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Successor Transfer Forms

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"Transfer Notice" forms

"Transfer Notice" forms 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 Orders 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 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 of the PMN substance.

Copies of "Transfer Notice" forms

Section 5(e) Consent Order (PDF) (5 pp, 17K)

Low Volume Exemption (PDF) (4 pp, 101K) before 05/30/95

Low Volume Exemption (PDF) (3 pp, 10K) on or after 05/30/95

Low Release and Exposure Exemption (PDF) (3 pp, 67K) on or after 05/30/95

Polymer Exemption (PDF) (3 pp, 9K) before 05/30/95

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 31 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.


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