Section 5 Notices and Supports 

User Guide - Secondary 

Agent/Consultant 

Environmental Protection Agency

Office of Pollution Prevention and Toxics

Delivery Order # GS00Q09BGD0022

Task Order # EP-G11H-00154

Project # TDD 9.21

Version 1.0 

December 22, 2014
Table of Contents

Table of Contents.........................................................................................................................i

List of Exhibits............................................................................................................................iv

1 Introduction ........................................................................................................................1

2 System Requirements ........................................................................................................2

2.1 Supported Browsers .....................................................................................................2

2.2 Screen Resolution ........................................................................................................2

3 Secondary Agent/Consultant Functions..............................................................................3

3.1 Log into Section 5 Notices and Supports Application....................................................4

3.2 Home Screen Navigation..............................................................................................5

3.3 Section 5 Notices and Supports Forms.........................................................................7

3.4 Create Passphrase.....................................................................................................10

3.5 Enter Passphrase.......................................................................................................12

3.6 Navigation Tree ..........................................................................................................13

3.7 Action Bar...................................................................................................................21

3.8 Attach Documents ......................................................................................................23

3.9 Search Substance Registry Services..........................................................................28

3.10 Add Facility.................................................................................................................33

4 Create Joint/Letter of Support PMN Form.........................................................................36

4.1 Create Joint Submission.............................................................................................36

4.1.1 General Form Information (Joint PMN) .................................................................36

4.1.2 Agent Information .................................................................................................39

4.1.3 Technical Contact Information ..............................................................................44

4.1.4 Chemical Identification..........................................................................................47

4.1.5 Class 1 or 2 Chemical Substances .......................................................................49

4.1.6 Class 2 Substances ..............................................................................................55

4.1.7 Additional Chemical Information ...........................................................................58

4.1.8 Polymer Identification Information.........................................................................63

4.1.9 Monomers and Other Reactants ...........................................................................67

4.1.10 Production Volume and Hazard/Safety Information...............................................72

4.1.11 Use Information ....................................................................................................75

4.1.12 Physical and Chemical Properties Worksheet.......................................................80

4.1.13 Physical and Chemical Properties Worksheet – Continued (Optional) ..................88

4.1.14 Physical and Chemical Properties Worksheet – Continued (Optional) Attach 

Documents ...........................................................................................................90

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4.1.15 Site Information.....................................................................................................94

4.1.16 Sites Controlled By Others....................................................................................95

4.1.17 Submitter Operation Information ...........................................................................97

4.1.18 Occupational Exposures .....................................................................................102

4.1.19 Environmental Releases .....................................................................................105

4.1.20 Industrial Sites Controlled By Others ..................................................................110

4.1.21 Exposures/Releases...........................................................................................113

4.1.22 Byproduct Information.........................................................................................118

4.1.23 Optional Pollution Prevention..............................................................................119

4.1.24 Additional Attachments .......................................................................................122

4.1.25 Attachment Summary .........................................................................................124

4.1.26 Optional Cover Letter..........................................................................................126

4.1.27 Upload XML........................................................................................................127

5 Create Biotechnology Joint/Letter of Support .................................................................130

5.1 Joint and Letter of Support Process..........................................................................130

5.1.1 General Form Information...................................................................................130

5.1.2 Technical Contact Information ............................................................................132

5.1.3 Optional Cover Letter..........................................................................................135

6 Create Bona Fide Letter of Support................................................................................137

6.1 Edit Bona Fide Form.................................................................................................137

6.1.1 General Document Information ...........................................................................137

6.1.2 Primary Contact Information ...............................................................................138

6.1.3 Technical Contact Information ............................................................................140

6.1.4 Chemical Identification Information .....................................................................142

6.1.5 Class 1 or 2/Biotechnology Chemical Substances ..............................................144

6.1.6 Class 2/Biotechnology Substances.....................................................................148

6.1.7 Polymer Identification Information.......................................................................150

6.1.8 Monomers and Other Reactants .........................................................................153

6.1.9 Use Information ..................................................................................................156

6.1.10 Document Management......................................................................................157

6.1.11 Optional Cover Letter..........................................................................................159

7 Preview ..........................................................................................................................160

8 Validate ..........................................................................................................................162

9 Submit to EPA via CDX..................................................................................................164

9.1 Submitting Official Information..................................................................................164

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9.2 Submitting On Behalf Of Company...........................................................................166

9.3 Submission Process: Validation................................................................................168

9.4 Cross-Media Electronic Reporting Regulation (CROMERR) Certification .................170

9.5 CROMERR Login .....................................................................................................171

9.6 Cross-Media Electronic Reporting Regulation (CROMERR) Security Question ........172

9.7 Submit to CDX..........................................................................................................173

9.8 Cross-Media Electronic Reporting Regulation (CROMERR) Submission..................174

10 Download Copy of Record..............................................................................................176

11 Create an Amendment ...................................................................................................178

12 Resources......................................................................................................................180

Appendix A. Definitions, Acronyms, and Abbreviations ...........................................................183

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List of Exhibits

Exhibit 3-1: Section 5 Notices and Supports User Roles Matrix ..................................................4

Exhibit 3-2: Chemical Information Submission System Screen ...................................................5

Exhibit 3-3: Section 5 Notices and Supports Home Screen.........................................................7

Exhibit 3-4: Section 5 Notices and Supports Forms Screen ......................................................10

Exhibit 3-5: Create Passphrase Screen.....................................................................................12

Exhibit 3-6: Enter Passphrase Screen.......................................................................................13

Exhibit 3-7: Navigation Prompt..................................................................................................14

Exhibit 3-8: Premanufacture Notice Navigation Tree (Scroll 1)..................................................16

Exhibit 3-9: Premanufacture Notice Navigation Tree (Scroll 2)..................................................17

Exhibit 3-10: Premanufacture Notice Navigation Tree (Scroll 3)................................................18

Exhibit 3-11: Premanufacture Notice Navigation Tree (Scroll 4)................................................19

Exhibit 3-12: Biotechnology Navigation Tree.............................................................................20

Exhibit 3-13: Bona Fide Navigation Tree (Class 1 or 2/Biotechnology Chemical Substances)...20

Exhibit 3-14: Bona Fide Navigation Tree (Polymer)...................................................................21

Exhibit 3-15: Action Bar – Validate............................................................................................22

Exhibit 3-16: Action Bar – Save.................................................................................................22

Exhibit 3-17: Action Bar – Preview ............................................................................................22

Exhibit 3-18: Action Bar – Submit..............................................................................................23

Exhibit 3-19: Help – Links .........................................................................................................23

Exhibit 3-20: Section 5 Document Types and Subtypes ............................................................25

Exhibit 3-21: Attach Documents Pop-Up Window (PMN or Biotechnology) ...............................27

Exhibit 3-22: Attach Documents Pop-Up Window (Bona Fide) ..................................................28

Exhibit 3-23: Search Substance Registry Services Pop-Up Window .........................................30

Exhibit 3-24: Chemical Not Found In Substance Registry Services Pop-Up Window ................32

Exhibit 3-25: Add Facility Message Pop-Up Window.................................................................34

Exhibit 3-26: Add Facility Pop-Up Window ................................................................................35

Exhibit 4-1: General Form Information Screen (Joint PMN).......................................................39

Exhibit 4-2: Agent Information Screen (Joint PMN) ...................................................................41

Exhibit 4-3: Add Agent Pop-Up Window....................................................................................43

Exhibit 4-4: Technical Contact Information Screen (Joint PMN) ................................................45

Exhibit 4-5: Add Technical Contact Window..............................................................................47

Exhibit 4-6: Chemical Identification Screen (Joint PMN)............................................................49

Exhibit 4-7: Class 1 or 2 Chemical Substances Screen (Joint PMN) (Scroll 1)..........................53

Exhibit 4-8: Class 1 or 2 Chemical Substances Screen (Joint PMN) (Scroll 2)..........................54

Exhibit 4-9: Class 2 Substances Screen (Joint PMN) (Scroll 1).................................................57

Exhibit 4-10: Class 2 Substances Screen (Joint PMN) (Scroll 2)...............................................58

Exhibit 4-11: Additional Chemical Information Screen (Joint PMN) (Scroll 1) ............................62

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Exhibit 4-12: Additional Chemical Information Screen (Joint PMN) (Scroll 2) ............................63

Exhibit 4-13: Polymer Identification Information Screen (Joint PMN) Scroll 1 ............................66

Exhibit 4-14: Polymer Identification Information Screen (Joint PMN) Scroll 2 ............................67

Exhibit 4-15: Monomers and Other Reactants Screen (Joint PMN) (Scroll 1)............................71

Exhibit 4-16: Monomers and Other Reactants Screen (Joint PMN) (Scroll 2)............................72

Exhibit 4-17: Production Volume and Hazard/Safety Information Screen (Joint PMN)...............75

Exhibit 4-18: Use Information Screen (Joint PMN) (Scroll 1) .....................................................79

Exhibit 4-19: Use Information Screen (Joint PMN) (Scroll 2).....................................................80

Exhibit 4-20: Physical and Chemical Properties Worksheet Screen (Joint PMN) (Scroll 1) .......87

Exhibit 4-21: Physical and Chemical Properties Worksheet Screen (Joint PMN) (Scroll 2) .......88

Exhibit 4-22: Physical and Chemical Properties Worksheet – Continued (Optional) Screen (Joint 

PMN) ........................................................................................................................................90

Exhibit 4-23: Physical and Chemical Properties Worksheet – Continued (Optional) Attach 

Documents Window (Joint PMN) (Scroll 1) ...............................................................................92

Exhibit 4-24: Physical and Chemical Properties Worksheet – Continued (Optional) Attach 

Documents Window (Joint PMN) (Scroll 2) ...............................................................................93

Exhibit 4-25: Submitter Controlled Site Information Screen (Joint PMN) ...................................95

Exhibit 4-26: Sites Controlled By Others Screen (Joint PMN)....................................................97

Exhibit 4-27: Submitter Operation Information Screen (Joint PMN) (Scroll 1)..........................101

Exhibit 4-28: Submitter Operation Information Screen (Joint PMN) (Scroll 2)..........................102

Exhibit 4-29: Occupational Exposures Screen (Joint PMN).....................................................105

Exhibit 4-30: Environmental Releases Screen (Joint PMN) (Scroll 1)......................................109

Exhibit 4-31: Environmental Releases Screen (Joint PMN) (Scroll 2)......................................110

Exhibit 4-32: Industrial Sites Controlled By Others Screen (Joint PMN) ..................................113

Exhibit 4-33: Exposures/Releases Screen (Joint PMN) (Scroll 1)............................................116

Exhibit 4-34: Exposures/Releases Screen (Joint PMN) (Scroll 2)............................................118

Exhibit 4-35: Byproduct Information Screen (Joint PMN).........................................................119

Exhibit 4-36: Optional Pollution Prevention Screen (Joint PMN)..............................................122

Exhibit 4-37: Additional Attachments Screen (Joint PMN).......................................................124

Exhibit 4-38: Attachment Summary Screen (Joint PMN) .........................................................126

Exhibit 4-39: Optional Cover Letter Screen (Joint PMN)..........................................................127

Exhibit 4-40: Upload XML Screen ...........................................................................................129

Exhibit 5-1: General Form Information Screen (Joint Biotechnology) ......................................132

Exhibit 5-2: Technical Contact Information Screen (Joint Biotechnology)................................133

Exhibit 5-3: Add Technical Contact Window............................................................................135

Exhibit 5-4: Optional Cover Letter Screen ...............................................................................136

Exhibit 6-1: General Document Information Screen (Letter of Support)...................................138

Exhibit 6-2: Primary Contact Information Screen.....................................................................140

Exhibit 6-3: Technical Contact Information Screen..................................................................142

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Exhibit 6-4: Chemical Identification Information Screen...........................................................143

Exhibit 6-5: Class 1 or 2/Biotechnology Chemical Substances Screen....................................147

Exhibit 6-6: Class 2/Biotechnology Substances Screen (Scroll 1) ...........................................149

Exhibit 6-7: Class 2 Substances Screen (Scroll 2) ..................................................................150

Exhibit 6-8: Polymer Identification Information Screen ............................................................153

Exhibit 6-9: Monomers and Other Reactants Screen ..............................................................156

Exhibit 6-10: Use Information Screen......................................................................................157

Exhibit 6-11: Document Management Screen .........................................................................158

Exhibit 6-12: Optional Cover Letter Screen .............................................................................159

Exhibit 7-1: Preview Biotechnology Form Screen....................................................................160

Exhibit 7-2: Preview Biotechnology Form PDF........................................................................161

Exhibit 8-1: Section 5 Notices and Supports Validation Pop-Up Window ................................163

Exhibit 9-1: Submitting Official Information Screen..................................................................166

Exhibit 9-2: Submitting On Behalf Of Company Screen...........................................................168

Exhibit 9-3: Submission Process: Validation Screen ...............................................................169

Exhibit 9-4: Submission Process: PDF Generation Screen .....................................................170

Exhibit 9-5: Cross-Media Electronic Reporting Regulation (CROMERR) Certification Screen.171

Exhibit 9-6: Cross-Media Electronic Reporting Regulation (CROMERR) Login Screen...........172

Exhibit 9-7: Cross-Media Electronic Reporting Regulation (CROMERR) Security Question 

Screen ....................................................................................................................................173

Exhibit 9-8: Submit to CDX Screen .........................................................................................174

Exhibit 9-9: Cross-Media Electronic Reporting Regulation (CROMERR) Submission Screen .175

Exhibit 10-1: Download Copy of Record Screen......................................................................176

Exhibit 10-2: Download Prompt Screen...................................................................................177

Exhibit 11-1: Section 5 Notices and Supports Form – Amendment .........................................178

Exhibit 11-2: Unlock Prompt Message ....................................................................................179

Exhibit 12-1: Resources Screen (Scroll 1)...............................................................................181

Exhibit 12-2: Resources Screen (Scroll 2)...............................................................................182

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Revision Log

Date Version 

No.

Description Author Reviewer Review 

Date

09/20/13 0.01 Initial Draft of User Guide C. Yeh

J. DeRosa 

A. Jaynes

J. Ritchey

09/20/13

12/22/14 1.0 Final Section 5 Notices and Supports 

Secondary Agent/Consultant User 

guide 

Incorporated Release 1.00 

enhancements, other OPPT 

comments 

C. Yeh J. Bronick 12/22/14

TDD 9.21 OPPT CIS Section 5 Notices and Supports User Guide December 22, 2014

Secondary Agent/Consultant vii
1 Introduction

This document presents the user guide for the Office of Pollution Prevention and Toxics (OPPT)

Section 5 Notices and Supports application submission process. This document is the user guide

for the Secondary Agent/Consultant user of the Section 5 Notices and Supports application.

The Section 5 Notices and Supports application is the electronic, web-based tool provided by

Environmental Protection Agency (EPA) for the submission of Section 5 Notices and Supports

data. As a Secondary Agent/Consultant, you can create or modify a Joint Form/Letter of Support 

for a Section 5 Notices and Supports form. You can also delete Joint Section 5 Notices and 

Supports forms, submit amendments to Joint submissions and download the Copy of Record

(CoR). You will not have the ability to submit Joint Forms or Letters of Support, but may submit 

amendments to these forms.

For questions concerning the Toxic Substances Control Act (TSCA) Section 5 Notices and 

Supports software requirements, please contact the Central Data Exchange (CDX) Help Desk 

at helpdesk@epacdx.net or call 1-888-890-1995 between the hours of 8 am – 6 pm Eastern 

Standard Time (EST). For questions concerning the TSCA Section 5 Notices and Supports 

reporting requirements, please contact the TSCA Hotline at TSCA-Hotline@epamail.epa.gov or 

call 202-554-1404 between the hours of 8:30 am – 5:00 pm EST.

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2 System Requirements 

To use the Section 5 Notices and Supports application to submit a Section 5 Notices and 

Supports form, the following are required:

• An e-mail account

• JavaScript enabled web browser 

• Internet access

• Adobe Acrobat Reader 5.0 or higher

• CDX username and password

2.1 Supported Browsers

• Internet Explorer (IE) 7 or above (Internet Explorer 8 or higher is recommended; issues 

found using IE 7 will be resolved on a case-by-case basis during post-production and known 

issues within IE 7 are identified within the appropriate sections of this guide) 

− Go to the following link to download: 

http://windows.microsoft.com/en-US/internet-explorer/downloads/ie

• Mozilla Firefox 3.0 or above

− Go to the following link to download:

http://www.mozilla.com/en-US/firefox/all-older.html

• Safari 4 or above

− Go to the following link to download: 

http://support.apple.com/kb/dl877

• Google Chrome 

− Go to the following link to download:

http://www.google.com/chrome

• Opera 

− Go to the following link to download:

http://www.opera.com/download

2.2 Screen Resolution

• Screen resolution should be set to 1024 x 768 or greater.

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3 Secondary Agent/Consultant Functions

This section describes how to:

• Access the application

• Navigate the Section 5 Notices and Supports ‘Home’ screen

• Create, edit, amend, or delete the Section 5 Notices and Supports Letters of Supports and 

Joint Submissions for a Premanufacture Notice (PMN) form, Biotechnology form, and/or 

Bona Fide

• Upload an extensible markup language (XML) file 

• Download a Copy of Record

The Secondary Agent/Consultant is not responsible for the submission of original Letters of 

Support and/or Joint forms for PMN, Biotechnology, or Bona Fide. The Secondary 

Agent/Consultant can create, edit, amend, or delete Joint Forms or Letters of Support. 

The system uses Cross-Media Electronic Reporting Regulation (CROMERR) encryption security 

during the submission signing process. 

The Secondary Agent/Consultant can be responsible for receiving the unique identification 

number that will be sent after an original Section 5 Notices and Supports form was submitted and 

designated by the Primary Authorized Official (AO) or Primary Agent/Consultant as pending a 

Joint Form and/or Letter of Support form. 

You can save the form at any point during the data entry process. The save functionality will 

allow you to return to that same submission at any point in the future. You can print the 

submission at any point; however, the ‘Not For Submission’ watermark will be placed on the 

form anytime the form is printed prior to actual submission.

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Exhibit 3-1 displays a table of the capabilities of user roles within the Section 5 Notices and 

Supports application. 

Exhibit 3-1: Section 5 Notices and Supports User Roles Matrix

3.1 Log into Section 5 Notices and Supports Application 

After you create an account in CDX, click the ‘Secondary Agent/Consultant’ link for the 

Chemical Safety and Pesticide Programs (CSPP) data flow to navigate to the ‘Chemical 

Information Submission System’ screen.

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Exhibit 3-2 shows a screen capture of the ‘Chemical Information Submission System’ screen:

Exhibit 3-2: Chemical Information Submission System Screen

Navigation: To access the Section 5 Notices and Supports ‘Home’ screen, select ‘TSCA Section 

5 Notices and Supports - ePMN’ from the drop-down menu and click the ‘OK’ button.

3.2 Home Screen Navigation

You can access the Section 5 Notices and Supports ‘Home’ screen by selecting ‘TSCA Section 5 

Notices and Supports - ePMN’ from the submission type drop-down menu on the ‘Chemical 

Information Submission System’ screen and clicking the ‘OK’ button. 

TDD 9.21 OPPT CIS Section 5 Notices and Supports User Guide December 22, 2014

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The Section 5 Notices and Supports ‘Home’ screen is the first screen within the Section 5 

Notices and Supports application. It provides you with links and tabs to access the ‘Section 5 

Notices and Supports Forms’ and ‘Resources’ screens. To navigate to any of these screens, click

the corresponding screen link (highlighted in blue text), or click the screen tab (located within 

the application header). The links and tabs provide the same functionality.

There is a ten (10) minute logout timer for this application; the application will automatically log 

you out after ten minutes of inactivity and navigate you back to the CDX login screen.

• Forms: Click the ‘Forms’ link or tab to navigate to the ‘Section 5 Notices and Supports 

Forms’ screen. You can create, modify, or delete a Section 5 Notices and Supports form 

using the ‘Section 5 Notices and Supports Forms’ screen. For additional details about the 

‘Section 5 Notices and Supports Forms’ screen, please refer to Section 3.3.

• Resources: Click the ‘Resources’ link or tab to navigate to the ‘Resources’ screen. You can 

find the Section 5 Notices and Supports user guide, as well as useful links for guidance 

documents on the ‘Resources’ screen. For additional details about the ‘Resources’ screen, 

please refer to Section 12.

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Exhibit 3-3 shows a screen capture for the Section 5 Notices and Supports ‘Home’ screen:

Exhibit 3-3: Section 5 Notices and Supports Home Screen

Navigation: Click the ‘Forms’ link or tab to access the ‘Section 5 Notices and Supports Forms’

screen.

3.3 Section 5 Notices and Supports Forms

You can access the ‘Section 5 Notices and Supports Forms’ screen by clicking the ‘Forms’ link

from the Section 5 Notices and Supports ‘Home’ screen, or by clicking the ‘Forms’ tab located 

within the application header.

Only one Section 5 Notices and Supports Form is created per form alias, which helps 

differentiate between forms. Each column within the table of the ‘Section 5 Notices and Supports 

Forms’ screen can be sorted by clicking the individual column headers. 

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Start New Form: To create a new Section 5 Notices and Supports Joint Submission/Letter of 

Support, click the ‘Start New Form’ button. You will be required to enter the unique 

identification number supplied by the Primary AO or Primary Agent/Consultant and create a 

passphrase that will be associated with your particular form. Make sure to create a passphrase 

that you will remember, as it cannot be retrieved or reset. Refer to Section 3.4 for further 

instructions on creating a new passphrase.

Edit an ‘In Progress’ Form: To modify an existing Section 5 Notices and Supports form, click

the ‘Alias’ link for a form with a status of ‘In Progress.’ You are required to enter the passphrase 

associated with that particular form to access and edit the form. Refer to Section 11 for further 

instructions on viewing and modifying a form that is ‘In Progress.’

Amend a submitted form: To edit an already submitted Section 5 Notices and Supports form 

(i.e., to create an amendment), you must first unlock the particular form by clicking the ‘Lock’

icon ( ) under the ‘Action’ column. You are required to enter the passphrase associated with 

that particular submission to gain access and continue amending the submission. All further 

changes that are made will be submitted as an amendment. Refer to Section 11 for further 

instructions on creating an amendment. 

The ‘Section 5 Notices and Supports Forms’ screen displays the following columns of 

information: 

• Alias: Displays the form alias you provided within the ‘General Form Information,’ within a 

PMN or Biotechnology form or the ‘General Document Information’ screen within a Bona 

Fide Notice. The ‘Alias’ column will display a default alias comprised of a form type, date 

stamp and time stamp in the following format: Form Type-YYYYMMDD-HH:MM:SS Time 

Zone if you accept the auto-generated ‘Form Alias’ on the first screen in a Section 5 Notices 

and Supports form. A form alias is helpful when a user or company has multiple forms and/or 

when you must differentiate between forms. Click the form alias link to navigate to the 

‘Enter Passphrase’ screen to access a form. 

• Type: Displays the form type pertaining to the reported chemical substance or mixture. This 

column can contain the following values: ‘Joint PMN,’ ‘Joint Biotechnology,’ or ‘Joint Bona 

Fide.’

• Subtype: This column will not populate for a Secondary Agent/Consultant. 

• Case Number: Displays the form case number pertaining to the reported chemical substance 

or mixture after EPA receives the submission. In all cases, the ‘XX’ represents the fiscal year 

in which the form was submitted, and the ‘XXXX’ represents the order in which the form 

was received. A consolidated submission will generate sequential case numbers for each 

chemical identified within the form and will display all case numbers associated with that 

specific form. If the form has not been submitted and received, the ‘Case Number’ field 

remains blank.

− A PMN submission can have the following case number formats: P-XX-XXXX for PMN, 

SN-XX-XXXX for SNUN, L-XX-XXXX for LVE, LM-XX-XXXX for LVE 

Modifications, X-XX-XXXX for LOREX, XM-XX-XXXX for LOREX Modifications, TXX-XXXX for TMEA, and I-XX-XXXX for Mock PMN notice types. 

TDD 9.21 OPPT CIS Section 5 Notices and Supports User Guide December 22, 2014

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− A Biotechnology form can have the following case number formats: J-XX-XXXX for 

MCAN, R-XX-XXXX for TERA, G-XX-XXXX for Tier I Exemption, H-XX-XXXX for 

Tier II. 

− Bona Fide Notices will have a case number format of BF-XX-XXXX. 

• Status: Displays the status of the Section 5 Notices and Supports form. The values will 

display as either ‘In Progress’ or ‘Submitted.’ 

• Modify Date: Displays the date the form was last modified.

• Submission Date: Displays the date the form was submitted to EPA via CDX. This date 

populates only after the form has been submitted. 

• Copy of Record: Click the ‘Copy of Record’ icon ( ) to navigate to the ‘Enter Passphrase’

screen, then the ‘Cross-Media Electronic Reporting Regulation (CROMERR) Login’ screen 

to continue to the ‘Copy of Record’ screen. The ‘Copy of Record’ icon ( ) displays only 

after the form has been completed. Refer to Section 10 for further instructions on 

downloading the Copy of Record. If you have just submitted via CDX, the ‘Copy of Record’ 

icon ( ) may take 15-20 minutes to display. In addition, you must refresh the ‘Section 5 

Notices and Supports Forms’ screen for the ‘Copy of Record’ icon ( ) to display.

• Action: Displays a ‘Delete’ icon ( ) for all forms with a status of ‘In Progress.’ Click the 

‘Delete’ icon to delete a form. This column displays a ‘Lock’ icon ( ) for all forms that 

have been submitted and are not ‘In Progress.’ You can unlock a form by clicking the ‘Lock’ 

icon ( ) and unlocking the form. The form will remain unlocked and display the ‘Unlocked’ 

icon ( ) until the form is resubmitted as an amendment by a Secondary Agent/Consultant. 

• Items Per Page: Select a value (‘25,’ ‘50,’ ‘75,’ or ‘100’) from this drop-down menu to 

specify the number of forms to display on a single page. 

• Export Options: Displays ‘CSV,’ ‘Excel,’ ‘XML,’ and ‘PDF’ links for you to export the 

‘Section 5 Notices and Supports Forms’ screen in one of the specified formats as an Excel 

spreadsheet, Comma-Separated Values (CSV) file, XML, or portable document format

(PDF). The export options section will not display until a form is created. 

• Start New Form: Click this button to start a new form and navigate to the ‘Create 

Passphrase’ screen. This button is only available to Authorized Officials and 

Agents/Consultants.

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Exhibit 3-4 shows a screen capture of the ‘Section 5 Notices and Supports Forms’ screen:

Exhibit 3-4: Section 5 Notices and Supports Forms Screen 

Navigation: Click the ‘Start New Form’ button to navigate to the ‘Create Passphrase’ screen. 

3.4 Create Passphrase 

To start a new Section 5 Notices and Supports Joint/Letter of Support for a PMN, 

Biotechnology, or Bona Fide Notice, click the ‘Start New Form’ button. The ‘Create Passphrase’

screen provides a text field for you to enter in the unique identification number supplied by the 

Primary AO or Primary Agent/Consultant and create a passphrase to associate that passphrase 

with the form. 

The application uses the passphrase as an encryption key to protect the contents of the form. You

are responsible for remembering the passphrase and distributing it to the appropriate individuals.

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If you forget the passphrase, you will not have access to the form and will not be able to view, 

print, submit, or make changes. If you lose or forget the passphrase, you must create a new form 

and passphrase. For security reasons, the system administrator does not have access to the 

passphrase and will not be able to retrieve it or reset it to a new one. 

Unique Identifier: Enter in the unique identifier that was provided by the Primary AO or 

Primary Agent/Consultant.

New Passphrase: To associate a passphrase with a form, enter a passphrase that is at least 8

characters in length. To protect your account, your passphrase should contain a combination of 

letters and numbers. The passphrase you create may include spaces, but should not contain 

special characters (for example, +,?, and *). You can associate the same passphrase with multiple 

forms. 

You will be responsible for remembering the passphrase and distributing it to only 

authorized Supports for an individual form. If you forget the passphrase, you will not be 

able to access the Section 5 Notices and Supports form to print, submit, or make changes. 

TDD 9.21 OPPT CIS Section 5 Notices and Supports User Guide December 22, 2014

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Exhibit 3-5 shows a screen capture of the ‘Create Passphrase’ screen for a Secondary

Agent/Consultant:

Exhibit 3-5: Create Passphrase Screen

Navigation: Create a passphrase and click the ‘Next’ button to navigate to the ‘General Form 

Information’ screen in a PMN or Biotechnology form. Click the ‘Next’ button to navigate to the 

‘General Document Information’ screen in a Bona Fide Notice. 

3.5 Enter Passphrase 

To edit a form click the ‘Alias’ link for a Section 5 Notices and Supports form with a status of 

‘In Progress’ on the ‘Section 5 Notices and Supports Forms’ screen. The ‘Enter Passphrase’

screen requires you to enter the passphrase that is associated with the form.

Enter Passphrase: Enter the passphrase that was originally created and associated with the 

form. 

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Exhibit 3-6 shows a screen capture of the ‘Enter Passphrase’ screen:

Exhibit 3-6: Enter Passphrase Screen 

Navigation: Enter the passphrase that was originally created and associated with the form and 

click the ‘Next’ button to navigate to the ‘General Form Information’ screen in a PMN or 

Biotechnology form. Click the ‘Next’ button to navigate to the ‘General Document Information’ 

screen in a Bona Fide Notice.

3.6 Navigation Tree

The navigation tree is located on the left hand side of each screen. It allows you to navigate 

between the various screens within the application and the different sections of the form. You 

can perform the following functions using the navigation tree:

• Open and close the navigation tree: A navigation arrow that opens and closes the 

navigation tree is located to the right of the navigation tree to provide more visual form 

space. Click the arrow ( ) on the open navigation tree to close the navigation tree and 

increase the space of the form content. Likewise, click the arrow ( ) on the closed navigation 

tree to open the navigation tree.

• Collapse and Expand folders: Each section of the form falls under a collapsible folder 

within the navigation tree which allows you to save space or easily view items in the 

navigation tree. When a folder is expanded, you can click the minus sign (-), the ‘Folder’ 

icon ( ), or the folder title link to collapse that section of the navigation tree. When a folder 

is collapsed, you can click the plus sign (+), the ‘Folder’ icon ( ), or the folder title link to 

expand that section of the navigation tree. When you place your cursor over a folder title 

link, it will highlight in red. 

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• Navigate between screens: You can use the navigation tree to navigate between the various 

screens within the application and the different sections of the form. A ‘Form’ icon ( )

denotes each section of a form. Click a ‘Form’ icon ( ) or a section title link to navigate 

between screens. You are required to save all information entered on a particular screen 

before navigating to the next screen or all entered information will be lost. A prompt will 

appear after you click a link in the navigation tree indicating, ‘Are you sure you want to leave 

the current page? Any unsaved changes will be lost.’ Click the ‘OK’ button to navigate to the 

requested screen without saving any of the data in the previous screen. Click the ‘Cancel’ 

button to close the prompt and remain on the current screen.

Exhibit 3-7 shows a screen capture of the navigation prompt window:

Exhibit 3-7: Navigation Prompt 

• Delete chemical folders: Click the ‘Delete’ icon ( ) that displays at the bottom of each 

folder within the navigation tree of a PMN form to delete specific chemical folders. When a 

chemical folder is deleted, all information entered within the deleted chemical report is lost 

and cannot be retrieved. Click the ‘Add Consolidated Chemical’ link and fill in all 

corresponding data to add a new chemical report. This delete functionality is not applicable 

to the Biotechnology or Bona Fide Notice and is unavailable when amending a PMN form.

• Copy chemical folders: Click the ‘Copy’ icon ( ) that displays at the bottom of each 

chemical folder within the navigation tree of a PMN form to copy a specific chemical folder. 

When a chemical folder is copied, the chemical name, Chemical Abstracts Service Registry 

Number (CASRN), and attached documents are removed from the copied chemical. This 

copy functionality is not applicable to the Biotechnology or Bona Fide Notice forms, and is 

unavailable when amending a PMN form.

