TRI Toolkit Q&A

The Toxics Release Inventory (TRI) is a database that currently contains detailed information on over 800 individually listed chemicals and 33 chemical categories that over 23,000 industrial and other facilities manage. The data are collected from industries including manufacturing, metal and coal mining, electric utilities, commercial hazardous waste treatment, and other industrial sectors. If a facility meets reporting thresholds, they must report how much of each chemical is released to the environment and/or managed through recycling, energy recovery and/or treatment for that year. (A “release” of a chemical means that it is emitted to the air or water, or placed in some type of land disposal.) Information on the North American Industry Classification System (NAICS) can be found at: https://www.epa.gov/toxics-release-inventory-tri-program/tri-covered-industry-sectors. Section 313 of the Emergency Planning and Community Right to Know Act (EPCRA) of 1986 was enacted to facilitate emergency planning, to minimize the effects of potential toxic chemical accidents, and to provide the public with information on releases of toxic chemicals in their communities. The Pollution Prevention Act (PPA) of 1990 mandates collection of data on toxic chemicals that are treated, recycled, and combusted for energy recovery. Together, these laws require facilities in certain industries, which manufacture, process, or use toxic chemicals above specified amounts, to report annually on disposal or other releases and other waste management activities related to these chemicals. The U.S. Environmental Protection Agency (EPA) maintains this information in a national database called the Toxics Release Inventory, which is available to the public via the Internet at: https://www.epa.gov/toxics-release-inventory-tri-program.

A facility must report release and other waste management information pursuant to EPCRA section 313 if it: (1) has 10 or more full-time employees or the equivalent; (2) is in a covered NAICS code; and (3) exceeds any one threshold for manufacturing (including importing), processing, or otherwise using a toxic chemical listed in 40 CFR Section 372.65. Additionally, a facility must report release and other waste management information if the EPA Administrator has determined that applying TRI reporting requirements to the facility is warranted, pursuant to EPCRA section 313(b)(2) (42 U.S.C. 11023(b)(2)), and that facility manufactured (including imported), processed, or otherwise used a toxic chemical in excess of an applicable threshold quantity.

Yes, even if it releases no toxic chemicals into the environment and does not conduct any other waste management activities involving the listed toxic chemical, the facility must submit a TRI reporting form. The facility may submit the Form A (Alternate Threshold Certification Statement) if the facility meets the employee and chemical activity thresholds, and is in a covered NAICS code, but its annual reportable amount, as defined in 40 CFR Section 372.27, of a - chemical that is not a chemical of special concern does not exceed 500 pounds. Additionally, the facility must not have manufactured, processed, or otherwise used more than one million pounds of the toxic chemical. If the facility exceeds either the 500- or one million-pound limits, it must report on the Form R (40 CFR Section 372.85 and 372.95).

EPA issued a final rule to amend 40 CFR Section 372 and require reporting facilities to include NAICS codes (71 FR 32464; June 6, 2006).NAICS codes are updated every five years, and EPA updates the TRI reporting regulation TRI facilities accordingly. TRI reporting facilities must use the current six-digit NAICS codes on their TRI reporting forms. NOTE: It is the full six-digit NAICS code (not the two, three, four, or five digit-code) that determines a facility’s coverage under the TRI Program.

EPCRA section 313 defined the list of toxic chemicals. The initial list (with certain technical modifications and revisions) appears in the regulations (40 CFR Section 372.65) and in the instruction booklet for completing Form R. EPA, from time to time, has revised the list. The most recent instruction booklet for completing the Form R contains the updated chemical list. To obtain information on the latest additions or deletions from the list of toxic chemicals contact the Emergency Planning and Community Right-to-Know Information Hotline, at (800) 424-9346 or at https://www.epa.gov/epcra/forms/contact-us-about-emergency-planning-and-community-right-know-act-epcra

The effective dates for specific chemicals are available in the tables of toxic chemical listings located in 40 CFR Section 372.65. The far-right column of the tables lists the effective date for each chemical. Additionally, the “TRI Chemical List Changes” document lists all of the TRI chemical additions and deletions and indicates the first or last reporting year for those chemicals. For additional information on TRI listed chemicals, please visit the following site: https://www.epa.gov/toxics-release-inventory-tri-program/tri-listed-chemicals

There are overlaps, which exist between lists of chemicals covered by different Sections of EPCRA. Section 313 focuses on toxic chemicals that may cause chronic health and environmental effects, although the list does contain chemicals that cause acute health effects. When EPCRA was written, the Section 313 list was developed from lists of regulated toxic chemicals in New Jersey and Maryland. The other EPCRA lists cover chemicals of concern for emergency planning purposes. The List of Lists: Consolidated List of Chemicals document identifies toxic chemicals that are specifically listed and must be reported under various sections of EPCRA.

All toxic chemicals in the category that are manufactured, processed, or otherwise used at a covered facility must be totaled and compared to the appropriate thresholds (40 CFR Section 372.25(d)). A threshold determination for toxic chemical categories is based on the total weight of the compound. Except for metal compound categories and nitrate compounds, the total weight of the compound released or otherwise managed as waste must be reported. Releases and other waste management quantities of metal compounds are only required to account for the weight of the parent metal. Any contribution to the mass attributable to other portions of each compound in the category is excluded. (40 CFR Section 372.25(h)). If the metal and corresponding metal compounds exceed thresholds, a joint report for metal compounds, including the parent metal, can cover both reporting requirements. Similarly, releases and other waste management quantities of nitrate compounds are reported as the nitrate portion of the compound.

If a facility is not sure what its NAICS code is, it should consult the Census Bureau’s webpages on NAICS codes for assistance. NAICS is a framework by which economic units that have similar production processes are classified into the same industry by a numerical designation. A facility's coverage under the Toxics Release Inventory (TRI) Program is determined by its 6-digit NAICS code. NOTE: It is the full six-digit NAICS code (not the two, three, four, or five digit-code) that determines a facility’s coverage under the TRI Program. To determine which industries are covered under Section 313, visit TRIs website: https://www.epa.gov/toxics-release-inventory-tri-program/tri-covered-industry-sectors.

