Section 5 Notices and Supports 

User Guide - Secondary Authorized 

Official 

Environmental Protection Agency

Office of Pollution Prevention and Toxics

Manage Toxic Substances

Delivery Order # GS00Q09BGD0022

Task Order # EP-G11H-00154

Project # TDD 9.21

Version 0.01 

September 20, 2013

OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official i

Table of Contents

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

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

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

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

3 Secondary Authorized Official Functions ............................................................................3

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

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

3.3 User Management ........................................................................................................7

3.4 Section 5 Notices and Supports Forms.........................................................................9

3.5 Create Passphrase.....................................................................................................12

3.6 Enter Passphrase.......................................................................................................13

3.7 Navigation Tree ..........................................................................................................14

3.8 Action Bar...................................................................................................................20

3.9 Attach Documents ......................................................................................................22

3.10 Search Substance Registry Services..........................................................................25

3.11 Facility Registry System Search .................................................................................27

4 PMN Secondary User.......................................................................................................32

4.1 Create Joint Submission.............................................................................................32

4.1.1 General Form Information (Joint PMN) .................................................................32

4.1.2 Agent Information .................................................................................................35

4.1.3 Technical Contact Information ..............................................................................38

4.1.4 Chemical Identification..........................................................................................42

4.1.5 Class 1 or 2 Chemical Substances .......................................................................44

4.1.6 Polymer Identification Information .........................................................................49

4.1.7 Monomers and Other Reactants ...........................................................................53

4.1.8 Class 2 Substances ..............................................................................................58

4.1.9 Additional Chemical Information ...........................................................................61

4.1.10 Production Volume and Hazard/Safety Information...............................................66

4.1.11 Use Information ....................................................................................................69

4.1.12 Physical and Chemical Properties Worksheet.......................................................74

4.1.13 Physical and Chemical Properties Worksheet – Continued (Optional) ..................82

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

Documents ...........................................................................................................84

4.1.15 Submitter Controlled Site Information ...................................................................88
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4.1.16 Sites Controlled By Others....................................................................................89

4.1.17 Submitter Operation Information ...........................................................................91

4.1.18 Occupational Exposures .......................................................................................95

4.1.19 Environmental Releases .......................................................................................99

4.1.20 Industrial Sites Controlled By Others ..................................................................104

4.1.21 Exposures/Releases ...........................................................................................107

4.1.22 Byproduct Information.........................................................................................112

4.1.23 Optional Pollution Prevention..............................................................................114

4.1.24 Additional Attachments .......................................................................................116

4.1.25 Attachment Summary .........................................................................................118

4.1.26 Optional Cover Letter..........................................................................................120

4.1.27 Upload XML........................................................................................................121

5 Biotechnology Secondary User ......................................................................................123

5.1 Joint and Letter of Support Process..........................................................................123

5.1.1 General Form Information...................................................................................123

5.1.2 Technical Contact Information ............................................................................126

5.1.3 Optional Cover Letter..........................................................................................128

6 Bona Fide Form Secondary User ...................................................................................130

6.1 Create Bona Fide Form ............................................................................................130

6.1.1 General Document Information ...........................................................................130

6.1.2 Primary Contact Information ...............................................................................132

6.1.3 Technical Contact Information ............................................................................133

6.1.4 Chemical Identification Information .....................................................................135

6.1.5 Class 1 or 2 Chemical Substances .....................................................................137

6.1.6 Class 2 Substances ............................................................................................142

6.1.7 Polymer Identification Information .......................................................................144

6.1.8 Monomers and Other Reactants .........................................................................147

6.1.9 Use Information ..................................................................................................150

6.1.10 Document Management......................................................................................150

6.1.11 Optional Cover Letter..........................................................................................152

7 Preview ..........................................................................................................................153

8 Validate ..........................................................................................................................155

9 Submit to EPA via CDX..................................................................................................157

9.1 Submitting Official Information ..................................................................................157

9.2 Submitting On Behalf Of ...........................................................................................159
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9.3 Submission Process: Validation................................................................................161

9.4 Cross-Media Electronic Reporting Regulation (CROMERR) Certification .................163

9.5 CROMERR Login .....................................................................................................164

9.6 CROMERR Security Question ..................................................................................164

9.7 Submit to CDX..........................................................................................................165