• Delete ‘Submitted Controlled Operations’ or ‘Operations Controlled By Others’: Click 

the ‘Delete’ icon ( ) that displays at the bottom of each ‘Submitter Controlled Operations’ 

or ‘Operations Controlled by Others’ folder within the navigation tree to delete a specific 

operations folder. When a ‘Submitter Controlled Operations’ or ‘Operations Controlled By 

Others’ folder is deleted, all information entered within the deleted operation is lost and 

cannot be retrieved. Click the ‘Add Operation’ link under the appropriate operations folder 

and fill in all corresponding data to add a new ‘Submitter Controlled Operations’ or 

‘Operation Controlled By Others’ folder. The delete functionality is not applicable while a 

user is navigating on a screen within the ‘Operations Controlled by Others’ folder. This 

delete functionality is not applicable to a Biotechnology form or a Bona Fide Notice. 

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• Upload XML: The system displays an ‘Upload XML’ button in the navigation tree to allow 

a user to upload an XML file into a PMN form or Joint PMN form, or to export an existing 

PMN form into an XML file format. A user may also upload eTSCA thick client files into a 

PMN form. If an XML file is uploaded into an existing form, the contents of that XML file 

overwrite the contents within the PMN form. For more information about the upload XML 

functionality, refer to Section 4.1.27 for additional information. 

Please note that in IE 7, the scroll bar within the navigation bar may freeze and portions of the 

scroll bar may be missing which can prevent you from using the navigation tree. If the scroll bar 

freezes, click the ‘Previous’ and ‘Next’ buttons on a page to navigate, or click other links within 

the navigation tree to continue within the form. 

 

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Exhibit 3-8 shows a screen capture of the ‘PMN’ navigation tree (Scroll 1):

Exhibit 3-8: Premanufacture Notice Navigation Tree (Scroll 1)

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Exhibit 3-9 shows a screen capture of the ‘PMN’ navigation tree (Scroll 2):

Exhibit 3-9: Premanufacture Notice Navigation Tree (Scroll 2)

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Exhibit 3-10 shows a screen capture of the ‘PMN’ navigation tree (Scroll 3):

Exhibit 3-10: Premanufacture Notice Navigation Tree (Scroll 3)

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Exhibit 3-11 shows a screen capture of the ‘PMN’ navigation tree (Scroll 4): 

Exhibit 3-11: Premanufacture Notice Navigation Tree (Scroll 4)

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Exhibit 3-12 shows a screen capture of the ‘Biotechnology’ navigation tree:

Exhibit 3-12: Biotechnology Navigation Tree

Exhibit 3-13 shows a screen capture of the ‘Bona Fide’ navigation tree (Class 1 or 

2/Biotechnology chemical substances):

Exhibit 3-13: Bona Fide Navigation Tree (Class 1 or 2/Biotechnology Chemical 

Substances) 

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Exhibit 3-14 shows a screen capture of the ‘Bona Fide’ navigation tree (Polymer):

Exhibit 3-14: Bona Fide Navigation Tree (Polymer) 

3.7 Action Bar

The action bar is located at the bottom of the form section on each screen. You can perform the 

following functions using the action bar:

• Validate: Click the ‘Validate’ icon ( ) at any stage of completing a Section 5 Notices and 

Supports form. A ‘Section 5 Notices and Supports Validation’ pop-up window generates

when you click the ‘Validate’ icon ( ) if you disable the pop-up blocker within your 

internet browser. The ‘Section 5 Notices and Supports Validation’ pop-up window displays a 

report of all warning messages and validation errors. On screens that display an 

expandable/collapsible field set, you must click the ‘Save’ button displayed within the 

expandable/collapsible field set to save the information entered within the field set before the 

‘Validate’ functionality initiates. Refer to Section 8 for more information on validating a 

form.

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The following exhibits, Exhibit 3-15, Exhibit 3-16, Exhibit 3-17, and Exhibit 3-18, show screen 

captures for the action bar:

Exhibit 3-15: Action Bar – Validate

• Save: Click the ‘Save’ icon ( ) at any stage of completing a Section 5 Notices and Supports

form. To generate and access links to other pages of the form within the navigation tree, you 

must click the ‘Save’ icon ( ) within the action bar. After you click the ‘Save’ icon ( ),

you will receive a prompt indicating that all data entered in the form has been saved 

successfully. The save function does not validate any data entered. On screens that display an 

expandable/collapsible field set, you must click the ‘Save’ button displayed within the 

expandable/collapsible field set to save the information entered before being able to click the 

‘Save’ icon ( ) located within the action bar, or use the ‘Previous’ and ‘Next’ buttons to 

navigate to another page. Click the ‘Previous’ and ‘Next’ buttons on a form to save the data 

entered within a form. Click the ‘X’ button in the upper right-hand corner of the form in your 

browser to close the form without saving. 

Exhibit 3-16: Action Bar – Save

• Preview: Click the ‘Preview’ icon ( ) at any stage of completing a Section 5 Notices and 

Supports form to preview the form. After you click the ‘Preview’ icon ( ), you will be given 

the option to view a regular version of the PDF (the confidential business information (CBI) 

version of the form or the non-CBI version of the form if the form contains no CBI) or a 

sanitized version of the PDF. Choosing either option will generate and display a watermarked 

PDF of the form in a separate tab of your internet browser. Please note that attachment 

header sheets no longer generate within the PDF. 

Exhibit 3-17: Action Bar – Preview

• Submit: As a Secondary Agent/Consultant you may click the ‘Submit’ icon ( ) to only 

submit amendments to Joint Forms or Letters of Supports or after you or the Support have 

completed all sections of the Section 5 Notices and Supports submission process. You do not 

have the ability to submit original Letters of Support for PMN, Bona Fide Notices, or 

Biotechnology forms.

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Exhibit 3-18: Action Bar – Submit

Please note that in IE 7, the action bar may align to the left or right of the screen when viewing 

certain sections of the form. 

• Help Links: You can click any of the ‘Help’ links, located at the bottom of each screen, at 

any stage of completing a Section 5 Notices and Supports form.

− If you click the ‘CDX Homepage’ link, the application takes you to the CDX Homepage. 

− If you click the ‘MyCDX Homepage’ link, the application takes you to the CDX Login

screen.

− If you click the ‘EPA Homepage’ link, the application takes you to the EPA Homepage. 

− If you click the ‘Terms and Conditions’ link, the application takes you to the CDX Terms 

and Conditions screen.

− If you click the ‘Privacy Notice’ link, the application takes you to the CDX Privacy and 

Security Notice screen.

Exhibit 3-19 shows a screen capture of the ‘Help’ links:

Exhibit 3-19: Help – Links

3.8 Attach Documents 

The ‘Attach Document’ button displays on various screens within a Section 5 Notices and 

Supports form, and provides functionality for you to attach supporting documents where needed. 

Click the ‘Attach Document’ button displayed on a screen to access the ‘Attach Documents’ 

pop-up window. You can attach a file and enter a description, number of pages, and indicate CBI 

status. There is no limit on the size of the file that can be attached; however, the application 

prevents a user from uploading an empty document. 

The system allows you to claim an uploaded document as CBI. If you claim a document as CBI, 

the system requires you to upload a sanitized version of the attached document. If you wish to 

change a CBI attachment to be non-CBI by un-checking the ‘CBI’ checkbox, a warning appears

to notify you that un-checking the ‘CBI’ checkbox will delete the sanitized file. If you neglect to 

populate a required field and click the ‘OK’ button, an error message will display to indicate the 

missing field and the application deletes the previously attached file. 

After you upload a document to be attached, the ‘Attach Documents’ pop-up window will close 

and the document’s information will display in a table format on the screen. Depending on the 

screen, the attachment table may display the section of the page the file is associated with, the 

file name and file extension of the document, a description of the document, the number of pages 

in the document, and if the document was claimed CBI. Click the ‘Delete’ icon ( ) located 

under the ‘Actions’ column to delete unwanted documents. To view, open, or edit previously 

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attached documents, click the appropriate file name of the document within the ‘File Name’ 

column of the document table to view previously entered document information. 

Please note that in IE 7, the ‘Cancel’ button within the ‘Attach Documents’ pop-up window 

disappears and reappears when checking the ‘CBI’ checkbox.

• Type: Select the document type from the drop-down menu of the document that you upload.

For additional information regarding document types, refer to Exhibit 3-20. This is a required 

field. 

• Subtype: Select the document type from the drop-down menu of the document that you 

upload. For additional information regarding document subtypes, refer to Exhibit 3-20. This 

is a required field when displayed. 

• Attachment: Click the ‘Browse’ button to generate the ‘File Upload’ window to search for a 

particular file on your hard drive. The application prevents the upload of empty documents. 

The attached file can be one of the following file types: .pdf, .mol, .ppt, .pptx, .xls, .xlsx, 

.doc, .docx, .rtf, .txt, .gif, .jpg, .png, .bpm, .fas, .gbk, or .embl.

• Description: Enter the description associated with the document. Submitters should not 

include any CBI information in the description of the file information. This is a required 

field. 

• Number of Pages: Enter the number of pages in a document. This is a required field.

• Check to claim the attachment as CBI: Check the ‘CBI’ checkbox to claim the attached 

document as confidential. Un-checking the ‘CBI’ checkbox for a CBI document generates a 

warning notifying you that un-checking the CBI claim will delete the sanitized file. 

• Sanitized Attachment: Click the ‘Browse’ button to generate the ‘File Upload’ window to 

search for a particular file on your hard drive. The attached file can be one of the following 

file types: .pdf, .ppt, .pptx, .xls, .xlsx, .doc, .docx, .rtf, .txt, .gif, .jpg, .png, .bpm, .fas, .gbk, or 

.embl. For any attached document claimed as CBI, you will be required to attach a sanitized 

version of the document. 

• Cancel: Click the ‘Cancel’ button to cancel the attach document process. 

• OK: Click the ‘OK’ button to attach and link the document uploaded on the ‘Attach 

Documents’ window to the form. If a field is missing, a warning message will display 

notifying you that all attachments must be re-attached and the missing field must be 

populated. 

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Exhibit 3-20 displays a table of the document types and subtypes for each Section 5 Notices and 

Supports form: 

Exhibit 3-20: Section 5 Document Types and Subtypes

Form Type Document Type Document Subtypes

PMN & 

Support

Aquatic Ecotoxicity • Algae Toxicity

• Fish Acute Toxicity

• Fish Chronic Toxicity

• Invertebrate Acute Toxicity

• Invertebrate Chronic Toxicity

Chemical Structure Diagram • Not applicable (N/A)

Correspondence • N/A

Fate • BCF/BAF (bioconcentration factors / bioaccumulation 

factors)

• Biodegradation

• Fugacity

• Hydrolysis

• Monitoring data (e.g., air, water, soil, biota, human)

• Partitioning (e.g., Koc, Kd, Kow, Koa, Henry’s law 

constant)

• Photolysis

GPC • N/A

Genetic Toxicity • Chromosomal Aberrations Assay

• Genetic Mutation Assay

• Unscheduled DNA (Deoxyribonucleic acid) Synthesis

Health Toxicity • Acute Toxicity

• Carcinogenicity

• Combined RepeatedDose/Developmental/Reproductive Toxicity

• Dermal Irritation

• Developmental Toxicity

• Eye Irritation

• Immunotoxicity

• Neurotoxicity

• Pharmacokinetics/Metabolism

• Repeated-Dose Toxicity

• Reproductive Toxicity

• Sensitization

IES Report • N/A

Other • A free text field generates for a user to provide a 

description of the document type

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Form Type Document Type Document Subtypes

Process Diagram - Other • N/A

Process Diagram – Submitter • N/A

Safety Datasheet • MSDS/SDS (material safety data sheet / safety data 

sheet)

• Technical Datasheet

Terrestrial Ecotoxicity • Avian Toxicity

• Invertebrate Toxicity

• Plant Toxicity 

Biotechnology Published Literature • N/A

Regs and Certifications • N/A

ID • Identification (ID) Sequence Data

• Other ID Data

• Strain History

Construct • Construct Methodology

• Construct Data

• Gene Sequence Data

Effects • Human Health Effects

• Environmental Effects

• Pathogenicity Data

• Antibiotic Resistance

• Metabolism

MSDS • N/A

Manufacturing Details • N/A

Use Details • N/A

Inactivation Data • N/A

Other • A free text field generates for a user to provide a 

description of the document type

Bona Fide Spectrum of Substance • N/A

Statement of 

Commercialization

• N/A

Statement of Research and 

Development

• N/A

Other • A free text field generates for a user to provide a 

description of the document type

NOC CBI Substantiation K • N/A 

ACM N/A • N/A

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Exhibit 3-21 shows a screen capture of the ‘Attach Documents’ pop-up window that displays 

within the majority of forms:

Exhibit 3-21: Attach Documents Pop-Up Window (PMN or Biotechnology)

Navigation: Click the ‘Cancel’ button or ‘X’ icon in the upper right-hand corner to cancel the 

document attachment process. Click the ‘OK’ button to attach the document to the form and 

navigate back to the original screen from which the document attachment process was initiated.

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Exhibit 3-21 shows a screen capture of the ‘Attach Documents’ pop-up window for a Bona Fide 

Notice:

Exhibit 3-22: Attach Documents Pop-Up Window (Bona Fide)

Navigation: Click the ‘Cancel’ button or ‘X’ icon in the upper right-hand corner to cancel the 

document attachment process. Click the ‘OK’ button to attach the document to the form and 

navigate back to the original screen from which the document attachment process was initiated. 

3.9 Search Substance Registry Services

The ‘Search SRS’ button displays on various screens within a Section 5 Notices and Supports 

form to identify chemicals that may be stored in SRS. 

Search SRS: Click the ‘Search SRS’ button to generate the ‘Search Substance Registry 

Services’ window. You can search for the reported chemical(s) by either the ‘Chemical Abstracts 

Service Registry Number (CASRN)’ or ‘CA Index Name or Other Synonym.’ The application 

also offers the option of entering user-specified chemical information by clicking the ‘Create 

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New Chemical’ button. Click the ‘Create New Chemical’ button to generate the ‘Chemical Not 

Found In Substance Registry Services’ window and enter chemical information by filling in the 

‘Chemical Name’ and ‘CASRN’ (if desired) field under the manual entry field set. 

The system allows you to enter each chemical by clicking the ‘OK’ button located at the bottom 

of the ‘Search SRS’ window. Once you enter all known chemical information and click the ‘OK’ 

button, the chemical information saves and populates into the chemical description table. The 

‘Actions’ column of the chemical table allows you to delete chemicals that have been added. 

The Section 5 Notices and Supports application contains functionality to prevent a user from 

adding duplicate chemicals within a multi-component submission. The application checks 

chemicals in the following order:

• If both chemicals have CASRNs, they will be compared.

• If only one chemical has a CASRN, they will not be compared and are considered different.

• If neither chemical has a CASRN, their chemical names will be compared. 

An error message generates within the expandable/collapsible field set if a user attempts to add a 

duplicate chemical within a multi-component submission. 

Please note in IE 7, the CSPP logo might be misaligned in the ‘Search Substance Registry 

Services’ pop-up window. 

• CASRN: Enter the chemical abstracts service registry number of the chemical; this field 

accommodates dashes. Either the ‘CASRN’ or ‘CA Index Name or Other Synonym’ field is 

required when searching SRS. 

• CA Index Name or Other Synonym: Enter the chemical abstract ‘(CA) Index Name or 

Other Synonym’ of the chemical. This field displays the following options: ‘Matches 

Exactly,’ ‘Contains,’ and ‘Begins With.’ Either the ‘CASRN’ or ‘CA Index Name or Other 

Synonym’ field is required when searching SRS. 

• Search SRS: Click the ‘Search’ button to initiate the database search for the ‘CASRN’ or 

‘CA Index Name or Other Synonym’ for the desired chemical. 

• Create New Chemical: Click the ‘Create New Chemical’ button to generate the ‘Chemical 

Not Found In Substance Registry Services’ pop-up window. 

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Exhibit 3-23 shows a screen capture of the ‘Search Substance Registry Services’ pop-up 

window:

Exhibit 3-23: Search Substance Registry Services Pop-Up Window 

Navigation: Click the ‘Search SRS’ button on the ‘Search Substance Registry Services’ pop-up 

window to initiate the database search for the ‘CASRN’ or ‘CA Index Name or Other Synonym.’ 

After SRS returns results, select the radio button associated to a chemical, click the ‘OK’ button 

on the ‘Search Substance Registry Services’ pop-up window, close the ‘Search Substance 

Registry Services’ pop-up window, and navigate back to the screen from which the SRS search 

was initiated where the chemical information will be populated.

If the chemical is not found in the ‘Search Substance Registry Services’ pop-up window, click 

the ‘Create New Chemical’ button to generate the ‘Chemical Not Found In Substance Registry 

Services’ pop-up window. 

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• CBI: Check the ‘CBI’ checkbox to claim the entered chemical as confidential. The ‘CBI’ 

checkbox will not be displayed on the ‘Chemical Not Found In Substance Registry Services’ 

window for the ‘Class 1 or 2 Chemical Substances,’ ‘Polymer Identification Information,’ or 

the ‘Monomers and Other Reactants’ screen. 

• Chemical Name: Enter the chemical name. This is a required field. 

• CASRN: Enter the CASRN, if available.

• Maximum Percent: Enter the maximum percentage for the impurity. This field is displayed 

only in the ‘Chemical Not Found in Substance Registry Services’ pop-up window on the 

‘Additional Chemical Information’ screen within a PMN form. 

• Cancel: Click the ‘Cancel’ button to navigate back to the ‘Search Substance Registry 

Services’ pop-up window. 

• OK: Click the ‘OK’ button to enter the manually entered chemical information into the fields 

on the screen from which the SRS search was initiated.

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Exhibit 3-24 shows a screen capture of the ‘Chemical Not Found In Substance Registry Services’ 

pop-up window:

Exhibit 3-24: Chemical Not Found In Substance Registry Services Pop-Up Window 

Navigation: Click the ‘OK’ button to save the specified chemical information and navigate back 

to the screen from which the SRS search was initiated where the chemical information will be 

populated. Click the ‘Cancel’ button to navigate back to the ‘Search SRS’ pop-up window. Click 

the ‘X’ located in the upper right-hand corner to close the pop-up window and navigate back to 

the screen from which the SRS search was initiated. 

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3.10 Add Facility

The ‘Add Facility’ button displays on the ‘Submitter Operation Information’ screen and the 

‘Industrial Sites Controlled By Others’ screen within a PMN form. This button also displays on 

the ‘Submitter Site Identification’ screen within a Bona Fide form. The ‘Add Facility’ button is 

used to generate the ‘Add Facility’ pop-up window and select the applicable sites for which you 

will be reporting. The ‘Add Facility’ drop-down menu contains the sites that all AO users within 

the same organization are registered for within CDX registration; additional facilities can be 

added within CDX to further populate this drop-down menu. 

If you are not registered to any facilities within CDX registration, or you have finished 

identifying all possible sites, a message displays within a pop-up window notifying you to add 

additional sites within your CDX registration profile to add additional sites to a form. 

Click the ‘Add Facility’ button to generate the ‘Add Facility’ pop-up window which displays the 

following fields: ‘Select a site from the drop-down menu below,’ ‘CBI,’ ‘Alias,’ ‘EPA Registry 

ID,’ ‘Facility Name,’ ‘Facility Address,’ ‘City,’ ‘State,’ and ‘Postal Code.’ Each individual site 

may be claimed as CBI. 

• Select a site from the drop-down menu below: Select a site that you will be reporting on 

from the drop-down menu.

• CBI: Check the ‘CBI’ checkbox to claim the facility information as confidential.

• Alias: Enter the site alias. This is a required field if a Joint Submission or Letter of Support is 

pending for the form. 

• EPA Registry ID: Displays the EPA registry ID of the site selected from the drop-down 

menu. 

• Facility Name: Displays the name of the site selected from the drop-down menu. 

• Facility Address: Displays the address of the site selected from the drop-down menu. 

• City: Displays the city of the site selected from the drop-down menu. 

• State: Displays the state of the site selected from the drop-down menu. 

• Postal Code: Displays the postal code of the site selected from the drop-down menu. 

• Add Facility: Click the ‘Add Facility’ button to add the selected site to the main page from 

which you are initiating the search. 

• Cancel: Click the ‘Cancel’ button to cancel the process of adding a site. 

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Exhibit 3-25 shows a screen capture of the ‘Add Facility’ pop-up window:

Exhibit 3-25: Add Facility Message Pop-Up Window 

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Exhibit 3-26 shows a screen capture of the ‘Add Facility’ pop-up window: 

Exhibit 3-26: Add Facility Pop-Up Window

Navigation: Click the ‘Add Facility’ button to add the selected site to the screen from which you 

initiated the site identification process.

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4 Create Joint/Letter of Support PMN Form 

Anyone who plans to manufacture or import a new chemical substance for a non-exempt 

commercial purpose is required by Section 5 of TSCA to provide EPA with notice before 

initiating the activity, known as a PMN form. This PMN must be submitted at least 90 days prior 

to the manufacture or import of the chemical.

The PMN joint process will be a multistep process with coordination needed on the behalf of 

Secondary AOs and Secondary Agents/Consultants. The Primary AO will first identify that a 

Joint Submission and/or Letter of Support(s) will supplement the original PMN form. Based on 

the selection, the ‘Joint Submission’ folder and/or ‘Letter of Support’ folder generates in the 

navigation tree. Each folder will contain a section for the Primary AO to enter contact 

information and instruction information with the Joint and/or Letter of Support unique 

identification number. 

When the Primary AO accesses the relevant ‘Joint’ or ‘Letter of Support’ folder in the original 

PMN form, the Primary AO will enter the Secondary Agent/Consultant’s contact information on 

the ‘Letter of Support Submitter Information’ screen, or the ‘Joint Submitter Information’ screen. 

The email address entered on the ‘Letter of Support Submitter Information’ or ‘Joint Submitter 

Information’ screen will be used to send the Secondary Agent/Consultant the unique

identification number via an un-encrypted email sent by the Primary AO. The ‘Joint Submission 

Information’ or ‘Letter of Support Submission Information’ screen in the ‘Joint’ or ‘Letter of 

Support’ folder displays the unique identification number that will be sent to the Secondary 

Agent/Consultant by the Primary AO and a text box for the Primary AO to provide instructions 

or information to the Secondary Agent/Consultant about what is to be filed. 

The Secondary Agent/Consultant will register in CDX and access the Section 5 Notices and 

Supports application. Once you arrive at the ‘Section 5 Notices and Supports Forms’ screen,

click the ‘Start New Form’ button and navigate to the ‘Create Passphrase’ screen. For ‘Joint 

PMN’ and ‘Letter of Support’ forms, the process of completing the form will work in the same

way as the Primary AO, other than being able to enter a foreign address for a ‘Letter of Support’

submitter. Once the Secondary Agent/Consultant has created a new form and assigned a 

passphrase, the Secondary Agent/Consultant may enter the required information within the form. 

On the ‘Create Passphrase’ screen, the Secondary Agent/Consultant will enter the unique 

identification number sent via email from the Primary AO’s form. Once the Secondary 

Agent/Consultant has entered the unique identification number, the Joint/Letter of Support form 

displays.

4.1 Create Joint Submission 

As a Secondary Agent/Consultant, you can create, modify, unlock, and/or delete Letters of 

Support or Joint forms. 

4.1.1 General Form Information (Joint PMN) 

You can navigate to the ‘General Form Information’ screen by entering the unique identification 

number provided by the Primary AO and creating a passphrase on the ‘Create Passphrase’ 

screen. The ‘General Form Information’ screen provides fields for you to identify information 

that is specific to the form type of the original PMN form.

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The ‘General Form Information’ screen presents a list of text fields and checkboxes for you to 

input identifying information for the specific form. You will have the option to assign a ‘Form 

Alias’ which you will use to identify the form. A form alias is helpful when a user or company 

has multiple forms and/or when you must differentiate between forms to the help desk. Upon 

navigating to the ‘General form Information’ screen, a default form alias generates in the 

following format: <Form Type-YYYYMMDD-HH:MM:SS Time Zone>.

The ‘General Form Information’ screen provides fields for you to enter information about other 

communications with EPA by entering a Toxic Substances (TS) number. The TS number is 

determined by the company to identify the form for both payments and connecting related 

submissions when additional communications (Letters of Support, Joint Submissions, and 

corrections) are sent before a PMN/Low Volume Exemption (LVE) number has been assigned. 

The TS number can be any six (6) character alphanumeric combination. The TS number should 

include two (2), three (3), or four (4) letters. Company names, recognizable words and numerical 

series are not recommended. 

Test Data: The ‘Test Data’ section allows you to identify data that is included in the type of 

notice the Primary AO selected from the ‘Type of Notice’ drop-down menu on the original PMN 

form. The following values display as checkboxes: ‘Environmental fate data,’ ‘Health effects 

data,’ ‘Environmental effects data,’ ‘Physical/Chemical properties,’ ‘Risk assessments,’ 

‘Structure/Activity relationships,’ ‘Test data not in the possession or control of the submitter,’ 

and ‘Other data.’ If you check ‘Other Data,’ the system does not generate an additional text field

to enter in the other specific information. More often than not, the remaining options under the

‘Test Data’ section provide sufficient information for information included in the PMN form.

You are required to submit all test data in your possession or control and to provide a description 

of all other data known to or reasonably ascertainable to you, if these data are related to the 

health and environmental effects on the manufacture, processing, distribution in commerce, use, 

or disposal of the new chemical substance. Standard literature citations may be submitted for 

data in the open scientific literature. Complete test data (written in English), not summaries of 

data, must be submitted if they do not appear in the open literature. You should clearly identify 

whether test data is on the substance or on an analog. In addition, the chemical composition of 

the tested material should be characterized. Data should be submitted according to the 

requirements of §720.50 of the Premanufacture Notification Rule (40 Code of Federal 

Regulations (CFR) Part 720). 

• Form Alias: Enter the form alias. Upon navigating to the screen, the application displays an 

auto-generated editable form alias in the following format: <Form Type-YYYYMMDDHH:MM:SS Time Zone>. This is a required field. 

• TS Number: Enter the TS number relating to the PMN form; this field accepts any six (6) 

character alphanumeric combination. It is used by the financial institution that receives 

payment for EPA when it notifies the Agency that the fee has been received. The TS number

should include two (2), three (3), or four (4) letters. Company names, recognizable words, 

and numerical series are not recommended. TS numbers should be unique to this form and 

should not be reused in a subsequent form. 

• Environmental fate data: Check the ‘Environmental fate data’ checkbox to indicate that the 

form contains environmental fate data. 

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Secondary Agent/Consultant 37
• Health effects data: Check the ‘Health effects data’ checkbox to indicate that the form 

contains health effects data. 

• Environmental effects data: Check the ‘Environmental effects data’ checkbox to indicate 

that the form contains environmental effects data. 

• Physical/Chemical properties: Check the ‘Physical/Chemical properties’ checkbox to 

indicate that the form contains physical/chemical properties data. 

• Test data not in the possession or control of the submitter: Check the ‘Test data not in the 

possession or control of the submitter’ checkbox to indicate that the form contains test data 

not in the possession or control of the submitter. 

• Risk assessments: Check the ‘Risk assessments’ checkbox to indicate that the form contains 

risk assessments data. 

• Structure/Activity relationships: Check the ‘Structure/Activity relationships’ checkbox to 

indicate that the form contains structure/activity relationships data. 

• Other data: Check the ‘Other data’ checkbox to indicate that the form contains other types 

of data. 

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Exhibit 4-1 shows a screen capture of the ‘General Form Information’ screen (Joint PMN):

Exhibit 4-1: General Form Information Screen (Joint PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Agent Information’ screen. You can also 

access this screen by clicking the ‘Agent Information’ link within the navigation tree. 

4.1.2 Agent Information 

You can access the ‘Agent Information’ screen by clicking the ‘Next’ button from the ‘General 

Form Information’ screen if you are not filing a ‘PMN’ or ‘SNUN.’ You can also access this 

screen by clicking the ‘Next’ button from the ‘User Fees Certification’ screen if you are filing a 

‘PMN’ or ‘SNUN.’ You can also navigate to this screen by clicking the ‘Agent Information’ link 

within the navigation tree. 

The ‘Agent Information’ screen provides fields for you to enter information regarding all parties 

involved in representing the PMN form. The agent should be a person who can answer questions 

about the form. The ‘Agent Information’ screen displays an ‘Add Agent’ button that generates 

the ‘Add Agent’ pop-up window for you to input the contact information on behalf of whom the 

submission is being made. You will be able to enter multiple agents; if the agent is the same 

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Secondary Agent/Consultant 39
individual who is filling out the form, click the ‘Copy CDX Registration’ button to retrieve user 

information entered during CDX registration. The system provides a checkbox for you to claim 

entered contact information as confidential by checking the ‘Check here to claim this 

information as CBI’ checkbox. Each agent will have an individual CBI claim. You will be able 

to enter contact information for each agent, and click the ‘OK’ button, which will populate the 

agent table located on the ‘Agent Information’ screen. Click the ‘Delete’ icon ( ) located under 

the ‘Actions’ column to delete agents. To edit agent information, click the agent name link 

within the ‘Last Name’ column, which will generate the ‘Add Agent’ pop-up window with the 

previously entered agent information.

• Add Agent: Click the ‘Add Agent’ button to generate the ‘Add Agent’ pop-up window to 

enter information for multiple agents. 

• Last Name: Displays the last name of the reported agent. Click the ‘Last Name’ link to 

generate the ‘Add Agent’ pop-up window and edit the agent information. 

• First Name: Displays the first name of the reported agent. 

• Address: Displays the mailing address of the reported agent. 

• CBI: Indicates the CBI status of the agent information by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete specific agents; a warning message displays to 

confirm deletion of the agent information.

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Exhibit 4-2 shows a screen capture of the ‘Agent Information’ screen (Joint PMN):

Exhibit 4-2: Agent Information Screen (Joint PMN)

Navigation: Click the ‘Add Agent’ button to begin the process of adding agent information. 

Click the ‘Next’ button to navigate to the ‘Technical Contact Information’ screen. You can also 

access this screen by clicking the ‘Technical Contact Information’ link within the navigation 

tree.

4.1.2.1 Add Agent

Click the ‘Add Agent’ button to generate the ‘Add Agent’ pop-up window. Enter agent 

information into the fields displayed on the ‘Add Agent’ pop-up window. Click the ‘Cancel’ 

button to stop populating agent information. Click the ‘OK’ button after entering agent 

information to populate the information on the main ‘Agent Information’ screen.

The identification of an agent is optional. 

• Copy CDX Registration: Click the ‘Copy CDX Registration’ button to display a prompt 

confirming the import of CDX registration information and allow the system to populate the 

agent information fields with your contact information provided during CDX registration.

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• Check here to claim this information as CBI: Check the ‘Check here to claim this 

information as CBI’ checkbox to claim agent information as confidential. If the ‘Check here 

to claim this information as CBI’ checkbox is checked before clicking the ‘Copy CDX 

Registration’ button, the ‘Check here to claim this information as CBI’ checkbox will 

become unchecked upon navigating back to the pop-up window after copying CDX 

registration information. Check the ‘Check here to claim this information as CBI’ checkbox 

after importing CDX registration information to claim agent information as confidential.

• First Name: Enter the agent’s first name. Click the ‘Copy CDX Registration’ button to 

populate the fields with CDX registration information. This is a required field only if agent 

information will be added to the form.

• Last Name: Enter the agent’s last name. Click the ‘Copy CDX Registration’ button to 

populate the fields with CDX registration information. This is a required field only if agent 

information will be added to the form. 

• Position: Enter the agent’s job title. 

• Company Name: Enter the agent’s company name. Click the ‘Copy CDX Registration’ 

button to populate the fields with CDX registration information. This is a required field only 

if agent information will be added to the form. 

• Phone Number: Enter the agent’s daytime phone number: U.S. or international. This field 

does not allow dashes. Click the ‘Copy CDX Registration’ button to populate the fields with 

CDX registration information. This is a required field only if agent information will be added 

to the form.

• Phone Extension: Enter the agent’s daytime phone number extension. Click the ‘Copy CDX 

Registration’ button to populate the fields with CDX registration information. 

• Email Address: Enter the agent’s email address. The email address must follow the standard 

email address format: John.Doe@abc.com. Click the ‘Copy CDX Registration’ button to 

populate the fields with CDX registration information. 