State and local governments are subject to TRI reporting requirements, but many of the TRI-covered NAICS codes correspond to manufacturing and would not likely include a state or local government-owned facility. However, there are a number of NAICS codes that correspond to activities other than manufacturing (e.g., utilities and waste treatment) and may apply to a state or local government-owned facility. Ultimately, if a state or local government-owned facility is in a TRI-covered NAICS code and meets the other two applicability criteria, the facility is required to submit a TRI report.

A primary SIC code generally represents those goods produced or services performed by an establishment that have the highest value added. Form R and the Alternate Certification Statement (Form A) provide space for more than one SIC code because a facility may be made up of several establishments each of which may have a different primary SIC code.Note that the North American Industry Classification System (NAICS) is the economic classification system that replaced the 1987 SIC code system. A Federal Register notice was published on June 6, 2006 (71 FR 32464) adopting NAICS codes for TRI reporting.

A primary NAICS code generally represents those goods produced or services performed by an establishment that have the highest value added. Form R and the Alternate Certification Statement (Form A) provide space for more than one NAICS code because a facility may be made up of several establishments each of which may have a different primary NAICS code. Additional information on NAICS codes can be found on the NAICS TRI website.

Pursuant to EPCRA section 313(b)(2), EPA has the option to apply TRI reporting requirements to the owners and operators of facilities that manufacture, process, or otherwise use a toxic chemical listed in EPCRA section 313(c), yet do not meet the full criteria to trigger reporting. EPCRA section 313(b)(2) also provides an opportunity for governors of states to request that EPA apply TRI requirements to the owners and operators of such facilities. When determining whether to require facilities that do not meet the full criteria to report, EPA considers the toxicity of the chemical, the proximity to other facilities that release the toxic chemical or to population centers, the history of releases of such chemical at a facility, and other factors that EPA deems appropriate when determining whether such action is warranted.

EPCRA section 313 submissions are due by July 1st of the year following each reporting (calendar) year (40 CFR Section 372.30(d)). Facilities must submit reports by midnight, July 1st, for each facility’s respective time zone. For example, a submission from a facility on the West Coast at 11:59 P.M. (PST) on the reporting deadline is considered to be on time. Reports are stamped with the time and date as the Central Data Exchange (CDX) receives them.

The TRI Program collects data on a number of different types of disposal or other releases, as well as on certain waste management and recycling practices. For more information on the differences between these data elements, please refer to the Toxics Release Inventory (TRI) and “Factors to Consider When Using TRI Data” on the TRI Web site. Disposal or other releases of chemicals into the environment occur through a range of practices that may ultimately affect the potential for human exposure to the toxic chemicals. Most disposal or other release practices are subject to a variety of regulatory requirements designed to limit environmental harm. Facility releases may include discharges to air, water, and land. Facilities limit contamination and human exposure by disposing of or otherwise releasing waste in certain ways. For example: - they may dispose of harmful materials in Class I underground injection wells located in isolated formations beneath the lowermost underground source of drinking water, thereby limiting the potential for contamination of drinking water; and - they may dispose of wastes in landfills that have liners, covers, leak-detection systems, and groundwater monitoring systems, thereby limiting the potential for human exposure to the contents of the landfill.

Although CAS numbers are useful, a covered facility should also use the toxic chemical name to determine if a toxic chemical is listed on the EPCRA section 313 list. Be aware, however, that mixtures are often assigned CAS numbers. These mixtures may contain individually listed toxic chemicals. The facility should use all available information, including the toxic chemical name as well as process and chemical knowledge, to determine if a component of the mixture is a listed toxic chemical under Section 313. CAS numbers may be of limited use in this case. Also, certain specific compounds (e.g., copper chloride) are not listed individually on the EPCRA section 313 list with a specific CAS number, but are reportable under a compound category.

Do not enter a CAS number in such cases. Instead, enter the appropriate category code (provided in the instructions to the Form R) in the space for the CAS number in Part II, Section 1.1 of the Form R. The individual chemical members of a listed category are not required to be, and should not be, identified in the report.

If the toxic chemical for which you are reporting is not a trade secret, you may leave the boxes in Section 2.2 blank. The CAS number, however, must be filled in along with the toxic chemical name (Part II, Section 1.1 and 1.2). If you are reporting for a toxic chemical category, no CAS number applies. If you are claiming that the toxic chemical is a trade secret you must enter the generic name in Part II, Section 1.3.

The EPCRA section 313 list established by Congressional legislation included categories. EPA interprets these listings to mean all compounds of nickel, for example, regardless of whether specific toxicological problems have been identified for a specific compound in the category. However, EPA may grant, and has granted, petitions to delete specific compounds from a category if the Agency determines that the compound does not meet the listing criteria.

EPA has published final rules in the Federal Register updating the list of NAICS codes subject to reporting under TRI to reflect the OMB revisions. As a result of these rulemakings, facilities must use the applicable NAICS code list beginning with TRI reporting forms that are due on July 1 covering releases and other waste management quantities for the prior calendar (reporting) year. This update will not change the universe of facilities that are currently required to submit TRI reports. All facilities currently required to report to TRI will still be required to report. However, some facilities will need to modify the NAICS code reported on their TRI forms. TRI-MEweb has a list of the applicable NAICS codes automatically populated. No other reporting requirements will change as a result of this rulemaking. Additional information regarding the final rules, including the Federal Register notices, is available at the following URL: https://www.epa.gov/toxics-release-inventory-tri-program/tri-laws-and-regulatory-activities.

