Appendix D. Chemical Planning and Notification Requirements for Responsible Parties

This appendix describes legislated planning and notification requirements for owners and operators of facilities that store, produce, distribute, and/or use hazardous chemicals (referred to as “Responsible Parties”, RPs¹²). Specifically, it outlines the directed RP planning, reporting, and notification processes mandated by the following Acts:

Act	Description
CERCLA	Requires RPs to report releases of hazardous substances that exceed specified volume thresholds to the National Response Center.
EPCRA	Requires RPs to report hazardous substance inventories and related risks to state and local stakeholders; these are publicly disclosed to aid community preparedness and response. EPCRA also requires RPs to notify state and local officials immediately after recognizing a potential release from their facilities.
Section 112(r) of the CAA Amendments of 1990	Establishes the EPA Risk Management Program (RMP) that requires facilities that hold hazardous substances equal to or exceeding specified volume thresholds to develop and implement a risk management strategy for accident prevention and mitigation.

These authorities serve as key legal foundations for enhancing state, local, tribal, and territorial (SLTT) and public preparedness for and response to chemical incidents by requiring RPs to disclose potential chemical risks to jurisdictions and the public. To aid chemical incident preparedness and response, planners can access RP data required under these authorities via a variety of EPA-maintained databases that are open to the public, namely the many Envirofacts search tools described below. Most notably, under these authorities, RPs share both responsibility and liability for preventing, mitigating, and responding to chemical incidents that result from their activities.

Section 112(r) of the CAA Amendments and Section 303 of the EPCRA require Responsible Parties to establish risk-based strategies to prevent, mitigate, and respond to releases of hazardous substances from their facilities.

Under the General Duty Clause (GDC), Section 112(r)(1) of the CAA Amendments of 1990, stationary sources that manage extremely hazardous substances (EHSs) in volumes at or above threshold planning quantities (TPQs) are responsible for developing strategies to prevent and mitigate the consequences of chemical releases.¹³ Pursuant to Section 112(r)(7), such strategies are to be documented within the Risk Management Plans that are to be submitted to EPA, the Chemical Safety Board (CSB), and state and local officials every five years. In accordance with Section 112(r)(7)(B), RMPs must include (1) a risk assessment and worst-case consequence analysis of potential accidental releases of hazardous chemicals; (2) a prevention plan, including chemical safety measures and employee training, based on the findings of the risk assessment and consequence analysis; and (3) a response plan that includes mitigating releases as well as notifying SLTT authorities. Planners and the public can access the RMPs of approximately 12,500 Section 112-regulated facilities via Federal Reading Rooms.¹⁴

EPCRA Section 303 requires RPs to assist Local Emergency Planning Committees (LEPCs) or Tribal Emergency Planning Committees (TEPCs) in developing response, evacuation, and training plans. EPCRA, which established LEPCs and TEPCs along with Tribal Emergency Response Commissions (TERCs) and State Emergency Response Commissions (SERCs) as vehicles to tailor chemical incident planning in accordance with jurisdictional risks,¹⁵ authorizes LEPCs/TEPCs to require facilities to provide additional information necessary to aid local emergency planning. According to EPA guidance, SLTT planners should use this information to develop (1) response, notification, and evacuation procedures, (2) processes for determining environmental and population risks, and (3) training and exercise schedules. Additionally, under Section 303(d), the facility must provide a representative to serve on the LEPC/TEPC.

Pursuant to Sections 302, 311, and 312 of EPCRA, RPs that manage EHSs and/or hazardous chemicals (as defined by EPA¹⁶) in volumes at or above TPQs¹⁷ must provide inventory documentation and additional information to SLTT officials. Section 302 directs facilities that meet these requirements to report their EHS inventories and provide additional information to the LEPC/TEPC and SERC/TERC. Such information may include the identification of key chemicals of concern, their risks, and prevention and mitigation measures implemented at the facility. Under Section 302(a), EPA is authorized to revise the EHS and TPQ list, which is presented in 40 CFR part 355, Appendices A and B.