• Mailing Address 1: Enter the first line of the agent’s mailing address. Click the ‘Copy CDX 

Registration’ button to populate the fields with CDX registration information. This is a 

required field only if agent information will be added to the form. 

• Mailing Address 2: Enter the second line of the agent’s mailing address. Click the ‘Copy 

CDX Registration’ button to populate the fields with CDX registration information. 

• City: Enter the city of the agent’s mailing address. Click the ‘Copy CDX Registration’ 

button to populate the fields with CDX registration information. This is a required field only 

if agent information will be added to the form. 

• State: Select the state of the agent’s mailing address from the drop-down menu. Click the 

‘Copy CDX Registration’ button to populate the fields with CDX registration information. 

This is a required field only if agent information will be added to the form and if the 

‘Country’ field is set to ‘United States.’ This field is disabled if a non-US country is selected 

from the ‘Country’ drop-down menu. 

• Postal Code: Enter the postal code of the agent’s mailing address. Click the ‘Copy CDX 

Registration’ button to populate the fields with CDX registration information. This is a 

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Secondary Agent/Consultant 42
required field only if agent information will be added to the form and if the ‘Country’ field is 

set to ‘United States.’

• Country: Select the country of the agent’s mailing address from the drop-down menu. Click 

the ‘Copy CDX Registration’ button to populate the fields with CDX registration 

information. This field is automatically set to ‘United States’ if a value is selected from the 

‘State’ drop-down menu. This is a required field only if agent information will be added to 

the form.

Exhibit 4-3 shows a screen capture of the ‘Add Agent’ pop-up window:

Exhibit 4-3: Add Agent Pop-Up Window 

Navigation: Click the ‘Cancel’ button or ‘X’ icon in the upper right-hand corner to stop

populating agent information and navigate back to the ‘Agent Information’ screen. Click the 

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‘OK’ button to save the entered agent information and navigate back to the ‘Agent Information’ 

screen. 

4.1.3 Technical Contact Information

You can access the ‘Technical Contact Information’ screen by clicking the ‘Next’ button from 

the ‘Agent Information’ screen. You can also access this screen by clicking the ‘Technical 

Contact Information’ link within the navigation tree.

The technical contact should be able to answer, or obtain answers to, questions related to the 

chemical submitted to EPA within the PMN form. The technical contact does not have to 

physically work at the site reported on the form, but must be readily available by phone or email. 

It is required to identify at least one technical contact. 

The system provides functionality to enter multiple technical contacts. If the contact is the same 

person who is filling out the form, the system presents a ‘Copy CDX Registration’ button for you 

to retrieve your user information from CDX. You will enter the contact information for each 

technical contact within the ‘Add Technical Contact’ window and click the ‘OK’ button at the 

bottom of the window, which will populate the technical contacts table located on the ‘Technical 

Contact Information’ screen. Click the ‘Delete’ icon ( ) located under the ‘Actions’ column to 

delete a technical contact. Click the technical contact name within the ‘Last Name’ column to 

edit technical contact information. 

• Add Technical Contact: Click the ‘Add Technical Contact’ button to generate the ‘Add 

Technical Contact’ pop-up window, which provides fields for you to enter technical contact 

information. 

• Last Name: Displays the last name of the reported technical contact. Click the ‘Last Name’ 

link to generate the ‘Add Technical Contact’ pop-up window that contains previously 

identified technical contact information to edit the technical contact information. 

• First Name: Displays the first name of the reported technical contact. 

• Address: Displays the address of the reported technical contact. 

• CBI: Indicates the CBI status of the technical contact information by displaying either a ‘Y’ 

or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete specific technical contacts. A pop-up 

generates to confirm the deletion of the technical contact information.

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Exhibit 4-4 shows a screen capture of the ‘Technical Contact Information’ screen (Joint PMN):

Exhibit 4-4: Technical Contact Information Screen (Joint PMN)

Navigation: Click the ‘Add Technical Contact’ button to begin the process of adding technical 

contact information. Click the ‘Next’ button to navigate to the ‘Chemical Identification’ screen. 

You can also access this screen by clicking the ‘Add Consolidated Chemical’ link within the 

navigation tree.

4.1.3.1 Add Technical Contact

Click the ‘Add Technical Contact’ button to generate the ‘Add Technical Contact’ pop-up 

window. Enter technical contact information into the fields displayed on the ‘Add Technical 

Contact’ pop-up window. Click the ‘Cancel’ button to stop populating technical contact 

information. Click the ‘OK’ button to populate the entered technical contact information on the 

‘Technical Contact Information’ screen.

• Copy CDX Registration: Click the ‘Copy CDX Registration’ button to populate the fields 

with your contact information provided during CDX registration. A prompt will display 

confirming the import of CDX registration information. 

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• Check here to claim this information as CBI: Check the ‘Check here to claim this 

information as CBI’ checkbox to claim the technical contact information as confidential. If 

the ‘Check here to claim this information as CBI’ checkbox is checked before clicking the 

‘Copy CDX Registration’ button, the ‘Check here to claim this information as CBI’ 

checkbox will become unchecked upon navigating back to the pop-up window after copying 

CDX registration information. To claim a technical contact as confidential, check the ‘Check 

here to claim this information as CBI’ checkbox after importing CDX registration 

information. 

• First Name: Enter the technical contact’s first name. Click the ‘Copy CDX Registration’ 

button to populate the fields with CDX registration information. This is a required field. 

• Last Name: Enter the technical contact’s last name. Click the ‘Copy CDX Registration’ 

button to populate the fields with CDX registration information. This is a required field. 

• Position: Enter the technical contact’s job title. 

• Company Name: Enter the technical contact’s company name. Click the ‘Copy CDX 

Registration’ button to populate the fields with CDX registration information. This is a 

required field. 

• Phone Number: Enter the technical contact’s daytime phone number. Click the ‘Copy CDX 

Registration’ button to populate the fields with CDX registration information. This is a 

required field.

• Phone Extension: Enter the technical contact’s phone number extension. Click the ‘Copy 

CDX Registration’ button to populate the fields with CDX registration information. 

• Email Address: Enter the technical contact’s email address. The email address must follow 

the standard email address format: John.Doe@abc.com. Click the ‘Copy CDX Registration’ 

button to populate the fields with CDX registration information.

• Mailing Address 1: Enter the first line of the technical contact’s mailing address. Click the 

‘Copy CDX Registration’ button to populate the fields with CDX registration information. 

This is a required field. 

• Mailing Address 2: Enter the second line of the technical contact’s mailing address. Click 

the ‘Copy CDX Registration’ button to populate the fields with CDX registration 

information.

• City: Enter the technical contact’s U.S. city of the mailing address. Click the ‘Copy CDX 

Registration’ button to populate the fields with CDX registration information. This is a 

required field. 

• State: Select the state of the technical contact’s mailing address from the drop-down menu. 

Click the ‘Copy CDX Registration’ button to populate the fields with CDX registration 

information. This is a required field. 

• Postal Code: Enter the postal code of the technical contact’s mailing address. Click the 

‘Copy CDX Registration’ button to populate the fields with CDX registration information. 

This is a required field. 

• Country: Displays ‘United States.’

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Exhibit 4-5 shows a screen capture of the ‘Add Technical Contact’ window:

Exhibit 4-5: Add Technical Contact Window 

Navigation: Click the ‘Cancel’ button or ‘X’ icon located at the upper right-hand corner of the 

window to return to the ‘Technical Contact Information’ screen without saving the technical 

contact information. Click the ‘OK’ button to save and populate the entered technical contact 

information and navigate back to the ‘Technical Contact Information’ screen. 

4.1.4 Chemical Identification 

You can access the ‘Chemical Identification’ screen by clicking the ‘Next’ button from the 

‘Technical Contact Information’ screen. You may also click the ‘Add Consolidated Chemical’ 

link within the navigation tree access the ‘Chemical Identification’ screen.

The ‘Chemical Identification’ screen identifies the type of chemical the submitter will be 

entering into the application. You will be able to file a PMN form for a class 1 or 2 chemical 

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Secondary Agent/Consultant 47
substance or a polymer. Based on your selection, the appropriate screens for the respective 

chemical will appear. If you select the ‘Class 1 or 2 Chemical Substance’ radio button, click the 

‘Save’ icon ( ) within the bottom action bar, or click the ‘Next’ button to generate the ‘Class 1 

or 2 Chemical Substances’ screen within the navigation tree. If you identify the chemical as a 

polymer by selecting the ‘Polymer’ radio button, click the ‘Save’ icon ( ) within the bottom 

action bar, or click the ‘Next’ button to generate the ‘Polymer Identification Information’ screen 

and the ‘Monomers and Other Reactants’ screen within the navigation tree. 

This screen provides a field to identify an alias for the chemical substance, and allows you to 

identify chemicals in a consolidated chemical submission. The chemical alias is required if a 

Joint Submission or Letter of Support is being filed and renames the chemical folder within the 

navigation tree. 

• Class 1 or 2 Chemical Substance: Select the ‘Class 1 or 2 Chemical Substance’ radio button 

to indicate that the chemical is a class 1 or 2 substance. If you select the ‘Polymer’ radio 

button after initially selecting the ‘Class 1 or 2 Chemical Substance’ radio button, the 

application generates a confirmation message warning you that you will lose all data for this 

chemical if the chemical type changes. Selecting either the ‘Class 1 or 2 Chemical Substance’ 

or ‘Polymer’ radio button is required. 

• Polymer: Select the ‘Polymer’ radio button to indicate that the chemical is a polymer. If you 

select the ‘Class 1 or 2 Chemical Substance’ radio button after initially selecting the 

‘Polymer’ radio button, the application generates a confirmation message warning you that 

you will lose all data for this chemical if the chemical type changes. Selecting either the 

‘Class 1 or 2 Chemical Substance’ or ‘Polymer’ radio button is required.

• Chemical Alias: Enter the chemical alias to associate with a chemical. This field will autogenerate a chemical alias in the navigation tree upon leaving the screen if this field is left 

blank. This field is required. 

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Exhibit 4-6 shows a screen capture of the ‘Chemical Identification’ screen (Joint PMN):

Exhibit 4-6: Chemical Identification Screen (Joint PMN)

Navigation: If you selected the ‘Class 1 or 2 Chemical Substance’ radio button, click the ‘Next’ 

button to navigate to the ‘Class 1 or 2 Chemical Substances’ screen. You can also access this 

screen by clicking the ‘Class 1 or 2 Chemical Substances’ link within the navigation tree. 

If you selected the ‘Polymer’ radio button, click the ‘Next’ button to navigate to the ‘Polymer

Identification Information’ screen. You can also navigate to this screen by clicking the ‘Polymer 

Identification Information’ link within the navigation tree. 

4.1.5 Class 1 or 2 Chemical Substances 

You can access the ‘Class 1 or 2 Chemical Substances’ screen if you selected the ‘Class 1 or 2 

Chemical Substance’ radio button on the ‘Chemical Identification’ screen and clicked the ‘Next’ 

button. You can also access this screen by clicking the ‘Class 1 or 2 Chemical Substances’ link 

within the navigation tree for an in progress form. 

The ‘Class 1 or 2 Chemical Substances’ screen provides fields for you to enter information 

describing the chemical for which the PMN is to be filed. This screen will outline the unique 

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chemical properties that show the name, composition, and structure of the chemical. The system 

provides fields for you to identify several key aspects concerning a chemical’s identity. 

For a single component submission, create the field set by clicking the ‘Add Chemical 

Component’ button. Upon clicking the ‘Add New Chemical’ button, the application generates an 

expandable/collapsible field set containing numerous fields for you to enter information 

pertaining to that particular chemical. 

For a multi-component submission, create another field set by clicking the ‘Add Chemical 

Component’ button. Multi-component chemical submissions occur when two or more chemicals 

are always generated together in a single pot and are never isolated. Upon clicking the ‘Add New 

Chemical’ button, the application generates a field set containing numerous fields for you to 

enter information pertaining to that particular chemical. Enter additional chemical components, 

each with unique identifying information, by clicking the ‘Add New Chemical’ button for each 

additional chemical that is part of the multi-component mixture. All multi-component chemicals 

will reside in one chemical folder in the navigation tree. Duplicate chemicals are not allowed 

within a multi-component submission.

For a consolidated submission, create and identify chemicals in separate chemical folders by 

clicking the ‘Add Consolidated Chemical’ link within the navigation tree.

If you select the ‘Class 1’ radio button on the ‘Class 1 or 2 Chemical Substances’ screen, click 

the ‘Next’ button to navigate to the ‘Additional Chemical Information’ screen. If you select the 

‘Class 2’ radio button on the ‘Class 1 or 2 Chemical Substances’ screen, click the ‘Next’ button 

to navigate to the ‘Class 2 Substances’ screen.

For a class 1 substance chemical structure diagram, provide a complete and correct chemical 

structure diagram. A class 1 structural diagram should clearly and completely indicate the 

identity of the atoms and the nature and location of the bonds joining the atoms. Provide ionic 

charges and known stereo chemical details. Carbon atoms in ring systems do not need to be 

explicitly shown. 

For a class 2 substance chemical structure diagram: 

1) List the immediate precursor substances with their respective CASRN. 

2) Describe the nature of the reaction or process. 

3) Indicate the range of composition and the typical composition (where appropriate). 

4) Provide a correct representative or partial chemical structure diagram, as complete as can 

be known, if one can be reasonably ascertained. 

Provide partial, complete, or representative structural diagrams to the extent possible. The 

diagram should indicate the characteristic or variable compositional structural components of the 

substance. If you are unsure of the exact structure, provide the best information you have and 

indicate that it is your best estimate of the chemical structure.

• Add New Chemical: Click the button to generate the class 1 or 2 chemical substances 

expandable/collapsible field set. 

• Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the 

expandable/collapsible field set to prevent edits from saving and to remove a field set. The

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‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A 

confirmation message displays to confirm the action.

• Edit: Click the ‘Edit’ link located in the upper right-hand corner of the 

expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’ 

link displays when the expandable/collapsible field set has been saved and the data is not 

currently editable.

• Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the 

expandable/collapsible field set to delete the field set. A confirmation message displays to 

confirm the deletion. 

• Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to expand a series of field sets. 

• Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to collapse a series of field sets.

• B.1.a Class of Substance: In section B.1.a, select the ‘Class 1’ or ‘Class 2’ radio button to 

identify whether a ‘Class 1’ or ‘Class 2’ chemical substance is being reported. Selecting the 

‘Class 2’ chemical substance radio button indicates that some portions of the structure may 

not be known and a ‘Class 2 Substances’ screen will appear within the navigation tree after 

clicking the ‘Next’ button for you to enter information concerning how the chemical was 

created. If multiple ‘Class 2’ chemical components are added, only one ‘Class 2 Substances’ 

screen will generate that applies to all the components. Check the ‘CBI’ checkbox to claim 

the chemical substance class as confidential. Either the ‘Class 1’ or ‘Class 2’ radio button 

must be selected. 

• Class 1: Select the ‘Class 1’ radio button to identify the chemical as a ‘Class 1’ substance. A 

‘Class 1’ substance is a single molecular entity that can be represented by a single, definite 

structural diagram. Either the ‘Class 1’ or the ‘Class 2’ radio button in the ‘B.1.a. Class of 

Substance’ section is required. 

• Class 2: Select the ‘Class 2’ radio button to identify the chemical as a ‘Class 2’ substance. A 

‘Class 2’ substance is a substance whose composition cannot be represented by a single, 

definite chemical structural diagram. Class 2 substances include substances of unknown, 

variable, or uncertain composition, complex mixtures or reaction products, or well-defined 

substances without specific structures. Either the ‘Class 1’ or the ‘Class 2’ radio button in the 

‘B.1.a. Class of Substance’ section is required. 

• CBI: Check the ‘CBI’ checkbox to claim the ‘Class of Substance’ as confidential. 

• Search SRS: Click the ‘Search SRS’ button to generate the ‘Search Substance Registry 

Services’ pop-up window. Refer to Section 3.9 for additional details regarding the search 

SRS functionality. 

• CASRN: Displays the CASRN of the chemical identified on the ‘Search Substance Registry 

Services’ pop-up window, if applicable. 

• Chemical Name: Displays the chemical name of the chemical identified on the ‘Search 

Substance Registry Services’ pop-up window. For class 1 substances, a ‘Chemical Abstracts 

(CA) Index Name’ must be provided. For class 2 substances either a ‘CA Index Name’ or 

‘CA Preferred Name’ must be provided, whichever is appropriate based on current CA 

nomenclature rules and conventions. This is a required field. 

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• CBI: Check the ‘CBI’ checkbox to claim the ‘Chemical Name’ field as confidential and 

generate the ‘Generic Chemical Name’ text field. 

• B.6. Generic Chemical Name: Enter the generic name to associate with a chemical. This 

field only displays when ‘CASRN’ and ‘Chemical Name’ are marked as ‘CBI.’ This is a 

required field when displayed. 

• Method 1 (CAS Inventory Expert Service): Select the ‘Method 1 (CAS Inventory Expert 

Service)’ radio button to identify the ID method as the CAS Inventory Expert Service (IES) 

method and generate the ‘IES Order #’ field. A copy of the identification report obtained 

from the CAS Inventory Expert Services must be submitted as an attachment to this notice; 

an IES report is required. For a consolidated submission, each chemical must be ‘Method 1’ 

except when the submission is pending a Letter of Support for that chemical. In the case of 

an LVE/LOREX modification form type, this ‘Method 1’ requirement is not applicable. A 

single response option in the ‘B.1.c. ID Method’ section is required if there is no pending 

Letter of Support or Joint Submission for the form.

• Method 2 (Other Method): Select the ‘Method 2 (Other Method)’ radio button to identify 

the ID method as ‘Other Method.’ An alternative method of providing a name, such as a 

Scientific and Technical Information Network (STN) database report or a CAS Client 

Services report, qualifies as ‘Method 2.’ A single response option in the ‘B.1.c. ID Method’ 

section is required.

• IES Order #: Enter the IES order number of the report. This field only displays when the 

‘Method 1 (CAS Inventory Expert Service)’ radio button is selected. 

• B.1.d. Molecular Formula: Enter the molecular formula associated with a chemical. The 

molecular formula must give the correct identity and number of atoms of each element 

contained in the PMN molecule or a description if the substance is a class 2 material. The 

system will not allow subscripts and superscripts to be used. 

• CBI: Check the ‘CBI’ checkbox to claim the ‘Molecular Formula’ data as confidential. 

• Attachments: Select the section of the page the file is associated with that you intend to 

attach from the drop-down menu. This drop-down menu contains the following values: 

‘Chemical Structure Diagram’ and ‘ID Method.’ This is a required field to upload an 

attachment.

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.8 for further details regarding the attach document 

functionality. 

• Section: Displays the section associated with a document. 

• File Name: Displays the file name and file extension of the file that is uploaded on the 

‘Attach Documents’ pop-up window. 

• Description: Displays the description associated with a document. 

• Pages: Displays the number of pages a document contains. 

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire document row permanently from the 

system; a warning message displays to confirm the deletion of the document.

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• Save: Click the button to save the information entered within the expandable/collapsible field 

set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom 

action bar to successfully save the entered information within the field set before being able 

to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section 

3.7 for more information regarding the save functionality in an expandable/collapsible field 

set. 

Exhibit 4-7 shows a screen capture of the ‘Class 1 or 2 Chemical Substances’ screen (Joint 

PMN) (Scroll 1):

Exhibit 4-7: Class 1 or 2 Chemical Substances Screen (Joint PMN) (Scroll 1) 

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Exhibit 4-8 shows a screen capture of the ‘Class 1 or 2 Chemical Substances’ screen (Joint 

PMN) (Scroll 2):

Exhibit 4-8: Class 1 or 2 Chemical Substances Screen (Joint PMN) (Scroll 2) 

Navigation: If you select the ‘Class 1’ radio button, click the ‘Next’ button to navigate to the 

‘Additional Chemical Information’ screen. You can also access this screen by clicking the 

‘Additional Chemical Information’ link within the navigation tree. If you select the ‘Class 2’ 

radio button, click the ‘Next’ button to navigate to the ‘Class 2 Substances’ screen. You can also 

access this screen by clicking the ‘Class 2 Substances’ link within the navigation tree for an in 

progress form.

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4.1.6 Class 2 Substances 

You can navigate to the ‘Class 2 Substances’ screen by clicking the ‘Next’ button from the 

‘Class 1 or 2 Chemical Substances’ screen when you select the ‘Class 2’ radio button for the 

‘Class of Substance’ field. You can also access this screen by clicking the ‘Class 2 Substances’ 

link within the navigation tree for an in progress form.

The ‘Class 2 Substances’ screen captures information regarding a class 2 chemical substance. A 

class 2 chemical substance is a substance that may not have a defined chemical structure that has 

been identified. This screen provides fields to identify specific elements in the creation of the 

chemical using the following fields: ‘Precursor Substances,’ ‘Nature of Reaction,’ and ‘Range of 

Composition.’

Enter precursor substances by searching SRS or using manual entry when the substance is not in 

SRS. The selected substances will display in a table listing the ‘Chemical Name’ and ‘CASRN.’ 

The system provides fields to capture ‘Nature of Reaction’ and ‘Range of Composition’ in text 

boxes. The ‘Nature of Reaction’ and ‘Range of Composition’ text fields can be claimed as CBI.

• B.1.e.1. Precursor Substances: This table captures the chemicals identified as immediate 

precursor substances, along with the respective CASRNs, if applicable. 

• CBI: Check the ‘CBI’ checkbox to claim the precursor substances information as 

confidential. 

• Search SRS: Click the ‘Search SRS’ button to generate the ‘Search Substance Registry 

Services’ pop-up window. Refer to Section 3.9 for additional details regarding the search 

SRS functionality. 

• Chemical Name: Displays the chemical name associated with a precursor substance. Click 

the chemical name link to generate the ‘Search SRS’ pop-up window to make edits. 

• CASRN: Displays the CASRN, if applicable, associated with a precursor substance. 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire chemical row permanently from the 

system; a warning message displays to confirm the deletion of the chemical. 

• B.1.e.2. Nature of Reaction: Enter the nature of the reaction or process description. 

• CBI: Check the ‘CBI’ checkbox to claim the nature of reaction information as confidential. 

• B.1.e.3 Range of Composition: Enter the range of composition and the typical composition 

description. Provide the range of composition in weight percent for each specific component 

or class of components that you intend to manufacture for commercial purposes. 

• CBI: Check the ‘CBI’ checkbox to claim the range of composition information as 

confidential. 

• Attachments: Select the section of the page the document you intend to attach is associated 

with from the drop-down menu. This drop-down menu contains the following values: 

‘B.1.e.1. Precursor Substances,’ ‘B.1.e.2. Nature of Reaction,’ and ‘B.1.e.3. Range of

Composition.’ This is a required field if you are uploading a document. 

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window and initiate the document upload process. Refer to Section 3.8 for further 

details regarding the attach document functionality. 

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• Section: Displays the section associated with a document. 

• File Name: Displays the file name and file extension of a file that is uploaded on the ‘Attach 

Documents’ window. 

• Description: Displays the description associated with a document. 

• Pages: Displays the number of pages a document contains. 

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’ 

• Action: Click the ‘Delete’ icon ( ) to delete the entire document row permanently from the 

system; a warning message displays to confirm the deletion.

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Exhibit 4-9 shows a screen capture of the ‘Class 2 Substances’ screen (Joint PMN) (Scroll 1):

Exhibit 4-9: Class 2 Substances Screen (Joint PMN) (Scroll 1) 

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Exhibit 4-10 shows a screen capture of the ‘Class 2 Substances’ screen (Joint PMN) (Scroll 2):

Exhibit 4-10: Class 2 Substances Screen (Joint PMN) (Scroll 2) 

Navigation: Click the ‘Next’ button to navigate to the ‘Additional Chemical Information’ 

screen. You can also access this screen by clicking the ‘Additional Chemical Information’ link 

within the navigation tree. 

4.1.7 Additional Chemical Information 

You can navigate to the ‘Additional Chemical Information’ screen by selecting the ‘Class 1’ 

radio button on the ‘Class 1 or 2 Chemical Substances’ screen and clicking the ‘Next’ button, by 

clicking the ‘Next’ button on the ‘Class 2 Substances’ screen, or clicking the ‘Next’ button from 

the ‘Monomers and Other Reactants’ screen. You can also access this screen by clicking the 

‘Additional Chemical Information’ link within the navigation tree. 

The ‘Additional Chemical Information’ screen captures information regarding the chemicals 

produced as byproducts and impurities when a chemical is manufactured. This screen also 

captures other names for the chemical at hand in the ‘Synonyms’ and ‘Trade Identification’ 

tables. 

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An ‘Impurities’ table displays information regarding the impurities that may be reasonably 

anticipated to be in the respective chemical or polymer as manufactured for commercial purpose. 

Click the ‘Search SRS’ button to access the ‘Search SRS’ pop-up window and populate the 

‘Impurities’ table. You will also be able to enter a chemical using the ‘Chemical Name’ and 

‘CASRN’ field (if applicable) on the ‘Chemical Not Found In Substance Registry Services’ popup window. If there are unidentified impurities, enter “unidentified.” You also have the option of

claiming the chemical as confidential by checking the ‘CBI’ checkbox. A ‘Maximum %’ field is 

also displayed which captures the maximum percentage for the impurity. Documents may be 

attached for the ‘Impurities’ section if necessary. 

A ‘Byproducts’ table provides fields to capture information regarding the byproducts that may be 

produced from the manufacture of the respective chemical or polymer. Click the ‘Search SRS’ 

button to access the ‘Search SRS’ pop-up window and populate the ‘Byproducts’ table. You will 

also be able to enter data and attach documents for the ‘Byproducts’ section. You may associate 

a CASRN with a byproduct (if applicable) and check the ‘CBI’ checkbox to claim a byproduct as 

confidential. Documents may be attached for the ‘Byproducts’ section if necessary. 

A ‘Synonyms’ table provides fields to capture the synonyms that the respective chemical or 

polymer may be referred to in the documentation. A maximum of five synonyms can be entered 

in the table. The search SRS functionality cannot be used to populate the ‘Synonyms’ table. You 

may attach documents associated with the ‘Synonyms’ section to provide additional synonyms if 

necessary.

A ‘Trade Identification’ table provides fields to capture information about the trade names by 

which the respective chemical or polymer may be referred in documentation. There is no limit to 

the number of trade names that may be added. You may attach a document associated with the 

‘Trade Identification’ section to provide additional trade names if necessary.

The ‘Attach Documents’ pop-up window provides fields to upload documents related to the 

‘Impurities,’ ‘Byproducts,’ ‘Synonyms,’ and/or ‘Trade Identification’ section(s). Select the 

section of the page the document is associated with from the ‘Section’ drop-down menu, and 

click the ‘Attach Document’ button to generate the ‘Attach Documents’ pop-up window and 

attach a document. The system provides a ‘CBI’ checkbox to claim the uploaded document as 

confidential. If you claim a document as CBI, the system requires you to upload the sanitized 

version of the attached document. 

If the sanitized version of the document is not provided, the Section 5 Notices and Supports form 

will fail validation upon navigating away from the ‘Attach Documents’ window. To view or edit 

previously attached documents, click the appropriate file name of the document within the ‘File 

Name’ column of the attachments table.

The attachments table displays the section of the page the document is associated with, the file 

name and file extension of the document, the document description, the number of pages in the 

document, and if the document was claimed CBI. Click the ‘Delete’ icon ( ) located under the 

‘Actions’ column to delete unwanted documents. Click a file name link in the ‘File Name’

column to generate the ‘Attach Documents’ pop-up window to view and/or edit an attached 

document.

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• B.3. Impurities – Search SRS: Click the ‘Search SRS’ button to display the ‘Search 

Substance Registry Services’ pop-up window. Refer to Section 3.9 for further details 

regarding the search SRS functionality.

• Impurity: Displays the name of the impurity. An impurity is a chemical substance that you 

did not intend to be present with your PMN substance. List all known impurities that are 

present, regardless of their weight percent. List the expected maximum percentage of each 

impurity and indicate its confidentiality status. An impurity may be suggestive of chemical 

precursors or chemical processes. Click the ‘Impurity’ link to navigate to the ‘Search 

Substance Registry Services’ pop-up window to edit chemical information for an impurity. 

• CASRN: Displays the Chemical Abstracts Service Registry Number for the impurity (if 

applicable). 

• Maximum %: Displays the maximum percentage for the impurity; decimal values are 

accepted.

• CBI: Indicates the CBI status of the impurity by displaying either a ‘Y’ or an ‘N.’ 

• Action: Click the ‘Delete’ icon ( ) to delete the entire impurity entry permanently from the 

system; a warning message displays to confirm the deletion. 

• B.7. Byproducts - Search SRS: Click the ‘Search SRS’ button to generate the ‘Search 

Substance Registry Services’ pop-up window. Refer to Section 3.9 for further details 

regarding the search SRS functionality. 

• Byproduct Name: Displays the name of the byproduct. Describe any byproducts resulting 

from the manufacture, processing, use, or disposal of the new chemical substance. List any 

byproducts that you reasonably anticipate will result from the manufacture, processing, use 

and disposal of the new chemical substance at sites under your control. Click the ‘Byproduct 

Name’ link to generate the ‘Search Substance Registry Services’ pop-up window to view 

and/or edit byproduct information. Provide the specific chemical name, CAS numbers if they 

can be determined, and the confidential status of the byproducts formed. If no byproducts are 

formed, enter “None” or leave the section blank. 

• CASRN: Displays the CASRN for the byproduct (if applicable). 

• CBI: Indicates the CBI status of the byproduct by displaying either a ‘Y’ or an ‘N.’

• Action: Click the ‘Delete’ icon ( ) to delete the entire byproduct entry permanently from 

the system; a warning message displays to confirm the deletion. 

• B.4. Synonyms - CBI: Check the ‘CBI’ checkbox to claim the ‘Synonym’ field set as 

confidential. 

• Synonym: Enter the synonym of the chemical; there is a maximum of five chemical 

synonyms that can be added in the ‘Synonyms’ table. Additional synonyms can be provided 

in an attachment. Synonyms include common chemical names used in scientific or technical 

literature, and code numbers or code names referenced in the PMN and its attachments. 

Indicate which synonyms may be proprietary and require CBI protection. Chemical name 

synonyms must be consistent with the chemical structure and thus not misleading. If you add 

a blank, editable line in this table and click the ‘Next’ button, no error will display indicating 

that the blank line should be saved or deleted. If text is entered in a blank field and you click 

the ‘Next’ button, the application will save the entered value. If you click the ‘Form’ icon 

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( ), edit the entered values and click the ‘Next’ button without saving the changed value, an 

error will generate. 

• Actions: Click the ‘Add’ icon ( ) to add a new text field to enter additional synonyms. 

Click the ‘Save’ icon ( ) to save a chemical synonym. Click the ‘Form’ icon ( ) that 

appears after saving to edit a chemical synonym. Click the ‘Delete’ icon ( ) to delete a 

previously added chemical synonym. To cancel changes to a field, simply clear the data 

entered in the field. 

• B.5. Trade Identification – CBI: Check the ‘CBI’ checkbox to claim the trade identification 

section as confidential.

• Trade name: Enter the trade identification name. List any trade name that is used or will be 

used for the neat chemical substance, whether or not they are registered brands/trademarks. 

There is no limit to the number of trade names that can be added. Check the ‘CBI’ checkbox 

to indicate the CBI status of trade names. If you add a blank, editable line in this table and 

click the ‘Next’ button, no error will display indicating that the blank line should be saved or 

deleted. If text is entered in a blank field and you click the ‘Next’ button, the application will 

save the entered value. If you click the ‘Form’ icon ( ), change the entered value(s) and 

click the ‘Next’ button without saving the changed value(s), an error message will generate. 

• Actions: Click the ‘Add’ icon ( ) to add a new text field to enter additional trade 

identification names. Click the ‘Save’ icon ( ) to save a trade identification name. Click the 

‘Form’ icon ( ) to edit a trade identification name. Click the ‘Delete’ icon ( ) to delete a 

previously added trade identification name. 

• Attachments: Select the section of the page with which the document is associated from the 

drop-down menu. This drop-down menu contains the following values: ‘Byproducts

Section,’ ‘Impurities Section,’ ‘Synonyms Section,’ and ‘Trade Identification Section.’ 