A facility that changes its primary NAICS code during the reporting year must determine applicability based on the NAICS code that represented a majority of the facility’s activity value. The activity value is the sum of the value of services provided and the products shipped or produced by the facility. If the facility’s activity value while it was in a covered NAICS code is greater than 50 percent of the total value of all services or products provided for the entire year, then the facility would be covered under TRI with respect to the NAICS code applicability criterion. If the facility’s activity value for any one NAICS code used during the year does not exceed 50 percent of the total value of all services or products provided for the entire year, then the facility’s NAICS code with the highest activity value would be the primary NAICS code for the year. If the facility determines that its primary NAICS code was a covered NAICS code, and it met the other applicability requirements in §372.22, then the facility must comply with the TRI reporting requirements.

No. The coal mine is owned by Company A. Although the EGF is owned by a joint venture, it is not 50:50, and the highest-level company with the largest ownership interest in the facility is Company B. Therefore, the coal mine and the electricity generating facility are owned and operated by different entities and are separate facilities. Additional information is available at the following URL: https://guideme.epa.gov/ords/guideme_ext/f?p=guideme:gd:::::gd:parent_company

Yes. A facility that operated during any part of a reporting year must report if it meets the NAICS code, employee, and chemical activity thresholds for that reporting year.

No. Because Company A owns the majority share in the joint venture, Company A owns EGU 2 and therefore owns EGUs 1 and 2. Because EGU 1 and 2 are adjacent to one another and have the same owner, they constitute one facility. As one facility, the owner or operator should consider the toxic chemicals and operations at both establishments for threshold determinations and release and other waste management calculations. Additional information is available at the following URL: https://guideme.epa.gov/ords/guideme_ext/f?p=guideme:gd:::::gd:parent_company

Yes. Under EPCRA section 313 a facility is defined as: all buildings, equipment, structures, and other stationary items which are located on a single site or on contiguous or adjacent sites and which are owned or operated by the same person (40 CFR Section 372.3). Because these two operations are located on adjacent properties and are owned by the same person, they are considered one facility for EPCRA section 313 reporting purposes. The person owning and/or operating contiguous or adjacent sites is the same if there is a common highest level U.S. or foreign parent company that owns and/or operates the sites.

A facility is defined as all buildings, equipment, structures, and other stationary items which are located on a single site or adjacent or contiguous sites owned or operated by the same person (40 CFR Section 372.3). A ship is not a facility as defined under the Section 313 regulations. It is not stationary and it is not located on a single site (if it moves to other locations). Therefore, the ships should not report even if they are in a covered NAICS code.

Yes, assuming the facility also meets the employee threshold of at least ten full-time employees or the equivalent. Once a covered facility has been constructed, any toxic chemicals used to prepare production equipment for manufacturing activities must be included towards the threshold determinations that reporting year. This includes start-up activities.

The toxic chemicals need not be considered towards any activity threshold. Prior to initial facility construction and before an NAICS code can be assigned, the EPCRA section 313 reporting criteria in Section 372.22, including the activity threshold criterion, do not have to be considered. However, if chemical activity thresholds for any toxic chemicals used in the construction and installation of process equipment are exceeded elsewhere at the facility during the reporting year, meaning operations have begun, all non-exempt releases and other waste management activities of those toxic chemicals occurring during the reporting year must be reported, including those non-exempt release and other waste management quantities associated with the construction and installation of process equipment.

Since the land treatment unit is not adjacent nor contiguous to the petroleum company and they are connected only by a pipeline, the two are considered two separate facilities with the same owner/operator, even though the petroleum facility controls ‘right of way’ of the pipeline. However, releases and other waste management activities associated with loading or unloading activities or leaks from a pipeline within either facility would be covered.

TRI-MEweb is EPA’s only tool for industry to submit EPCRA Section 313 reports. You will need to create a CDX user account to get started with your TRI reporting. You may use the two guides below to 1) get step-by-step instructions on how to create your new user account in CDX, 2) learn how to add TRI-MEweb to your MyCDX account, and 3) learn how to use your access key to load your facility data into TRI-MEweb to start preparing your TRI forms. The second guide provides instructions for newly-designated certifying officials on how to get their Electronic Signature Agreement (ESA) approved and the TRIFID Signature Agreement electronically signed in TRI-MEweb, so that a new certifying official can certify pending forms transmitted by the preparer. To meet your TRI reporting requirement, all forms must be certified before July 1. Preparer -- Person who prepares, but is not authorized to certify, TRI forms for submission. Certifying Official -- Person with management responsibility for the person(s) preparing TRI forms, or the manager of environmental programs for the facility or corporation that is responsible for certifying prepared forms in TRI-MEweb. The certifying official may also prepare TRI forms.On-line tutorials are available and are designed to demonstrate how different tasks are performed within the TRI-MEweb application reporting tool. To watch a tutorial, visit the TRI-MEweb tutorial web page: https://www.epa.gov/toxics-release-inventory-tri-program/electronic-submission-tri-reporting-forms#q3

Yes. Since the two bulk petroleum stations are not contiguous or adjacent properties and are connected only by a pipeline, the two stations are considered two separate facilities with the same owner. The parent company has an easement on which the pipeline is located, but does not control, operate, or own the land on which the pipeline rests to an appropriate degree.

Based on the facts provided in the question, these facilities were properly classified in SIC code 5171 (bulk petroleum stations and terminals), which are included in the list of facilities covered under EPCRA section 313 as listed in 40 CFR 372.23(a). According to the SIC code manual (1987 edition) ‘...establishments or places of business primarily engaged in selling merchandise to retailers; to industrial, commercial, institutional, farm, construction contractors, or professional business users; or other wholesalers; or acting as agents or brokers in buying or selling merchandise to such persons or companies’ are properly classified in Division F, Wholesale Trade, and are therefore covered under EPCRA section 313, beginning with the reporting year 1998. EPA believes that the facilities described in the above question are appropriately classified in the Wholesale Division as defined in the SIC code manual.Note that the North American Industry Classification System (NAICS) is the economic classification system that replaced the 1987 SIC code system. A Federal Register notice was published on June 6, 2006 (71 FR 32464) adopting NAICS codes for TRI reporting.

