Document ID: EPA-HQ-TRI-2017-0057-0008
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2017-05-30T04:00Z

Appendix E: Reporting Form R and Form A Changes
                     and Associated Instruction Revisions

New revisions to the Form R and Form A instructions follow. These revisions are aimed at improving the user experience by clarifying the intent of questions.  An overview of changes made in this version of the Form R and Form A is provided in Table B-1 below. Revisions to the instructions are identified in the subsequent pages. Sections of the instructions that remain unchanged are not referenced. To review the existing instructions, Toxic Chemical Release Inventory Reporting Forms and Instructions  -  Revised 2015 Version, visit https://www.epa.gov/toxics-release-inventory-tri-program/tri-reporting-forms-and-instructions. 

Revisions to Form R and Form A

               Table 1: Overview of Form R and Form A Revisions
      Please refer to specific sections in the following text for details

Form Revision
Rationale
Form
1
Provide Bureau of Indian Affairs (BIA) code as a separate element on the form. (Part I: Section 4.1)
Moving the tribal Bureau of Indian Affairs (BIA) code from the City/County/Tribe/State/ZIP Code field to its own box will increase visual clarity on the form and should increase data quality for this element by ensuring it appears as a discrete element reported as appropriate. No new information is required, and a facility that reports a BIA code need not provide a State abbreviation in the address box for the facility's physical location.
R/A
2
When reporting a metal compound, indicate whether report also includes the elemental metal. (Part II: Section 1)

TRI policy allows for a facility reporting on an elemental metal and a metal compound to include data on both the chemical and chemical category on a metal compound reporting form. However, a facility does not indicate whether the metal compound reporting form contains data for both the individual chemical and the chemical category. Including this data element will help data users understand the reported information and provides greater context on the data provided on the reporting form.
R/A
3
Add sub-categories of uses. (Part II: Sections 3.2a, b and Sections 3.3a, b, c)

Facilities indicate whether the reported ECRA Section 313 chemical is manufactured (including imported), processed, or otherwise used by the facility and the general nature of such activities and uses at the facility during the calendar year. Reporting on certain sub-activities or sub-uses for some categories of processing activities and otherwise use would help inform data users regarding how a facility uses the chemical and could better enable technology transfers related to pollution prevention activities involving a particular chemical within an industry. These sub-activities and sub-uses primarily originate from TRI guidance provided to help facilities determine which activities and uses to select, and thus should add negligible burden given that facilities already track activities and uses related to a TRI-listed chemical during the year.
R
4
Add finer gradation for range codes used for Maximum Amount of the EPCRA Section 313 Chemical On-site at Any Time during the Calendar Year. (Part II: Section 4)