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.8 for further details regarding the attach document 

functionality. 

• Section: Displays the section of the page with which the document is associated. 

• File Name: Displays the file name and file extension of the file that is uploaded on the 

‘Attach Documents’ pop-up window. 

• Description: Displays the description associated with a document. 

• Pages: Displays the number of pages a document contains.

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system; a warning message displays to confirm deletion of the document.

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Exhibit 4-11 shows a screen capture of the ‘Additional Chemical Information’ screen (Joint 

PMN) (Scroll 1):

Exhibit 4-11: Additional Chemical Information Screen (Joint PMN) (Scroll 1) 

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Exhibit 4-12 shows a screen capture of the ‘Additional Chemical Information’ screen (Joint 

PMN) (Scroll 2):

Exhibit 4-12: Additional Chemical Information Screen (Joint PMN) (Scroll 2) 

Navigation: Click the ‘Next’ button to navigate to the ‘Production Volume and Hazard/Safety

Information’ screen. You can also access this screen by clicking the ‘Production Volume and 

Hazard/Safety Information’ link within the navigation tree. 

4.1.8 Polymer Identification Information 

You can access the ‘Polymer Identification Information’ screen by clicking the ‘Next’ button 

from the ‘Chemical Identification’ screen if you select the ‘Polymer’ radio button. You can also 

access this screen by clicking the ‘Polymer Identification Information’ link within the navigation 

tree after selecting the ‘Polymer’ radio button on the ‘Chemical Identification’ screen. 

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The ‘Polymer Identification Information’ screen captures information describing the polymer(s) 

for which the PMN will be filed. This screen will outline the unique chemical properties that 

show the name, composition, and structure of the polymer. The system will provide fields for 

you to identify several key aspects concerning a polymer’s identity. 

To reference a monomer cleared with an LVE, comments should be included in an attachment 

(for example, on a reaction scheme). 

Click the ‘Add Chemical Component’ button to create a chemical field set. Upon clicking the 

‘Add New Chemical’ button, an expandable/collapsible field set generates that contains 

numerous fields that pertain to the particular polymer. You are able to enter multiple chemical 

substances, each with unique information, by clicking the ‘Add New Chemical’ button for each 

chemical you wish to identify.

For a single component submission, create the field set by clicking the ‘Add Chemical 

Component’ button. Upon clicking the ‘Add Chemical Component’ button, the application 

generates a field set containing numerous fields that captures information pertaining to that 

particular chemical.

For a multi-component submission, click the ‘Add Chemical Component’ button to create a field 

set. Multi-component chemical submissions occur when two or more chemicals always generate 

together in a single pot and are never isolated. Upon clicking the ‘Add Chemical Component’ 

button, the application generates a field set that provides numerous fields to enter information 

pertaining to that particular chemical. Enter additional chemical substances, each with unique 

identifying information, by clicking the ‘Add Chemical Component’ button for each additional 

chemical that is part of the multi-component mixture. All multi-component chemicals will reside 

in one chemical folder in the navigation tree.

For a consolidated submission, create separate chemical folders by clicking the ‘Add 

Consolidated Chemical’ link within the navigation tree. A form may contain a maximum of six 

(6) separate chemical folders. 

• Add New Chemical: Click the ‘Add New Chemical’ button to generate a polymer 

identification information expandable/collapsible field set.

• Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the 

expandable/collapsible field set to prevent edits from saving and to remove a field set. The 

‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A 

confirmation message displays to confirm the action. 

• Edit: Click the ‘Edit’ link located in the upper right-hand corner of the 

expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’ 

link displays when the expandable/collapsible field set has been saved and the data is not 

currently editable.

• Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the 

expandable/collapsible field set to delete the field set; a confirmation message displays to 

confirm the deletion. 

• Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to expand a series of field sets. 

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• Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to collapse a series of field sets.

• Search SRS: Click the button to generate the ‘Search SRS’ pop-up window. Refer to Section 

3.9 for additional details regarding the search SRS functionality.

• CASRN: Displays the CASRN of the chemical identified on the ‘Search SRS’ pop-up 

window, if applicable. 

• Chemical Name: Displays the name of the chemical that has been identified on the ‘Search 

SRS’ pop-up window. 

• CBI: Check the ‘CBI’ checkbox to identify the chemical as confidential.

• Generic chemical name: Enter the generic name to associate with a chemical. This field 

displays when ‘Chemical Name’ and ‘CASRN’ are claimed CBI. 

• Method 1 (CAS Inventory Expert Service): Select the ‘Method 1 (CAS Inventory Expert 

Service)’ radio button to identify the ID method as the ‘CAS Inventory Expert Service’ 

method. Submit a copy of the identification report obtained from the CAS Inventory Expert 

Services as an attachment to this notice. For a consolidated submission, each chemical must 

be ‘Method 1’ except when the submission is pending a Letter of Support for that chemical. 

Select the ‘Method 1 (CAS Inventory Expert Service)’ radio button to generate the ‘IES 

Order #’ field. A single response option in the ‘ID Method’ section is required if there is no 

pending Letter of Support or Joint Submission for the form.

• IES Order #: Select the ‘Method 1 (CAS Inventory Expert Service)’ radio button to generate 

this field. Enter the IES order number. 

• Method 2 (Other Method): Select the ‘Method 2 (Other Method)’ radio button to identify 

the ID method as ‘Other Method.’ An alternative method of providing a name, such as a STN 

database report or a CAS Client Services report, qualifies as ‘Method 2.’ 

• Section: Displays the section of the page that the document will be associated. This dropdown menu contains the following values: ‘Chemical Structure Diagram’ and ‘ID Method.’ 

• Attach Document: Click the button to generate the ‘Attach Documents’ pop-up window. 

Refer to Section 3.8 for additional details regarding the attach document functionality.

• Section: Displays the section of the page with which the file is associated. 

• File Name: Displays the file name and file extension of a document that is uploaded on the 

‘Attach Documents’ window. 

• Description: Displays the description of a document. 

• Pages: Displays the number of pages in a document. 

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning message displays to confirm the deletion.

• Save: Click the button to save the information entered within the expandable/collapsible field 

set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom 

action bar to successfully save the entered information within the field set before being able 

to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons.

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Exhibit 4-13 shows a screen capture of the ‘Polymer Identification Information’ screen (Joint 

PMN):

Exhibit 4-13: Polymer Identification Information Screen (Joint PMN) Scroll 1

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Exhibit 4-14 shows a screen capture of the ‘Polymer Identification Information – Chemical 

Claimed CBI’ screen (Joint PMN):

Exhibit 4-14: Polymer Identification Information Screen (Joint PMN) Scroll 2

Navigation: Click the ‘Next’ button to navigate to the ‘Monomers and Other Reactants’ screen. 

You can also access this screen by clicking the ‘Monomers and Other Reactants’ link within the 

navigation tree. 

4.1.9 Monomers and Other Reactants

You can navigate to the ‘Monomers and Other Reactants’ screen by clicking the ‘Next’ button 

from the ‘Polymer Identification Information’ screen. You can also access this screen by clicking 

the ‘Monomers and Other Reactants’ link within the navigation tree. 

The ‘Monomers and Other Reactants’ screen is used to identify the chemical measurements and 

monomers that make up a polymer. The screen is divided into two sections to identify different 

elements describing a polymer: ‘Polymer Weight Information’ and ‘Monomers and Other 

Reactants.’

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In the ‘Monomers and Other Reactants’ section, enter the typical weight percent of each 

monomer or other reactant in the polymer. Enter the maximum weight percent of each monomer 

or other reactant that may be present as a residual in the polymer as manufactured for 

commercial purposes. The maximum residual should be less than the typical composition. Do 

not use parts per million (ppm) units (1 ppm = 0.0001 wt%).

To reference a monomer cleared with an LVE, include an attachment detailing any specifics.

Please note that in IE 7, the % symbols that display to the right of the ‘max weight % below 500 

molecular weight’ and ‘max weight % below 1000 molecular weight’ fields might be slightly 

misaligned. 

• CBI: Check the ‘CBI’ checkbox to claim the ‘Polymer Weight Information’ section as 

confidential. 

• Method of Measurement: Only a single response option can be selected for ‘Method of 

Measurement;’ valid values include ‘GPC’ and ‘Other (Specify).’ Gel-permeation

chromatography (GPC) is a well-established method for establishing the number average 

molecular weight (Mn) and weight fractions below 500 and 1,000 Daltons. It may not be 

useful for all polymer evaluations; however, solubility problems and misleading calibration 

standards can lead to questionable GPC data. Correction estimates can be documented and 

presented in cases where only a soluble fraction of the polymer can be analyzed. 

• Specify other method of measurement: Enter the method of measurement when you select 

the ‘Other (Specify)’ radio button as the method of measurement. This is a required field 

when the ‘Other (Specify)’ radio button is selected. 

• (i) lowest number avg. molecular weight: Enter the lowest number average molecular 

weight; the entered value must be a positive numerical value and can contain decimal values.

• (ii) max. weight % below 500 molecular weight: Enter the maximum weight percentage 

below 500 molecular weight; the value entered must be a positive numerical value greater 

than or equal to zero (0), but less than or equal to one hundred (100) and can contain decimal 

values. This value must be less than or equal to the value specified in the ‘(iii) max. weight % 

below 1000 molecular weight’ field. This is a required field if there are no pending Joint 

Submissions or Letters of Support. 

• (iii) max. weight % below 1000 molecular weight: Enter the maximum weight percentage 

below 1,000 molecular weight; the value entered must be a positive numerical value greater 

than or equal to zero (0) but less than or equal to one hundred (100) and can contain decimal 

values. This value must be greater than or equal to the value specified in the ‘(ii) max. weight 

% below 500 molecular weight’ field. This is a required field if there are no pending Joint

Submissions or Letters of Support.

• Add Monomer: Click the button to generate the monomer expandable/collapsible field set.

• Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the 

expandable/collapsible field set to prevent edits from saving and to remove a field set. The 

‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A 

confirmation message displays to confirm the action. 

• Edit: Click the ‘Edit’ link located in the upper right-hand corner of the 

expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’ 

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link displays when the expandable/collapsible field set has been saved and the data is not 

currently editable.

• Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the 

expandable/collapsible field set to delete the field set. A confirmation message displays to 

confirm the deletion. 

• Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to expand a series of field sets. 

• Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to collapse a series of field sets. 

• Search SRS: Click the ‘Search SRS’ button to generate the ‘Search Substance Registry 

Services’ pop-up window. Refer to Section 3.9 for additional details regarding the search 

SRS functionality.

• Monomer or Other Reactant: Displays the monomer or other reactant name; this field 

populates based on information entered on the ‘Search SRS’ pop-up window. This is a 

required field. 

• Include in Identity: Check the ‘Include in Identity’ checkbox to claim the value for 

‘Monomer or Other Reactant’ as part of the monomer identification. This checkbox is most 

applicable for monomers that are less than or equal to 2% since the monomer is not 

considered to be included in the identity unless this checkbox is checked. This checkbox 

appears when a value of ‘2’ or less is entered into the ‘Typical Composition’ text field. 

• CBI: Check the ‘CBI’ checkbox to claim the monomer or other reactant name and CASRN 

as confidential.

• CAS Registry Number: Displays the CASRN for the specified monomer; this field 

populates based on information entered on the ‘Search SRS’ pop-up window. 

• Chemical Name: Displays the name of the chemical identified on the ‘Search SRS’ pop-up 

window. 

• Typical Composition: Enter the typical composition value that a monomer contributes to a 

polymer; the value entered must be a positive numerical value greater than zero (0) and less 

than or equal to one hundred (100) and can contain decimal values. If the value entered is 

less than or equal to ‘2’ a warning will be displayed in the global ‘Validate’ function or 

during the submission process indicating that the typical composition is a value that is less 

than or equal to 2 percent and asking you whether it should be included in the chemical 

identity. This is a required field, and the value must be greater than zero (0).

• CBI: Check the ‘CBI’ checkbox to claim the ‘Typical Composition’ and ‘Include In Identity’ 

fields as confidential. 

• Maximum Residual: Enter the maximum residual value. Indicate the maximum weight 

percent of each monomer or other reactant that may be present as a residual in the polymer as 

manufactured for commercial purposes. Enter a percent value less than or equal to the 

maximum weight, do not use ppm units (1 ppm = 0.0001 wt%). The value entered must be a 

positive numerical value that is less than or equal to the typical composition value. This is a 

required field. 

• CBI: Check the ‘CBI’ checkbox to claim the ‘Maximum Residual’ field as confidential. 

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• Save: Click the button to save the information entered within the expandable/collapsible field 

set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom 

action bar to successfully save the entered information within the field set before being able 

to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section 

3.7 for more information regarding the save functionality in an expandable/collapsible field 

set.

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.8 for additional details regarding the attach document 

functionality.

• File Name: Displays the file name and file extension of the document that is uploaded on the 

‘Attach Documents’ pop-up window. Click the file name link to navigate to the ‘Attach 

Documents’ pop-up window to make any edits. 

• Description: Displays the description associated with a document. 

• Pages: Displays the number of pages a document contains. 

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning message displays to confirm the deletion of the document.

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Exhibit 4-15 shows a screen capture of the ‘Monomers and Other Reactants’ screen (Joint PMN) 

(Scroll 1):

Exhibit 4-15: Monomers and Other Reactants Screen (Joint PMN) (Scroll 1) 

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Exhibit 4-16 shows a screen capture of the ‘Monomers and Other Reactants’ screen (Joint PMN) 

(Scroll 2):

Exhibit 4-16: Monomers and Other Reactants Screen (Joint PMN) (Scroll 2) 

Navigation: Click the ‘Next’ button to navigate to the ‘Additional Chemical Information’ 

screen. You can also access this screen by clicking the ‘Additional Chemical Information’ link 

within the navigation tree. 

4.1.10 Production Volume and Hazard/Safety Information 

You can navigate to the ‘Production Volume and Hazard/Safety Information’ screen by clicking 

the ‘Next’ button from the ‘Additional Chemical Information’ screen. You can also access this

screen by clicking the ‘Production Volume and Hazard/Safety Information’ link within the 

navigation tree.

The ‘Production Volume and Hazard/Safety Information’ screen collects different information 

regarding a chemical’s production and hazard elements. 

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Production Volume: The ‘Production Volume’ section captures information about production 

for the respective chemical or polymer for the ‘Maximum first 12-month production’ and the 

‘Maximum 12-month production’ fields. The ‘Maximum first 12-month production’ value 

should be less than or equal to the ‘Maximum 12-month production’ value. The maximum 

volume should be 100,000,000,000,000 kg/year for either field. The entered values will 

automatically display decimal points upon navigating away from the page. Decimals are allowed 

up to the milligram (.000001). Estimates should be on a 100% new chemical substance basis. 

Your production volumes should be estimated as accurately as possible, but you are not bound to 

your estimates unless you check the ‘Binding’ checkbox. Include amounts you intend to produce 

for export. Provide an estimate of the first 12 months of production and the maximum production 

volume for any consecutive 12-month period during the first 3 years of commercial manufacture. 

You may upload an attachment to enter additional production information.

Hazard Information: The ‘Hazard Information’ section captures information regarding hazards 

that the company chooses to disclose. In order for EPA to take respirator use into account when 

evaluating risks posed by a new chemical, the MSDS for the substance must specify a respirator 

that is appropriate for the types of anticipated exposures. For the same reason, all respirators 

must be certified by the National Institute for Occupational Safety and Health (NIOSH), and be 

referenced in the MSDS as “NIOSH certified” respirators. 

If any type of risk assessment is prescribed to determine personal protective equipment (PPE) 

requirements, such risk assessment must be performed by a qualified Industrial Hygienist (IH) or 

other authorized occupational safety and health specialist. 

Engineering controls are the preferred methods for managing workplace exposures to hazards. If 

these controls are inadequate or lacking, personal protective equipment must be used. 

For EPA to take glove use into account when evaluating risks posed by a new chemical, the 

MSDS for the substance must specify gloves that are impervious to the substances of concern, as 

well as suitable for the type of tasks. 

Close-fitting goggles or a full-face piece facemask are preferred for vapor, mist, or fume 

exposures, or wherever workplace contaminants can readily bypass loose-fitting equipment. 

The information is collected in a file attachment. The system will display instructional text for 

you to identify which forms should be uploaded. 

Provide the MSDS for the PMN substance or intermediate or product mixture (that contains it) as 

an attachment to the PMN. Also, include hazard warning statements or labels, if relevant. The 

personal protection requirements of the MSDS become integral requirements of an LVE notice.

• CBI: Check the ‘CBI’ checkbox to claim the production volume information as confidential. 

• Binding: Check the ‘Binding’ checkbox to claim the production volume information as 

binding. This checkbox is enabled for LVE or LVE modifications only. 

• Maximum first 12-month production: Provide an estimate of the first 12 months of 

production. The entered value must be a numerical value and must be greater than zero but

less than 100,000,000,000,000 kg/year. This field accepts decimals to the milligram and is a 

required field if you do not have a pending Joint Submission and/or Letter of Support.

• Maximum 12-month production: Enter the data associated with the production volume. 

Provide an estimate of the maximum production volume for any consecutive 12-month 

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period during the first three (3) years of commercial manufacture. The entered value must be 

a numerical value and must be greater than zero but less than 100,000,000,000,000 kg/year. 

This value must be greater than or equal to the ‘Maximum first 12-month production’ value. 

This field accepts decimals to the milligram and is a required field if you do not have a 

pending Joint Submission and/or Letter of Support.

• Binding: Check the ‘Binding’ checkbox to claim the hazard information as binding.

• Section: Select the section of the page with which the attached document is associated. This 

drop-down menu contains the following value: ‘Production Information Section’ and ‘Hazard 

Information Section.’ 

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.8 for additional details regarding the attach document 

functionality.

• Section: Displays the section with which the document is associated. 

• File Name: Displays the file name and file extension of the file that is uploaded on the 

‘Attach Documents’ pop-up window. Click the file name link to navigate to the ‘Attach 

Documents’ pop-up window to make any edits. 

• Description: Displays the description associated with a document. 

• Pages: Displays the number of pages a document contains. 

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning message displays to confirm the deletion.

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Exhibit 4-17 shows a screen capture of the ‘Production Volume and Hazard/Safety Information’ 

screen (Joint PMN):

Exhibit 4-17: Production Volume and Hazard/Safety Information Screen (Joint PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Use Information’ screen. You can also 

access this screen by clicking the ‘Use Information’ link within the navigation tree. 

4.1.11 Use Information 

You can navigate to the ‘Use Information’ screen by clicking the ‘Next’ button from the 

‘Production Volume and Hazard/Safety Information’ screen. You can also access this screen by 

clicking the ‘Use Information’ link within the navigation tree. 

The ‘Use Information’ screen is used to capture data about how the new chemical substance is 

intended to be used by function and application. Function refers to the chemical purpose for 

which the substance is designed and is often based on the physical and chemical properties of the 

substance. Application refers to how the substance is used in particular processes or products. An 

example of a function and application would be as a dispersive dye for finishing polyester fibers. 

When you navigate to the screen, the screen contains instructional text and an ‘Add Use’ button. 

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When you click the ‘Add Use’ button, an expandable/collapsible field set will open and display 

the ‘Use Information’ fields. Upon saving the entry, the expandable/collapsible field set 

collapses and displays the ‘Category of Use’ and ‘Production %’ values. 

You will first enter a description for the ‘Category of Use’ field. Each use will center on the 

‘Category of Use’ and the different variables surrounding it. The category of use information 

should be specific enough to allow EPA reviewers to anticipate potential exposure patterns for 

the new substance (e.g. merely indicating “Dye” is not sufficient – is it photographic dye, a 

reactive dye for nylon fibers, or a dye to be incorporated in a polymer making film?). LVE 

notices limit you to your stated category of use(s), so make sure your description fully 

encompasses all intended uses for any LVE. When you claim the ‘Category of Use’ as CBI, you 

are required to enter a ‘Generic Use Description.’ The generic use description will be available 

publicly. 

The table captures the different elements of use that the PMN form captures. The ‘Production %’ 

and ‘% in Formulation’ values will be captured to indicate how the product will be used and at 

what percent in that use. Each use must capture the percent of the production and percent in 

formulation for each category of use. ‘Production %’ is captured and must equal up to 100% for 

all uses. The ‘Production %’ value can be declared CBI. The ‘% in Formulation’ value is 

captured for a use and can equal up to 100%. The ‘% in Formulation’ field may be claimed as 

CBI. 

The ‘% of substance expected’ per use is captured for the following categories: ‘Site Limited,’ 

‘Consumer,’ ‘Industrial,’ and ‘Commercial.’ The ‘% of substance expected’ value must total 

100%. The ‘% of substance expected’ values can be claimed as CBI or listed as binding. These 

use types are used to determine the risks that the chemical will place on society.

• Add Use: Click the ‘Add Use’ button to add a new use information expandable/collapsible 

field set. 

• Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the 

expandable/collapsible field set to prevent edits from saving and to remove a field set. The 

‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A 

confirmation message displays to confirm the action. 

• Edit: Click the ‘Edit’ link located in the upper right-hand corner of the 

expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’ 

link displays when the expandable/collapsible field set has been saved and the data is not 

currently editable.

• Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the 

expandable/collapsible field set to delete the field set. A confirmation message displays to 

confirm the deletion. 

• Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to expand a series of field sets. 

• Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to collapse a series of field sets.

• Category of Use: Enter the category of use for the specific chemical substance by function 

and application. This is a required field. 

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• CBI: Check the ‘CBI’ checkbox to claim the category of use information as confidential and 

generate the ‘Generic Use Description’ field. Claiming the ‘Category of Use’ field as CBI 

and then un-checking the ‘CBI’ checkbox generates a confirmation message that all attached 

documents will be deleted. 

• Binding: Check the ‘Binding’ checkbox to claim the category of use information as binding.

• C.2.b. Generic Use Description: Enter the generic use description of the chemical. This 

field displays when the ‘Category of Use’ field is claimed CBI. If you claim any category of 

use description as confidential, enter a generic description of that category. This field is 

required when the ‘Category of Use’ field is claimed CBI. 

• Total Production for this Use %: Enter an estimate of the percent of total production for 

the first three years devoted to each category of use for the specific chemical. The entered 

value must be a value greater than zero (0) but less than or equal to one hundred (100). This 

field allows for decimal values. This is a required field.

• CBI: Check the ‘CBI’ checkbox to claim the ‘Total Production for this Use’ information as 

confidential. 

• In Formulation %: Estimate the percent of the new substance as formulated in mixture, 

suspensions, emulsions, solutions, or gels as manufactured for commercial purposes at sites 

under your control associated with each category of use. The entered value must be a value 

greater than zero (0) but less than or equal to one hundred (100) and can include decimal 

values. This is a required field. 

• CBI: Check the ‘CBI’ checkbox to claim the ‘Percentage in Formulation’ information as 

confidential.

• CBI: Check the ‘CBI’ checkbox to claim the percentage of substance expected per use 

information as confidential.

• Binding: Check the ‘Binding’ checkbox to claim the percentage of substance expected per 

use information as binding. 

• Site Limited %: Enter the site limited percentage of substance expected per use for the 

submitted substance. Blank fields are recognized as zeroes. This field allows for decimal 

values. Break down the use(s) by percentage for the indicated end user categories. For 

example, site-limited means the substance will only be used on the adjacent property unit 

where manufactured and will not intentionally be removed from the site except for waste 

disposal. 

• Consumer %: Enter the consumer percentage of substance expected per use for the 

submitted substance. Blank fields are recognized as zeroes. This field allows for decimal 

values. Break down the use(s) by percentage for the indicated end user categories. Consumer 

use means that private individuals will use the chemical substance or products containing the 

substance for personal use or enjoyment. 

• Industrial %: Enter the industrial percentage of substance expected per use for the 

submitted substance. Blank fields are recognized as zeroes. This field allows for decimal 

values. Break down the use(s) by percentage for the indicated end user categories. Industrial 

use means that the chemical substance or product containing the substance will be used at the 

locations of other manufacturers or processors. 

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• Commercial %: Enter the commercial percentage of substance expected per use for the 

submitted substance. Blank fields are recognized as zeroes. This field allows for decimal 

values. Break down the use(s) by percentage for the indicated end user categories. Indicate 

percentage of product volume expected for the listed “use” sectors. Commercial use refers to 

the chemical substance or product containing the chemical substance being used by a 

company to provide a consumer service. 

• If you have provided a “consumer” use, provide details: Enter consumer use details. 

Provide a detailed description of the use(s) of this chemical substance in consumer products. 

In addition, include estimates of the concentration of the new chemical substance as expected 

in consumer products and describe the chemical reactions by which this substance loses its 

identity in the consumer product. This is a required field if the ‘Consumer % of substance 

expected per use’ field is populated and is a value greater than zero (0). 

• CBI: Check the ‘CBI’ checkbox to claim the ‘If you have provided a ‘consumer’ use, 

provide details’ information as confidential.

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.8 for additional details regarding the attach document 

functionality.

• File Name: Displays the file name and file extension of the file uploaded on the ‘Attach 

Documents’ pop-up window. Click the ‘File Name’ link to navigate to the ‘Attach 

Documents’ pop-up window to make any edits. 

• Description: Displays the description associated with a document. 

• Pages: Displays the number of pages a document contains. 

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning message displays to confirm deletion of the document.

• Save: Click the button to save the information entered within the expandable/collapsible field 

set. You must click this button instead of the ‘Save’ icon ( located within the bottom action 

bar to successfully save the entered information within the field set before being able to 

navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section 3.7

for more information regarding the save functionality in an expandable/collapsible field set. 

• Production Total: Displays the total production percentage for all uses.

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Exhibit 4-18 shows a screen capture of the ‘Use Information’ screen (Joint PMN) (Scroll 1):

Exhibit 4-18: Use Information Screen (Joint PMN) (Scroll 1) 

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Exhibit 4-19 shows a screen capture of the ‘Use Information’ screen (Joint PMN) (Scroll 2):

Exhibit 4-19: Use Information Screen (Joint PMN) (Scroll 2) 

Navigation: Click the ‘Next’ button to navigate to the ‘Physical and Chemical Properties 

Worksheet’ screen. You can also access this screen by clicking the ‘Physical and Chemical 

Properties Worksheet’ link within the navigation tree. 

4.1.12 Physical and Chemical Properties Worksheet

You can navigate to the ‘Physical and Chemical Properties Worksheet’ screen by clicking the 

‘Next’ button from the ‘Use Information’ screen. You can also access this screen by clicking the 

‘Physical and Chemical Properties Worksheet’ link within the navigation tree. 

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The ‘Physical and Chemical Properties Worksheet’ screen is used to capture optional 

information about a chemical’s properties. EPA uses the chemical properties to determine 

additional safety data about a chemical; the properties are used to determine potential risks and 

exposures of the chemicals.

The properties for a chemical are captured in an expandable/collapsible field set format. The 

following categories may apply to a chemical: ‘Physical state of neat substance,’ ‘Vapor Pressure 

@ temperature,’ ‘Density/relative density,’ ‘Solubility @ temperature ___ solvent ___,’ 

‘Solubility in water @ temperature ___,’ ‘Melting temperature,’ ‘Boiling/sublimation 

temperature @ ____,’ ‘Spectra,’ ‘Dissociation constant,’ ‘Particle size distribution,’ 

‘Octanol/water partition coefficient,’ ‘Henry’s Law constant,’ ‘Volatilization from water,’ 

‘Volatilization from soil,’ ‘pH @ concentration [concentration],’ ‘Flammability,’ 

‘Explodability,’ and ‘Adsorption/coefficient.’ All of the properties will capture the relevant 

values for a chemical. Each property may be claimed individually as CBI. 

To enter physical/chemical property information, select a physical/chemical property from the 

drop-down menu and click the ‘Add Property’ button. The expandable/collapsible field set 

expands and displays all fields that should be entered for that property. You are then able to enter 

all relevant information regarding that property. Value fields are able to accept ‘<’ or ‘>’ 

symbols. When all information is entered, click the ‘Save’ button. Each property may only be 

entered once per chemical. 

You may also enter an option for ‘Other.’ The ‘Other’ option will allow you to enter a userspecified property and any relevant values. The property will capture the relevant values for the 

chemical and the property measurement can be identified as ‘Measured’ or ‘Estimate.’ The 

‘Other’ option may be claimed individually as CBI. You may enter multiple properties as 

‘Other.’

You may upload attachments for the chemical properties on the ‘Physical and Chemical 

Properties Worksheet – Continued (Optional)’ screen.

EPA’s risk assessment process does utilize physiochemical properties, as some of the attributes 

listed here can relate directly to chemical risks. Among the most useful parameters of a new 

substance to EPA are the boiling point, the melting point, vapor pressure, the octanol/water 

partition coefficient, water solubility, Henry’s Law Constant, hydrolysis, spectral data, mass 

spectrometry (MS), proton and C13 Nuclear Magnetic Resonance (NMR), Infrared (IR), and 

Ultraviolet (UV) absorption, and the soil/sediment absorption coefficient. In the absence of this 

data, EPA will estimate to the extent possible physiochemical data to aid in their risk 

evaluations. 

Indicate whether the value you provide is based on an actual test measurement (‘Measured’) or is 

based on an estimate (‘Estimate’). Note that EPA staffers indicate that data qualifiers such as 

‘negligible’ or ‘soluble’ are not useful descriptions. 

You are not required to generate the listed test data if you do not have it. 

Physical/chemical properties data may be so unique that they could in the future link the PMN 

substance to a commercial product or may tend to identify unique classes of chemical substance, 

and therefore some data elements may represent confidential business information. Review the 

CBI status of each entry carefully, and avoid making unsupportable claims.

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Please note that in IE 7, all physical/chemical properties you wish to add must be identified 

before navigating away from this page; otherwise, the properties are removed from the ‘Add 

Property’ drop-down menu. In addition, you will be able to add the ‘Henry’s Law constant’ 

property more than once, and the chemical property fields located within the 

expandable/collapsible fields sets on this page will be disorganized. After clicking the ‘Next’ 

button, you will navigate to the ‘Physical and Chemical Properties Worksheet – Continued 

(Optional)’ screen. After clicking the ‘Previous’ button, the physical/chemical properties have 

been removed from the ‘Add Property’ drop-down menu. 

• Add Property: Click the ‘Add Property’ button to add and open a new ‘Property’ 

expandable/collapsible field set for a selected property.

• Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of an

expandable/collapsible field set to prevent edits from saving and to remove a field set. The 

‘Cancel’ link displays when an expandable/collapsible field set is open for editing. A 

confirmation message displays to confirm the action. 

• Edit: Click the ‘Edit’ link located in the upper right-hand corner of an expandable/collapsible 

field set to modify the information entered in the fields. The ‘Edit’ link displays when the 

expandable/collapsible field set has been saved and the data is not currently editable.

• Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of an

expandable/collapsible field set to delete the field set. A confirmation message displays to 

confirm the deletion. 

• Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to expand a series of field sets. 

• Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to collapse a series of field sets.

• Adsorption/Coefficient - Value: Enter the adsorption/coefficient value of the chemical 

substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the 

‘Adsorption/coefficient’ property is selected. 

• Adsorption/Coefficient - Measured or Estimate: Indicate whether the property value is 

‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down 

menu. This is a required field if the ‘Adsorption/coefficient’ property is selected. 

• Adsorption/Coefficient – CBI: Check the ‘CBI’ checkbox to claim the 

‘Adsorption/coefficient’ property as confidential.

• Boiling/sublimation temperature @ – Value: Enter the boiling/sublimation temperature in 

°C of the chemical substance. This is a required field if the ‘Boiling/sublimation temperature

@’ property is selected.

• Boiling/sublimation temperature @ [pressure] torr: Enter the value of the pressure in torr 

for which the boiling/sublimation of the chemical substance was determined. Value fields are 

able to accept ‘<’ or ‘>’ symbols. This is a required field if the ‘Boiling/sublimation 

temperature @’ property is selected. 

• Boiling/sublimation temperature @ - Measured or Estimate: Indicate whether the 

property value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value 

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from the drop-down menu. This is a required field if the ‘Boiling/sublimation temperature @’ 

property is selected. 