No. While the retail gas station sells only products supplied by the covered bulk petroleum station it is not an auxiliary facility because it does not support the operation of the bulk petroleum station (i.e., the retail sale of gasoline and other petroleum products is a distinctly separate activity that benefits the gas station as opposed to benefitting the bulk petroleum station). The SIC system assigned SIC codes to auxiliary facilities according to the primary activity of the establishment that they served. An auxiliary facility was one that supported another facility’s activities. An auxiliary facility could assume the SIC code of another covered facility if its primary function is to serve that other covered facility’s operations. However, the NAICS system does not recognize the concept of auxiliary facilities and assigns NAICS codes to all establishments based on their own activities. For the purpose of establishing consistency with the NAICS classification methodology, EPA changed its interpretation of the applicability of TRI reporting requirements to auxiliary facilities. As a result, some establishments previously considered to be auxiliary will no longer be subject to TRI reporting.

Under EPCRA section 313 a facility is defined as: ‘all buildings, equipment, structures, and other stationary items which are located on a single site or on contiguous or adjacent sites and which are owned or operated by the same person’ (40 CFR Section 372.3). Because the operations were carried out at two distinctly separate, physical sites, the company operated two separate facilities over the reporting year. The owner/operator of the company, therefore, must make threshold determinations and release and other waste management calculations individually for each facility. The company need only file Form Rs for the facility(ies) that exceeded the reporting thresholds during the reporting year. If independently both facilities meet the reporting criteria, the company must submit the appropriate forms for each facility.

No. Because the two divisions are owned by the same person and are physically contiguous/adjacent to one another, except for a public right-of-way, they are considered one facility for Section 313 reporting purposes. A facility may consist of more than one establishment. The entrances to each establishment within a multi-establishment facility do not have to be located at a crossroads in order to meet the definition of facility. EPCRA section 313 defines a facility as ‘all buildings, equipment, structures, and other stationary items which are located on a single site or on contiguous or adjacent sites and which are owned or operated by the same person’ (40 CFR Section 372.3).

Such scrap metal processing facilities are not currently covered by Section 313 reporting requirements if their primary NAICS codes are 423930.

The off-site location may itself be classified as a chemical distribution facility and be covered in terms of its NAICS code designation. The off-site bulk storage facility may also assume the NAICS code of the covered chemical distributor that it supports and be considered covered. In terms of determining if the off-site facility meets the employee threshold, potentially requiring it to report, the facility should consider all the hours spent servicing the units such as product delivery, tank clean-out, and construction in making that determination. If these hours add up to 20,000 hours over the course of the reporting year, the facility will meet the employee threshold and would be required to consider its chemical activities. It is possible that the type of employee hours associated with the off-site bulk storage facility would potentially exceed thresholds in one year and not in another.

Yes. If the owner or operator of a mobile solvent recovery unit conducts solvent recovery services on a contract or fee basis, it is in NAICS Code 562112 (Hazardous Waste Collection). For more information on NAICS Codes and to determine which industries are covered under Section 313, visit TRI’s website: https://www.epa.gov/toxics-release-inventory-tri-program/my-facilitys-six-digit-naics-code-tri-covered-industry.

A facility that conducts several uniquely different activities that are within NAICS 562 and is regulated under the Resource Conservation and Recovery Act, subtitle C, 42 U.S.C. 6921 et seq., should identify the value added of the goods or services that each activity contributes. A facility is considered to be “primarily engaged” in solvent recovery if the goods or services produced by the solvent recovery activity have a value added of more than 50 percent of the total value added of all goods and services produced at the facility, or if the value added of the goods and services produced by the solvent recovery activity of the facility are greater than the value added of the goods and services produced by any other activity at the facility.

The NAICS code for ‘automobile proving and testing grounds’ is 541380. It, therefore, is not within a covered NAICS code and would not need to report under EPCRA section 313.

No. EPCRA section 313 applies to any facility that meets all the applicable criteria (40 CFR Section 372.22). There is no specific exemption for facilities or toxic chemicals regulated by the FDA.

The SIC system assigned SIC codes to auxiliary facilities according to the primary activity of the establishment that they serve. NAICS does not recognize the concept of auxiliary facilities and assigns NAICS codes to all establishments based on their own activities. For the purpose of establishing consistency with the NAICS classification methodology, EPA changed its interpretation of the applicability of TRI reporting requirements to auxiliary facilities. As a result, some auxiliary establishments will no longer be subject to TRI reporting. For the years in which SIC codes and auxiliary facilities were relevant (Reporting Years 1991-2005), TRI-MEweb will automatically guide users to select a SIC code in lieu of a NAICS code.TRI-MEweb contains a list of NAICS codes for users to search and select. For example, Company X owns and operates a rice milling facility with NAICS code 311212. Company X also owns a warehouse where the finished product from the rice milling facility is stored before it is distributed to customers. Under the SIC system, the warehouse would have adopted the same SIC code as the rice milling facility (2044) and would be subject to TRI reporting if it met the other applicability criteria. However, under the NAICS system, the warehouse would not adopt the code of the rice milling facility and would be assigned a NAICS code based on its own economic activity. As a result, the warehouse might not be subject to the TRI reporting requirements.

No. The SIC system assigned SIC codes to auxiliary facilities according to the primary activity of the establishment that they served. An auxiliary facility was one that supported another facility’s activities. An auxiliary facility could assume the SIC code of another covered facility if its primary function is to serve that other covered facility’s operations. However, the NAICS system does not recognize the concept of auxiliary facilities and assigns NAICS codes to all establishments based on their own activities. For the purpose of establishing consistency with the NAICS classification methodology, EPA changed its interpretation of the applicability of TRI reporting requirements to auxiliary facilities. As a result, some auxiliary establishments will no longer be subject to TRI reporting.