Range codes currently used represent quantities in increments often increasing by a factor of five or ten. For some chemicals having information on maximum amount onsite during the calendar year in finer gradients can provide more useful information. Further, providing additional ranges would allow other users of TRI, such as the Risk Management Plan Program under the Clean Air Act, to make comparisons across datasets.
R
5
Add management codes for the transfer of waste to POTWs. (Part II: Section 6.1)
This proposed change to Form R streamlines the reporting of transfers to POTWs. This new format allows facilities to report quantities individually with waste management activities for each POTW, thereby aligning reporting of transfers to POTWs with how facilities report on quantities of chemicals sent to other off-site transfer locations. Because not all facilities may have POTW waste management information, EPA proposes two codes to allow facilities to report a code when the ultimate disposition is unknown. This change would make section 6.1 (i.e., reporting on transfers to POTWs) parallel the data elements provided in section 6.2 (i.e., transfers to other off-site locations). Facilities that know how effectively a given POTW can treat a particular chemical will be able to provide information on this treatment on their Form R. Among other benefits, these data can be used to help improve default percentage distributions used for transfers to POTWs for other facilities.
R
6
Separate 8.8 into separate boxes for quantities associated with (1) remedial actions, (2) catastrophic events, and (3) one-time events not associated with production processes. (Part II: Section 8.8)
Separating quantities associated with remedial actions, catastrophic events, and other one-time events not associated with normal or routine production processes will help users of these data differentiate amongst these categories, and will consequently improve the utility of this data element. Enabling data users to consider each category of non-production-related-waste quantity separately allows for analysis based on remediation, catastrophes, and non-production related accidents, thus enabling agencies and other actors to provide assistance to prevent future accidents from occurring. The burden associated with this change is negligible. Facilities already track quantities associated with remedial actions, catastrophic events, and other one-time events not associated with normal or routine production processes. The associated burden would only involve having facilities report quantities for these categories in separate fields on the Form R.
R
7
When reporting an air release of chromium, indicate whether the release contains Chromium-VI (hexavalent chromium). (Part II: Section 9.1)
This change would help assess the health risk of chromium. Hexavalent chromium has a unit risk estimate (chronic inhalation risk) for cancer whereas trivalent chromium does not. Knowing whether hexavalent chromium is present in an air release enables data users to model chromium releases more accurately. Many facilities have detailed information from various sources (e.g., safety data sheets), and are consequently able to confirm on a Form R report that the release does not contain Chromium-VI.  
R
8
Add a free text field for each chemical listed on Form A. (Part II: Section 3)
Facilities have long been able to provide optional information on a Form R. EPA proposes adding this ability to the Form A Certification Statement. Facilities could highlight changes to activities related to a chemical listed on the Form A so as to showcase pollution prevention activities as well as indicate other pertinent information related to use of the chemical onsite.
A
9
Add a free text field for facility-level info on Form A. (Part III: Section 1.1)

Facilities have long been able to provide optional information on a Form R. EPA proposes adding this ability to the Form A Certification Statement. Facilities could provide optional information related to the facility (e.g., an anticipated closing or change in ownership). This information can be useful to EPA and to the facility in that it is likely to inform data quality efforts undertaken by the Agency. 
A

Specific Form Revisions and Associated Instruction Revisions 

PART I FACILITY INDENTIFICATION INFORMATION

Section 4.1. Facility Name, Location, TRI Facility Identification Number and Tribal Country Name

Provide Bureau of Indian Affairs (BIA) code as a separate element on the form. 

No update to the instructions is proposed for this proposed change.

PART II CHEMICAL IDENTIFICATION INFORMATION 

Section 1. EPCRA Section 313 Chemical Identity 

When reporting a metal compound, indicate whether report also includes the elemental metal.

Threshold determinations for metal category compounds present a special case. If, for example, your facility processes several different nickel compounds, base your threshold determination on the total weight of all nickel compounds processed. However, if your facility processes both the "parent" metal (nickel) as well as one or more nickel compounds, you must make threshold determinations for both nickel (CAS number 7440-02-0) and nickel compounds (chemical category code N495) because they are separately listed EPCRA Section 313 chemicals. If your facility exceeds thresholds for both the parent metal and compounds of that same metal, EPA allows you to file one combined report (e.g., one report for nickel compounds, including nickel) because the release information you will report in connection with metal category compounds will be the total pounds of the metal released. If you file one combined report, you should put the name of the metal compound category on the Form R. In the example above, the facility that exceeded reporting thresholds for both the nickel and nickel compounds chemical category could submit a single Form R for the nickel compounds chemical category, which would contain release and other waste management information for both nickel and nickel compounds. Do not put both names on the Form R. TRI-MEweb will prompt you to select a checkbox to indicate whether the form contains reports for both the parent metal and compounds of that same metal. 

The case of metal category compounds involving more than one metal should be noted. Some metal category compounds may contain more than one listed metal. For example, lead chromate is both a lead compound and a chromium compound. In such cases, if applicable thresholds are exceeded, you are required to file two separate reports, one for lead compounds and one for chromium compounds. Apply the total weight of the lead chromate to the threshold determinations for both lead compounds and chromium compounds. (Note: Only the quantity of each parent metal released or otherwise managed as waste, not the quantity of the compound, would be reported on the appropriate sections of both Form Rs. See B.5.)

Section 3. Activities and Uses of the EPCRA Section 313 Chemical at the Facility

Add sub-categories of uses.