• Boiling/sublimation temperature @ - CBI: Check the ‘CBI’ checkbox to claim the 

‘Boiling/sublimation temperature @’ property as confidential. 

• Density/relative density - Value: Enter the density/relative density value of the chemical 

substance in g/cm3. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field 

if the ‘Density/relative density’ property is selected. 

• Density/relative density - Measured or Estimate: Indicate whether the property value is 

‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down 

menu. This is a required field if the ‘Density/relative density’ property is selected. 

• Density/relative density - CBI: Check the ‘CBI’ checkbox to claim the ‘Density/relative 

density’ property as confidential.

• Dissociation constant - Value: Enter the dissociation constant value of the chemical 

substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the 

‘Dissociation constant’ property is selected. 

• Dissociation constant - Measured or Estimate: Indicate whether the property value is 

‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down 

menu. This is a required field if the ‘Dissociation constant’ property is selected. 

• Dissociation constant - CBI: Check the ‘CBI’ checkbox to claim the ‘Dissociation constant’

property as confidential. 

• Explodability - Value: Enter the explodability value of the chemical substance. This field 

allows text or numbers to be entered and is also able to accept ‘<’ or ‘>’ symbols. This is a 

required field if the ‘Explodability’ property is selected. 

• Explodability - Measured or Estimate: Indicate whether the property value is ‘Measured’ 

or based on an ‘Estimate’ by selecting the appropriate value from the drop-down menu. This 

is a required field if the ‘Explodability’ property is selected. 

• Explodability - CBI: Check the ‘CBI’ checkbox to claim the ‘Explodability’ property as 

confidential.

• Flammability - Value: Enter the flammability value of the chemical substance. This field 

allows text and is also able to accept ‘<’ or ‘>’ symbols. This is a required field if the 

‘Flammability’ property is selected. 

• Flammability - Measured or Estimate: Indicate whether the property value is ‘Measured’ 

or based on an ‘Estimate’ by selecting the appropriate value from the drop-down menu. This 

is a required field if the ‘Flammability’ property is selected.

• Flammability - CBI: Check the ‘CBI’ checkbox to claim the ‘Flammability’ property as 

confidential.

• Henry’s Law constant - Value: Enter the Henry’s law constant value of the chemical 

substance in atm-m3

/mole. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a 

required field if the ‘Henry’s Law constant’ property is selected. 

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• Henry’s Law constant - Measured or Estimate: Indicate whether the property value is 

‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down 

menu. This is a required field if the ‘Henry’s Law constant’ property is selected. 

• Henry’s Law - CBI: Check the ‘CBI’ checkbox to claim the ‘Henry’s Law constant’

property as confidential. 

• Melting Temperature - Value: Enter the melting temperature of the chemical substance in 

°C. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the ‘Melting 

Temperature’ property is selected. 

• Melting Temperature - Measured or Estimate: Indicate whether the property value is 

‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down 

menu. This is a required field if the ‘Melting Temperature’ property is selected.

• Melting Temperature - CBI: Check the ‘CBI’ checkbox to claim the ‘Melting 

Temperature’ property as confidential.

• Octanol/water partition coefficient - Value: Enter the octanol/water partition coefficient 

value of the chemical substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a 

required field if the ‘Octanol/water partition coefficient’ property is selected.

• Octanol/water partition coefficient - Measured or Estimate: Indicate whether the property 

value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the 

drop-down menu. This is a required field if the ‘Octanol/water partition coefficient’ property 

is selected. 

• Octanol/water partition coefficient - CBI: Check the ‘CBI’ checkbox to claim the 

‘Octanol/water partition coefficient’ property as confidential. 

• Particle size distribution - Value: Enter the particle size distribution value of the chemical 

substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the 

‘Particle size distribution’ property is selected.

• Particle size distribution - Measured or Estimate: Indicate whether the property value is 

‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down 

menu. This is a required field if the ‘Particle size distribution’ property is selected. 

• Particle size distribution - CBI: Check the ‘CBI’ checkbox to claim the ‘Particle size 

distribution’ property as confidential.

• Physical state of neat substance - Value: Select the physical state of a neat substance of 

chemicals, which can be either a ‘Solid,’ ‘Liquid,’ or ‘Gas.’ This is a required field if the 

‘Physical state of neat substance’ property is selected. 

• Physical state of neat substance - Measured or Estimate: Indicate whether the property 

value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the 

drop-down menu. This is a required field if the ‘Physical state of neat substance’ property is 

selected.

• Physical state of neat substance - CBI: Check the ‘CBI’ checkbox to claim the ‘Physical 

state of neat substance’ property as confidential. 

• pH @ concentration [concentration]: Enter the concentration at which the pH was 

measured. This field allows for text. This is a required field.

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• pH @ concentration [concentration] - Value: Enter the pH value. This field allows text 

and is also able to accept ‘<’ or ‘>’ symbols. This is a required field if the ‘pH @ 

concentration [concentration]’ property is selected. 

• pH @ concentration [concentration] - Measured or Estimate: Indicate whether the 

property value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value 

from the drop-down menu. This is a required field if the ‘pH @ concentration 

[concentration]’ property is selected. 

• pH @ concentration [concentration] - CBI: Check the ‘CBI’ checkbox to claim the ‘pH @ 

concentration [concentration]’ property as confidential.

• Solubility @ temperature solvent: Enter the temperature value in °C for which the 

solubility was measured. This field allows text and is also able to accept ‘<’ or ‘>’ symbols. 

This is a required field. 

• Solubility @ temperature solvent - Solvent: Enter the solvent that will be used for the 

chemical substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field 

if the ‘Solubility @ temperature solvent’ property is selected.

• Solubility @ temperature solvent - Value: Enter the solubility of the chemical substance in 

g/L. 

• Solubility @ temperature solvent - Measured or Estimate: Indicate whether the property 

value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the 

drop-down menu. This is a required field if the ‘Solubility @ temperature solvent’ property is 

selected.

• Solubility @ temperature solvent - CBI: Check the ‘CBI’ checkbox to claim the ‘Solubility 

@ temperature solvent’ property as confidential. 

• Solubility in Water @ temperature: Enter the temperature value in °C of the chemical for 

which the solubility in water was measured. This is a required field if the ‘Solubility in Water 

@ temperature’ property is selected. 

• Solubility in Water @ temperature - Value: Enter the solubility in water of the chemical 

substance in g/L. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if 

the ‘Solubility in Water @ temperature’ property is selected. 

• Solubility in Water @ temperature - Measured or Estimate: Indicate whether the 

property value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value 

from the drop-down menu. This is a required field if the ‘Solubility in Water @ temperature’

property is selected.

• Solubility in Water @ temperature - CBI: Check the ‘CBI’ checkbox to claim the 

‘Solubility in Water @ temperature’ property as confidential. 

• Spectra - Value: Enter the spectra value of the chemical substance. Value fields are able to 

accept ‘<’ or ‘>’ symbols. This is a required field if the ‘Spectra’ property is selected.

• Spectra - Measured or Estimate: Indicate whether the property value is ‘Measured’ or

based on an ‘Estimate’ by selecting the appropriate value from the drop-down menu. This is 

a required field if the ‘Spectra’ property is selected.

• Spectra - CBI: Check the ‘CBI’ checkbox to claim the ‘Spectra’ property as confidential.

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• Vapor Pressure @ temperature: Enter the temperature value in °C of the chemical for 

which the vapor pressure was measured. This is a required field if the ‘Vapor Pressure @ 

temperature’ property is selected.

• Vapor Pressure @ temperature - Value: Enter the value of the Vapor Pressure in torr units 

of the chemical substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a 

required field if the ‘Vapor Pressure @ temperature’ property is selected. 

• Vapor Pressure @ temperature - Measured or Estimate: Indicate whether the property 

value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the 

drop-down menu. This is a required field if the ‘Vapor Pressure @ temperature’ property is 

selected. 

• Vapor Pressure @ temperature - CBI: Check the ‘CBI’ checkbox to claim the ‘Vapor 

Pressure @ temperature’ property as confidential. 

• Volatilization from water - Value: Enter the volatilization from water value of the chemical 

substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the 

‘Volatilization from water’ property is selected. 

• Volatilization from water - Measured or Estimate: Indicate whether the property value is 

‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down 

menu. This is a required field if the ‘Volatilization from water’ property is selected. 

• Volatilization from water - CBI: Check the ‘CBI’ checkbox to claim the ‘Volatilization 

from water’ property as confidential. 

• Volatilization from soil - Value: Enter the volatilization from soil value. Value fields are 

able to accept ‘<’ or ‘>’ symbols. This is a required field if the ‘Volatilization from soil’ 

property is selected. 

• Volatilization from soil - Measured or Estimate: Indicate whether the property value is 

‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down 

menu. This is a required field if the ‘Volatilization from soil’ property is selected. 

• Volatilization from soil - CBI: Check the ‘CBI’ checkbox to claim the ‘Volatilization from 

soil’ property as confidential. 

• Other: Enter any ‘Other’ property that you may specify. 

• Other - Value: Enter an ‘Other’ property value. Value fields are able to accept ‘<’ or ‘>’ 

symbols. This is a required field if the ‘Other’ property was selected. 

• Other - Measured or Estimate: Indicate whether the property value is ‘Measured’ or based 

on an ‘Estimate’ by selecting the appropriate value from the drop-down menu. This is a 

required field if the ‘Other’ property is selected. 

• Other - CBI: Check the ‘CBI’ checkbox to claim the property as confidential.

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Exhibit 4-20 shows a screen capture of the ‘Physical and Chemical Properties Worksheet’ screen 

(Joint PMN) (Scroll 1):

Exhibit 4-20: Physical and Chemical Properties Worksheet Screen (Joint PMN) (Scroll 1)

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Exhibit 4-21 shows a screen capture of the ‘Physical and Chemical Properties Worksheet’ screen 

(Joint PMN) (Scroll 2):

Exhibit 4-21: Physical and Chemical Properties Worksheet Screen (Joint PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Physical and Chemical Properties 

Worksheet – Continued (Optional)’ screen. You can also access this screen by clicking the 

‘Physical and Chemical Properties Worksheet – Continued (Optional)’ link within the navigation 

tree. 

4.1.13 Physical and Chemical Properties Worksheet – Continued (Optional)

You can navigate to the ‘Physical and Chemical Properties Worksheet – Continued (Optional)’ 

screen by clicking the ‘Next’ button from the ‘Physical and Chemical Properties Worksheet’ 

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screen. You can also access this screen by clicking the ‘Physical and Chemical Properties 

Worksheet – Continued (Optional)’ link within the navigation tree. 

The ‘Physical and Chemical Properties Worksheet – Continued (Optional)’ screen is used to 

capture all the studies and particular attachments that refer to the chemical properties captured on 

the ‘Physical and Chemical Properties Worksheet’ screen. When you first access the ‘Physical 

and Chemical Properties Worksheet – Continued (Optional)’ screen, instructional text, an 

‘Attach Document’ button, and an attachments table displays. 

When you attach a document, the properties that were selected on the ‘Physical and Chemical 

Properties Worksheet’ screen will be listed with checkboxes in the ‘Attach Documents’ window 

for you to select which properties an attachment is associated with. Check the properties that are 

relevant to the document, and then select a type and subtype value for the document. You will be 

able to attach a document, enter a description of the document, and list the number of pages.

The system provides functionality to claim an uploaded document as CBI. If a document is 

claimed as CBI, the system requires you to upload the sanitized version of the attached 

document. To view, open, or edit previously attached documents, click the appropriate file name 

of the document within the ‘File Name’ column of the attachment table.

The attachment table displays the ‘File Name,’ ‘Properties,’ ‘Description,’ ‘Pages,’ ‘CBI,’ and 

‘Actions’ columns. Click the ‘Delete’ icon ( ) located under the ‘Actions’ column to delete 

unwanted documents.

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.8 for additional details regarding the attach document 

functionality.

• File Name: Displays the file name and file extension of the original file that is uploaded on 

the ‘Attach Documents’ pop-up window. Click the ‘File Name’ link to navigate to the 

‘Attach Documents’ pop-up window to make any edits. 

• Properties: Displays the chemical properties associated with a document. 

• Description: Displays the description associated with a document. 

• Pages: Displays the number of pages a document contains. 

• CBI: Indicates the CBI status of the document by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning message displays to confirm the deletion.

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Exhibit 4-23 shows a screen capture of the ‘Physical and Chemical Properties Worksheet –

Continued (Optional)’ screen (Joint PMN):

Exhibit 4-22: Physical and Chemical Properties Worksheet – Continued (Optional) Screen 

(Joint PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Site Information’ screen if you have not 

identified another chemical. You can also access this screen by clicking the ‘Site Information’ 

link within the navigation tree. If you would like to add a consolidated chemical, click the ‘Add 

Consolidated Chemical’ link within the navigation tree. 

4.1.14 Physical and Chemical Properties Worksheet – Continued (Optional) Attach 

Documents

You can navigate to the ‘Attach Documents’ window by clicking the ‘Attach Document’ button 

on the ‘Physical and Chemical Properties Worksheet – Continued (Optional)’ screen. 

When attaching a document, the properties selected on the ‘Physical and Chemical Properties 

Worksheet’ screen will display with checkboxes to allow the properties to which the attachment 

refers to be selected. Select the type and subtype for the attachment and the properties relevant to 

the document, attach the document, and enter the number of pages. 

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The system allows the uploaded document to be claimed as CBI. If a document is claimed as 

CBI, the system requires the sanitized version of the attached document to be uploaded. To 

access or edit previously attached documents, click the appropriate file name of the document 

within the ‘File Name’ column of the attachment table.

• Type: Select the document type from the drop-down menu. 

• Subtype: Select the document subtype from the drop-down menu.

• Chemical Properties: Displays the physical and/or chemical properties identified on the 

‘Physical and Chemical Properties Worksheet’ screen that can be potentially associated with 

a document. Check the appropriate chemical properties that are associated with a document 

that are being attached. These checkboxes are enabled only if ‘Physical Chemical Property’ 

is selected from the ‘Type’ drop-down menu.

• Attachment: Displays the ‘Browse’ button to search for and identify documents on your 

local hard drive to be attached that can be associated with the physical/chemical properties 

previously identified on the ‘Physical and Chemical Properties Worksheet’ screen. 

• Description: Enter the description associated with a document. 

• Pages: Enter the number of pages a document contains. 

• CBI: Check the ‘CBI’ checkbox to claim the document confidential.

• Sanitized Attachment: Click the ‘Browse’ button to generate the ‘File Upload’ window to 

search for a particular file on your hard drive. For any attached document claimed as CBI, 

you are required to attach a sanitized version of the document.

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Exhibit 4-23 shows a screen capture of the ‘Physical and Chemical Properties Worksheet –

Continued (Optional) Attach Documents’ window (Joint PMN) (Scroll 1):

Exhibit 4-23: Physical and Chemical Properties Worksheet – Continued (Optional) Attach 

Documents Window (Joint PMN) (Scroll 1) 

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Exhibit 4-24 shows a screen capture of the ‘Physical and Chemical Properties Worksheet –

Continued (Optional) Attach Documents’ window (Joint PMN) (Scroll 2):

Exhibit 4-24: Physical and Chemical Properties Worksheet – Continued (Optional) Attach 

Documents Window (Joint PMN) (Scroll 2)

Navigation: Click the ‘Cancel’ or ‘X’ icon located in the upper right-hand corner to stop the 

process of adding document information. Click the ‘OK’ button to save the entered information 

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and navigate back to the ‘Physical and Chemical Properties Worksheet – Continued (Optional)’ 

screen. 

4.1.15 Site Information

You can navigate to the ‘Site Information’ screen by clicking the ‘Next’ button from the

‘Physical and Chemical Properties Worksheet – Continued (Optional)’ screen. You can also 

access this screen by clicking the ‘Site Information’ link within the navigation tree. 

The ‘Site Information’ screen captures information about the identification of submittercontrolled sites and sites controlled by others. If a user indicates there are submitter-controlled 

sites, the ‘Submitter Operation Information,’ ‘Occupational Exposures,’ and ‘Environmental 

Releases’ screens are automatically generated within the ‘Submitter Controlled Operations’ 

folder within the navigation tree. If a user indicates there are sites controlled by others, the 

‘Industrial Sites Controlled By Others,’ ‘Exposures/Releases,’ and ‘Byproduct Information’ 

screens automatically generate within the ‘Operations Controlled By Others’ folder within the 

navigation tree upon clicking the ‘Next’ button. Toll manufacturing sites are considered sites

controlled by the submitter.

• Do you have sites controlled by the submitter?: Select the ‘Yes’ radio button to indicate 

that you have submitter controlled sites to identify; this response automatically generates the 

screens within the ‘Submitter Controlled Operations’ folder in the navigation tree upon 

clicking the ‘Next’ button. Select the ‘No’ radio button if you do not have any submittercontrolled sites to identify. An error message displays if a submitter-controlled site displays 

within the navigation tree and the ‘No’ radio button is selected. 

• Do you have sites controlled by others?: Select the ‘Yes’ radio button to indicate that you 

have sites controlled by others to identify; this response automatically generates the screens 

within the ‘Operations Controlled by Others’ folder in the navigation tree upon clicking the 

‘Next’ button. Select the ‘No’ radio button if you do not have any sites controlled by others 

to identify. An error message displays if a site controlled by others displays within the 

navigation tree and the ‘No’ radio button is selected.

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Exhibit 4-25 shows a screen capture of the ‘Submitter Controlled Site Information’ screen (Joint 

PMN):

Exhibit 4-25: Submitter Controlled Site Information Screen (Joint PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Sites Controlled By Others’ screen. You 

can also access this screen by clicking the ‘Sites Controlled By Others’ link within the 

navigation tree. 

4.1.16 Sites Controlled By Others 

You can navigate to the ‘Sites Controlled By Others’ screen by clicking the ‘Next’ button from 

the ‘Site Information’ screen. You can also access this screen by clicking the ‘Sites Controlled 

By Others’ link within the navigation tree. 

The ‘Sites Controlled By Others’ screen captures information about known and/or unknown sites 

not controlled by the submitter. Complete the ‘Operations Controlled By Others’ section within 

the navigation tree for typical processing or use operations involving the new chemical substance 

at sites not controlled by the submitter. Importers do not have to complete this section for 

operations outside the U.S.; however, you must report any processing or use activities after 

import. Complete a separate ‘Operations Controlled By Others’ section for each type of 

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processing, or use operation involving the new chemical substance. If the same operation is 

performed at more than one site, describe the typical operation common to these sites. The 

screen first captures whether there is any data for other controlled sites. If there is no data for 

sites controlled by others, the screen will not update and the option of selecting the ‘Next’ button 

is available. If there is data for sites controlled by others, an additional question will appear. The 

screen then captures whether site-specific data for the chemical is known for ‘Sites Controlled 

By Others.’ If you indicate that there is site-specific data by selecting the ‘Yes’ radio button, the 

screen will generate a text field to enter the ‘# of unknown sites’ and a ‘CBI’ checkbox to claim 

the number of unknown sites as confidential. If there is no site-specific data, the screen displays

a text box to capture the number of unknown sites. 

Please note that in IE 7, after adding a site, the ‘# of unknown sites’ text box label disappears but 

the text field and ‘CBI’ checkbox are still displayed. 

• Do you have any sites controlled by others for which you have information to report?: If 

you select ‘Yes’ the screen will display the question ‘Do you have site-specific information?’ 

If you select ‘No’ only the listed navigation options will display. If an operation controlled 

by others displays within the navigation tree, the ‘Yes’ radio button must be selected for this 

question. 

• Do you have site-specific information?: If you select ‘Yes’ the screen generates fields to 

capture specific site information. If you select ‘No,’ an error message displays indicating that 

any other sites you have will be deleted. 

• # of unknown sites: Enter the number of unknown sites; zero (0) is an acceptable value. This 

is a required field. 

• CBI: Check the ‘CBI’ checkbox to claim the number of unknown sites as confidential.

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Exhibit 4-26 shows a screen capture of the ‘Sites Controlled By Others’ screen (Joint PMN):

Exhibit 4-26: Sites Controlled By Others Screen (Joint PMN)

Navigation: Click the ‘Add Operation’ link under the ‘Submitter Controlled Operations’ folder 

within the navigation tree to generate the submitter controlled operation screens. You can access

this screen by clicking the ‘Submitter Operation Information’ link under the ‘Submitter 

Controlled Operations’ folder within the navigation tree. 

4.1.17 Submitter Operation Information

You can navigate to the ‘Submitter Operation Information’ screen by clicking the ‘Next’ button 

from the ‘Sites Controlled By Others’ screen. You can also access this screen by clicking the 

‘Submitter Operation Information’ link under the ‘Submitter Controlled Operations’ folder 

within the navigation tree. You can add additional sites by clicking the ‘Add Operation’ link 

within the navigation tree under the ‘Submitter Controlled Operations’ folder. 

The ‘Submitter Operation Information’ screen captures information about an operation that 

occurs at a particular site or group of sites. You are asked a series of questions, and based on the 

responses, a series of fields displays regarding a specific operation. The guided approach is 

designed to eliminate errors and ensure the completion of all relevant sections for a site. You will 

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be able to enter an operation alias to identify the operation. Importers are not required to 

complete this section for operations outside the U.S.; however, any industrial processing or use 

operation that takes place after import must be described. It should be noted that Toll 

manufacturing sites are considered to be sites controlled by the submitter.

You will first be asked to select the site(s) and chemical(s) for the operation and will then select 

the applicable operation type checkboxes. 

If you select an option other than ‘Use’ for the operation type, you will be asked whether the 

chemical is manufactured or processed as a ‘batch’ or ‘continuous’ process. Based on the 

property selected, fill in the relevant information. If you select the ‘Use’ operation type, then 

there will be no further options on this screen. The follow-up screens are used to capture specific 

information about the operation type process. 

The system provides a text box for describing the process description. Additional process 

information may also be included in an attachment. In the process description, include the 

following information: (1) Diagram the major unit operation steps and chemical conversions. 

Include interim storage and specify transport containers (e.g., 5-gallon pails, 55-gallon drum, rail 

car, tank truck, etc.). (2) Provide the identity, approximate weight (by kilograms (kg) kg/day or 

kg/batch on a new chemical substance basis), and entry point of all starting materials, feedstocks 

(including reactants, solvents, catalysts, etc.), products, recycle streams, and wastes. Include 

cleaning chemicals (note frequency if not used daily or per batch). (3) Identify by number the 

points of release, including small or intermittent releases, to the environment of the new 

chemical substance. If releasing to two media at the same step, assign a second release number 

for the second medium. 

You may claim the process description or attachment as CBI. If an attached document is claimed 

as CBI, the system requires a sanitized version of the attached document to be uploaded. To 

access or edit previously attached documents, click the file name of the document within the 

‘File Name’ column of the document table.

The document table displays the file name and file extension of the document, the document 

description, the number of pages in the document, and whether a sanitized copy of the document 

was attached. Click the ‘Delete’ icon ( ) under the ‘Actions’ column to delete unwanted 

documents.

• Operation Alias: Enter the operation alias. This field makes it easier to distinguish between 

operations in the navigation tree when there is more than one operation. This is a required 

field if the form is pending a Joint Submission or a Letter of Support. 

• Add Facility: Click the button to generate the ‘Add Facility’ pop-up window and select a site 

from the drop-down menu to add to the ‘Submitter Operation Information’ screen. Refer to 

Section 3.10 for additional details regarding the add facility functionality.

• Site Name: Displays the site name. 

• Address: Displays the site address. 

• City: Displays the site city.

• State: Displays the site state.

• Postal Code: Displays the site postal code.

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• CBI: Indicates the CBI status of the site by displaying either a ‘Y’ or an ‘N.’

• Actions: Click the ‘Delete’ icon ( ) to delete a site from the table. A warning message 

displays to confirm the deletion of the site. 

• Select the chemical(s) that this submission pertains to: Displays all consolidated 

chemicals in a PMN submission with associated checkbox(es). 

• CBI: Check the ‘CBI’ checkbox to claim the operation type as confidential. 

• Manufacturing: Check the ‘Manufacturing’ checkbox to indicate that manufacturing is 

taking place at the site. Checking the ‘Manufacturing’ checkbox generates the ‘Is it batch or 

continuous’ radio buttons.

• Processing: Check the ‘Processing’ checkbox to indicate that processing is taking place at 

the site. Checking the ‘Processing’ checkbox generates the ‘Is it batch or continuous’ radio 

buttons.

• Use: Check the ‘Use’ checkbox to indicate that chemical use is taking place at the site.

• CBI: Check the ‘CBI’ checkbox to claim the amount and duration information as 

confidential. 

• Is it batch or continuous?: Select the ‘Batch’ radio button to indicate that the chemical is 

produced in a batch process. Select the ‘Continuous’ radio button to indicate that the 

chemical is produced on a continuous basis. Either the ‘Batch’ or ‘Continuous’ radio button 

is required to be selected.

• Max kg/batch: Enter the maximum number of kilograms produced per batch. This field only 

displays when you select the ‘Batch’ radio button and is a required field. This field accepts 

decimal values.

• Hours/batch: Enter the hours of manufacturing or processing time needed per batch. This 

field only displays when you select the ‘Batch’ radio button and is a required field. This field 

accepts decimal values.

• Batches/year: Enter the number of batches produced per year. This field only displays when 

you select the ‘Batch’ radio button and is a required field. This field accepts decimal values.

• Max kg/day: Enter the maximum number of kg of a chemical produced per day. This field 

only displays when you select the ‘Continuous’ radio button and is a required field. This field 

accepts decimal values.

• Hours/day: Enter the number of hours per day that the chemical is processed or 

manufactured; this value cannot exceed 24. This field only displays when you select the 

‘Continuous’ radio button and is a required field. This field accepts decimal values.

• Days/year: Enter the number of days per year that the chemical is processed or 

manufactured; this value cannot exceed 365. This field only displays when you select the 

‘Continuous’ radio button, and is a required field. This field accepts decimal values.

• CBI: Check the ‘CBI’ checkbox to claim the process description as confidential. 

• Process Description: Enter the process description. In the ‘Process Description’ text box, or 

an attachment, address the following items: (1) Diagram the major unit operation steps and 

chemical conversions. Include interim storage and transport containers (specify – e.g., 5-

gallon pails, 55-gallon drum, rail car, tank truck, etc.). (2) Provide the identity, the 

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approximate weight (by kg/day or kg/batch on a 100% new chemical substance basis), and 

entry point of all starting materials and feedstocks (including reactants, solvents, catalysts, 

etc.), and of all products, recycle streams, and wastes. Include cleaning chemicals (note 

frequency if not used daily or per batch). (3) Identify by number the points of release, 

including small or intermittent releases, to the environment of the new chemical substance. If 

releasing to two media at the same step, assign a second release number for the second 

medium. Either this field is required or a document must be attached. 

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.8 for additional details regarding the attach document 

functionality. 

• File Name: Displays the file name and file extension of the file that is uploaded on the 

‘Attach Documents’ pop-up window.

• Description: Displays the description associated with a document. 

• Pages: Displays the number of pages a document contains. 

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning message displays to confirm the deletion. 

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Exhibit 4-27 shows a screen capture of the ‘Submitter Operation Information’ screen (Joint 

PMN) (Scroll 1):

Exhibit 4-27: Submitter Operation Information Screen (Joint PMN) (Scroll 1)

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Exhibit 4-28 shows a screen capture of the ‘Submitter Operation Information’ screen (Joint 

PMN) (Scroll 2):

Exhibit 4-28: Submitter Operation Information Screen (Joint PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Occupational Exposures’ screen. You 

can also access this screen by clicking the ‘Occupational Exposures’ link within the navigation 

tree. 

4.1.18 Occupational Exposures 

You can navigate to the ‘Occupational Exposures’ screen by clicking the ‘Next’ button from the 

‘Submitter Operation Information’ screen. You can also access this screen by clicking the 

‘Occupational Exposures’ link within the navigation tree.

Click the ‘Add’ button to generate an expandable/collapsible field set to enter occupational 

exposure information. The application displays fields for you to enter information for ‘Worker 

Category (1),’ ‘Worker Activity (1),’ ‘Protective Equipment/Engineering Controls (3),’ ‘Physical 

Form(s) (5),’ ‘% New Substance (5),’ ‘# Workers Exposed (8),’ ‘Maximum Duration Hours/Day 

(10),’ and ‘Maximum Duration Days/Year (11).’ EPA is attempting to estimate exposure levels, 

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Secondary Agent/Consultant 102
the number of workers potentially exposed, and possible routes and duration of exposure to the 

PMN substance. Work with your plant engineers to develop accurate data; review the CBI status 

of data you provide.

• Add: Click the ‘Add’ button to generate the ‘Occupational Exposure – Submitter Controlled 

Sites’ expandable/collapsible field set.

• Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the 

expandable/collapsible field set to prevent edits from saving and remove the field set. The 

‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A 

confirmation message displays to confirm the action.

• Edit: Click the ‘Edit’ link located in the upper right-hand corner of the 

expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’ 

link displays when the expandable/collapsible field set has been saved and the data is not 

currently editable.

• Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the 

expandable/collapsible field set to delete the field set. A confirmation message displays to 

confirm the deletion. The ‘Delete’ icon ( ) displays when the user has clicked the ‘Add’ 

button.

• Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to expand a series of field sets.

• Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to collapse a series of field sets.

• Worker Category (1): Select the category of work from the drop-down menu in which a 

worker may be exposed to a chemical substance. This is a required field. 

• CBI: Check the ‘CBI’ checkbox to claim worker category information as confidential. 

• Worker Activity (1): Select the worker activity (e.g. bag dumping, tote filling, unloading 

drums, sampling, cleaning, etc.) in which workers may be exposed to a chemical substance. 

Please note that if you are populating this field via an XML file created from the ePMN thick 

client, this drop-down menu will not populate. This is a required field. 

• Protective Equipment/Engineering Controls (3): Enter the protective 

equipment/engineering controls used to protect workers. This is a required field. 

• CBI: Check the ‘CBI’ checkbox to claim the protective equipment/engineering controls 

information as confidential. 

• Binding: Check the ‘Binding’ checkbox to claim the protective equipment/engineering 

controls information as binding.

• Physical Form(s) (5): Enter the physical forms(s) of the new chemical substance (e.g., solid, 

crystal, granule, powder, or dust) and percentage of new chemical substance (if part of a 

mixture) at the time of exposure. Be as specific as possible on the physical form (e.g., is the 

PMN substance isolated as a crystalline or amorphous powder, wet cake, flake solid, granular 

solid, or a fused solid?). If data on particle size of solids are available, it should be included 

as an attachment. For wet cakes, a percent moisture estimate may prevent EPA from making 

an estimate that is too conservative. Please pay particular attention to the information within 

if this field is populated via XML file. The information contained within the ‘Physical Forms 

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and % New Substance’ field in the thick client separates into two (2) separate fields, the 

‘Physical Form(s)’ field and ‘% New Substance’ field when these fields are populated via an 

XML file generated from the ePMN thick client. This is a required field.

• Binding: Check the ‘Binding’ checkbox to claim the physical form(s) information as 

binding. 

• % New Substance (5): Enter the percentage of new chemical substance (if part of a mixture) 

at the time of exposure. A value of zero (0) entered in this field will display an error. Please 

pay particular attention to the information within if this field is populated via XML file. The 

information contained within the ‘Physical Forms and % New Substance’ field in the thick 

client separates into two (2) separate fields, the ‘Physical Form(s)’ field and ‘% New 

Substance’ field when these fields are populated via an XML file generated from the ePMN 

thick client. This is a required field that accepts decimal values.

• Binding: Check the ‘Binding’ checkbox to claim the percentage new substance information 

as binding. 

• # Workers Exposed (8): Enter the number of workers exposed. Estimate the maximum 

number of all workers involved in each activity for all sites combined. This is a required 

field. 

• CBI: Check the ‘CBI’ checkbox to claim the number of workers exposed as confidential. 

• Hours/Day (10): Enter the maximum duration occupational exposure occurs for the activity 

for any worker in hours per day; this field allows decimal values. A value of zero (0) entered 

in this field will display an error. This is a required field. 

• Days/Year (11): Enter the maximum duration occupational exposure occurs for the activity 

for any worker in days per year; this field allows decimal values. A value of zero (0) entered 

in this field will display an error. This is a required field. 