This facility would be considered a separate operating establishment conducting a manufacturing activity. It would, therefore, need to make the employee and activity threshold determinations and report, if appropriate, because it falls within a covered NAICS code.

No. For the purposes of EPCRA section 313, auxiliary facilities are primarily engaged in performing support services for another facility, or establishment of a primary company. In general, the company performs the auxiliary facility’s basic administrative services (e.g. filing paperwork, performing payroll activities, or employing the auxiliary facility’s administrative staff). In addition, auxiliary facilities perform an integral role in the primary company’s activities. Both of these factors must be present to establish an auxiliary facility. Because reclamation is not integral to the primary company’s activities, the reclamation center does not play an integral role in the primary company’s operations and it would not be considered an auxiliary facility.Note that the NAICS system does not recognize the concept of auxiliary facilities and assigns NAICS codes to all establishments based on their own activities. For the purpose of establishing consistency with the NAICS classification methodology, EPA changed its interpretation of the applicability of TRI reporting requirements to auxiliary facilities. As a result, some auxiliary establishments will no longer be subject to TRI reporting.

A facility must report if it meets the employee, NAICS code and activity criteria. Because the NAICS code criterion is not met, the facility as a whole need not report. Note that under EPCRA Section 313(b)(2), EPA may apply the requirements of EPCRA 313 to specific facilities, regardless of their primary NAICS code or number of full-time employee-equivalents. If a facility is subject to TRI reporting requirements under this discretionary authority, that facility must make EPCRA Section 313 chemical threshold determinations in accordance with the requirements of EPCRA 313(f) and the implementing regulations. If chemical reporting thresholds are met, the facility must report all relevant information about releases, other waste management activities, and source reduction activities for the entire facility. EPCRA Section 313(b)(2) determinations apply to the particular facilities that are the subject of EPA’s determination. Those facilities must continue reporting to EPA in accordance with the determination in subsequent years. Changes in facility ownership or controllership do not alter the applicability of the determination’s requirements.

If the research laboratory is a separate establishment from the other activities at the facility and its NAICS code is not in a covered NAICS code, then the 50 percent test is used to determine if the whole facility is in the covered NAICS codes (40 CFR Section 372.22). In this case, the facility would not be subject to reporting because the primary NAICS code is not within the covered NAICS codes.

Waste treatment facilities are classified in NAICS Codes beginning with 562, which includes such activities as hazardous waste collection, treatment and disposal, and remediation. Hazardous waste treatment facilities that are regulated under the Resource Conservation and Recovery Act, Subtitle C, 42 U.S.C. Section 6921 et seq. were added in the final rule published on May 1, 1997 (62 FR 23834). Provided that the facility is classified within a covered NAICS code and meets the employee threshold, the facility would be required to consider its chemical management practices for purposes of EPCRA section 313 reporting. A facility’s NAICS code classification is not necessarily affected because it limits activities to facilities within the same company. For more information on NAICS codes and to determine which industries are covered under Section 313, visit TRI’s website: https://www.epa.gov/toxics-release-inventory-tri-program/my-facilitys-six-digit-naics-code-tri-covered-industry.

Trucking companies are generally not in a covered NAICS code. If you are not in a covered NAICS code, then you are not required to report under Section 313. However, note that under EPCRA Section 313(b)(2), EPA may apply the requirements of EPCRA 313 to specific facilities, regardless of their primary NAICS code or number of full-time employee-equivalents. If a facility is subject to TRI reporting requirements under this discretionary authority, that facility must make EPCRA Section 313 chemical threshold determinations in accordance with the requirements of EPCRA 313(f) and the implementing regulations. If chemical reporting thresholds are met, the facility must report all relevant information about releases, other waste management activities, and source reduction activities for the entire facility. EPCRA Section 313(b)(2) determinations apply to the particular facilities that are the subject of EPA’s determination. Those facilities must continue reporting to EPA in accordance with the determination in subsequent years. Changes in facility ownership or controllership do not alter the applicability of the determination’s requirements.

No. Use of oil or coal for purposes of testing, (e.g., testing safety equipment at nuclear facilities) would not constitute a use of oil or coal for purposes of generating power for distribution in commerce. However, if a facility intentionally generates excess power during the testing operations for the purpose of distributing it in commerce, the facility would be ‘covered.’ In fact, if the facility is intentionally generating electricity for distribution in commerce, provided that the facility meets the chemical activity and employee thresholds, the facility would be considered ‘covered’ even if only a small amount of fuel oil used.

Yes. Under the rule that expanded the industry sectors (May 1, 1997; 62 FR 23834) that must report under EPCRA section 313, electricity generating facilities (EGFs) in SIC codes 4911, 4931, and 4939 (now under NAICS codes beginning with 2211) that combust coal and/or oil for the purpose of generating power for distribution in commerce are subject to EPCRA section 313 reporting requirements, provided that the other threshold criteria are met. Pursuant to this expansion, kerosene (as well as petroleum coke) is an oil.

No. Facilities in NAICS codes beginning with 2211 are only covered by EPCRA section 313 if they combust coal and/or oil for the purpose of generating power for distribution in commerce. ‘Coal and/or oil’ does not include non-hazardous oil-contaminated debris. Since the facility is in a NAICS code beginning with 2211, but does not combust coal or oil, it is not covered by EPCRA section 313.