EPCRA Sections 311 and 312 require RPs that manage either EHSs or hazardous chemicals¹⁸ in volumes at or above their corresponding TPQs to submit either a Safety Data Sheet (SDS, also referred to as a Material Safety Data Sheets, MSDS) or a hazardous chemicals list (Section 311) as well as inventory information (Section 312) to the LEPC/TEPC, SERC/TERC, and local fire department. SDSs contain information on the properties of each chemical, human health and environmental risks, and handling, storage, and transportation precautions.¹⁹ If the RP chooses to provide a hazardous chemicals list, the RP must identify the chemical name of each substance being reported and indicate whether it is defined in accordance with OSHA standards²⁰ as either a physical hazard (e.g., flammable gas under pressure) or health hazard (e.g., carcinogen).

EPCRA Section 312 requires facilities regulated by Section 311 to submit either Tier I or Tier II Emergency and Hazardous Chemical Inventory Forms to LEPCs/TEPCs, SERCs/TERCs, and the local fire departments. In general, the Tier I TPQ is set at 10,000 pounds. Tier I forms provide the minimum information which includes: (1) a range estimate of maximum volumes likely present at the facility at any time during the preceding year, (2) an estimated average daily inventory volume, and (3) general location within the facility.²¹ Tier II forms, on the other hand, must be submitted only upon LEPC/TEPC or SERC/TERC request. The information required in Tier II inventory forms is dependent on state requirements²² and generally provides Tier 1 information in addition to: (1) a description of facility storage and (2) an indication of whether the RP has chosen to disclose the location information to the public.²³ The public can access Tier I and Tier II forms via contacting either the LEPC/TEPC or SERC/TERC with jurisdiction.²⁴

Approximately 90,000 and 400,000 facilities are regulated by EPCRA Section 302 and Sections 311 and 312, respectively. In accordance with the EPCRA “right-to-know” principle, all information is made available for planners and the public, although, under Section 324, exceptions apply regarding sensitive and trade secret information. Section 327 provides an exemption for reporting substances in transportation.

The Toxic Release Inventory (TRI) established in Section 313 of EPCRA serves as a central database for state and local officials and the public. The TRI identifies (1) industrial facilities²⁵ that release toxic chemicals into the environment or transport them off-site, (2) which chemicals are released or transported (by volume), (3) pollution prevention (P2) activities implemented within each facility to reduce chemical releases into the environment, and (4) health risks associated with each chemical release. In general, “toxic chemicals” are defined by the health and environmental hazards they pose, which EPA classifies as (1) cancer or other chronic human health effects, (2) significant adverse acute human health effects, or (3) significant adverse environmental effects. As of 2020, toxic chemicals included 767 individually listed chemicals and 33 chemical categories.²⁶ To alert planners and the public about priority hazards in their jurisdiction, EPA assigns a numerical risk score to facilities that manage toxic chemicals using the comparative Risk-Screening Environmental Indicators (RSEI) model.²⁷ Previous years’ scores are also maintained for planners and the public to assess historical trends and remaining issues within their jurisdiction.

For access to additional chemical incident preparedness and response information not included in the TRI, planners and the public can use the following search tools housed within the Envirofacts website.²⁸

This database²⁹ provides information on the activities and locations of hazardous waste generators, transporters, and treatment, storage, and disposal facilities (TSDFs) in accordance with Subtitle C, Hazardous Waste Management Requirements³⁰ of the Resource Conservation and Recovery Act (RCRA). Information provided includes (1) general handler information, (2) permit or closure status, (3) compliance with federal and state regulations, and (4) compliance with EPA-required corrective action orders.³¹ By inquiring online at RCRAInfo, planners can access EPA’s Biennial Hazardous Waste Report, which specifies facility generation and final disposition of hazardous waste (“cradle to grave”).

