TABLE OF CONTENTS Page ACKNOWLEDGMENT ..................................................... vi OVERVIEW ..............................................................vii CHAPTER 1 - INTRODUCTION ............................................. 1-1 1.0 PURPOSE .......................................................... 1-1 1.1 Background on EPCRA Section 313 and PPA Section 6607 .............. 1-2 CHAPTER 2 - REPORTING REQUIREMENTS ................................. 2-1 2.0 PURPOSE .......................................................... 2-1 2.1 Must You Report? ............................................. 2-2 2.2 SIC Code Determination ........................................ 2-4 2.3 Number of Employees .......................................... 2-6 2.4 Manufacturing, Processing, and Otherwise Use of EPCRA Section 313 Chemicals or Chemical Categories ................................. 2-7 2.5 Activity Categories ............................................. 2-8 2.6 How Do You Report? ......................................... 2-10 2.7 Form R ..................................................... 2-11 2.8 Alternate Threshold and Form A .................................. 2-12 2.9 Trade Secrets ................................................ 2-13 2.10 Recordkeeping ............................................... 2-14 CHAPTER 3 - EPCRA SECTION 313 CHEMICAL OR CHEMICAL CATEGORY ACTIVITY THRESHOLD DETERMINATIONS ................................. 3-1 3.0 PURPOSE .......................................................... 3-1 3.1 Step 1 - Identify Which EPCRA Section 313 Chemicals or Chemical Categories are Manufactured (Including Imported), Processed, or Otherwise Used ........................................................ 3-1 Qualifiers .................................................... 3-4 3.2 Step 2. Identify the Activity Category and any Exempt Activities for Each EPCRA Section 313 Chemical .................................... 3-7 3.2.1 Concentration Ranges for Threshold Determination ............. 3-11 3.2.2 Evaluation of Exemptions ................................. 3-12 3.2.2.1 De Minimis Exemption ....................... 3-13 3.2.2.2 Article Exemption ........................... 3-15 3.2.2.3 Facility-Related Exemption .................... 3-17 Laboratory Exemption ................................... 3-17 3.2.2.4 Activity-Related Exemptions ................... 3-17 3.2.3 Additional Guidance on Threshold Calculations for Certain Activities ............................................. 3-19 3.2.3.1 Reuse Activities ............................. 3-19 3.2.3.2 Remediation Activities ........................ 3-20 3.2.3.3 Recycling Activities .......................... 3-21 i TABLE OF CONTENTS (Continued) Page 3.3 Step 3. Calculate the Quantity of Each EPCRA Section 313 Chemical and Chemical Category and Determine Which Ones Exceed an Activity Threshold ................................................... 3-21 4.0 PURPOSE .......................................................... 4-1 4.1 General Steps for Determining Release and Other Waste Management Activity Quantities ............................................. 4-1 4.1.1 Step 1: Prepare a Process Flow Diagram ...................... 4-3 4.1.2 Step 2: Identify EPCRA Section 313 Chemicals and Chemical Categories and Potential Sources of Chemical Release and Other Waste Management Activities ............................... 4-3 4.1.3 Step 3: Identify Release and Other Waste Management Activity Types ................................................. 4-4 4.1.4 Step 4: Determine the Most Appropriate Method(s) to Calculate the Estimates for Release and Other Waste Management Activity Quantities ............................................. 4-16 4.1.4.1 Monitoring Data or Direct Measurement (code M) .. 4-18 4.1.4.2 Mass Balance (code C) ....................... 4-19 4.1.4.3 Emission Factors (code E) ..................... 4-21 4.1.4.4 Engineering Calculations (code O) ............... 4-23 4.1.4.5 Estimating Release and Other Waste Management Quantities ....................................... 4-24 4.2 Process Descriptions (Chemical Activities) .......................... 4-29 4.2.1 Photolithography ....................................... 4-31 4.2.1.1 Step 1: Prepare Process Flow Diagram ........... 4-32 4.2.1.2 Step 2: Identify Potential Sources of Chemical Release and Other Waste Management Activities ............. 4-33 4.2.1.3 Step 3: Identify Release and Other Waste Management Activity Types .............................. 4-33 4.2.1.4 Step 4: Determine the Most Appropriate Method(s) to Calculate the Estimates for Release and Other Waste Management Activity Quantities ................ 4-34 4.2.2 Thin Films ............................................. 