Yes. If this facility also meets employee and chemical thresholds, the facility is subject to EPCRA section 313. Because at least one unit at this facility is regulated by RCRA subtitle C and the facility’s operations are classified in NAICS code beginning with 562, for the purposes of EPCRA section 313, this facility is considered to be in NAICS code beginning with 562 (regulated under RCRA subtitle C) (40 CFR Section 372.23). As such, this facility must consider all non-exempted activities at the entire facility for TRI threshold determinations and, if reporting is triggered, release and other waste management reporting. The owner or operator should be sure to include any information the facility may have concerning toxic chemicals at the solid waste units of the facility as well as at the hazardous waste units.

Yes. This facility is subject to EPCRA section 313. Because at least one unit at this facility is regulated by RCRA subtitle C and the facility’s operations are classified in NAICS code 562212, for the purposes of EPCRA section 313, this facility is considered to be in NAICS code 562212 (regulated under RCRA subtitle C). As such, this facility must consider all non-exempted activities at the entire facility for threshold determinations and release and other waste management reporting. The owner or operator should be sure to include any information the facility may have concerning toxic chemicals at the solid waste units of the facility as well as at the hazardous waste units.

No. Facilities in NAICS code 562212 are only subject to EPCRA section 313 if they are also regulated under RCRA Subtitle C. Many types of waste management facilities operate within NAICS code 562212 that are not regulated under the RCRA Subtitle C programs, such as sanitary landfills, garbage collection, and street refuse systems, which were not added under EPCRA section 313 by the May 1, 1997, final rule.

If the facility has not altered its operations and should have been classified in a covered NAICS code and has met the threshold and employee criteria, it is required to report for all the previous years under EPCRA section 313. If the mix of activities at the facility shifted from non-covered to covered NAICS codes, then it should begin reporting for the year in which the change occurred.

Federal facilities should utilize the best readily available information needed to make threshold determinations and release and other waste management calculations. For example, a release through an air stack or to a receiving stream may be estimated from the appropriate air and water permits. Permit applications may also include the mathematical equations that were used to calculate permitted release amounts. These equations potentially could be modified and used to calculate releases for section 313 reporting purposes. Reaction equations and engineering notes also may provide a good source of information for release calculations and on-site waste management activities.For transfers off-site for further waste management, annual or biannual RCRA reports provide an excellent source of information. These reports refer to specific hazardous waste manifests. From the manifests, it may be possible to estimate the amounts of EPCRA section 313 chemicals in the waste transferred off-site. Invoices and shipping receipts are essential if a reportable EPCRA section 313 chemical that is not a RCRA waste, is sent off-site for recycling or disposal. In addition, the EPA has produced estimation guidance manuals for specific industries and for specific chemicals. Information about how to obtain these guidance manuals is available on the EPA website: https://www.epa.gov/chemicals-under-tsca.

If an individual is employed by the facility or by the facility’s parent company to work for the facility, then all of the hours worked by the individual at or for the facility should be counted toward the 20,000-hour employee threshold. For example, a headquarters engineer spends most of her time at headquarters, but some of her time is spent at a covered facility. The time the engineer spends at the covered facility and the time the engineer spends working for the covered facility while at headquarters should be included in the facility’s employee threshold determination. If the individual is hired by the facility (or by the facility’s parent company) as a contractor to work at the facility and is based at the facility, then all hours worked by the contractor should be counted. If the individual is not an owner, contractor, nor an employee of the facility, then the individual’s time spent working at the facility should not be counted toward the 20,000-hour employee threshold. For example, the time spent by individuals who are performing intermittent service functions at the facility, such as municipal trash collectors or the electric utility company repairing power lines, should not be counted.

Yes. When making the full-time employee determination the facility should consider all paid vacation and sick leave used as hours worked by each employee who claims such vacation or sick leave. If the facility meets or exceeds the 20,000-hour threshold (including vacation and sick leave), the facility is considered to have 10 or more full-time employees (40 CFR Section 372.3).

The total hours worked by all employees should be reviewed. A full-time employee is defined on a time equivalent basis of 2,000 labor hours per year (40 CFR Section 372.3). If the total hours worked by all employees at a facility, including contractors, is 20,000 hours or more, the criterion for number of employees has been met. Therefore, if combined, the 13 employees of the facility worked 20,000 hours or more, the facility has satisfied the employee threshold.

One full-time employee is equal to 2,000 hours (40 CFR Section 372.3). The number of full-time employees is determined by dividing the total number of hours worked, 20,000, by 2,000 hours, or 10 full-time employees. Therefore, even though only eight persons worked at this facility, the number of hours worked is equivalent to 10 full-time employees and this facility has met the employee criterion.

An ‘employee’ can be either a single person or a group of people, including the owner. The regulatory criterion is that the total hours worked by all employees is equal to or greater than 20,000 for that reporting year at the facility.

Yes. All persons employed by a facility regardless of function (e.g., sales, clerical) or location count toward the employee threshold determination (40 CFR Section 372.22(a)).

Yes. Hours worked by employees who support the distribution system must be included in the facility’s employee determination. All of the hours worked by all employees based at a covered facility must be considered toward the facility’s employee threshold, regardless of whether the activities they perform are associated with covered activities.

If the truck drivers are employed by the facility or the facility’s parent company, and paid by the facility or by the parent company, then they are employees of the facility and would be factored into the employee threshold. If they are based at the covered facility, all of the hours worked by the truck drivers for the facility are counted towards the employee threshold. If the truck drivers are not based at the covered facility, then only their time spent servicing the covered facility is considered towards the employee threshold. However, facilities are not required to count hours worked by contract drivers.

Yes. Hours worked directly for the facility by drivers that are employed by the facility are counted, regardless of whose truck they use.

No. The hours worked by the truck jobbers do not directly support the terminal. The jobbers purchase the petroleum products and function as customers to the terminal. However, the petroleum bulk terminal must consider these activities toward its processing threshold.

Yes. If an individual is employed by a covered facility and works for the covered facility, then all hours worked by that individual must be counted towards the 20,000-hour employee limit, regardless of where the employee works (i.e., on-site or off-site).