• CBI: Check the ‘CBI’ checkbox to claim the maximum duration values as confidential.

• Save: Click the ‘Save’ button to save the information entered in the ‘Occupational Exposure 

– Submitter Controlled Sites’ field set. You must click this button instead of the ‘Save’ icon (

) located within the bottom action bar to successfully save the entered information within 

the field set before being able to navigate away from the screen using the ‘Previous’ and 

‘Next’ buttons.

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Exhibit 4-29 shows a screen capture of the ‘Occupational Exposures’ screen (Joint PMN):

Exhibit 4-29: Occupational Exposures Screen (Joint PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Environmental Releases’ screen. You can 

also access this screen by clicking the ‘Environmental Releases’ link within the navigation tree. 

4.1.19 Environmental Releases 

You can navigate to the ‘Environmental Releases’ screen by clicking the ‘Next’ button from the 

‘Occupational Exposures’ screen. You can also access this screen by clicking the ‘Environmental 

Releases’ link within the navigation tree. 

The ‘Environmental Releases’ screen captures information about the environmental release and 

disposal status of a particular site. The information on exposure and environmental release is

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related to the flow diagram/process description on the ‘Submitter Operation Information’ screen. 

This page is duplicated and populated for each flow diagram supplied in the PMN 

(manufacturing, each processing description, and any use diagrams). The information provided 

should focus on the PMN substance. EPA reviewers pay particular attention to human exposure 

and environmental release date under their TSCA mandate to protect against unreasonable risks 

from new chemical substances. In the absence of this information, EPA will make its own 

estimates of worker exposure and environmental release, which are usually conservative. You 

should present data that is accurate and as complete as possible. 

The page displays an ‘Add’ button to add an expandable/collapsible field set to enter 

‘Environmental Release and Disposal – Submitter Controlled Sites’ information. The page 

displays fields to enter information for ‘Release Number,’ the amount of the new substance 

released ‘to environment’ and the amount of new substance released ‘to control technology,’ 

‘Media of Release,’ ‘Control Technology Description,’ and ‘Release after Control Technology.’ 

You will be asked to enter information concerning the release to water, such as Publicly Owned 

Treatment Works (POTW), navigable waterways, and others.

• Add: Click the ‘Add’ button to generate the ‘Environmental Release and Disposal –

Submitter Controlled Sites’ expandable/collapsible field set.

• Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the 

expandable/collapsible field set to prevent edits from saving and remove the field set. The 

‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A 

confirmation message displays to confirm the action.

• Edit: Click the ‘Edit’ link located in the upper right-hand corner of the 

expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’ 

link displays when the expandable/collapsible field set has been saved and the data is not 

currently editable.

• Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the 

expandable/collapsible field set to delete the field set. A confirmation message displays to 

confirm the deletion. The ‘Delete’ icon ( ) displays when the user clicks the ‘Add’ button.

• Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to expand a series of field sets.

• Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to collapse a series of field sets.

• Release Number (1): Enter the number of each release point identified in the process 

description on the ‘Submitter Operation Information’ screen. This is a required field.

• CBI: Check the ‘CBI’ checkbox to claim the release number information as confidential. 

• Amount of new substance released to Environment (2a): Select the applicable radio 

button and enter the amount of new substance released to environment. Release estimates 

should be consistent with the release levels shown on the preceding flow diagram on the 

‘Submitter Operation Information’ screen. Include intermittent release estimates from 

cleaning of equipment and transportation containers, even if cleaned off-site. Either the 

‘Amount of new substance released to Environment’ or the ‘Amount of new substance 

released to Control Technology’ field should be populated. 

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• Amount of new substance released to Environment kg/day: Select the radio button to 

claim that the amount of new substance released to the environment is measured in kilograms 

per day. 

• Amount of new substance released to Environment kg/batch: Select the radio button to 

claim that the amount of new substance released to the environment is measured in kilograms 

per batch. 

• Amount of new substance released to Control Technology (2b): Enter the amount of new 

substance released to control technology. Release estimates should be consistent with the 

release levels shown on the proceeding flow diagram on the ‘Submitter Operation 

Information’ screen. Include intermittent release estimates from cleaning of equipment and 

transportation containers, even if cleaned off-site. Either the ‘Amount of new substance 

released to environment’ or the ‘Amount of new substance released to Control Technology’ 

field should be populated. 

• Amount of new substance released to Control Technology kg/day: Select the radio button 

to claim that the amount of new substance released to control technology is measured in 

kilograms per day. 

• Amount of new substance released to Control Technology kg/batch: Select the radio 

button to claim that the amount of new substance released to control technology is measured 

in kilograms per batch. 

• Media of Release (4): Identify the media of release (i.e., stack air, fugitive air, surface water, 

on-site or off-site land or incineration, POTW, or other (please specify)) to which the new 

substance will be released from that release point from the drop-down menu. This is a 

required field.

• CBI: Check the ‘CBI’ checkbox to claim the media of release as confidential. 

• If Other, specify: Enter the other media of release when you select ‘Other’ from the ‘Media 

of Release’ drop-down menu. 

• Control Technology Description (5a): Enter the control technology description. Describe 

control technology, if any, and control efficiency used to limit the release of the new 

substance to the environment. For releases disposed of on land, characterize the disposal 

method and state whether it is approved for disposal of Resource Conservation and Recovery 

Act (RCRA) hazardous waste. For each site, describe any additional disposal methods that 

will be used and whether the waste is subject to secondary or tertiary on-site treatment. 

Indicate if you want this information to bind. Check the ‘CBI’ checkbox if the information is 

confidential. This is a required field. 

• Binding: Check the ‘Binding’ checkbox to claim the control technology description as 

binding. 

• Release after Control Technology (5b): Enter the release after control technology. Estimate 

the amount released to the environment after control technology (in kilograms per day). This 

is a required field.

• Save: Click the button to save the information entered within the expandable/collapsible field 

set. You must click the button instead of the ‘Save’ icon ( ) located within the bottom 

action bar to successfully save the information entered within the field set before being able 

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to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section 

3.7 for more information regarding the save functionality in an expandable/collapsible field 

set. 

• POTW Name: Enter the POTW name. 

• POTW NPDES #: Enter the POTW National Pollutant Discharge Elimination System 

(NPDES) number. 

• POTW CBI: Check the ‘CBI’ checkbox to claim the POTW as confidential. 

• Navigable Waterway Name: Enter the navigable waterway name. 

• Navigable Waterway NPDES #: Enter the navigable waterway NPDES number. 

• Navigable Waterway CBI: Check the ‘CBI’ checkbox to claim the navigable waterway as 

confidential. 

• Other (Specify) Name: Enter the name of the other destination of release to water. 

• Other (Specify) CBI: Check the ‘CBI’ checkbox to claim the other destination of release to 

water as confidential.

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Exhibit 4-30 shows a screen capture of the ‘Environmental Releases’ screen (Joint PMN) (Scroll 

1):

Exhibit 4-30: Environmental Releases Screen (Joint PMN) (Scroll 1)

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Exhibit 4-31 shows a screen capture of the ‘Environmental Releases’ screen (Joint PMN) (Scroll 

2):

Exhibit 4-31: Environmental Releases Screen (Joint PMN) (Scroll 2)

Navigation: Click the ‘Save’ button within the ‘Environmental Release and Disposal –

Submitter Controlled Sites’ expandable/collapsible field set to save the information entered. 

Click the ‘Next’ button to navigate to the ‘Industrial Sites Controlled By Others’ screen. You can 

also access this screen by clicking the ‘Industrial Sites Controlled By Others’ link within the 

navigation tree. 

4.1.20 Industrial Sites Controlled By Others 

Click the ‘Add Operation’ link under the ‘Operations Controlled By Others’ folder within the 

navigation tree to generate the screens for an operation controlled by others. You can navigate to 

this screen by clicking the ‘Next’ button from the ‘Environmental Releases’ screen. You can also 

access this screen by clicking the ‘Industrial Sites Controlled By Others’ link within the 

navigation tree under the ‘Operations Controlled by Others’ folder. 

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The ‘Industrial Sites Controlled By Others’ screen captures information about activities 

occurring at a particular site or group of sites. You will be able to enter an operation alias to 

identify the operation. Importers are not required to complete this section for operations outside 

the U.S.; however, any industrial processing or use operation that takes place after import must 

be described.

You will first be asked to select the site(s) and chemical(s) for the operation. You will then 

proceed to the next screen to enter resources concerning the operation. The system provides a 

field to add an operation process description.

The site(s) and chemical(s) for the operation must be identified. The system then navigates to the 

next screen to enter resources concerning the operation. The ‘Industrial Sites Controlled By 

Others’ screen also displays a field to add an operation process description. In the operation 

description, include the following information: (1) Diagram the major unit operation steps and 

chemical conversions, including interim storage and specify transport containers (e.g., 5-gallon 

pails, 55-gallon drums, rail cars, tank trucks, etc.). On the diagram, identify by letter and briefly 

describe each worker activity. (2) Either in the diagram or in the text field, provide the identity, 

the approximate weight (by kg/day or kg/batch, on a 100% new chemical substance basis), and 

entry point of all feedstocks (including reactants, solvents and catalysts, etc.), products, recycle 

streams, and wastes. Include cleaning chemicals (note frequency if not used daily or per batch). 

(3) Either in the diagram or in the text field, identify by number the points of release, including 

small or intermittent releases, to the environment of the new chemical substance.

• Operation Alias: Enter the operation alias. This is a required field if the form is pending a 

Joint Submission or a Letter of Support. 

• Add Facility: Click the button to generate the ‘Add Facility’ pop-up window and select a site 

from the drop-down menu to add to the ‘Industrial Sites Controlled By Others’ screen. Refer 

to Section 3.10 for additional details regarding the add facility functionality.

• Site Name: Displays the site name. 

• Address: Displays the site address. 

• City: Displays the site city. 

• State: Displays the site state. 

• Postal Code: Displays the site postal code.

• CBI: Indicates the CBI status of the site by displaying either a ‘Y’ or an ‘N.’

• Actions: Click the ‘Delete’ icon ( ) to delete a site from the table. A warning message 

confirming deletion of the site displays. 

• Select the chemical(s) that this submission pertains to: Displays all consolidated 

chemicals in a PMN form. 

• Operation Description: Enter the operation process description. Cover the following items: 

(1) Diagram the major unit operation steps and chemical conversions, including interim 

storage and transport containers (specify – e.g., 5-gallon pails, 55-gallon drums, rail cars, 

tank trucks, etc.). On the diagram, identify by letter and briefly describe each worker activity. 

(2) Either in the diagram or in the text field, provide the identity, the approximate weight (by 

kg/day or kg/batch, on a 100% new chemical substance basis), entry point of all feedstocks 

(including reactants, solvents and catalysts, etc.), all products, recycle streams, and wastes. 

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Include cleaning chemicals (note frequency if not used daily or per batch). (3) Either in the 

diagram or in the text field, identify by number the points of release, including small or 

intermittent releases, to the environment of the new chemical substance. Either this field is 

required or a document must be attached. 

• CBI: Check the ‘CBI’ checkbox to claim the operation description as confidential.

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.8 for additional details regarding the attach document 

functionality. 

• File Name: Displays the file name and file extension of the document that was uploaded on 

the ‘Attach Documents’ pop-up window.

• Description: Displays the description associated with a document. 

• Pages: Displays the number of pages a document contains. 

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning message displays to confirm deletion of the document.

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Exhibit 4-32 shows a screen capture of the ‘Industrial Sites Controlled By Others’ screen (Joint 

PMN):

Exhibit 4-32: Industrial Sites Controlled By Others Screen (Joint PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Exposures/Releases’ screen. You can 

also access this screen by clicking the ‘Exposures/Releases’ link within the navigation tree. 

4.1.21 Exposures/Releases 

You can navigate to the ‘Exposures/Releases’ screen by clicking the ‘Next’ button from the 

‘Industrial Sites Controlled By Others’ screen. You can also access this screen by clicking the 

‘Exposures/Releases’ link within the navigation tree under the ‘Operations Controlled By 

Others’ folder. 

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The screen provides buttons to add expandable/collapsible field sets for worker exposure release 

information and environmental disposal information. The screen displays fields in the worker 

exposure expandable/collapsible field set to enter information for ‘Letter of Activity (1),’ ‘# 

Workers Exposed (2),’ ‘Duration of Exposure Hours/Day (4a),’ ‘Duration of Exposure 

Days/Year (4b),’ ‘Protective Equipment/Engineering Controls (6),’ ‘Physical Form (6),’ ‘% New 

Substance (6),’ and ‘% in Formulation (7).’ The screen displays fields in the environmental 

release expandable/collapsible field set to enter information for ‘Release Number (9),’ the 

amount of the new substance released directly ‘to environment (10a),’ the amount of new 

substance released ‘into control technology (10b),’ ‘Media of Release (12),’ and ‘Control 

Technology (12).’

Information entered into the ‘Duration of Exposure Hours/Day (4a)’ and ‘Duration of Exposure 

Days/Year (4b)’ fields must be a positive whole number or decimal. The system does not allow 

special characters to be saved in these fields. If further explanation is required regarding duration 

of exposure, please provide this in an attachment. 

• Add: Click the ‘Add’ button to generate the ‘Worker Exposure’ expandable/collapsible field 

set. 

• Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the 

expandable/collapsible field set to prevent edits from saving and to remove a field set. The 

‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A 

confirmation message displays to confirm the action. 

• Edit: Click the ‘Edit’ link located in the upper right-hand corner of the 

expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’ 

link displays when the expandable/collapsible field set has been saved and the data is not 

currently editable.

• Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the 

expandable/collapsible field set to delete the field set. A confirmation message displays to 

confirm the deletion. 

• Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to expand a series of field sets. 

• Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to collapse a series of field sets.

• Letter of Activity (1): Indicate the activities in which workers may be exposed to the 

specified substance.

• CBI: Check the ‘CBI’ checkbox to claim the letter of activity as confidential. 

• # Workers Exposed (2): Enter an estimate of the number of workers exposed for all sites 

combined.

• CBI: Check the ‘CBI’ checkbox to claim the number of workers exposed as confidential. 

• Duration of Exposure Hours/Day (4a): Enter an estimate of the typical duration of 

exposure per worker in hours/day. This field allows decimal values.

• Duration of Exposure Days/Year (4b): Enter an estimate of the typical duration of 

exposure per worker in days/year. This field allows decimal values. 

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• CBI: Check the ‘CBI’ checkbox to claim the duration of exposure hours/day and days/year 

as confidential.

• Protective Equipment/Engineering Controls (6): Enter a description of any protective 

equipment and engineering controls, if any, used to protect workers. Please pay particular 

attention to the information within if this field is populated via XML file. The information 

contained within the ‘Protective Equipment/Engineering Controls/Physical Forms’ field in 

the thick client separates into two (2) separate fields, the ‘Protective Equipment/Engineering 

Controls’ and ‘Physical Forms’ field when these fields are populated via an XML file 

generated from the ePMN thick client. 

• CBI: Check the ‘CBI’ checkbox to claim the protective equipment/engineering controls 

information as confidential. 

• Physical Form (6): Enter a description of physical forms of exposure. Please pay particular 

attention to the information populated in this field if this field is populated via XML file. The 

information contained within the ‘Protective Equipment/Engineering Controls/Physical 

forms’ field in the thick client separates into two (2) separate fields, the ‘Protective 

Equipment/Engineering Controls’ and ‘Physical Forms’ field when these fields are populated 

via an XML file generated from the ePMN thick client. 

• % New Substance (6): Describe percentage of new chemical substance (if in mixture). 

• % in Formulation (7): Estimate the percent of the new substance as formulated when 

packaged or used as a final product.

• Save: Click the button to save the information entered within the expandable/collapsible field 

set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom 

action bar to successfully save the entered information within the field set before being able 

to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section 

3.7 for more information regarding the save functionality in an expandable/collapsible field 

set.

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Exhibit 4-33 shows a screen capture of the ‘Exposures/Releases’ screen (Joint PMN) (Scroll 1):

Exhibit 4-33: Exposures/Releases Screen (Joint PMN) (Scroll 1)

• Add: Click the ‘Add’ button to generate the environmental disposable

expandable/collapsible field set. 

• Release Number (9): Enter the number of each release point from the process diagram 

previously entered. 

• CBI: Check the ‘CBI’ checkbox to claim the release number information as confidential. 

• Amt New Substance Released Directly into Environment (10a): Enter an estimate of the 

amount of the new substance released directly to the environment in Kg/day or Kg/batch. 

• Amt New Substance Released Directly into Environment kg/day: Select the ‘Kg/day’

radio button to indicate that the amount of substance released into environment measures in 

kilograms per day. 

• Amt New Substance Released Directly into Environment kg/batch: Select the ‘Kg/batch’

radio button to indicate that the amount of substance released into environment measures in 

kilograms per batch. 

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• CBI: Check the ‘CBI’ checkbox to claim the amount new substance released directly into 

environment as confidential. 

• Amt New Substance Released Directly into Control Technology (10b): Estimate the 

amount of the new substance released into control technology in kg/day or kg/batch.

• Amt New Substance Released Directly into Control Technology kg/day: Select the 

‘kg/day’ radio button to indicate that the amount of substance released into control 

technology measures in kilograms per day. 

• Amt New Substance Released Directly into Control Technology kg/batch: Select the 

‘kg/batch’ radio button to indicate that the amount of substance released into control 

technology measures in kilograms per batch. 

• CBI: Check the ‘CBI’ checkbox to claim the amount new substance released directly into 

control technology as confidential. 

• Media of Release (12): Select a value from the drop-down menu to capture the media of 

release. The ‘Media of Release’ drop-down menu contains the following values: ‘Fugitive 

Air,’ ‘Off-Site Incineration,’ ‘POTW,’ ‘Stack Air,’ ‘Surface Water,’ and ‘Other,’ that will be 

used to limit the release of the new substance to the environment. 

• CBI: Check the ‘CBI’ checkbox to claim media of release as confidential. 

• Control Technology (12): Enter the control technology, if any, which will be used to limit 

the release of the new substance to the environment. 

• CBI: Check the ‘CBI’ checkbox to claim control technology information as confidential. 

• Save: Click the ‘Save’ button to save the information entered into the ‘Environmental 

Release’ expandable/collapsible field set. You must click this button instead of the ‘Save’ 

button located within the bottom action bar to successfully save the entered information 

within the field set before being able to navigate away from the screen using the ‘Previous’ 

and ‘Next’ buttons.

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Exhibit 4-34 shows a screen capture of the ‘Exposures/Releases’ screen (Scroll 2) (Joint PMN):

Exhibit 4-34: Exposures/Releases Screen (Joint PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Byproduct Information’ screen. You can 

also access this screen by clicking the ‘Byproduct Information’ link within the navigation tree. 

4.1.22 Byproduct Information 

You can navigate to the ‘Byproduct Information’ screen by clicking the ‘Next’ button from the 

‘Exposures/Releases’ screen. You can also access this screen by clicking the ‘Byproduct 

Information’ link within the navigation tree.

The ‘Byproduct Information’ screen captures byproducts resulting from a particular site. The 

system displays fields to enter byproducts.

• CBI: Check the ‘CBI’ checkbox to claim all byproducts as confidential. 

• Byproduct: Enter byproducts that may result from the operation. 

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• Actions: Click the ‘Save’ icon ( ) to save an entered byproduct. Click the ‘Delete’ icon ( ) 

to delete a byproduct. Click the ‘Add’ icon ( ) to add a byproduct. Click the ‘Form’ icon

( ) to edit a saved byproduct.

Exhibit 4-35 shows a screen capture of the ‘Byproduct Information’ screen (Joint PMN):

Exhibit 4-35: Byproduct Information Screen (Joint PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Optional Pollution Prevention’ screen.

You can also access this screen by clicking the ‘Optional Pollution Prevention’ link within the 

navigation tree. 

4.1.23 Optional Pollution Prevention

You can navigate to the ‘Optional Pollution Prevention’ screen by clicking the ‘Next’ button 

from the ‘Byproduct Information’ screen. You can also access this screen by clicking the 

‘Optional Pollution Prevention’ link within the navigation tree. 

The ‘Optional Pollution Prevention’ screen provides fields for companies to enter data about 

their pollution prevention efforts. The company has the option of entering information as a free 

text field or as an attachment. The company can claim the information as CBI. 

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The system allows an uploaded document to be claimed as CBI. If a document is claimed as 

CBI, the system requires the sanitized version of the attached document to be uploaded. To 

access or edit previously attached documents, click the appropriate file name of the document 

within the ‘File Name’ column of the attachment table.

The attachment table displays the file name and file extension of the document, the document 

description, the number of the pages the document contains, and the CBI status of the document. 

Click the ‘Delete’ icon ( ) located within the ‘Actions’ column to delete unwanted documents. 

You may provide information not reported elsewhere in this form regarding your efforts to 

reduce or minimize potential risks associated with activities surrounding manufacturing, 

processing, use, and disposal of the PMN substance. Include new information pertinent to 

pollution prevention, including source reduction, recycling activities and safer processes or 

products available due to the new chemical substance. Source reduction includes the reduction in 

the amount or toxicity of chemical wastes by technological modification, process and procedure 

modification, product reformulation, and/or raw materials substitution. Recycling refers to the 

reclamation of useful chemical components from wastes that would otherwise be treated or 

released as air emissions or water discharges, or land disposal. Quantitative or qualitative 

descriptions of pollution prevention, source reduction and recycling should emphasize potential 

risk reduction in addition to compliance with existing regulatory requirements. EPA is interested 

in the information to assess overall net reductions in toxicity or environmental releases and 

exposures, not the shifting of risks to other media (e.g., air to water) or non-environmental areas 

(e.g., occupational or consumer exposure). To the extent known, information about the 

technology being replaced will assist EPA in its relative risk determination. In addition, 

information on the relative cost or performance characteristics of the PMN substance to potential 

alternatives may be provided. 

Describe the expected net benefits, such as: 

(1) An overall reduction in risk to human health or the environment;

(2) A reduction in the generation of waste materials through recycling, source reduction or 

other means; 

(3) A reduction in the use of hazardous starting materials, reagents, or feedstocks; 

(4) A reduction in potential toxicity, human exposure and/or environmental release; or

(5) The extent to which the new chemical substance may be a substitute for an existing 

substance that poses a greater overall risk to human health or the environment. 

EPA strongly encourages submitters to provide pollution prevention data in their notices, as this 

information assists the agency in balancing the benefits of a PMN substance against its unique 

risks.

While Agency staffers frequently receive information on the benefits of the PMN substance with 

respect to its use(s), data on pollution prevention effects are rarely included. This section should 

be utilized to indicate to EPA benefits in terms of the raw materials incorporated, the 

manufacturing process, emission reductions, less toxic waste byproducts, or lower risks upon end 

use and disposal. You should consider the entire life cycle of the PMN substance in your 

evaluation. Also consider opportunities for product stewardship or other risk management 

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controls that could significantly reduce risk characteristics of the new substance (e.g., disposal 

techniques that can be easily implemented and substantially reduce waste toxicity). 

Initiatives in the New Chemicals Program such as Environmental Technology Initiative (ETI) for 

Chemicals, and the Pollution Prevention Recognition Project, are geared towards incorporating 

this type of information into the Agency’s risk management decision making and recognizing 

innovative chemical design or technological innovation that shows potential for environmental 

and human health benefits. 

Describe any pollution prevention benefits here, and indicate if this information is confidential 

business information. Attempt to quantify the expected benefits to the extent possible and avoid 

exaggeration and highly speculative statements. The following questions can be used to assess 

pollution prevention benefits: 

(1) Are there pollution prevention benefits associated with the new PMN chemical? 

(2) Does it allow reduction of elimination of (more) toxic solvents? 

(3) Does it reduce disposal to land, or in safer forms, compared to the chemistry it replaces? 

(4) Can it be recycled more easily than existing materials? 

(5) Does your manufacturing process eliminate or reduce the use/release of hazardous 

substances?

• Please click here to review additional information that should be included on this page: 

Clicking the link displays additional information regarding the pollution information.

• Check here to claim this information as CBI: Check the ‘Check here to claim this 

information as CBI’ checkbox to claim the pollution prevention information as confidential. 

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.8 for additional details regarding the attach document 

functionality. 

• File Name: Displays the file name and file extension of a document that is uploaded on the 

‘Attach Documents’ pop-up window. Click the file name link to navigate to the ‘Attach 

Documents’ pop-up window to make any edits. 

• Description: Displays the description associated with a document. 

• Pages: Displays the number of pages a document contains. 

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning message displays to confirm the deletion.

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Exhibit 4-36 shows a screen capture of the ‘Optional Pollution Prevention’ screen (Joint PMN):

Exhibit 4-36: Optional Pollution Prevention Screen (Joint PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Additional Attachments’ screen. You can 

also access this screen by clicking the ‘Additional Attachments’ link within the navigation tree. 

4.1.24 Additional Attachments

You can navigate to the ‘Additional Attachments’ screen by clicking the ‘Next’ button from the 

‘Optional Pollution Prevention’ screen. You can also access this screen by clicking the 

‘Additional Attachments’ link within the navigation tree. 

The ‘Additional Attachments’ screen provides a table for you to add additional attachments that 

have not yet been incorporated into the form. This screen is used as a carryover where 

documents that did not have a suitable place in the application can be uploaded.

• Please click here to view a list of commonly attached documents and where they should 

be attached: Click the link to display a list of documents and where they should be attached.

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• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.8 for additional details regarding the attach document 

functionality. 

• File Name: Displays the file name and file extension of a document that is uploaded on the 

‘Attach Documents’ pop-up window. 

• Description: Displays the description associated with a document. 

• Pages: Displays the number of pages a document contains.

• Date: Displays the date a document was uploaded. 

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning message displays to confirm the deletion.

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Exhibit 4-37 shows a screen capture of the ‘Additional Attachments’ screen (Joint PMN):

Exhibit 4-37: Additional Attachments Screen (Joint PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Attachment Summary’ screen. You can 

also access this screen by clicking the ‘Attachment Summary’ link within the navigation tree. 

4.1.25 Attachment Summary 

You can navigate to the ‘Attachment Summary’ screen by clicking the ‘Next’ button from the 

‘Additional Attachments’ screen. You can also access this screen by clicking the ‘Attachment 

Summary’ link within the navigation tree. 

The ‘Attachment Summary’ screen displays a summary of the documents attached to the PMN 

form. The attachment table displays the section of the form a document is associated with, file 

name and file extension of a document, the document description, number of pages in a 

document, date attached, and whether the document is CBI.

• Section: Displays the section of the PMN form the document is associated with. 

• File Name: Displays the file name and file extension of the documents that were uploaded on 

the ‘Attach Documents’ pop-up window. 

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• Description: Displays the description of a document that was uploaded on the ‘Attach 

Documents’ pop-up window. 

• Pages: Displays the number of pages in a document that was uploaded on the ‘Attach 

Documents’ pop-up window. 

• Date: Displays the upload date of a document that was uploaded on the ‘Attach Documents’ 

pop-up window.

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’

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Exhibit 4-38 shows a screen capture of the ‘Attachment Summary’ screen (Joint PMN):

Exhibit 4-38: Attachment Summary Screen (Joint PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Optional Cover Letter’ screen. You can 

also access this screen by clicking the ‘Optional Cover Letter’ link within the navigation tree. 

4.1.26 Optional Cover Letter

You can navigate to the ‘Optional Cover Letter’ screen by clicking the ‘Next’ button from the 

‘Attachment Summary’ screen. You can also access this screen by clicking the ‘Optional Cover 

Letter’ link within the navigation tree.

The ‘Optional Cover Letter’ screen is used to communicate information with EPA that is not 

collected elsewhere in the form. The cover letter is used to give OPPT resources and special 

instructions regarding the application.

• Click here to claim this information as CBI: Check the ‘Click here to claim this 

information as CBI’ checkbox to claim the information as confidential.

• Optional Cover Letter: Enter the description and any additional special instructions 

regarding the form.

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Exhibit 4-39 shows a screen capture of the ‘Optional Cover Letter’ screen (Joint PMN):

Exhibit 4-39: Optional Cover Letter Screen (Joint PMN)

Navigation: Click the ‘Validate’ icon ( ) located in the bottom action bar to validate the 

submission. Click the ‘Save’ icon ( ) located in the bottom action bar to save the overall form. 

Click the ‘Preview’ icon ( ) to view a PDF preview of the form. 

4.1.27 Upload XML

You can access the ‘Upload XML’ screen by clicking the ‘Upload XML’ button within the 

lower-left side of the bottom action bar.

The ‘Upload XML’ screen is used to upload a PMN XML file (created from the PMN thick 

client with a file type of .pmn_tsca or the ZIP file generated from a CoR) into a current PMN 

form for PMN forms with numerous chemicals. You also have the option to export a current 

PMN form into an XML file using the ‘Export XML’ link. The upload XML functionality is 

only available for a PMN form. 

If you upload an XML file into a pre-populated form, the XML file overwrites the contents of the 

pre-populated form. In addition, uploading any file removes the attached documents within a 

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form, which must be re-attached. You must also add any sites identified within the form to your 

CDX registration profile. 

After uploading a file, click the ‘Preview’ icon ( ) located in the bottom action bar to view a 

PDF preview of the form ensuring that all the data has populated correctly and any other 

information is displayed accurately. In particular, ensure that the ‘Letter of Activity (1),’ 

‘Protective Equipment/Engineering Controls,’ ‘Physical Form,’ ‘Media of Release,’ ‘Control 

Technology,’ and ‘% New Substance’ fields of entry have been populated correctly.

Please note that in IE 7, if an upload fails, the action bar at the bottom of the screen might be 

misaligned when the ‘Upload XML’ screen reloads.

• Upload archive file: Click the button to generate the ‘File Upload’ window to search for the 

ZIP copy of record archive file populated with PMN information. The copy of record archive 

file must contain the XML form in a file labeled ‘formdata.xml.’ The application processes 

the ZIP copy of record archive file and displays any applicable error messages. 

• Export XML: Click the button to generate the XML file of the current PMN form that a user 

can download.

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Exhibit 4-40 shows a screen capture of the ‘Upload XML’ screen: 

Exhibit 4-40: Upload XML Screen 

Navigation: Click the ‘Validate’ icon ( ) located in the bottom action bar to validate the form. 

Click the ‘Save’ icon ( ) located in the bottom action bar to perform a global save on the form. 

Click the ‘Preview’ icon ( ) located in the bottom action bar to view a PDF preview of the 

form.

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5 Create Biotechnology Joint/Letter of Support 

5.1 Joint and Letter of Support Process

The Biotechnology form is used as a way to collect information about “intergeneric”

microorganisms that will be manufactured or imported into the United States. EPA collects the 

information provided in a Biotechnology form through a free text box and attachments. The 

Biotechnology form does not have a structured data format, but there are several types of 

Biotechnology notices that can be filed. The different types are as follows: Microbial 

Commercial Activity Notice (MCAN), TSCA Experimental Release Application (TERA), Tier I 

Exemption, Tier II Exemption, and Biotechnology Test Market Exemption (TME) forms. 

The Joint and/or Letter of Support submitter will register in CDX as a Secondary 

Agent/Consultant and access the Section 5 Notices and Supports application. Once you arrive at 

the ‘Section 5 Notices and Supports Forms’ screen, click the ‘Start New Form’ button and enter 

in the unique identification number on the ‘Enter Passphrase’ screen sent via email by the 

Primary AO which will generate the appropriate form that you will be populating. The Joint 

Biotechnology form will contain the same screens listed for the primary Biotechnology form, 

except the Joint submitter will not be supplied the ‘Joint Folder.’ The secondary submission 

process will also be identical to the primary submission process.

5.1.1 General Form Information

You can access the ‘General Form Information’ screen by creating a passphrase on the ‘Create 

Passphrase’ screen or by entering a passphrase on the ‘Enter Passphrase’ screen. 

The ‘General Form Information’ screen presents a list of text fields and drop-down menus for 

you to input identifying information for the specific form. You will have the option to assign a 

‘Form Alias’ by which you will use to identify the form. A form alias is helpful when a user or 

company has multiple forms and/or when you must differentiate between forms to the help desk. 

Upon navigating to the ‘General Form Information’ screen, the system will auto-generate a 

default alias in the following format: <Form Type-YYYYMMDD-HH:MM:SS Time Zone>.

