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Successor Transfer Forms

"Transfer Notice" Forms to Authorize Successor Rights and Liabilities of Manufacture of New Chemicals Subject to Prior TSCA Section 5 Notices

Section 5(a)(1) of TSCA states that "no person" may manufacture a new chemical substance, nor manufacture or process any chemical substance for a significant new use, unless "such person" submits to EPA at least 90 days before such manufacturing or processing, a PMN or SNUN notice. "Person" is defined by 40 CFR 720.3(x) to include "any natural person, firm, company, corporation, joint-venture, partnership, sole proprietorship, association, or any other business entity, any state or political subdivision thereof, any municipality, any interstate body, and any department, agency or instrumentality of the Federal Government."

It is not uncommon that, subsequent to EPA's processing of a TSCA Section 5 notice, a business need to change the legal ownership or corporate identity of the chemical manufacturer may arise. This can arise in many ways, including mergers, acquisitions, corporate restructuring, asset purchases, etc. EPA has developed the forms below to facilitate the process of having such transfers reported to, and accepted by, EPA. (Due to their short-term nature, EPA views Test Market Exemptions under 40 CFR 720.38 as non-transferable; thus there is no form to transfer a TME.)

In general, Section 5(e) Consent Order's signed after mid-1996 contain "successor liability" requirements including submission of a "Notice of Transfer" form, whereas Orders issued before then do not. For older Orders lacking a "Notice of Transfer" form, EPA recommends using the Section 5(e) Consent Order Transfer Notice form provided below. Note that EPA's policy is that Section 5(e) Consent Orders may be transferred from the original Company to a Successor in Interest only after EPA receives a notice of commencement of manufacture or import ("NOC") for the PMN substance from the Company pursuant to 40 CFR 720.102. If the transfer from the Company to the Successor in Interest is effective before EPA receives a notice of commencement of manufacture or import ("NOC") for the PMN substance from the Company pursuant to 40 CFR 720.102, the Successor in Interest must submit a new PMN to EPA and comply fully with Section 5(a)(1) of TSCA and 40 CFR part 720 before commencing manufacture or import of the PMN substance.

"Transfer Notice" Forms

   Section 5(e) Consent Order (17 Kb PDF)

   Low Volume Exemption before 5/30/95 (9 Kb PDF)

   Low Volume Exemption on or after 5/30/95 (Adobe 10 Kb Acrobat PDF)

   Low Release and Exposure Exemption (67 Kb PDF) on or after 5/30/95

   Polymer Exemption (9 Kb PDF) before 5/30/95

Since there is no pre-manufacture submission required for the polymer exemption after May 1995, no such transfer notice form is provided here. However, for transfers of polymer exemptions that commenced manufacture after May 1995, it is recommended that the successor should submit to EPA a new polymer exemption report per 40 CFR 723.250(f) by January 31st of the year subsequent to initial manufacture of the chemical substance by the successor.

Submit completed forms to:
TSCA Document Control Officer (7407M),
Office of Pollution Prevention and Toxics,
U.S. Environmental Protection Agency,
1200 Pennsylvania Ave, NW
Washington, DC 20460.

Direct questions to: Roy Seidenstein, Phone: 202/564-9274, E-mail: seidenstein.roy@epa.gov


[PDF] PLEASE NOTE: Some of the documents mentioned in this Section are in Adobe's Portable Document Format (PDF). To view or print them you will need to have the Reader program installed on your computer. The Reader can be downloaded and used with no charge; check here for more information on the Reader.

 

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