lbs. using Form R items 8.1 through 8.7 (the current basis for the reportable amount determination. The second scenario presented changes the categories of toxic chemical in waste included in the waste reportable amount calculation (excludes quantities recycled and quantities used for energy recovery - items 8.2 through 8.5 from the waste reportable amount calculation).

Table 6 presents the estimated potential impacts on reporting facilities from the same options presented in Table 5.F-8Table 5: Estimated Impacts of Various Options (based on 2000 data)(1) (2) (3) Chemicals on Form A Only (4) (5)Option Level (lbs)ProductionRelatedWaste(8.1.thru 8.7)Pounds notreported onForm RReleases (8.1+ 8.8)Pounds notreported onForm RReductioninNumber ofForm Rs No. ofChemicalsNo. ofForm RsQuantity(8.1-8.7)Annual $CostSavings(million)Current Basis(8.1 thru 8.7)500-Full Use 1,330,741 2,389,233 10,767 50 72 4,639 $2.61000 3,875,826 4,081,703 14,251 56 87 9,211 $3.52000 9,552,002 7,422,484 18,137 64 108 28,790 $4.45000 28,568,903 17,414,133 23,873 77 161 89,302 $5.8No Recycling orEnergy Recovery(8.1 + 8.6 + 8.7)500 1,435,168,715 5,473,561 20,368 55 81 185,370 $5.01000 1,847,956,425 8,576,614 24,748 64 111 439,094 $6.12000 2,249,751,138 13,693,001 29,179 71 141 468,080 $7.15000 3,284,827,530 28,164,572 34,936 84 213 6,429,245 $8.6Notes:1. Total Production-Related Waste (sum 8.1 through 8.7) for reporting year 2000 is 37,814,548,752 pounds(PBTs were excluded from this total).2. Total "Releases" including releases from non-production related activities (sum 8.1 plus 8.8) for reporting year 2000 is 7,186,787,140(PBTs were excluded from this total)3. Total forms received for reporting year2000 was 91,513. Total forms minus PBT reporting was 84,612.4. Chemicals for which all submissions may be limited to FormAs (total listed toxic chemicals are approximately 650,total chemicalsreported in 2000 was 511.5. Based on an average cost of $841 per Form R and $596 per Form A. This includes calculations, report completion, recordkeepingand submission.F-9 Table 6: Estimated Impacts of Various Option s on Reporting Facilities (based on 2000 data) Scenario Level (lbs) Number of Form Rs Lost Number of Facilities Potentially Affected

At least 1 Form A Percent of total Facilities All Reports on Form A (No Form R) Percent of Total Facilities Current Basis (8.1 thru 8.7) 500- full use 10,767 10,736 45.7 4,677 19.9 1000 14,251 12,124 51.6 5,276 22.5

2000 18,137 13,438 57.2 6,024 25.7

5000 23,873 15,312 65.2 7,360 31.3

No Recycling

or Energy Recovery (8.1+8.6+8.7) 500 20,368 14,795 63.0 7,262 30.9

1000 24,748 16,178 68.9 8,175 34.8

2000 29,179 17,345 73.9 9,165 39.0

5000 34,936 18,794 80.0 10,670 45.4

Adjusting Activity Threshold Amounts for the Form A Certification Statement

EPA established the threshold amounts for the Form A Certification Statement in the Alternate Threshold Final Rule of November 30, 1994. The current "alternate threshold" is 1 million pounds of the chemical that is manufactured, processed or otherwise used at the facility. A facility that does not ex ceed 500 pounds of total production-related waste for a given listed toxic chemical may apply the alternate threshold of 1 million pounds to that listed toxic chemical. At the time of the alternate threshold final rule, the 1 million pound threshold was selected by EPA because it was determined that the 1 million pound threshold would exclude few facilities that met the 500 pound total production-related waste criterion. The following statements taken from that final rule support the establishment of the alternate threshold for manufacture, process and otherwise use of one million pounds and annual reportable amounts of five hundred pounds:

"Through this rule, EPA’s intent was to provide a reporting modification that delivers some degree of regulatory relief while continuing to capture relevant data. The 1 million pound alternate threshold represents an attempt to balance these two concerns."

"EPA has established the alternate threshold for manufacture, process and otherwise use of 1 million pounds in order to provide those facilities with annual reportable amounts not exceeding 500 pounds per chemical with a lower burden reporting option, while preserving more detailed data for facilities that manufacture, process, or otherwise use larger volumes of chemicals. A 1 million pound alternate threshold for amounts manufactured orF-10 processed, with annual reportable amounts not exceeding 500 pounds, represents an efficiency of 99.95 percent and EPA believes this level is likely to include the vast majority of facilities meeting the category. EPA also believes that establishing the alternate threshold at 1 million pounds is an effective means to retain more detailed information where ex ceedingly large volumes of toxic chemicals are managed."

Although raising the alternate threshold would increase the number of facilities that use Form A Certification Statement, thereby reducing their recordkeeping and reporting requirements, EPA believes it is unlikely that a significant proportion of facilities are currently prevented from using the Form A Certification Statement for this reason. Also, under EPCRA section 313(f)(2), EPA may revise thresholds only to the extent that the revised threshold obtains reporting on a substantial majority of total releases of the chemical at all facilities subject to EPCRA section 313.

It is important for the public to know detailed information about even small waste quantities from facilities that handle such high volumes of listed toxic chemicals. Efficient toxic chemical management practices of these facilities could provide an example to other facilities of these practices. Also, if such facilities continue to be required to use the Form R, the chances of facilities that manage large volumes of listed toxic chemical inappropriately using the Form A Certification Statement would be reduced.

Conclusions

If the Form A Certification Statement was fully utilized, an additional annual cost savings of $2.6 million could be realized. However, increasing the production-related waste quantity or excluding certain production-waste categories would lead to significant losses of data in terms of releases and production-related waste that would not be reported. EPA does not believe that the additional cost savings justify these losses in data to the public. Further, by increasing the production-related waste criterion or by excluding certain types of waste management quantities, EPA does not believe it can meet the requirements of EPCRA section 313(f)(2). EPA believes that TRI-ME and other methods that reduce reporting burden without eliminating data are approaches that deserve further investigation and investment. Over the period of the ICR renewal, TRI-ME is anticipated to reduce the burden of Form R and Form A reporting by approximately $12 million and 283,631 hours. This reduction in burden and cost is much more substantial than that offered by expanding eligibility for Form A, and does not lead to additional loss of data.