The system will provide a ‘TS Number’ field for you to enter a TS number to tie support 

documents or Joint Submissions to the original Biotechnology form. The TS number must be a 

six (6) character alphanumeric combination. The TS number should include two (2), three (3), or 

four (4) letters. Company names, recognizable words, and numerical series are not 

recommended. 

The ‘Text/Comments’ text box is required when an attachment is not provided. A ‘CBI’ 

checkbox is displayed above the ‘Text/Comments’ text box to claim the information as 

confidential.

The ‘General Form Information’ screen displays the option to attach a document by clicking the 

‘Attach Document’ button. For more information regarding the attach document functionality, 

please refer to Section 3.8.

• Form Alias: Enter the form alias. Upon navigating to the screen, the system will autogenerate an editable alias comprised of Form Type-YYYYMMDD-HH:MM:SS Time Zone. 

This is a required field.

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• TS Number: Enter the TS number. The TS number can be any six (6) character 

alphanumeric combination and should include two (2), three (3), or four (4) letters. Company 

names, recognizable words and numerical series are not recommended.

• Text/Comments: Enter a description of the form and/or attachment. This field is required if 

an attachment is not provided.

• CBI: Check the ‘CBI’ checkbox to claim the ‘Text/Comments’ information as confidential. 

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Upload attachments including individual toxicity studies, GPC data, spectra, 

exposure monitoring evaluations, physical and chemical properties data, Structure-Activity 

Relationship (SAR) modeling, test samples characterization data, explanatory comments, etc. 

Analytical tests should be provided with their complete data set. For example, provide a GPC 

test report with time interval data and all graphs. For ease of review, group attachments by 

type of data, e.g., physical/chemical properties, fate information, environmental toxicity, and 

human health toxicity. Please refer to Section 3.8 for additional details regarding the attach 

document functionality. 

• File Name: Displays the file name and file extension of a document that is uploaded on the 

‘Attach Documents’ pop-up window. 

• Description: Displays the description of a document. 

• Pages: Displays the number of pages a document contains. 

• CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning message displays to confirm the deletion. 

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Exhibit 5-1 shows a screen capture of the ‘General Form Information’ screen (Joint 

Biotechnology):

Exhibit 5-1: General Form Information Screen (Joint Biotechnology)

Navigation: Click the ‘Next’ button from the ‘General Form Information’ screen to navigate to 

the ‘Technical Contact Information’ screen. You can also access this screen by clicking the 

‘Technical Contact Information’ link within the navigation tree. 

5.1.2 Technical Contact Information 

You can access the ‘Technical Contact Information’ screen by clicking the ‘Next’ button from 

the ‘General Form Information’ screen. You can also access this screen by clicking the 

‘Technical Contact Information’ link within the navigation tree.

The ‘Technical Contact Information’ screen displays an ‘Add Technical Contact’ button. Click 

the ‘Add Technical Contact’ button to generate an ‘Add Technical Contact’ pop-up window to

enter information into the text fields. The text fields can populate from your CDX registration 

information by clicking the ‘Copy CDX Registration’ button. Check the ‘Check here to claim 

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this information as CBI’ checkbox to indicate that the information is confidential and will not be 

released to the public.

• Add Technical Contact: Click the ‘Add Technical Contact’ button to generate the ‘Add 

Technical Contact’ pop-up window.

• Last Name: Displays the last name of the reported technical contact. 

• First Name: Displays the first name of the reported technical contact. 

• Address: Displays the address of the reported technical contact. 

• CBI: Indicates the CBI status of the reported technical contact information by displaying 

either a ‘Y’ or an ‘N.’ 

• Actions: Click the ‘Delete’ icon ( ) to delete the technical contact information from the 

table. A warning message displays to confirm the deletion.

Exhibit 5-2 shows a screen capture of the ‘Technical Contact Information’ screen (Joint 

Biotechnology):

Exhibit 5-2: Technical Contact Information Screen (Joint Biotechnology) 

Navigation: Click the ‘Next’ button from the ‘Technical Contact Information’ screen to navigate 

to the ‘Optional Cover Letter’ screen. You can also access this screen by clicking the ‘Optional 

Cover Letter’ link within the navigation tree.

5.1.2.1 Add Technical Contact 

You can access the ‘Add Technical Contact’ pop-up window by clicking the ‘Add Technical 

Contact’ button on the ‘Technical Contact Information’ screen.

• Copy CDX Registration: Click the ‘Copy CDX Registration’ button to copy your 

information from CDX registration; a message displays confirming the import of CDX 

registration information. 

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• Check here to claim this information as CBI: Check the ‘Check here to claim this 

information as CBI’ checkbox to claim the technical contact information as confidential. 

• First Name: Enter the technical contact’s first name. If you have clicked the ‘Copy CDX 

Registration’ button, the fields populate with information entered during CDX registration. 

This is a required field. 

• Last Name: Enter the technical contact’s last name. Click the ‘Copy CDX Registration’ 

button to populate the fields with information entered during CDX registration. This is a 

required field. 

• Position: Enter the technical contact’s job title. 

• Company Name: Enter the technical contact’s company name. Click the ‘Copy CDX 

Registration’ button to populate the fields with information entered during CDX registration. 

This is a required field. 

• Phone Number: Enter the daytime U.S. phone number of the technical contact. Click the 

‘Copy CDX Registration’ button to populate the fields with information entered during CDX 

registration. This is a required field. 

• Phone Extension: Enter the technical contact’s phone number extension if applicable. 

• Email Address: Enter the technical contact’s email address. The email address must follow 

the standard email address format: John.Doe@domain. Click the ‘Copy CDX Registration’ 

button to populate the fields with information entered during CDX registration.

• Mailing Address 1: Enter the first line of the mailing address of the technical contact. Click 

the ‘Copy CDX Registration’ button to populate the fields with information entered during 

CDX registration. This is a required field. 

• Mailing Address 2: Enter the second line of the mailing address of the technical contact. 

Click the ‘Copy CDX Registration’ button to populate the fields with information entered 

during CDX registration.

• City: Enter the city of the mailing address of the technical contact. Click the ‘Copy CDX 

Registration’ button to populate the fields with information entered during CDX registration. 

This is a required field. 

• State: Select the state of the mailing address of the technical contact. Click the ‘Copy CDX 

Registration’ button to populate the fields with information entered during CDX registration. 

This is a required field. 

• Postal Code: Enter the postal code of the mailing address for the technical contact. Click the 

‘Copy CDX Registration’ button to populate the fields with information entered during CDX 

registration. This is a required field.

• Country: Displays ‘United States.’

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Exhibit 5-3 shows a screen capture of the ‘Add Technical Contact’ window:

Exhibit 5-3: Add Technical Contact Window

Navigation: Click the ‘Cancel’ button or ‘X’ icon located in the upper-right corner to stop the 

process of entering technical contact information. Click the ‘OK’ button to save the entered 

contact information and return to the ‘Technical Contact Information’ screen. 

5.1.3 Optional Cover Letter

You can access the ‘Optional Cover Letter’ screen by clicking the ‘Next’ button from the 

‘Technical Contact Information’ screen. You can also access this screen by clicking the 

‘Optional Cover Letter’ link within the navigation tree. 

The ‘Optional Cover Letter’ screen is used to communicate information to EPA not collected 

elsewhere in the form. The cover letter is used to give OPPT resources and special instructions 

regarding the application; enter any necessary instructions into the blank text field. The cover 

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letter should be either fully CBI or non-CBI to eliminate user error to promote transparency 

between the company and EPA.

• Check here to claim this information as CBI: Check the ‘Check here to claim this 

information as CBI’ checkbox to claim the cover letter information as confidential.

• Optional Cover Letter: Enter the description and any additional special instructions 

regarding the form.

Exhibit 5-4 shows a screen capture of the ‘Optional Cover Letter’ screen:

Exhibit 5-4: Optional Cover Letter Screen

Navigation: Click the ‘Validate’ icon ( ) located in the bottom action bar to validate the form. 

Click the ‘Save’ icon ( ) located in the bottom action bar to save the overall form. Click the 

‘Preview’ icon ( ) located in the bottom action bar to view a PDF preview of the form. 

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6 Create Bona Fide Letter of Support

The purpose of the Bona Fide module is to receive an official determination from EPA as to 

whether a substance is on the TSCA inventory. Submitters may attempt to avoid submitting a 

PMN by completing a Bona Fide form to establish that the chemical already exists on the 

inventory. The Bona Fide process is covered in a thirty (30) day period.

6.1 Edit Bona Fide Form

To create a new Bona Fide form, navigate to the ‘Section 5 Notices and Supports Forms’ screen 

and click the ‘Start New Form’ button. Refer to Section 3.3 for additional details regarding the 

‘Section 5 Notices and Supports Forms’ screen. 

Refer to (Exhibit 3-5) for additional details regarding the create passphrase process. 

6.1.1 General Document Information 

You can access the ‘General Document Information’ screen by entering the Unique 

Identification Number provided by the AO and creating a passphrase on the ‘Create Passphrase’ 

screen. The ‘General Document Information’ screen provides fields for you to identify 

information that is specific to the form type.

The ‘General Document Information’ screen presents a list of text fields and checkboxes that 

allow you to input identifying information for the specific form. You will have the option to 

assign a ‘Form Alias’ by which you will identify the form. A form alias is helpful if you or your 

company has multiple forms and/or when you must differentiate between forms to the help desk. 

If an alias is not entered, the system will provide a default alias comprised of a form type and 

date and time stamp in the following format: <Form Type-YYYY-MM-DD-HH:MM:SS Time 

Zone>. 

You can indicate that a technical contact will be identified by checking the ‘Technical Contact’ 

checkbox. The technical contact must possess sufficient knowledge to answer any questions EPA 

may have about the chemical reported in the form. The application will generate a ‘Technical 

Contact Information’ screen when you check the ‘Technical Contact’ checkbox. 

• Form Alias: Enter the form alias. Upon navigating to the screen, the screen will autogenerate an editable form alias in the following format: <Form Type-YYYYMMDDHH:MM:SS Time Zone>. This is a required field. 

• I claim the entirety of the submission as CBI: Check the ‘I claim the entirety of the

submission as CBI’ checkbox to flag all data contained within the form as confidential.

• Technical Contact: Check the ‘Technical Contact’ checkbox to generate a ‘Technical 

Contact Information’ screen for you to enter contact information about the technical contact 

associated with the reported chemical.

 

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Exhibit 4-1 shows a screen capture of the ‘General Document Information’ screen (Letter of 

Support):

Exhibit 6-1: General Document Information Screen (Letter of Support)

Navigation: Click the ‘Next’ button to navigate to the ‘Primary Contact Information’ screen. 

You can also access this screen by clicking the ‘Primary Contact Information’ link within the 

navigation tree. 

6.1.2 Primary Contact Information 

You can access the ‘Primary Contact Information’ screen by clicking the ‘Next’ button from the 

‘General Document Information’ screen. You can also access this screen by clicking the 

‘Primary Contact Information’ link within the navigation tree. 

The data fields on the ‘Primary Contact Information’ screen are pre-populated based on 

information entered during CDX registration. All fields are editable allowing for necessary 

updates. The ‘Title’ field on this screen is not pre-populated from CDX registration and is a 

required field.

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If you checked the ‘I claim the entirety of the submission as CBI’ on the ‘General Document 

Information’ screen, all entered primary contact information is flagged as CBI.

The following fields are captured and displayed from the logged in user’s CDX registration 

information: 

• Prefix: This field is pre-populated with information from CDX registration information. 

Select the primary contact’s prefix from the drop-down menu, if necessary. 

• First Name: This field is pre-populated with information from CDX registration 

information. Edit the primary contact’s first name, if necessary. This is a required field. 

• Middle Initial: This field is pre-populated with information from CDX registration 

information. Enter the primary contact’s middle initial, if necessary. 

• Last Name: This field is pre-populated with information from CDX registration 

information. Enter the primary contact’s last name, if necessary. This is a required field. 

• Suffix: This field is pre-populated with information from CDX registration information. 

Select the primary contact’s suffix from the drop-down menu, if necessary.

• Title: Enter the primary contact’s job title. This is a required field. 

• Company Name: This field is pre-populated with information from CDX registration 

information. Enter the primary contact’s company name, if necessary. 

• Phone Number: This field is pre-populated with information from CDX registration 

information. Enter the primary contact’s daytime U.S. phone number if necessary; dashes 

are not allowed. This is a required field. 

• Phone Extension: This field is pre-populated with information from CDX registration 

information. Enter the primary contact’s daytime U.S. phone number extension if 

applicable. 

• Email Address: This field is pre-populated with information from CDX registration 

information. Enter the primary contact’s email address, if necessary. The email address 

must follow the standard email address format: John.Doe@ABC.com. This is a required 

field. 

• Mailing Address 1: This field is pre-populated with information from CDX registration 

information. Enter the first line of the primary contact’s mailing address, if necessary.

• Mailing Address 2: This field is pre-populated with information from CDX registration 

information. Enter the second line of the primary contact’s mailing address, if necessary. 

• City: This field is pre-populated with information from CDX registration information. 

Enter the city of the primary contact’s mailing address, if necessary. 

• State: This field is pre-populated with information from CDX registration information. 

Select the state of the primary contact’s mailing address from the drop-down menu if 

necessary. This is a required field. 

• Postal Code: This field is pre-populated with information from CDX registration 

information. Enter the postal code of the primary contact’s mailing address, if necessary.

• Country: This field is pre-populated with information from CDX registration 

information. Select the country of the primary contact’s mailing address form the dropdown menu if necessary. This is a required field. 

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Exhibit 6-2 shows a screen capture of the ‘Primary Contact Information’ screen:

Exhibit 6-2: Primary Contact Information Screen

Navigation: Click the ‘Next’ button to navigate to the ‘Technical Contact Information’ screen if 

you checked the ‘Technical Contact’ checkbox on the ‘General Document Information’ screen. 

You can also access this screen by clicking the ‘Technical Contact Information’ link within the 

navigation tree. 

6.1.3 Technical Contact Information

If you indicated on the ‘General Document Information’ screen that technical contact 

information would be provided, then you can navigate to the ‘Technical Contact Information’ 

screen by clicking the ‘Next’ button from the ‘Primary Contact Information’ screen. You can 

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also access this screen by clicking the ‘Technical Contact Information’ link within the navigation 

tree. 

The technical contact is a subject matter expert (SME) who is capable of answering questions 

related to the chemical submitted to EPA within the Bona Fide form. The technical contact does 

not have to work at the port or site reported on the form but must possess sufficient knowledge to 

answer EPA’s questions pertaining to the chemical reported in the form. 

The text fields on the ‘Technical Contact Information’ screen will be blank upon accessing the 

screen. To add information, you will enter data into the blank text boxes for the listed text fields. 

If you checked the ‘I claim the entirety of the submission as CBI’ checkbox on the ‘General 

Document Information’ screen, all entered technical contact information will be flagged as CBI. 

Please note that if you are using IE 7, there will be a spacing issue between the ‘Suffix’ dropdown menu and the ‘Title’ text field. 

• Prefix: Select the technical contact’s prefix from the drop-down menu. 

• First Name: Enter the technical contact’s first name. This is a required field. 

• Middle Initial: Enter the technical contact’s middle initial. 

• Last Name: Enter the technical contact’s last name. This is a required field. 

• Suffix: Select the technical contact’s suffix from the drop-down menu.

• Title: Enter the technical contact’s job title. 

• Company Name: Enter the technical contact’s company name. 

• Phone Number: Enter the technical contact’s daytime U.S. phone number; dashes are 

not allowed. This is a required field. 

• Phone Extension: Enter the technical contact’s phone number extension. 

• Email Address: Enter the technical contact’s email address. The email address must 

follow the standard email address format: John.Doe@ABC.com. This is a required field. 

• Mailing Address 1: Enter the first line of the technical contact’s mailing address.

• Mailing Address 2: Enter the second line of the technical contact’s mailing address. 

• City: Enter the city of the technical contact’s mailing address. 

• State: Select the state of the technical contact’s mailing address from the drop-down 

menu. 

• Postal Code: Enter the postal code of the technical contact’s mailing address.

• Country: Displays ‘United States.’ 

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Exhibit 6-3 shows a screen capture of the ‘Technical Contact Information’ screen:

Exhibit 6-3: Technical Contact Information Screen

Navigation: Click the ‘Next’ button to navigate to the ‘Chemical Identification Information’

screen. You can also access this screen if you click the ‘Chemical Identification Information’ 

link within the navigation tree. 

6.1.4 Chemical Identification Information

You can access the ‘Chemical Identification Information’ screen by clicking the ‘Next’ button 

from the ‘Technical Contact Information’ screen. You can also access this screen by clicking the 

‘Chemical Identification Information’ link located within the navigation tree. 

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The ‘Chemical Identification Information’ screen identifies the type of chemical the submitter 

will be entering into the application. You will be able to file a Bona Fide form for a class 1 or 

2/Biotechnology chemical substance or a polymer. Based on the selection that you designate, the 

appropriate screens for the respective chemical will appear. 

This screen also provides a text field for you to identify an alias for the chemical substance. 

• Class 1 or 2/Biotechnology Chemical Substance: Select the ‘Class 1 or 2/Biotechnology

Chemical Substance’ radio button to indicate that the chemical is a class 1 or 2 substance. 

The user is required to select one of the two radio button options displayed in the ‘Chemical 

Type’ section.

• Polymer: Select the ‘Polymer’ radio button to indicate that the chemical is a polymer. The 

user is required to select one of the two options displayed in the ‘Chemical Type’ section.

• Chemical Alias: Enter the chemical alias to associate with a chemical. 

Exhibit 6-4 shows a screen capture of the ‘Chemical Identification Information’ screen: 

Exhibit 6-4: Chemical Identification Information Screen

Navigation: If you selected the ‘Class 1 or 2/Biotechnology Chemical Substance’ radio button, 

click the ‘Next’ button to navigate to the ‘Class 1 or 2/Biotechnology Chemical Substances’ 

screen. You can also access this screen by clicking the ‘Class 1 or 2/Biotechnology Chemical 

Substances’ link within the navigation tree. If you selected the ‘Polymer’ radio button, click the 

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‘Next’ button to navigate to the ‘Polymer Identification Information’ screen. You can also access 

this screen by clicking the ‘Polymer Identification Information’ link within the navigation tree. 

6.1.5 Class 1 or 2/Biotechnology Chemical Substances

If you selected the ‘Class 1 or 2/Biotechnology Chemical Substance’ radio button, click the 

‘Next’ button to navigate to the ‘Class 1 or 2/Biotechnology Chemical Substances’ screen.

The ‘Class 1 or 2/Biotechnology Chemical Substances’ screen provides fields for you to enter 

information describing the chemical for the Bona Fide which is to be filed, including its name, 

composition, and structure. 

You can add a chemical component by clicking the ‘Add New Chemical’ button. Upon clicking 

the ‘Add New Chemical’ button, an expandable/collapsible field set generates that contains 

numerous fields to identify the chemical in question. You will be able to enter multiple chemical 

substances, each with unique information, by clicking the ‘Add New Chemical’ button for each 

chemical substance you wish to identify.

After the document(s) is/are attached and you have clicked the ‘OK’ button, the ‘Attach

Chemical Structure’ pop-up window closes and the document information will be displayed in a 

table format on the ‘Class 1 or 2/Biotechnology Chemical Substances’ screen. The attachment 

table displays the file name of the document and user-provided description of the document. 

Click the ‘Delete’ icon ( ) located under the ‘Actions’ column to delete unwanted documents. 

Click the appropriate file name of the document within the ‘File Name’ column of the 

attachment table to access or edit previously attached documents.

Please note that if you are using IE 7, part of the content on this screen displays behind the Bona 

Fide navigation tree and certain fields on this screen may display twice.

• Add New Chemical: Click the button to generate the class 1 or 2/Biotechnology chemical 

substances field set.

• Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the 

expandable/collapsible field set to prevent edits from saving and to remove a field set. The 

‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A 

confirmation message displays to confirm the action. 

• Edit: Click the ‘Edit’ link located in the upper right-hand corner of the expandable/collapsible 

field set to modify the information entered in the fields. The ‘Edit’ link displays when the 

expandable/collapsible field set has been saved and the data is not currently editable.

• Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the 

expandable/collapsible field set to delete the field set. A confirmation message displays to 

confirm the deletion. 

• Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to expand a series of field sets. 

• Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to collapse a series of field sets. 

• Class of Substance: In the section, ‘Class of Substance,’ you identify whether a ‘Class 1’ or 

‘Class 2/Biotechnology’ chemical substance is being reported. When you select the ‘Class 

2/Biotechnology’ chemical substance radio button, you are indicating that some portions of the 

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structure may not be known and an additional screen will appear within the navigation tree that 

provides fields for you to enter information concerning how the chemical was created. If 

multiple class 2 chemical substances are added, one ‘Class 2/Biotechnology Substances’ screen 

will apply to all chemical substances. 

• Add Chemical ID: You can access the ‘Add Chemical ID’ pop-up window by clicking the 

‘Add Chemical ID’ button within the ‘Chemical Identification Information’ field set. You can 

search for the reported chemical(s) either by the ‘CASRN’ or ‘CA Index Name or Other 

Synonym.’ If you retrieve zero results, the system provides fields for you to enter the chemical 

information by filling in the ‘Chemical Name’ and the ‘Chemical Abstract Services Registry 

Number’ under the manual entry field set. The system provides functionality to enter the 

selected chemical by clicking the ‘OK’ button located at the bottom of the ‘Add Chemical ID’ 

window. 

• Chemical Name: The system provides fields for you to identify the ‘Chemical Name’ and the 

‘CASRN’ (if available). The system provides functionality for you to search for the chemical 

substance using the ‘Add Chemical ID’ search or manually enter the chemical information in 

the ‘Add Chemical ID’ pop-up. 

• ID Method: The system shall require that you identify which ID method was used to 

determine the chemical identity. If you select ‘Method 1,’ you are required to attach an IES 

report. You can also select ‘Method 2 (Other Method).’ 

• Attach IES Report: To access the ‘Attach IES Report’ pop-up window, click the ‘Attach IES 

Report’ button that displays within the ‘Chemical Identification Information’ field set. After 

you attach the document(s), and click the ‘OK’ button, the ‘Attach IES Report’ pop-up window 

closes and the document information displays in a table format on the ‘Class 1 or 

2/Biotechnology Chemical Substances’ screen. The document attachment table displays the file 

name of the document(s) and the user-provided description of the document(s). Click the 

‘Delete’ icon ( ) located under the ‘Actions’ column to delete unwanted documents. Click the 

file name link under the ‘File Name’ column to access or edit previously attached documents.

• Molecular Formula: Enter a molecular formula in a text field using a free text format. This 

field is optional.

• Chemical Structure Diagram: The system allows you to attach a chemical structure diagram. 

This field is optional.

• Attach Chemical Structure: Click the ‘Attach Chemical Structure’ button within the 

‘Chemical Identification Information’ field set to access the ‘Attach Chemical Structure’ popup window. You can attach the file(s) and enter a description of the document regarding the 

chemical structure.

• File Name: Displays the file name and file extension of the file that is uploaded on the ‘Attach 

Chemical Structure’ window. 

• Description: Displays the description of the chemical structure. 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached chemical structure row 

permanently from the system. A warning message displays to confirm the deletion of the 

document. 

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• Save: Click the button to save the information entered within the expandable/collapsible field 

set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom 

action bar to successfully save the entered information within the field set before being able 

to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section 

3.7 for more information regarding the save functionality in an expandable/collapsible field 

set.

Exhibit 6-5 shows a screen capture of the ‘Class 1 or 2/Biotechnology Chemical Substances’ 

screen (Joint Bona Fide) (Scroll 1): 

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Exhibit 6-5: Class 1 or 2/Biotechnology Chemical Substances Screen

Navigation: If you selected the ‘Class 1’ radio button and clicked the ‘Save’ button within the 

expandable/collapsible field set, click the ‘Next’ button to navigate to the ‘Use Information’ 

screen. You can also access this screen by clicking the ‘Use Information’ link within the 

navigation tree. If you selected the ‘Class 2/Biotechnology’ radio button, clicked the ‘Save’ 

button within the expandable/collapsible field set, then click the ‘Next’ button to navigate to the 

‘Class 2/Biotechnology Substances’ screen. You can also access this screen by clicking the 

‘Class 2/Biotechnology Substances’ link within the navigation tree. 

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6.1.6 Class 2/Biotechnology Substances

You can navigate to the ‘Class 2/Biotechnology Substances’ screen by clicking the ‘Next’ button 

from the ‘Class 1 or 2/Biotechnology Chemical Substances’ screen when you select the ‘Class 

2/Biotechnology’ radio button. You can also access this screen by clicking the ‘Save’ icon ( ) 

within the action bar and clicking the ‘Class 2/Biotechnology Substances’ link within the 

navigation tree. 

The ‘Class 2/Biotechnology Substances’ screen provides fields for you to enter information 

regarding a class 2/biotechnology chemical substance. A class 2/biotechnology chemical 

substance is a substance that may not have a defined chemical structure that has been identified. 

This screen provides fields for you to identify specific elements in the creation of the chemical 

using the following fields: ‘Precursor Substances,’ ‘Nature of Reaction,’ and ‘Range of 

Composition (Optional).’

You will be able to enter precursor substances by searching SRS or by the manual entry fields 

when the substance is not in SRS. The substances will display in a table listing the ‘Chemical 

Name’ and CASRN. 

The system provides fields for you to capture ‘Nature of Reaction’ and ‘Range of Composition’ 

in text boxes. 

• Precursor Substances: This table captures the chemicals identified as immediate precursor 

substances, along with the respective CASRNs. 

• Search SRS: Click the ‘Search SRS’ button to display the ‘Search Substance Registry 

Services’ pop-up window. Refer to Section 3.9 for additional details regarding the search 

SRS functionality.

• Chemical Name: Displays the chemical name associated with a precursor substance. Click 

the ‘Chemical Name’ link to navigate to the ‘Search SRS’ pop-up window for edits. 

• CASRN: Displays the CASRN associated with a precursor substance. 

• Action: Click the ‘Delete’ icon ( ) to delete the entire chemical row permanently from the 

system. A warning message will display to confirm the deletion of the chemical. 

• Nature of Reaction: Enter the ‘Nature of Reaction’ description. This is a required field.

• Range of Composition: Enter the ‘Range of Composition’ description.

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window and upload a document. Refer to Section 3.8 for further details regarding the 

attach document functionality. 

• File Name: Displays the file name and file extension of the file that is uploaded on the

‘Attach Documents’ window. 

• Description: Displays the description associated with a document. 

• Action: Click the ‘Delete’ icon ( ) to delete the entire document row permanently from the 

system. A warning message displays to confirm the deletion.

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Exhibit 6-6 shows a screen capture of the ‘Class 2/Biotechnology Substances’ screen (Scroll 1): 

Exhibit 6-6: Class 2/Biotechnology Substances Screen (Scroll 1)

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Exhibit 6-77 shows a screen capture of the ‘Class 2/Biotechnology Substances’ screen (Scroll 2): 

Exhibit 6-7: Class 2 Substances Screen (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Use Information’ screen. You can also 

access this screen by clicking the ‘Use Information’ link within the navigation tree. 

6.1.7 Polymer Identification Information 

You can navigate to the ‘Polymer Identification Information’ screen by clicking the ‘Next’ 

button from the ‘Chemical Identification Information’ screen when you select the ‘Polymer’ 

radio button. You can also access this screen by clicking the ‘Polymer Identification 

Information’ link within the navigation tree. 

Click the ‘Add New Chemical’ button to create a chemical component. Upon clicking the ‘Add 

New Chemical’ button, an expandable/collapsible field set generates that contains numerous 

fields that pertain to the particular polymer. The system provides numerous fields for you to 

enter multiple chemical components, each with unique information, by clicking the ‘Add New 

Chemical’ button for each chemical you wish to identify.

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For a single component submission, create the field set by clicking the ‘Add New Chemical’ 

button. Upon clicking the ‘Add New Chemical’ button, the application generates a field set 

containing numerous fields for you to enter information pertaining to that particular chemical.

For a multi-component submission, create individual field sets by clicking the ‘Add New 

Chemical’ button. Multi-component chemical submissions occur when two or more chemicals 

always generate together in a single pot and are never isolated. Upon clicking the ‘Add New 

Chemical’ button, the application generates a field set containing numerous fields for you to 

enter information pertaining to that particular chemical. Enter additional chemical components, 

each with unique identifying information, by clicking the ‘Add New Chemical’ button for each 

additional chemical that is part of the multi-component mixture. All multi-component chemicals 

will reside in one chemical folder in the navigation tree.

• Add New Chemical: Click the button to generate the ‘Polymer Identification Information’ 

field set. 

• Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the 

expandable/collapsible field set to prevent edits from saving and to remove a field set. The 

‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A 

confirmation message displays to confirm the action. 

• Edit: Click the ‘Edit’ link located in the upper right-hand corner of the 

expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’ 

link displays when the expandable/collapsible field set has been saved and the data is not 

currently editable.

• Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the 

expandable/collapsible field set to delete the field set. A confirmation message displays to 

confirm the deletion. 

• Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to expand a series of field sets. 

• Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to collapse a series of field sets.

• Add Chemical ID: Click the ‘Add Chemical ID’ button within the ‘Polymer Identification 

Information’ field set to generate the ‘Add Chemical ID’ pop-up window. You can search for 

the reported chemical(s) either by the ‘CASRN’ or ‘CA Index Name or Other Synonym.’ If 

you retrieve zero results, the system provides fields for you to enter the chemical information 

by filling in the ‘Chemical Name’ and the ‘Chemical Abstract Services Registry Number’ 

(CASRN) under the manual entry field set. The system provides functionality for you to enter 

the selected chemical by clicking the ‘OK’ button located at the bottom of the ‘Add Chemical 

ID’ window.

• Chemical Name: The system provides fields for you to identify the ‘Chemical Name’ and 

the CASRN (if available). The system provides functionality for you to search for the 

chemical substance using the ‘Add Chemical ID’ search or manually enter the chemical 

information in the ‘Add Chemical ID’ pop-up. 

• ID Method: The system shall require that you identify which ID method was used to 

determine the chemical identity. When you select ‘Method 1 (CAS Inventory Expert 

Service),’ the system generates an ‘Attach IES Report’ button for you to attach an IES report. 

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If you select ‘Method 1,’ you are required to attach an IES report. You can also select 

‘Method 2 (Other Method).’ 

• Attach IES Report: To access the ‘Attach IES Report’ pop-up window, click the ‘Attach 

IES Report’ button within the ‘Polymer Identification Information’ field set after selecting 

the ‘Method 1 (CAS Inventory Expert Service)’ radio button. After you attach the 

document(s), and click the ‘OK’ button, the ‘Attach IES Report’ pop-up window will close 

and the document information will be displayed in a table format on the ‘Polymer 

Identification Information’ screen. The attachment table displays the file name of the 

document and the user-provided description of the document. Click the ‘Delete’ icon ( ) 

located under the ‘Actions’ column to delete unwanted documents. Click the file name link 

under the ‘File Name’ column to access or edit previously attached documents.

• Chemical Structure Diagram: The system allows you to attach a chemical structure 

diagram. This field is optional.

• Attach Chemical Structure: Click the ‘Attach Chemical Structure’ button within the 

‘Polymer Identification Information’ field set to access the ‘Attach Chemical Structure’ popup window. You can attach the file(s) and enter a description of the document.

• File Name: Displays the file name and file extension of the document that is uploaded on the 

‘Attach Chemical Structure’ window. 

• Description: Displays the description of the chemical structure 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached chemical structure row 

permanently from the system. A warning message displays to confirm the deletion. 

• Save: Click the button to save the information entered within the expandable/collapsible field 

set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom 

action bar to successfully save the entered information within the field set before being able 

to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons.

After the document is attached and you click the ‘OK’ button, the ‘Attach Chemical Structure’ 

pop-up window closes and the document information will be displayed in a table format on the 

‘Polymer Identification Information’ screen. The attachment table displays the file name of the 

document and provided description of the document. The system provides functionality for you 

to delete unwanted documents by clicking the ‘Delete’ icon ( ) located under the ‘Actions’ 

column. Click the appropriate file name of the document within the ‘File Name’ column of the 

attachment table to access or edit previously attached documents.