9.8 Cross-Media Electronic Reporting Regulation (CROMERR) Submission..................166

10 Download Copy of Record..............................................................................................168

11 Create an Amendment ...................................................................................................170

12 Resources......................................................................................................................172

Appendix A. Definitions, Acronyms, and Abbreviations ...........................................................175
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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: User Management Screen........................................................................................9

Exhibit 3-5: Section 5 Notices and Supports Forms Screen ......................................................11

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

Exhibit 3-7: Enter Passphrase Screen.......................................................................................14

Exhibit 3-8: Navigation Prompt..................................................................................................15

Exhibit 3-9: Premanufacture Notice Navigation Tree (Scroll 1)..................................................16

Exhibit 3-10: Premanufacture Notice Navigation Tree (Scroll 2)................................................17

Exhibit 3-11: Premanufacture Notice Navigation Tree (Scroll 3)................................................18

Exhibit 3-12: Biotechnology Navigation Tree.............................................................................19

Exhibit 3-13: Bona Fide Navigation Tree (Class 1 or 2 Chemical Substances)..........................19

Exhibit 3-14: Bona Fide Navigation Tree (Polymer)...................................................................20

Exhibit 3-15: Action Bar – Validate............................................................................................21

Exhibit 3-16: Action Bar – Save.................................................................................................21

Exhibit 3-17: Action Bar – Preview ............................................................................................21

Exhibit 3-18: Action Bar – Submit..............................................................................................22

Exhibit 3-19: Help – Links .........................................................................................................22

Exhibit 3-20: Attach Documents Window...................................................................................24

Exhibit 3-21: Search Substance Registry Services Window ......................................................26

Exhibit 3-22: Chemical Not Found In Substance Registry Services Window .............................27

Exhibit 3-23: Facility Registry System Search Window..............................................................29

Exhibit 3-24: Add Manual Entry Window ...................................................................................31

Exhibit 4-1: General Form Information Screen (Joint Submission) ............................................34

Exhibit 4-2: Agent Information Screen (Joint Submission).........................................................36

Exhibit 4-3: Add Agent Window.................................................................................................38

Exhibit 4-4: Technical Contact Information Screen (Joint Submission)......................................40

Exhibit 4-5: Add Technical Contact Window..............................................................................42

Exhibit 4-6: Chemical Identification Screen (Joint Submission) .................................................44

Exhibit 4-7: Class 1 or 2 Chemical Substances Screen (Joint Submission) (Scroll 1)................48

Exhibit 4-8: Class 1 or 2 Chemical Substances Screen (Joint Submission) (Scroll 2)................49

Exhibit 4-9: Polymer Identification Information Screen (Joint Submission) (Scroll 1) .................52

Exhibit 4-10: Polymer Identification Information Screen (Joint Submission) (Scroll 2) ...............53

Exhibit 4-11: Monomers and Other Reactants Screen (Joint Submission) (Scroll 1) .................55

Exhibit 4-12: Monomers and Other Reactants Screen (Joint Submission) (Scroll 2) .................56

Exhibit 4-13: Class 2 Substances Screen (Joint Submission) (Scroll 1).....................................60
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Exhibit 4-14: Class 2 Substances Screen (Joint Submission) (Scroll 2).....................................61

Exhibit 4-15: Additional Chemical Information Screen (Joint Submission) (Scroll 1)..................65

Exhibit 4-16: Additional Chemical Information Screen (Joint Submission) (Scroll 2)..................66

Exhibit 4-17: Production Volume and Hazard/Safety Information Screen (Joint Submission) ....69

Exhibit 4-18: Use Information Screen (Joint Submission) (Scroll 1)...........................................73

Exhibit 4-19: Use Information Screen (Joint Submission) (Scroll 2)...........................................74

Exhibit 4-20: Physical and Chemical Properties Worksheet Screen (Joint Submission) (Scroll 1)81

Exhibit 4-21: Physical and Chemical Properties Worksheet Screen (Joint Submission) (Scroll 2)82

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

Submission)..............................................................................................................................84

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

Documents Window (Joint Submission) (Scroll 1) .....................................................................86

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

Documents Window (Joint Submission) (Scroll 2) .....................................................................87

Exhibit 4-25: Submitter Controlled Site Information Screen (Joint Submission) .........................89

Exhibit 4-26: Sites Controlled By Others Screen (Joint Submission) .........................................91