Indicate whether the EPCRA Section 313 chemical is manufactured (including imported), processed, or otherwise used at the facility and the general nature of such activities and uses at the facility during the calendar year (see Figure 5). For each type of activity performed by the facility for the reported chemical (i.e., manufacturing, processing, or otherwise using), specify how that chemical was used and select the corresponding checkboxes, and provide the corresponding use codes as appropriate for categories that contain specific uses (e.g., processing as a reactant provides for P-codes to describe the processing activity with more detail). You are not required to report on Form R the quantity manufactured, processed or otherwise used. Report activities that take place only at your facility, not activities that take place at other facilities involving your products. You must check all the boxes in this section that apply. Starting with RY 2017, some processing and otherwise use codes contain sub-activities and sub-uses. Select all of these codes that apply. Refer to the definitions of "manufacture," "process," and "otherwise use" in Section B.3.a or Part 40, Section 372.3 of the CFR for additional explanations.

3.1	Manufacture the EPCRA Section 313 Chemical 
Persons who manufacture (including import) the EPCRA Section 313 chemical must enter at least one of the following use codes:

a. 	Produce  --  The EPCRA Section 313 chemical is produced at the facility.
b. 	Import  --  The EPCRA Section 313 chemical is imported by the facility into the Customs Territory of the United States. (See Section B.3.a of these instructions for further clarification of import.)

And check at least one of the following:

c.	For on-site use/processing  --  The EPCRA Section 313 chemical is produced or imported and then further processed or otherwise used at the same facility. If you check this block, generally you should also check at least one item in Part II, Section 3.2 or 3.3.
d.	For sale/distribution  --  The EPCRA Section 313 chemical is produced or imported specifically for sale or distribution outside the manufacturing facility.
e.	As a byproduct  --  The EPCRA Section 313 chemical is produced coincidentally during the manufacture, processing, or otherwise use of another chemical substance or mixture and, following its production, is separated from that other chemical substance or mixture. EPCRA Section 313 chemicals produced as a result of waste management are also considered byproducts.
f.	As an impurity  --  The EPCRA Section 313 chemical is produced coincidentally as a result of the manufacture, processing, or otherwise use of another chemical but is not separated and remains in the mixture or other trade name product with that other chemical.

In summary, if you are a manufacturer of the EPCRA Section 313 chemical, you must check (a) and/or (b), and at least one of (c), (d), (e), and (f) in Section 3.1.

3.2 	Process the EPCRA Section 313 Chemical
Persons who process the EPCRA Section 313 chemical must enter at least one of the following processing use codes:

 As a reactant  --  A natural or synthetic EPCRA Section 313 chemical is used in chemical reactions for the manufacture of another chemical substance or of a product. 
If the chemical is processed as a reactant, you must indicate the applicable sub-uses: 
 P101: Feedstocks
 P102: Raw materials 
 P103: Intermediates
 P104: Initiators
 P105: Other
 As a formulation component  --  An EPCRA Section 313 chemical is added to a product (or product mixture) prior to further distribution of the product that acts as a performance enhancer during use of the product. If the chemical is processed as a formulation component, you must indicate the applicable sub-uses: 
 P201: Additives
 P202: Dyes
 P203: Reaction diluents
 P204: Initiators
 P205: Solvents
 P206: Inhibitors
 P207: Emulsifiers
 P208: Surfactants
 P209: Lubricants
 P210: Flame retardants
 P211: Rheological modifiers
 P212: Other 
c.	As an article component  --  An EPCRA Section 313 chemical becomes an integral component of an article distributed for industrial, trade, or consumer use. One example is the pigment components of paint applied to a chair that is sold.
d.	Repackaging  --  This consists of processing or preparation of an EPCRA Section 313 chemical (or product mixture) for distribution in commerce in a different form, state, or quantity. This includes, but is not limited to, the transfer of material from a bulk container, such as a tank truck to smaller containers such as cans or bottles.
e.	As an impurity  --  The EPCRA Section 313 chemical is processed but is not separated and remains in the mixture or other trade name product with that/those other chemical(s).