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Exhibit 6-88 shows a screen capture of the ‘Polymer Identification Information’ screen: 

Exhibit 6-8: Polymer Identification Information Screen

Navigation: Click the ‘Next’ button to navigate to the ‘Monomers and Other Reactants’ screen. 

You can also access this screen by clicking the ‘Monomers and Other Reactants’ link within the 

navigation tree. 

6.1.8 Monomers and Other Reactants

You can navigate to the ‘Monomers and Other Reactants’ screen by clicking the ‘Next’ button 

from the ‘Polymer Identification Information’ screen. You can also access this screen by clicking 

the ‘Monomers and Other Reactants’ link within the navigation tree. 

The ‘Monomers and Other Reactants’ screen is used to identify the chemical measurements and 

monomers that make up a polymer. The ‘Monomers and Other Reactants’ screen has an ‘Add 

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Monomer’ button that allows you to identify the monomer(s) that make up the polymer 

composition.

• Add Monomer: Click the ‘Add Monomer’ button to generate an expandable/collapsible field 

set.

• Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the 

expandable/collapsible field set to prevent edits from saving and to remove a field set. The 

‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A 

confirmation message displays to confirm the action. 

• Edit: Click the ‘Edit’ link located in the upper right-hand corner of the 

expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’ 

link displays when the expandable/collapsible field set has been saved and the data is not 

currently editable.

• Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the 

expandable/collapsible field set to delete the field set. A confirmation message displays to 

confirm the deletion. 

• Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to expand a series of field sets. 

• Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the 

expandable/collapsible field sets to collapse a series of field sets.

• Search SRS: Click the ‘Search SRS’ button to generate the ‘Search Substance Registry 

Services’ pop-up window. Refer to Section 3.9 for additional details regarding the search 

SRS functionality. 

• CAS Registry Number: Displays the CASRN for the specified monomer; this field 

populates based on information entered on the ‘Search Substance Registry Services’ pop-up 

window. This is a required field. 

• Monomer or Other Reactant: Displays the monomer or other reactant name; this field 

populates based on information entered on the ‘Search Substance Registry Services’ pop-up 

window. This is a required field. 

• Include in Identity: Check the ‘Include in Identity’ checkbox to claim the value for 

‘Monomer or Other Reactant’ as part of the monomer identification. 

• Typical Composition: Enter the ‘Typical Composition’ value that a monomer contributes to 

a polymer; the value entered must be a positive numerical value greater than zero (0) and less 

than or equal to 100 with up to three decimal points. If the value entered is less than or equal 

to ‘2’ a warning will be displayed in the global ‘Validate’ function or during the submission 

process indicating that the ‘Typical Composition’ is a value that is less than or equal to 2% 

and asking the user whether it should be included in the ‘Chemical Identity.’ This is a 

required field. 

• Save: Click the button to save the information entered within the expandable/collapsible field 

set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom 

action bar to successfully save the entered information within the field set before being able 

to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section 

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3.7 for more information regarding the save functionality in an expandable/collapsible field 

set.

• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.8 for additional details regarding the attach document 

functionality. 

• File Name: Displays the file name and file extension of the file that is uploaded on the 

‘Attach Documents’ pop-up window. Click the file name link to navigate to the ‘Attach 

Documents’ pop-up window to make any edits. 

• Description: Displays the description associated with a document. 

• Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning message displays to confirm the deletion of the document.

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Exhibit 6-9 shows a screen capture of the ‘Monomers and Other Reactants’ screen: 

Exhibit 6-9: Monomers and Other Reactants Screen

Navigation: Click the ‘Next’ button to navigate to the ‘Use Information’ screen. You can also 

access this screen by clicking the ‘Use Information’ link within the navigation tree. 

6.1.9 Use Information 

You can navigate to the ‘Use Information’ screen by clicking the ‘Next’ button from the ‘Class 1 

or 2/Biotechnology Chemical Substances’ screen, from the ‘Class 2/Biotechnology Substances’ 

screen, or from the ‘Monomers and Other Reactants’ screen, depending on the choice made on 

the ‘Chemical Identification Information’ screen. You can also access this screen by clicking the 

‘Use Information’ link within the navigation tree.

The ‘Use Information’ screen is used to capture data about the chemical substance’s intended 

use. When you navigate to the screen, the screen contains a text box with instructional text that 

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reads, ‘How will the substance be used?’ Enter the specific data for the chemical substance and 

then advance to the next screen. 

• How will the substance be used?: Enter the data regarding how the chemical substance 

is intended to be used. This is a required field. 

Exhibit 6-100 shows a screen capture of the ‘Use Information’ screen: 

Exhibit 6-10: Use Information Screen 

Navigation: Click the ‘Next’ button to navigate to the ‘Document Management’ screen. You can 

also access this screen by clicking the ‘Document Management’ link within the navigation tree. 

6.1.10 Document Management

You can navigate to the ‘Document Management’ screen by clicking the ‘Next’ button from the 

‘Use Information’ screen. You can also access this screen by clicking the ‘Document 

Management’ link within the navigation tree.

The ‘Document Management’ screen is used to attach required documents to the Bona Fide

form. You may attach three types of documents: ‘Spectrum of Substance,’ ‘Statement of 

Commercialization,’ and ‘Statement of Research and Development.’ The screen also allows the 

user to attach ‘Other’ documents.

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• Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.8 for additional details regarding the attach document 

functionality. 

• Document Name: Displays the file name and file extension of the document uploaded on the 

‘Attach Documents’ pop-up window. 

• Document Type: Displays the document type associated with the uploaded document. 

• Action: Click the ‘Delete’ icon ( ) to delete the entire document row permanently from the 

system. A warning message displays to confirm the deletion of the document. 

Exhibit 6-11 shows a screen capture of the ‘Document Management’ screen: 

Exhibit 6-11: Document Management Screen 

Navigation: Click the ‘Next’ button to navigate to the ‘Optional Cover Letter’ screen. You can 

also access this screen by clicking the ‘Optional Cover Letter’ link within the navigation tree. 

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6.1.11 Optional Cover Letter

You can navigate to the ‘Optional Cover Letter’ screen by clicking the ‘Next’ button from the 

‘Document Management’ screen. You can also access this screen by clicking the ‘Optional 

Cover Letter’ link within the navigation tree.

The ‘Optional Cover Letter’ screen is used to communicate information with EPA that is not 

collected elsewhere in the form. The cover letter is used to give EPA resources and special 

instructions regarding the application.

• Optional Cover Letter: Enter any additional special instructions regarding the form.

Exhibit 6-12 shows a screen capture of the ‘Optional Cover Letter’ screen: 

Exhibit 6-12: Optional Cover Letter Screen 

Navigation: Click the ‘Validate’ icon ( ) located in the bottom action bar to validate the form. 

Click the ‘Save’ icon ( ) located in the bottom action bar to save the overall form. Click the 

‘Preview’ icon ( ) located in the bottom action bar to view a PDF preview of the form. 

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7 Preview

The system allows you to preview the form at any point during the submission process. You can 

click the ‘Preview’ icon ( ), located within the bottom action bar, to see a draft PDF version of 

the form. A prompt will display to allow you to select whether to view the ‘Regular’ or 

‘Sanitized’ version of the PDF by clicking on the ‘Regular’ or ‘Sanitized’ buttons. After you 

choose between the ‘Regular’ or ‘Sanitized’ PDF, a draft watermarked PDF version of the form

is generated.

The watermark reads ‘Not for Submission’ and displays across each screen in the background. 

The form preview displays the entire form in a printable format. The preview functionality 

provides you with the flexibility to track the status and see the entire form in a single viewpoint.

Exhibit 7-1 shows a screen capture for the ‘Preview’ of the Biotechnology form:

Exhibit 7-1: Preview Biotechnology Form Screen

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Exhibit 7-2 shows a screen capture for the ‘Preview’ of the Biotechnology Form PDF:

Exhibit 7-2: Preview Biotechnology Form PDF

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8 Validate

You can click the ‘Validate’ icon ( ) at any stage of completing a Section 5 Notices and 

Supports form. The ‘Section 5 Notices and Supports Validation’ pop-up window displays when 

you click the ‘Validate’ icon ( ); please disable the pop-up blocker within your internet 

browser. The ‘Section 5 Notices and Supports Validation’ pop-up window displays a report of all 

validation errors and warning messages. During the validation process, the application validates 

each screen of the Section 5 Notices and Supports form to find missing and invalid data.

Validation Errors: Errors are denoted by an ‘Error’ icon ( ) and can be fixed by clicking the 

error link. The links will display the Screen Title Name (e.g., Chemical Identification) and the 

associated error. After you click a link, the main application screen will display the section 

where the error occurred so you can easily fix the error. Once you have fixed the error(s), click 

the ‘Validate’ icon ( ) again to refresh the ‘Section 5 Notices and Supports Validation’ pop-up 

window. If the information you fixed passes validation, the error will be removed from the 

‘Section 5 Notices and Supports Validation’ pop-up window. You must fix all validation errors 

to submit the form to CDX successfully.

Warning Messages: Warnings are denoted by a ‘Warning’ icon ( ) and can be fixed by 

clicking the warning link. The links will display the Screen Title and the associated warning.

After you click a link, the main application screen will display the section where the warning 

occurred so you can easily fix the warning. Once you have fixed the warning(s), click the 

‘Validate’ icon ( ) again to refresh the ‘Section 5 Notices and Supports Validation’ pop-up 

window. If the information you fixed passes validation, the warning will be removed from the 

‘Section 5 Notices and Supports Validation’ pop-up window. You can pass validation and 

continue to submit a form to CDX with active warning messages.

You can close the ‘Section 5 Notices and Supports Validation’ pop-up window by clicking the

‘X’ button located at the top right of the ‘Section 5 Notices and Supports Validation’ pop-up 

window.

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Exhibit 8-1 shows a screen capture for the ‘Section 5 Notices and Supports Validation’ window:

Exhibit 8-1: Section 5 Notices and Supports Validation Pop-Up Window

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9 Submit to EPA via CDX

As the Secondary Agent/Consultant, you have the ability to sign and submit a Section 5 Notices 

and Supports amendment to EPA. You do not have the ability to submit original Joint 

Forms/Letters of Support. You can save your form at any point during the data entry process. 

The save functionality will allow you to return to that same form at any point in the future. 

Once you complete all required information and correct all items failing validation, the system 

will allow the Section 5 Notices and Supports form to be successfully submitted. 

9.1 Submitting Official Information

Click the ‘Submit’ icon ( ) that is located in the bottom action bar of the Section 5 Notices and 

Supports application to access the ‘Submitting Official Information’ screen. This screen only 

displays to Primary Authorized Officials or Agents/Consultants upon submission. 

After clicking the ‘Submit’ icon ( ), the system requires you to review your contact 

information provided during CDX registration. The system also requires you to identify your job 

title. Click the ‘Home’ button to navigate to the Section 5 Notices and Supports ‘Home’ screen. 

The following statement which displays to the Authorized Officials and Agents/Consultants must 

be confirmed before the system will allow you to move forward: “Please confirm that you are the 

legally responsible party from the submitting company.” If you check this checkbox associated 

with the statement, the application navigates to either the appropriate certification screen or the 

‘Cross-Media Electronic Reporting Regulation (CROMERR)’ screen. If you do not check the 

checkbox associated with this statement, the application takes you back to the ‘Section 5 Notices 

and Supports Forms’ screen. 

A ‘Submitting On Behalf Of’ checkbox will also be displayed on the screen. After you check the 

checkbox, click the ‘Next’ button to navigate to the ‘Submitting On Behalf Of’ screen. The 

‘Submitting On Behalf Of’ checkbox is only displayed for amendments/revisions/updates/etc. to 

the original submission. 

• Submitting On Behalf Of: This checkbox displays for original Support forms and 

amendments/revisions/updates to an original submission. 

• CBI: Check the ‘CBI’ checkbox to claim the submitting official’s information as 

confidential. 

• Please confirm that you are the legally responsible party from the submitting company:

Check the checkbox to confirm that the individual submitting the form has permission to do 

so. First Name: Displays the first name of the submitting official, which has been prepopulated from CDX registration information. 

• Middle Initial: Displays the middle initial of the submitting official, which has been prepopulated from CDX registration information. 

• Last Name: Displays the last name of the submitting official, which has been pre-populated 

from CDX registration information.

• Job Title: Displays the job title of the submitting official. This is a required field. 

• Company Name: Displays the company name of the submitting official, which has been 

pre-populated from CDX registration information.

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• Phone Number: Displays the phone number of the submitting official, which has been prepopulated from CDX registration information. 

• Email Address: Displays the email address of the submitting official, which has been prepopulated from CDX registration information. 

• Mailing Address 1: Displays the first line of the mailing address from CDX registration 

information. 

• Mailing Address 2: Displays the second line of the submitting official’s mailing address, 

which has been pre-populated from CDX registration information. 

• City: Displays the city of the submitting official’s mailing address, which has been prepopulated from CDX registration information. 

• State: Displays the state of the submitting official’s mailing address, which has been prepopulated from CDX registration information. 

• Postal Code: Displays the postal code of the submitting official’s mailing address, which has 

been pre-populated from CDX registration information.

• Country: Displays the country of the submitting official’s mailing address, which has been 

pre-populated from CDX registration information.

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Exhibit 9-1 shows a screen capture of the ‘Submitting Official Information’ screen:

Exhibit 9-1: Submitting Official Information Screen

Navigation: Click the ‘Next’ button to continue with submitting the form and proceed to the 

‘Submission Process: Validation’ screen. 

9.2 Submitting On Behalf Of Company

Click the ‘Submit’ icon ( ) that is located in the bottom action bar of the Section 5 Notices and 

Supports application to access the ‘Submitting Official Information’ screen. This screen only 

displays for Support forms and amendments/revisions/updates/etc. to an original submission. 

After checking the ‘Submitting On Behalf Of’ checkbox on the ‘Submitting Official 

Information’ screen, you will be taken to the ‘Submitting On Behalf Of Company’ screen to 

enter in the company information that you are submitting the form on behalf of. Click the 

‘Cancel’ button to navigate to the form which you are submitting. 

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• CBI: Check the ‘CBI’ checkbox to claim the ‘Submitting On Behalf Of’ information as 

confidential.

• Prefix: Select the prefix of the ‘Submitting On Behalf Of’ individual on whose behalf you 

are submitting this form. 

• First Name: Enter the first name of the ‘Submitting On Behalf Of’ individual on whose 

behalf you are submitting this form. This is a required field.

• Middle Initial: Enter the middle initial of the ‘Submitting On Behalf Of’ individual on 

whose behalf you are submitting this form. 

• Last Name: Enter the last name of the ‘Submitting On Behalf Of’ individual on whose 

behalf you are submitting this form. This is a required field. 

• Suffix: Select the suffix of the ‘Submitting On Behalf Of’ individual on who behalf you are 

submitting this form. 

• Job Title: Enter the job title of the ‘Submitting On Behalf Of’ individual on whose behalf 

you are submitting this form. 

• Company Name: Enter the company name of the ‘Submitting On Behalf Of’ individual on 

whose behalf you are submitting this form. This is a required field. 

• Phone Number: Enter the phone number of the ‘Submitting On Behalf Of’ individual on 

whose behalf you are submitting this form. This is a required field. 

• Phone Extension: Enter the phone number extension of the ‘Submitting On Behalf Of’ 

individual on whose behalf you are submitting this form. 

• Email Address: Enter the email address of the ‘Submitting On Behalf Of’ individual on 

whose behalf you are submitting this form. The email address must follow the standard email 

address format: John.Doe@abc.com. 

• Mailing Address 1: Enter the first line of the mailing address of the ‘Submitting On Behalf 

Of’ individual on whose behalf you are submitting this form. This is a required field. 

• Mailing Address 2: Enter the second line of the mailing address of the ‘Submitting On 

Behalf Of’ individual on whose behalf you are submitting this form. 

• City: Enter the city of the mailing address of the ‘Submitting On Behalf Of’ individual on 

whose behalf you are submitting you are submitting this form. This is a required field. 

• State: Select the state from the drop-down menu of the mailing address of the ‘Submitting 

On Behalf Of’ individual on whose behalf you are submitting this form. This is a required 

field if the ‘Country’ field is set to ‘United States.’ 

• Postal Code: Enter the postal code of the ‘Submitting On Behalf Of’ individual on whose 

behalf you are submitting this form. This is a required field. 

• Country: Enter the country of the ‘Submitting On Behalf Of’ individual on whose behalf 

you are submitting this form.

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Exhibit 9-2 shows a screen capture of the ‘Submitting On Behalf Of Company’ screen:

Exhibit 9-2: Submitting On Behalf Of Company Screen

Navigation: Click the ‘Next’ button to continue with submitting the form and proceed to the 

‘Submission Process: Validation’ screen. Click the ‘Cancel’ button to navigate back to the form 

from which you initiated the submission process. 

9.3 Submission Process: Validation

Click the ‘Submit’ icon ( ) that is located in the bottom action bar of the Section 5 Notices and 

Supports form to begin the submission process and access the ‘Submission Process: Validation’

screen.

The first step in the submission process will validate the information entered within the Section 5 

Notices and Supports form. After a form is validated, the system will generate a PDF.

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Exhibit 9-3 shows a screen capture of the ‘Submission Process: Validation’ screen:

Exhibit 9-3: Submission Process: Validation Screen

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Exhibit 9-4 shows a screen capture of the ‘Submission Process: PDF Generation’ screen:

Exhibit 9-4: Submission Process: PDF Generation Screen

Navigation: Click the ‘Continue’ button to continue with submitting the form and proceed to the 

‘Cross-Media Electronic Reporting Regulation (CROMERR) Certification’ screen. 

9.4 Cross-Media Electronic Reporting Regulation (CROMERR) Certification

Click the ‘Continue’ button from the ‘Submission Process: PDF Generation’ screen to access the 

‘Cross-Media Electronic Reporting Regulation (CROMERR) Certification’ screen.

CROMERR provides the legal framework for electronic reporting under all of EPA’s 

environmental regulations.

After clicking the ‘Continue’ button, the system requires you to certify that the submission is 

CROMERR compliant. By clicking the ‘I Certify’ button on the ‘Cross-Media Electronic 

Reporting Regulation (CROMERR) Certification’ screen, you authenticate all of the information 

entered in the submission. Clicking the ‘Cancel’ button will allow you to navigate back to the 

Section 5 Notices and Supports application. 

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Exhibit 9-5 shows a screen capture for the ‘Cross-Media Electronic Reporting Regulation 

(CROMERR) Certification’ screen:

Exhibit 9-5: Cross-Media Electronic Reporting Regulation (CROMERR) Certification

Screen

Navigation: Click the ‘I Certify’ button to continue with submitting the form and proceed to the 

‘CROMERR Login’ screen. 

9.5 CROMERR Login

You can access the ‘Cross-Media Electronic Reporting Regulation (CROMERR) Login’ screen 

by clicking the ‘I Certify’ button on the ‘Cross-Media Electronic Reporting Regulation 

(CROMERR) Certification’ screen. 

To proceed with the submission, log into CDX using the credentials you provided during CDX 

registration:

• Password: Enter your CDX registration password. 

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Exhibit 9-6 shows a screen capture of the ‘Cross-Media Electronic Reporting Regulation 

(CROMERR) Login’ screen.

Exhibit 9-6: Cross-Media Electronic Reporting Regulation (CROMERR) Login Screen

Navigation: Enter your CDX registration password and click the ‘Next’ button to navigate to the 

‘Cross-Media Electronic Reporting Regulation (CROMERR) Security Question’ screen.

9.6 Cross-Media Electronic Reporting Regulation (CROMERR) Security Question

You can access the ‘Cross-Media Electronic Reporting Regulation (CROMERR) Security 

Question’ screen by entering your CDX registration password on the ‘Cross-Media Electronic 

Reporting Regulation (CROMERR) Login’ screen and by clicking the ‘Next’ button. 

The ‘Cross-Media Electronic Reporting Regulation (CROMERR) Security Question’ screen 

randomly selects and displays one of the five CROMERR eSIG-PIN questions you answered on 

the ‘20-5-1 Question’ screen during CDX registration.

eSIG-PIN Authorization Code: Provide one of the five secret answers to the questions that 

were pulled from the list of 20 CDX security questions. 

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Exhibit 9-7 shows a screen capture of the ‘Cross-Media Electronic Reporting Regulation 

(CROMERR) Security Question’ screen:

Exhibit 9-7: Cross-Media Electronic Reporting Regulation (CROMERR) Security Question 

Screen

Navigation: Answer the security question and click the ‘Next’ button to navigate to the ‘Submit 

to CDX’ screen.

9.7 Submit to CDX

You can access the ‘Submit to CDX’ screen after answering the 20-5-1 security question on the 

‘Cross-Media Electronic Reporting Regulation (CROMERR) Security Question’ screen and by 

clicking the ‘Next’ button. 

On the ‘Submit to CDX’ screen, you will see a certification message. Read the message and 

acknowledge by clicking the ‘Confirm’ button. Once you have clicked the ‘Confirm’ button, 

your form will be submitted to EPA via CDX.

This screen is only applicable to the original submissions (PMN, NOC, and Biotechnology). This 

screen will display during the submission process for Joint Submissions and Letters of Support. 

This screen is not applicable to Support forms and amendments to original submissions. 

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Exhibit 9-8 shows a screen capture of the ‘Submit to CDX’ screen:

Exhibit 9-8: Submit to CDX Screen

Navigation: Click the ‘Confirm’ button to navigate to the ‘Cross-Media Electronic Reporting 

Regulation (CROMERR) Submission’ screen.

9.8 Cross-Media Electronic Reporting Regulation (CROMERR) Submission

You can access the ‘Cross-Media Electronic Reporting Regulation (CROMERR) Submission’

screen by acknowledging the certification to submit to EPA via CDX by clicking the ‘Confirm’

button. 

On the ‘Cross-Media Electronic Reporting Regulation (CROMERR) Submission’ screen, you 

will see a message indicating the submission has been successfully submitted to EPA via CDX.

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Exhibit 9-9 shows a screen capture of the ‘Cross-Media Electronic Reporting Regulation

(CROMERR) Submission’ screen:

Exhibit 9-9: Cross-Media Electronic Reporting Regulation (CROMERR) Submission 

Screen

Navigation: Click the ‘Finish’ button to navigate back to the Section 5 Notices and Supports

‘Home’ screen. Click the ‘Forms’ link or tab to find your locked submission. The ‘Section 5 

Notices and Supports Forms’ screen will display the submission with a ‘Lock’ icon ( ) under 

the ‘Action’ column and will display a status of ‘Submitted.’

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10 Download Copy of Record

To download a Copy of Record, navigate to the ‘Section 5 Notices and Supports Forms’ screen 

and locate a submission for which you have successfully completed and that has a status of 

‘Submitted.’

Click the ‘Copy of Record’ icon ( ) from the ‘Section 5 Notices and Supports Forms’ screen. 

You will be taken to the ‘Enter Passphrase’ screen. The ‘Enter Passphrase’ screen requires you to 

enter the passphrase originally associated with the form. If your passphrase is entered correctly, 

you will be taken to the ‘Cross-Media Electronic Reporting Regulation (CROMERR) Login’ 

screen where you are required to enter your credentials you provided during CDX registration. 

Once you have provided the correct CDX password, click the ‘Next’ button to navigate to the

‘Cross-Media Electronic Reporting Regulation (CROMERR) Security Question’ screen. The 

‘Cross-Media Electronic Reporting Regulation (CROMERR) Security Question’ screen 

randomly selects and displays one of the five CROMERR eSIG-PIN questions that you answered 

on the ‘20-5-1 Question’ screen during CDX registration. Answer the CROMERR security 

question and click the ‘OK’ button. If your answer was successful, you will be taken to the 

‘Download Copy of Record’ screen. 

Exhibit 10-1 shows a screen capture of the ‘Download Copy of Record’ screen:

Exhibit 10-1: Download Copy of Record Screen

The ‘Download Copy of Record’ screen displays the ‘File Name’ and ‘Action’ columns in a 

table format. Click the ‘Copy of Record’ icon ( ) to download the individual files uploaded 

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during the submission process, PDF version of the submission or the XML version of the Section 

5 Notices and Supports form. When you click the ‘Copy of Record’ icon ( ), the system will 

allow you to view or download the individual files that were uploaded during the submission 

process. 

After you click the ‘Copy of Record’ icon ( ), enter the passphrase associated with the case 

number, and click the ‘Next’ button. If the passphrase was correctly entered, the application will 

take you to the ‘CROMERR Login’ screen to enter the CDX password. If your login was 

successful, you will be taken to the ‘CROMERR Security Question’ screen. The ‘CROMERR 

Security Question’ screen randomly selects and displays one of the five CROMERR eSIG-PIN 

questions that you answered on the 20-5-1 Question screen during the initial login to CDX. 

Answer the CROMERR security question and click the ‘OK’ button. If your answer was 

successful, you will be taken to the ‘Download Copy of Record’ screen.

Exhibit 10-2 shows a screen capture of the ‘Download Prompt’ screen:

Exhibit 10-2: Download Prompt Screen

If you click the ‘Copy of Record’ icon ( ) you will download: 

• A PDF version of the Section 5 Notices and Supports form

• An XML version of the Section 5 Notices and Supports form

• The documents attached to a Section 5 Notices and Supports form

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11 Create an Amendment 

To amend a submitted Joint/Letter of Support for a PMN, Biotechnology, or Letter of Support

Bona Fide, navigate to the ‘Section 5 Notices and Supports Forms’ screen and locate a form that 

you previously submitted with a status of ‘Submitted.’ In addition to displaying a status of 

‘Submitted’ under the ‘Status’ column, the ‘Lock’ icon ( ) will be displayed under the ‘Action’

column. Click the ‘Lock’ icon ( ) under the ‘Action’ column to start an amendment.

Exhibit 11-1 shows a screen capture of the ‘Section 5 Notices and Supports Forms’ screen:

Exhibit 11-1: Section 5 Notices and Supports Form – Amendment

Navigation: After clicking the ‘Lock’ icon ( ), you will receive a prompt to confirm the 

amendment process. If you do not want to continue with the amendment, click the ‘Cancel’

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button to cancel the amendment process and return to the ‘Section 5 Notices and Supports 

Forms’ screen. Click the ‘OK’ button to close the prompt and continue with the amendment. 

Exhibit 11-2 shows a screen capture of the ‘Unlock Prompt’ message:

Exhibit 11-2: Unlock Prompt Message

After you click the ‘OK’ button, you will be taken to the ‘Enter Passphrase’ screen. You must 

enter the passphrase originally associated with the submission to start the amendment process. 

After you enter the passphrase and click the ‘Next’ button you will be taken to the ‘General 

Form Information’ or ‘General Document Information’ screen. Refer to Section 3.5 for further 

instructions on the ‘Enter Passphrase’ screen. 

After a submission has been unlocked, the ‘Section 5 Notices and Supports Forms’ screen will 

display a status of ‘In Progress’ under the ‘Status’ column, and an ‘Unlocked’ icon ( ) will 

display under the ‘Action’ column; however, you will not see these changes until you navigate 

back to the ‘Section 5 Notices and Supports Forms’ screen. 

Refer to the following sections for additional instructions: 

• Refer to Section 1 through Section 4.1.26 for instructions on editing a revised PMN form. 

• Refer to Section 1 through Section 5.1.3 for instructions on editing a revised 

Biotechnology form. 

• Refer to Section 1 through Section 6.1.11 for instructions on editing a revised Bona Fide

form.

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12 Resources 

You can access the ‘Resources’ screen by clicking the ‘Resources’ tab located at the top of the 

screen at any time during the submission process. You can also access the ‘Resources’ screen by 

clicking the ‘Resources’ link from the Section 5 Notices and Supports ‘Home’ screen. The 

‘Resources’ screen provides you with links to the appropriate Section 5 Notices and Supports 

user guides as well as additional helpful links. Click the ‘User Guide’ link to access the Section 5 

Notices and Supports user guide document. 

• Regulatory Impact Analysis for the Regulation of Microbial Products of Biotechnology: 

Government Costs: Click this link to generate the ‘Regulatory Impact Analysis for the 

Regulation of Microbial Products of Biotechnology: Government Costs’ screen in a new 

browser window. 

• Microbial Products of Biotechnology: Final Rule (62 FR 17910): Click this link to 

generate the ‘Microbial Products of Biotechnology: Final Rule (62 FR 17910)’ screen in a 

new browser window. 

• Points to Consider in the Preparation of TSCA Biotechnology Submissions for 

Microorganisms: Click this link to generate the ‘Points to Consider in the Preparation of 

TSCA Biotechnology Submissions for Microorganisms’ PDF in a new browser window. 

• CDX Homepage: Click this link to generate the CDX Homepage in a new browser window. 

• TSCA Chemical Substances Inventory: Click this link to generate the ‘TSCA Chemical 

Substances Inventory’ screen in a new browser window.

• Substance Registry Services (SRS): Click this link to generate the ‘Substance Registry 

Services (SRS)’ screen in a new browser window. 

• Facility Registry System (FRS): Click this link to generate the ‘Facility Registry System 

(FRS)’ screen in a new browser window. 

• CAS Inventory Expert Services: Click this link to generate the ‘CAS Inventory Expert 

Services (IES)’ screen in a new browser window. 

• National Pollutant Discharge Elimination System (NPDES): Click this link to generate 

the ‘National Pollutant Discharge Elimination System (NPDES)’ screen in a new browser 

window. 

• New Chemicals Program Homepage: Click this link to generate the ‘New Chemicals 

Program’ screen in a new browser window.

• Status of Section 5 Notices: Click this link to generate the ‘Status of Section 5 Notices’ 

screen in a new browser window. 

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Exhibit 12-1 shows a screen capture of the ‘Resources’ screen (Scroll 1):

Exhibit 12-1: Resources Screen (Scroll 1) 

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Exhibit 12-2 shows a screen capture of the ‘Resources’ screen (Scroll 2):

Exhibit 12-2: Resources Screen (Scroll 2) 

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Appendix A. Definitions, Acronyms, and Abbreviations

The following table displays all the definitions, acronyms, and abbreviations used in this 

document and their full name. 

Definitions, Acronyms, and Abbreviations

Acronym Full Name

ACM Alternative Control Measures

AO Authorized Official

BCF/BAF Bioconcentration Factors/Bioaccumulation Factors 

CBI Confidential Business Information

CA Chemical Abstracts

CAS Chemical Abstracts Service

CASRN Chemical Abstracts Service Registry Number

CDX Central Data Exchange

CFR Code of Federal Regulations

CoR Copy of Record

CROMERR Cross-Media Electronic Reporting Regulation

CSPP Chemical Safety and Pesticide Programs

CSV Comma-Separated Values

DNA Deoxyribonucleic Acid 

EPA Environmental Protection Agency

EST Eastern Standard Time

ETI Environmental Technology Initiative 

FR Federal Regulation 

FRS Facility Registry System 

GPC Gel-permeation Chromatography

ID Identification 

IE Internet Explorer 

IES Inventory Expert Service 

IH Industrial Hygienist 

IR Infrared

KG Kilogram 

LOREX Low Release/Low Exposure Exemption 

LOS Letter of Support

LVE Low Volume Exemption 

MCAN Microbial Commercial Activity Notice 

MS Mass Spectrometry

MSDS Material Safety Data Sheet

NIOSH National Institute for Occupational Safety and Health

NMR Nuclear Magnetic Resonance

NOC Notice of Commencement

NPDES National Pollutant Discharge Elimination System

OPPT Office of Pollution Prevention and Toxics

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PDF Portable Document Format 

PMN Premanufacture Notice

POTW Publicly Owned Treatment Works

PPE Personal Protective Equipment 

PPM Parts Per Million 

RCRA Resource Conservation and Recovery Act 

SAR Structure-Activity Relationship

SDS Safety Data Sheet

SME Subject Matter Expert 

SNUN Significant New Use Notice

SNUR Significant New Use Rule

SRS Substance Registry Services

STN Scientific and Technical Information Network

TERA TSCA Experimental Release Application 

TME Test Market Exemption

TMEA Test Marketing Exemption Application 

TS Toxic Substances

TSCA Toxic Substances Control Act 

UV Ultraviolet

XML Extensible Markup Language

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