Released every three years, the NEI³² uses Emissions Inventory System (EIS) data provided by SLTT environmental agencies to issue pollutant air emissions estimates of specified pollutants and their precursors. Point sources³³, or stationary sources that directly channel pollutants into the environment, listed within the NEI include industrial facilities, electric power plants, airports, and asphalt/rock crushing facilities, and other smaller industrial, non-industrial, and commercial facilities. Non-point sources, whose operations result in the indirect entry of pollutants into the environment, include residential heating and commercial combustion appliances, asphalt paving operations, and the use of commercial and consumer solvents. Certain states also designate non-point sources such as dry cleaners, gas stations, and livestock facilities, which are then included in the NEI as non-point sources. Additionally, the NEI provides air emission estimates for on-road sources (e.g., cars and trucks), off-road sources (e.g., construction equipment, commercial marine vessels), and event sources (e.g., wildfires, prescribed burns).

The PCS-ICIS³⁴ databases provide information on companies that hold National Pollutant Discharge Elimination System (NPDES) permits, which allow for the lawful discharge of wastewater into US waters. The NPDES program, established by the Clean Water Act, authorizes discharges within pre-determined limits (tailored to each facility) and establishes active monitoring and reporting requirements to ensure permit-holder compliance with both state and federal standards. Planners can use the database to identify NPDES facilities within their jurisdiction by name, location, permit number, industrial sector, and chemicals inventoried.³⁵

EPCRA and CERCLA require RPs to immediately report all releases of hazardous substances that meet or exceed reportable quantities (RQs) to local, state, and federal stakeholders. Under Section 304 of EPCRA, RPs should notify the LEPC/TEPC and SERC/TERC. Section 103(a) of CERCLA requires notification of such releases to the US Coast Guard (USCG)-led National Response Center (NRC) in addition to state and local stakeholders. An EPA-based (for inland incidents) or USCG-based (for coastal incidents) FOSC then leads the federal response to a discharge of oil or release of a hazardous substance, as described in the Federal Preparedness, Response, and Recovery section of this document.

12. CERCLA, Section 107(a) established four categories of Responsible Parties which include: (1) any person who currently owns or operates a facility or vessel from which a hazardous substance was released, (2) any person who at the time of disposal of a hazardous substance owned or operated the facility at which such disposal occurred, (3) any person who arranged for the disposal or treatment of a hazardous substance (often referred to as a generator of waste) as well as any person who arranged for the transport of a hazardous substance for disposal or treatment, and (4) any person who accepts or accepted a hazardous substance for transport to a disposal or treatment facility, incineration vessel, or site selected by such person.

13. EHSs are listed in 40 CFR part 355, Appendices A and B.

14. Federal Reading Rooms for Risk Management Plans (RMP)

15. See EPCRA Sections 301-303.

16. EPA Consolidated List of Lists

17. 40 CFR part 355, Appendices A and B.

18. “Hazardous chemicals” are defined in 29 CFR, Section 1910.1200(c).

19. 40 CFR §370.20. For more on information contained within MSDS, visit: https://www.osha.gov/Publications/OSHA3514.html.

20. Guidance for Hazard Determination.

21. 40 CFR §370.

22. State Tier II Reporting Requirements and Procedures .

23. 40 CFR §370.42.

24. How will citizens have access to Tier I or Tier II inventory forms?

25. For information on which industries are covered by TRI.

26. TRI-Listed Chemicals.

27. Risk-Screening Environmental Indicators (RSEI) Model.

28. Envirofacts.

29. RCRAInfo Overview.

30. Subtitle C of the RCRA authorizes EPA to establish: (1) hazardous waste standards for generators and transporters; (2) minimum standards for owners and operators of hazardous waste treatment, storage, and disposal facilities (TSDFs); (3) TSDF permit programs; and (4) criteria for states to regulate their own hazardous waste programs.

31. See the “RCRAInfo Help and Guidance” document

32. Air Emissions Inventories.

33. A “point source,” as defined in Section 502(14) of the Clean Water Act, refers to a “discernible, confined and discrete conveyance, including but not limited to any pipe, ditch, channel, tunnel, conduit, well, discrete fissure, container, rolling stock, concentrated animal feeding operation, or vessel or other floating craft, from which pollutants are or may be discharged.”

34. PCS-ICIS Search.

35. As of 2020, data were not yet provided by facilities located in Wyoming.