In summary, if you are a processor of the EPCRA Section 313 chemical, you must check (a), (b), (c), (d), or (e), and select all of the P-codes for (a) or (b) that apply. 

3.3 	Otherwise Use the EPCRA Section 313 Chemical (non-incorporative activities)
Persons who otherwise use the EPCRA Section 313 chemical must enter at least one of the following otherwise use activity codes:

 As a chemical processing aid  --  An EPCRA Section 313 chemical that is added to a reaction mixture to aid in the manufacture or synthesis of another chemical substance but is not intended to remain in or become part of the product or product mixture is otherwise used as chemical processing aid. If the chemical is otherwise used as a chemical processing aid, you must indicate the applicable sub-uses:
 Z101: Process solvents
 Z102: Catalysts
 Z103: Inhibitors
 Z104: Initiators
 Z105: Reaction terminators
 Z106: Solution buffers
 Z107: Other
 As a manufacturing aid  --  An EPCRA Section 313 chemical that aids the manufacturing process but does not become part of the resulting product and is not added to the reaction mixture during the manufacture or synthesis of another chemical substance is otherwise used as a manufacturing aid. If the chemical is otherwise used as a manufacturing aid, you must indicate the applicable sub-uses:
 Z201: Process lubricants
 Z202: Metalworking fluids
 Z203: Coolants
 Z204: Refrigerants
 Z205: Hydraulic fluids
 Z206: Other 
 Ancillary or other use  --  An EPCRA Section 313 chemical that is used at a facility for purposes other than aiding chemical processing or manufacturing as described above is otherwise used as an ancillary or other use. If the chemical is otherwise used as an ancillary or other use, you must indicate the applicable sub-uses: 
 Z301: Cleaner
 Z302: Degreaser
 Z303: Lubricant
 Z304: Fuel
 Z305: Flame retardant
 Z306: Waste treatment
 Z307: Water treatment
 Z308: Other

In summary, if you otherwise use the EPCRA Section 313 chemical, you must check (a), (b), and/or (c), and select all of the Z-codes for (a), (b), or (c) that apply. 

Section 4. Maximum Amount of the EPCRA Section 313 Chemical On-site at Any Time during the Calendar Year

Add finer gradation for range codes used for Maximum Amount of the EPCRA Section 313 Chemical On-site at Any Time during the Calendar Year.

For data element 4.1 of Part II, select the code (see codes below) that indicates the maximum quantity of the EPCRA Section 313 chemical (e.g., in storage tanks, process vessels, on-site shipping containers, or in wastes generated) at your facility at any time during the calendar year. If the EPCRA Section 313 chemical was present at several locations within your facility, use the maximum total amount present at the entire facility at any one time. While range reporting is not allowed for PBT chemicals elsewhere on the Form R, range reporting for PBT chemicals is allowed for the Maximum Amount On-site.

                       Table B-2. Weight Range in Pounds
Range Code
From
To
01
0
99
02
100
999
03
1,000
9,999
04
10,000
14,999
05
15,000
19,999
06
20,000
24,999
07
25,000
49,999
08
50,000
74,999
09
75,000
99,999
10
100,000
999,999
11
1,000,000
9,999,999
12
10,000,000
49,999,999
13
50,000,000
99,999,999
14
100,000,000
499,999,999
15
500,000,000
999,999,999
16
1 billion
more than 1 billion

Specifically, Range Code 4 currently refers to quantities between and including 10,000 and 99,999. EPA proposes dividing this code in ranges of 10,000  -  14,999, 15,000  -  19,999, 20,000  -  24,999, 25,000  -  49,999, 50,000  -  74,999, and 75,000  -  99,999.

Section 6.1 Discharges to Publicly Owned Treatment Works 

Add management codes for the transfer of waste to POTWs.

Proposed changes to Section 6.1 align the information collected in this section with the information collected in Section 6.2. Accordingly, revised Section 6.1 instructions will resemble Section 6.2 instructions. Similar to current reporting for Section 6.2., Section 6.1 would collect specific M-codes (listed below) for quantities and the basis of estimate used to calculate the reported quantity for each type of release or other waste management information reported. Figure B-1 illustrates the range of potential waste management activities at POTWs and their ultimate dispositions.