Yes. Even though the employee does not draw a salary, he/she is still working for the facility. Therefore, the employee’s hours must be counted towards that facility’s employee threshold.

Federal facilities should use NAICS codes that most accurately characterize the activities being performed at the facility. Facilities form preparers and certifying officials can input any NAICS Code when preparing and submitting forms through TRI-MEweb. The Form R allows six different NAICS codes to be reported in Part I, section 4.5. For example, a Forest Service facility (Department of Agriculture) includes forests and an airport to service aircraft used for fighting fires. This facility can enter NAICS codes 115310 (Support Activities for Forestry) and 488119 (Other Airport Operations) into Part I, section 4.5 of the Form R because these NAICS codes best describe the activities being performed at the facility. The federal facility, however, should indicate the primary NAICS code (which NAICS codes most accurately addresses the primary activity at the federal facility) by entering this NAICS code in the first data field (Part I, section 4.5a), which is indicated by a red key icon in TRI-MEweb. In this example, the Forest Service facility may determine that its primary function is forestry services, thus entering 115310 in Part I, section 4.5a.

Yes. The facility where these employees are located should count the hours worked by them toward the facility’s employee threshold, unless the facility’s time keeping system allows it to track the time worked by these employees according to the actual facility for which they are working. If a facility can demonstrate through time keeping records that the time worked by these employees was in support of another facility within the same corporate entity, then it does not have to count the hours worked by these employees towards its own employee threshold. The facility that these employees directly support would have to count the hours toward its employee threshold.

The owner must be counted as the equivalent of a full-time employee of the facility and his/her hours must be applied toward the 20,000-hour employee threshold.

No. If the owner of the facility does not work at the facility and only draws a profit share, the owner is not considered an employee and the reporting facility will not count the owner towards the employee threshold.

No, the facility does not have to include the disabled employee when determining their employee threshold. The employee would be considered the equivalent of a retired employee.

Yes. Paid holidays need to be included in the owner’s employee threshold calculation.

Yes. For purposes of determining the EPCRA section 313 employee threshold, employee hours for employees that directly support the facility, should be included in the employee calculation for the facility. Therefore, if the hours spent by sales staff directly support a facility, then their hours should be allocated to the facility they directly support, regardless of the amount of time those employees are physically at the facility.

The facility must include maintenance contractors, such as those for general building structure maintenance, process equipment maintenance, and lawn care, in its employee threshold determination. Major contractors for services such as tank building/wrecking and tank painting are also included in the employee threshold. The facility should not include hours worked by minor on-site intermittent service vendors such as trash haulers, vending machine servicers, and service repair persons for utility-owned equipment that are not employed by the covered facility.

Yes. The hours worked on- or off-site by any contract employee for the facility must be counted toward the 20,000-hour threshold. Facilities should keep records that identify all hours that employees or contract employees work in support of facilities. EPA describes a contract employee as a person working on-site or off-site for the facility under a specific contractual agreement performing specific tasks or services for the facility, except intermittent service vendors such as trash pick-up.

EPA defines a facility as “all buildings, equipment, structures, and other stationary items that are located on a single site or on contiguous or adjacent sites and that are owned or operated by the same person (or by any person that controls, is controlled by, or under common control with such person)” (40 CFR Section 372.3). If a facility meets the TRI reporting criteria (i.e., covered NAICS code for the facility and it exceeds the employee and activity thresholds), then all activities taking place at the facility, even those activities associated with non-covered NAICS codes and/or performed by contractors, are subject to reporting requirements, unless otherwise exempt.

The reporting facility should not tabulate the hours worked by farm workers it does not pay. If, however, the reporting facility actually employs or contracts with these farm workers then the hours worked on-site by these workers would count towards the 10 full-time employee equivalent (40 CFR Section 372.3).

Yes. The hours these contract employees worked on-site or off-site for the facility must be counted toward the 20,000-hour threshold (40 CFR Section 372.3). In general, a contract employee is a person working on-site or off-site for the facility under a specific contractual agreement performing specific tasks or services for the facility, except intermittent service vendors.

Yes. In calculating the working hours, the manufacturing facility has to include the employees who worked after the facility ceased actual manufacturing operations regardless of the type of work they did (the number of hours worked do not necessary correlate directly to the manufacturing activities). If, during the reporting year, the total working hours at the facility is equal to or in excess of 20,000 hours, the facility owner/operator is subject to reporting for that reporting year (40 CFR Section 372.22).

EPCRA reporting requirements apply to facilities that have 10 or more full-time employees and otherwise meet the reporting criteria. All of the hours worked by all employees based at a covered facility must be considered toward the facility’s employee threshold, regardless of whether the activities they perform are associated with reportable chemicals. The employee threshold does not distinguish between work associated with reportable chemicals and other work.

No. Facilities are required to report only the amounts that are disposed during the reporting year in which they are disposed, provided certain thresholds have been met and the facility does not conduct any further activities involving amounts previously disposed. Amounts that move within the same media, such as seepage from a landfill to surrounding soils, do not have to be included in release estimates in subsequent years. EPA requires reporting of the amount of toxic chemical placed in an on-site landfill during the year. EPA does not require the facility to estimate migration from the landfill in subsequent years, provided the facility does not conduct activities that further involve the listed toxic chemical disposed.

No, facilities are only required to report amounts released or otherwise managed in the year that the amounts were released or otherwise managed for chemicals for which they exceeded thresholds (40 CFR Section 372.85(b)(14)). If a facility exceeds thresholds in a subsequent year for a chemical that was disposed of in a preceding year, the facility should not report amounts previously released or otherwise managed. Facilities are also not required to estimate the migration of chemicals from landfills except for the current reporting year.