Exhibit 4-27: Submitter Operation Information Screen (Joint Submission) (Scroll 1) .................94

Exhibit 4-28: Submitter Operation Information Screen (Joint Submission) (Scroll 2) .................95

Exhibit 4-29: Occupational Exposures Screen (Joint Submission) (Scroll 1) .............................98

Exhibit 4-30: Occupational Exposures Screen (Joint Submission) (Scroll 2) .............................99

Exhibit 4-31: Environmental Releases Screen (Joint Submission) (Scroll 1) ...........................103

Exhibit 4-32: Environmental Releases Screen (Joint Submission) (Scroll 2) ...........................104

Exhibit 4-33: Industrial Sites Controlled By Others Screen (Joint Submission)........................107

Exhibit 4-34: Exposures/Releases Screen (Joint Submission) (Scroll 1) .................................110

Exhibit 4-35: Exposures/Releases Screen (Joint Submission) (Scroll 2) .................................112

Exhibit 4-36: Byproduct Information Screen (Joint Submission) ..............................................113

Exhibit 4-37: Optional Pollution Prevention Screen (Joint Submission) ...................................116

Exhibit 4-38: Additional Attachments Screen (Joint Submission).............................................118

Exhibit 4-39: Attachment Summary Screen (Joint Submission)...............................................120

Exhibit 4-40: Optional Cover Letter Screen (Joint Submission) ...............................................121

Exhibit 4-41: Upload XML Screen ...........................................................................................122

Exhibit 5-1 General Form Information Screen (Joint Biotechnology.........................................125

Exhibit 5-2: Technical Contact Information Screen (Joint Biotechnology)................................126

Exhibit 5-3: Add Technical Contact Window............................................................................128

Exhibit 5-4: Optional Cover Letter Screen ...............................................................................129

Exhibit 6-1: General Document Information Screen (Letter of Support)...................................131

Exhibit 6-2: Primary Contact Information Screen.....................................................................133

Exhibit 6-3: Technical Contact Information Screen..................................................................135

Exhibit 6-4: Chemical Identification Information Screen (Polymer) ..........................................136
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Exhibit 6-5: Chemical Identification Information Screen (Class 1 or 2 Chemical Substance ....137

Exhibit 6-6: Class 1 or 2 Chemical Substances Screen (Joint Bona Fide) (Scroll 1)................140

Exhibit 6-7: Class 1 or 2 Chemical Substances Screen (Joint Bona Fide) (Scroll 2)................141

Exhibit 6-8: Class 2 Substances Screen..................................................................................143

Exhibit 6-9: Class 2 Substances Screen (Scroll 2) ..................................................................144

Exhibit 6-10: Polymer Identification Information Screen ..........................................................147

Exhibit 6-11: Monomers and Other Reactants Screen.............................................................149

Exhibit 6-12: Use Information Screen......................................................................................150

Exhibit 6-13: Document Management Screen .........................................................................151

Exhibit 6-14: Optional Cover Letter Screen .............................................................................152

Exhibit 7-1: Preview Biotechnology Form Screen....................................................................153

Exhibit 7-2: Preview Biotechnology Form PDF........................................................................154

Exhibit 8-1: Section 5 Notices and Supports Validation Pop-Up Window ................................156

Exhibit 9-1: Submitting Official Information Screen..................................................................158

Exhibit 9-2: Submitting On Behalf Of Screen...........................................................................160

Exhibit 9-3: Submission Process: Validation Screen ...............................................................162

Exhibit 9-4: Submission Process: PDF Generation Screen .....................................................162

Exhibit 9-5: Cross-Media Electronic Reporting Regulation (CROMERR) Certification Screen .163

Exhibit 9-6: Cross-Media Electronic Reporting Regulation (CROMERR) Login Screen ...........164

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

Screen ....................................................................................................................................165

Exhibit 9-8: Submit to CDX Screen .........................................................................................166

Exhibit 9-9: Cross-Media Electronic Reporting Regulation (CROMERR) Submission Screen .167

Exhibit 10-1: Download Copy of Record Screen......................................................................168

Exhibit 10-2: Download Prompt Screen...................................................................................169

Exhibit 11-1: Section 5 Notices and Supports Form ................................................................170

Exhibit 11-2: Unlock Prompt Message ....................................................................................171

Exhibit 12-1: Resources Screen (Scroll 1)...............................................................................173

Exhibit 12-2: Resources Screen (Scroll 2)...............................................................................174
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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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 

S. Young

J. Ritchey

09/20/13

OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 1

1 Introduction

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

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

guide for the Secondary Authorized Official (AO) user of the Section 5 Notices and Supports

application.