          Figure B-1. Potential Waste Management Activities at POTWs
                  
                                                                                 
Chemical Transferred to Air Emission at POTW or POTW Collection System
Chemical Transferred to Air Emission at POTW or POTW Collection System
Chemical Treated and Removed by POTW
Chemical Treated and Removed by POTW
                                                                       

Agricultural Application or Other Activities
Agricultural Application or Other Activities
Incineration
Incineration
Biosolids
Biosolids

Landfill Disposal/
Land Application
Landfill Disposal/
Land Application

Chemical Passes through POTW
Chemical Passes through POTW
                                                       

POTW Effluent Discharged to Surface Waters
POTW Effluent Discharged to Surface Waters
POTW Effluent Discharged to Other Activities
POTW Effluent Discharged to Other Activities

Facilities should provide the ultimate disposition of toxic chemicals at POTWs. For example, if the toxic chemical is:

 in the POTWs' effluent and is discharged to surface waters / water stream - use M-30 
 discharged to other activities such as watering golf courses, agricultural land, etc. -  use M-31
 released to air - use M-32 
 in the POTWs' sludge and is disposed via landfill disposal or land application - use M-33 
 incinerated  -  use M-38 (M-34 for metals and metal compounds)
 disposed via agricultural applications or other activities - use M-35 

If facilities do not have specific information about toxic chemicals - use M-36 and/or M-37.

To assist facilities in reporting this information, TRI-MEweb will suggest default codes for certain chemicals based on experimental and estimated data compiled by EPA. In the future, EPA will provide additional, tailored default suggestions after reviewing reported data on the ultimate disposition of specific chemicals sent to specific POTWs M-codes:

Disposal Codes:

M-30  -  POTWs Only  -  Discharged to Water Stream
M-31  -  POTWs Only  -  Discharged to Other Activities
M-32  -  POTWs Only  -  Released to Air
M-33  -  POTWs Only  -  Sludge to disposal
M-34  -  POTWs Only  -  Metals and metal compounds only  -  Sludge to incineration
M-35  -  POTWs Only  -  Sludge to agricultural applications
M-36  -  POTWs Only  -  Other or Unknown Disposal

Treatment Codes:

M-37  -  POTWs Only  -  Other or Unknown treatment
M-38  -  POTWs Only  -  Sludge to incineration

Section 8.8. Non-Production-Related Waste Managed 

Separate 8.8 into separate boxes for quantities associated with (1) remedial actions, (2) catastrophic events, and (3) one-time events not associated with production processes.

In Section 8.8, facilities currently enter the total quantity of the EPCRA Section 313 chemical disposed of or released directly into the environment on-site or sent off-site for recycling, energy recovery, treatment, or disposal during the reporting year due to each of the following events:
 remedial actions;
 catastrophic events such as earthquakes, fires, or floods; or
 other one-time events not associated with normal or routine production processes.
Starting with RY 2017, facilities report separate quantities for each of the above-listed categories rather than a total quantity for the three categories combined.

While all quantities released, recycled, combusted for energy recovery, or treated may ultimately be preventable, section 8.8 tracks the quantities of releases that are largely unpredictable and are less amenable to source reduction activities from those releases that that are routine and are more likely to be reduced or eliminated by process oriented source reduction activities. 

Below are examples to illustrate reporting for section 8.8. 
 Spills that occur as a routine part of production operations and could be reduced or eliminated by improved handling, loading, or unloading procedures are included in the quantities reported in Section 8.1 through 8.7 as appropriate. While a total loss of containment resulting from a tank rupture caused by a tornado would be included in the quantity reported in Section 8.8.
    2) The amount of an EPCRA Section 313 chemical cleaned up from spills resulting from normal operations during the reporting year would not be included in Section 8.8. However, the quantity of the reported EPCRA Section 313 chemical disposed of from a remedial action (e.g., RCRA corrective action) to clean up the environmental contamination resulting from past practices should be reported in Section 8.8 because they cannot currently be addressed by source reduction methods. A remedial action for purposes of Section 8.8 is a waste cleanup (including RCRA and CERCLA operations) within the facility boundary. Most remedial activities involve collecting and treating contaminated material.