4-36 4.2.2.1 Step 1: Prepare Process Flow Diagram ........... 4-37 4.2.2.2 Step 2: Identify Potential Sources of Chemical Release and Other Waste Management Activities ............. 4-37 4.2.2.3 Step 3: Identify Release and Other Waste Management Activity Types .............................. 4-38 4.2.2.4 Step 4: Determine the Most Appropriate Method(s) to Calculate the Estimates for Release and Other Waste Management Activity Quantities ................ 4-39 4.2.3 Etching ............................................... 4-40 4.2.3.1 Step 1: Prepare Process Flow Diagram ........... 4-41 4.2.3.2 Step 2: Identify Potential Sources of Chemical Release and Other Waste Management Activities ............. 4-41 ii TABLE OF CONTENTS (Continued) Page 4.2.3.3 Step 3: Identify Release and Other Waste Management Activity Types .............................. 4-42 4.2.3.4 Step 4: Determine the Most Appropriate Method(s) to Calculate the Estimates for Release and Other Waste Management Activity Quantities ................ 4-42 4.2.4 Cleaning .............................................. 4-43 4.2.4.1 Step 1: Prepare Process Flow Diagram ........... 4-44 4.2.4.2 Step 2: Identify Potential Sources of Chemical Release and Other Waste Management Activities ............. 4-44 4.2.4.3 Step 3: Identify Release and Other Waste Management Activity Types .............................. 4-45 4.2.4.4 Step 4: Determine the Most Appropriate Method(s) to Calculate the Estimates for Release and Other Waste Management Activity Quantities ................ 4-48 4.2.5 Doping ............................................... 4-48 4.2.5.1 Step 1: Prepare Process Flow Diagram ........... 4-49 4.2.5.2 Step 2: Identify Potential Sources of Chemical Release and Other Waste Management Activities ............. 4-50 4.2.5.3 Step 3: Identify Release and Other Waste Management Activity Types .............................. 4-50 4.2.5.4 Step 4: Determine the Most Appropriate Method(s) to Calculate the Estimates for Release and Other Waste Management Activity Quantities ................ 4-51 4.2.6 Chemical Mechanical Planarization .......................... 4-51 4.2.6.1 Step 1: Prepare Process Flow Diagram ........... 4-52 4.2.6.2 Step 2: Identify Potential Sources of Chemical Release and Other Waste Management Activities ............. 4-52 4.2.6.3 Step 3: Identify Release and Other Waste Management Activity Types .............................. 4-53 4.2.6.4 Step 4: Determine the Most Appropriate Method(s) to Calculate the Estimates for Release and Other Waste Management Activity Quantities ................ 4-53 Appendix A TRI GUIDANCE RESOURCES Appendix B BASIC CALCULATION TECHNIQUES Appendix C GUIDANCE FOR REPORTING AQUEOUS AMMONIA Appendix D GUIDANCE FOR REPORTING SULFURIC ACID Appendix E LIST OF TOXIC CHEMICALS WITHIN THE WATER DISSOCIABLE NITRATE COMPOUNDS CATEGORY AND GUIDANCE FOR REPORTING Appendix F UNIT CONVERSION FACTORS INDEX iii LIST OF TABLES Page 2-1 SIC Codes Covered by EPCRA Section 313 Reporting ....................... 2-4 2-2 EPCRA Section 313 Chemicals and Chemical Categories Commonly Encountered in Semiconductor Manufacturing ........................................ 2-8 2-3 Activity Categories .................................................. 2-9 3-1 Reporting Thresholds ................................................. 3-8 3-2 Definitions and Examples of Manufacturing Subcategories ..................... 3-9 3-3 Definitions and Examples of Processing Subcategories ....................... 3-10 3-4 Definitions and Examples of Otherwise Use Subcategories .................... 3-11 3-5 EPCRA Section 313 Reporting Threshold Worksheet ....................... 3-24 3-6 Sample EPCRA Section 313 Reporting Threshold Worksheet ................. 3-25 4-1 Summary of Liquid Residue Quantities From Pilot-Scale Experimental Study (weight percent of drum capacity) ....................................... 4-9 4-2 Potential Data Sources for Release and Other Waste Management Calculations .... 4-18 4-3 Release and Other Waste Management Quantity Estimation Worksheet .......... 4-25 iv LIST OF FIGURES Page 2-1 EPCRA Section 313 Reporting Decision Diagram ........................... 2-3 4-1 Release and Other Waste Management Activity Calculation Approach ............ 4-2 4-2 Possible Release and Other Waste Management Activity Types for EPCRA Section 313 Chemicals and Chemical Categories ................................... 4-5 4-3 Overall Process Flow Diagram - Semiconductor Manufacturing ................ 4-33 4-4 Process Flow Diagram for Typical Photolithography Process .................. 4-32 4-5 Process Flow Diagram for Typical Thin Film Process ........................ 4-38 4-6 Process Flow Diagram for Typical Etching Process ......................... 4-41 4-7 Process Flow Diagram for Typical