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

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

data. As a Secondary AO, you can create or modify a Joint Submission/Letter of Support for a 

Section 5 Notices and Supports form as well as submit it to Central Data Exchange (CDX). You 

can also delete Section 5 Notices and Supports forms, submit amendments to Joint forms and 

download the Copy of Record (CoR).

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

Supports software requirements, please contact the CDX Help Desk at helpdesk@epacdx.net or 

call 1-888-890-1995 between the hours of 8am – 6pm 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 8:30am – 5:00pm 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

 Java Script enabled web browser

 Internet access

 Adobe Acrobat Reader 5.0 or higher

 CDX username and password

2.1 Supported Browsers

 Internet Explorer 7 or above

 Go to the following link to download: 

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

 Mozilla Firefox 3.5 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

2.2 Screen Resolution

 Screen resolution should be set to 1024 x 768 or greater. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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3 Secondary Authorized Official Functions

This section describes how to:

 Access the application

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

 Assign Supports to complete a Letter of Support or Joint Submission

 Start, complete, and submit the Section 5 Notices and Supports Letters of Supports and Joint 

Submissions for a Premanufacture Notice (PMN), Biotechnology, or Letter of Support for a 

Bona Fide 

 Upload an Extensible Markup Language (XML) file 

 Download a Copy of Record 

 Create an amendment for Joint Submissions and/or Letter of Supports 

The Secondary AO has the ability to submit Joint Submissions and/or Letters of Support, and is 

legally responsible for the information submitted to EPA. The Secondary AO is typically a 

senior official with management responsibility for the person(s) completing the form. The 

Secondary AO can create, delete, and unlock submitted Joint Submissions and or/Letters of 

Support for creating amendments. The Secondary AO is responsible for restricting the Secondary

Support’s (and other authorized individuals) access to select forms by using the user 

management functionality within the system. The system uses Cross-Media Electronic Reporting 

Regulation (CROMERR) encryption security during the submission signing process. 

The Secondary AO creates a new Joint Submission or Letter of Support and delegates to the 

Secondary Support to fill out required sections of the form. 

The Secondary AO is responsible for receiving the unique identification number that will be sent 

after an original PMN, Biotechnology, or Bona Fide form is submitted and designated by the 

Primary Submitter as a Joint Form and/or Letter of Support form. The Joint Submission or Letter 

of Support will not be created until the Secondary AO creates a passphrase for a form. To link 

the Joint Form to the primary form, a user will enter the unique identification number.

You can save the 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. You can print the form 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 and click the ‘Secondary Authorized Official’ link for the 

Chemical Safety and Pesticide Programs (CSPP) data flow, you will be taken to the main 

‘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 submission type 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. 
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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,’ ‘User Management,’ 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 or modify 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 3.4.

 User Management: Click the ‘User Management’ link or tab to navigate to the ‘User 

Management’ screen. You can manage the access rights of Supports per form alias using the 

‘User Management’ screen. For additional details about the ‘User Management’ 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.
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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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 ‘User Management’ link or tab to access the ‘User Management’ screen 

and assign Supports.

3.3 User Management

You can access the ‘User Management’ screen by clicking the ‘User Management’ link or tab 

from the Section 5 Notices and Supports ‘Home’ screen. 

On the ‘User Management’ screen, you can assign your Supports to fill out the Section 5 Notices 

and Supports form. You have the ability to assign one or more Supports to have access to modify
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any of the Section 5 Notices and Support forms you have created. You can also assign different 

Supports to fill out the Section 5 Notices and Supports submission for each form alias. 

Form Alias: A form alias will not be available in this menu until it has been created. Select a 

form alias from the drop-down menu to begin assigning Supports. Once a form alias has been

selected, the ‘Assign Users’ group box will update to display only the Supports who have 

identified you as their AO during CDX registration.

Form Information: This box shows information pertaining to the form you selected from the 

‘Form Alias’ drop-down menu. 