    3) Releases caused by catastrophic events are to be incorporated into the quantities reported in Section 8.8. Such releases may be caused by natural disasters (e.g., hurricanes and earthquakes) or by large scale accidents (e.g., fires and explosions). 
      
    4) Releases due to other one-time events not associated with production (e.g., terrorist bombing) are to be included in Section 8.8. These amounts are generally unanticipated and cannot be addressed by routine process oriented accident prevention techniques. 

Facilities may check documentation for calculating estimates made for Part II, Section 5, "Quantity of the Toxic Chemical Entering Each Environmental Medium On-site," to identify disposal and release amounts from the above sources. Emergency notifications under CERCLA and EPCRA as well as accident histories required under the Clean Air Act may provide useful information. Facilities may also check incident reports and maintenance records to identify one time or catastrophic events.

Note: While the information reported in Section 8.8 represents only remedial, catastrophic, or other one-time events not associated with production processes, Section 5 of Form R (on-site disposal and other releases to the environment) and Section 6 (off-site transfers for further waste management) must include all on-site disposal and other releases and transfers for disposal as appropriate, regardless of whether they arise from routine process operations, catastrophic, remedial, or other non-routine process operations.

Section 9.1. Miscellaneous, Optional, and Additional Information for Your Form R Report

When reporting an air release of chromium, indicate whether the release contains Chromium-VI (hexavalent chromium).

Hexavalent chromium has a unit risk estimate (chronic inhalation risk) for cancer whereas trivalent chromium does not. Knowing whether any hexavalent chromium is in an air release enables data users to model chromium releases more accurately. Many facilities have detailed information from various sources (e.g., safety data sheets), and are consequently able to confirm on a Form R report that the release does not contain Chromium-VI. TRI-MEweb will prompt a user regarding whether a reported air release of chromium contains hexavalent chromium, providing a checkbox to collect this information.

PART II. CHEMICAL IDENTIFICATION INFORMATION (FORM A)

Section 3.1. Optional Pollution Prevention and Additional Information for a Toxic Chemical on Your Form A Report.

Add optional free text field for each chemical listed on Form A.

Your facility may provide additional information pertaining to pollution prevention or other topics for each Toxic Chemical or Mixture Component included on your Form A submission. Information provided in this section may provide the Agency and/or the public with useful data that helps explain your use of Form A. For example, your facility could include information on steps it has taken to reduce its manufacture, process, or otherwise use of the chemical. Do not submit information you consider to be CBI or otherwise protected.

TRI-MEweb allows you to categorize optional information provided by checking a box next to the topic to which your information pertains:

 Changes in Production Levels
 Source Reduction Activity Reduced Activity Involving this Chemical
 One-Time or Intermittent Events Involving this Chemical
 No TRI Report Expected for this Chemical Next Year

If you do so, each topic you have selected will be included in your Section 3.1 entry, followed by the information you have provided about that topic (if any). Using these checkboxes will ensure that EPA and other TRI data users understand useful factors related to how your facility deals with any chemicals included on the Form A Certification Statement. Note that if you select the last topic listed above, it is helpful to include the reason you will not be submitting a report next year (e.g., facility closure, move, temporary shutdown, etc.). 

PART III. FACILITY-LEVEL  -  OPTIONAL POLLUTION PREVENTION AND ADDITIONAL INFORMATION (FORM A)

Section 1.1. Optional Pollution Prevention and Additional Information for Your Form A Report

Add a free text field for facility-level info on Form A. 

Your facility may provide additional information pertaining to pollution prevention or other topics for your Form A submission. Information provided in this section may provide the Agency and/or the public with information that helps explain your use of Form A. For example, your facility could indicate it anticipates closing and thus will not file a TRI reporting form next year. Do not submit information you consider to be CBI or otherwise protected.