No. EPA requires reporting of the amount of a toxic chemical placed in an on-site landfill during the reporting year in which these amounts are disposed. Amounts disposed in previous years are not reportable in subsequent submissions provided no additional activity is performed with these amounts.

Facility B has processed the oil that was taken from Facility B’s truck rack located on Facility B’s property. Facility A’s use of product at Facility B must be considered toward Facility B’s threshold, release and other waste management calculations, where appropriate. The hours spent by Facility A’s truck drivers while at Facility B do not directly support Facility B but instead directly support Facility A and should be accounted for by Facility A.

The new owner/operator of the facility is liable for filing Form Rs for the months of operation during the previous reporting year since he/she is the owner/operator of the facility on the reporting deadline. The purchase of a facility through bankruptcy proceedings does not negate the liability for reporting activities at the facility during the period it was in operation. The new owner/operator must attempt to acquire the necessary information to determine if Form Rs are to be submitted for the reporting year. If reports must be filed, the new owner/operator must submit them in a timely and accurate manner.

Both the owner and the operator are subject to the Section 313 reporting requirements. If no reports are received from a covered facility both persons are liable for penalties, provided that the facility was required to file a Form R or the Alternative Certification Statement (Form A). As a practical matter, EPA believes that the operator is more likely to have the information necessary for reporting.

Site 1   Owned and   operated by A Site 2   Owned by A and   operated by B Site 3   Owned and   operated by B Under 40 CFR Section 372.3 a facility is defined as; ‘all buildings, equipment, structures, and other stationary items which are located on a single site or on contiguous or adjacent sites and which are owned or operated by the same person.’ Because all buildings and structures located on sites 1 and 2 are located on contiguous property and are owned by the same person, they are considered one facility. Because all buildings and structures located on sites 2 and 3 are located on contiguous property and are operated by the same person, they are also considered one facility. Therefore, for purposes of determining thresholds, the toxic chemicals manufactured, processed, and otherwise used at site 2 must be counted toward both Facility A’s and Facility B’s threshold determinations. Because the operator is primarily responsible for reporting, estimating and reporting releases and other waste management calculations for sites 2 and 3 are the primary responsibility of Company B, and the release and other waste management reporting for site 1 is the primary responsibility of Company A. EPA allows the release and other waste management reporting to be done in this manner to avoid ‘double counting’ releases and waste management activities at site 2. However, provided thresholds have been exceeded, if no reports are received from a covered facility both the owner and the operator are liable for penalties.

Both the owner and the operator are subject to the Section 313 reporting requirements. However, EPA believes that the operator is more likely to have the information necessary for reporting. If no reports are received from a covered facility both the owner and the operator are liable for penalties.

The owner/operator of the facility on the annual July 1 reporting deadline is primarily responsible for reporting the data for the previous year’s operations at that facility. Any other owner/operator of the facility before the reporting deadline may also be held liable. The reports submitted must cover the full reporting year.

In the case that a facility is purchased between January 1 and June 30, the form submitted for the previous year must reflect the name used by the facility on December 31 of that reporting year (Monthly Call Center Report Question, EPA530-R-98-005; October 1998). In this example, Company B’s name should appear on the form because it owned the facility for the duration of the reporting year. The TRI identification number is location-specific; thus, the identification number will stay the same even if the facility changes names, production processes, or NAICS codes. With regard to reporting, the owner or operator of the facility on the annual July 1 reporting deadline (Company A) is primarily responsible for reporting the data for the previous year’s operations at that facility. However, all prior owners and operators back to January 1 of the year covered in the report may also be held responsible if the current owner or operator does not submit a report.

The forms should include the facility name and parent company information for the last identity it had during the reporting year.

Since the tanks are part of Company A’s facility and they are the owner/operator of the facility, Company A would be subject to Section 313 reporting for any releases and any other waste management activities involving toxic chemicals from the tanks.

From the time of the purchase transaction on June 15, there are two separate facilities with two non-related owners and operators. Thus, Company B is responsible only for reporting for the combustion unit after its purchase. Company A is responsible for the combustion unit and the peaker unit prior to sale, but only the peaker unit after the sale. Thus, for threshold determinations, Company A must combine amounts of toxic chemicals manufactured, processed, or otherwise used at the entire facility before the transaction on June 15, with those manufactured, processed, or otherwise used at the peaker unit after the transaction.

From the time of the purchase transaction on January 15, there are two separate facilities with two non-related owners and separate operators. Therefore, the original owner must report on the three quarters of the facility retained after the sale if he manufactured, processed, or otherwise used a toxic chemical equal to or in excess of a threshold amount for that year. The original owner, however, would also include in threshold determinations and release and other waste management calculations any activities that went on from the beginning of January up to the time of the purchase transaction (January 15) for that part of the facility that was sold. The owner of the quarter of the original facility also must report if that new facility exceeds the reporting threshold during the period of January 15 through April. Once the facility is moved to its new location, a new threshold determination must be made for the remainder of the reporting year and the facility would be assigned a new TRI Identification number.

The current owner/operator has the primary responsibility for responding to a NON. However, all prior owners/operators back to January 1 of the reporting year may also be held responsible if the current owner/operator does not respond to the NON in an accurate, complete, and timely manner.

An owner with no business interest in a facility beyond owning the real estate on which the covered facility is located is not responsible for reporting (40 CFR Section 372.38(e)). If the owner is part of the same business organization as the operator, or has a business interest in the facility and contracts out the operation of a particular site, he/she is not exempt from reporting.

The electricity generating facility should enter in Part I, Section 5.1 of the Form R the name of the highest-level holding or parent company (as defined in 40 C.F.R. § 372.3), consortium, joint venture, or other entity that owns, operates, or controls the facility. If the holding or parent company, consortium, joint venture, or other entity that owns, operates, or controls the facility the electric generating facility has a foreign parent company, that information should be entered in Part I, Section 5.3 of the Form R.