Assign Users: This box shows all the Supports you can assign to complete a Section 5 Notices 

and Supports form for the form alias selected. To move Supports from the ‘Unassigned’ group 

box to the ‘Assigned’ group box, highlight the individual or multiple Supports and click the ‘add

>>’ button.

 Form Alias: Displays the form alias that a form is given. 

 TS Number: Displays the toxic substances (TS) number that is entered for that specific 

form. 

 Form Type: Displays the type of form, which may include ‘Primary PMN,’ 

‘Biotechnology,’ or ‘Bona Fide.’ 

 Form Subtype: This value will be blank for Secondary AOs since this value is disjointed 

from the form information displayed.

 Last Modified: Displays the date the form was last modified. 

 Unassigned: This box/field contains the registered Supports associated with the AO who 

could potentially be assigned to access and edit the selected form. To move Supports from 

the ‘Unassigned’ group box to the ‘Assigned’ group box, highlight an individual or multiple 

Support(s) and click the ‘add >>’ button. To highlight multiple Supports hold down the 

<Ctrl> key on your keyboard while clicking each Support. To highlight multiple consecutive 

Supports, hold down the <Shift> key on your keyboard while clicking the first and last 

Support in the list. 

 Assigned: This box/field contains the registered Supports given permission, by the AO, to 

access and edit the selected form. This group box shows all the Supports that are assigned to 

complete the Section 5 Notices and Supports form for a single form alias. To move Supports

from the ‘Assigned’ group box to the ‘Unassigned’ group box highlight individual or 

multiple Supports and click the ‘<< remove’ button. To highlight multiple Supports hold 

down the <Ctrl> key on your keyboard and click each Support. To highlight multiple 

consecutive Supports hold down the <Shift> key on your keyboard and click the first and last 

Support in the list.

 Add >>: Click the button to move Supports from the ‘Unassigned’ box to the ‘Assigned’ 

box.

 << Remove: Click the button to move Supports from the ‘Assigned’ box to the ‘Unassigned’ 

box.

When you have finished assigning the Supports, click the ‘Save’ button to save the selection.
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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Exhibit 3-4 shows a screen capture of the ‘User Management’ screen:

Exhibit 3-4: User Management Screen

Navigation: Click the ‘Forms’ tab located within the application header to navigate to the 

‘Section 5 Notices and Supports Forms’ screen and start a new form.

3.4 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. Each column within the

table of the ‘Section 5 Notices and Supports Forms’ screen can be sorted by clicking the

individual column headers. 

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 3.5 for further 

instructions on creating a new passphrase.
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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

the ‘Alias’ link that has a status of ‘In Progress.’ You will be required to enter the passphrase 

associated with that particular form in order to access and continue editing 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 in order to gain access and continue amending the submission. All 

further changes that are submitted 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,’ ‘General 

Document Information,’ or ‘Contact Information’ screen. 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.’ A form alias is helpful when a user or company has multiple forms and/or 

when you must differentiate between forms. 

 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 Authorized Official. 

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

or mixture after EPA receives the submission. A consolidated submission will generate 

sequential case numbers for each chemical identified within the form. Case numbers will not 

be sequential for joint consolidated submissions. If the form has not been submitted and 

received, the field remains blank. 

 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 when you submit the form 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.’ Displays a 

‘Lock’ icon ( ) for all forms that have been submitted. Only an AO can unlock a form by
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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clicking the ‘Lock’ icon ( ) and unlocking the form. The form will remain unlocked and 

display the ‘Unlocked’ icon ( ) until the form is resubmitted by a Secondary AO. 

 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), 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.

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

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

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

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

Bona Fide form, click the ‘Start New Form’ button. The ‘Create Passphrase’ screen provides a 

text field for you to enter in the unique identifier supplied by the Primary AO 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.

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.
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Exhibit 3-6 shows a screen capture of the ‘Create Passphrase’ screen for a Secondary Authorized 

Official:

Exhibit 3-6: 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 form. 

3.6 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 you originally created and associated with the 

form.
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Exhibit 3-7 shows a screen capture of the ‘Enter Passphrase’ screen:

Exhibit 3-7: Enter Passphrase Screen 

Navigation: Enter the passphrase that you 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. 

3.7 Navigation Tree

The navigation tree is located on each screen on the left hand side. You can perform the 

following functions using the navigation tree:

 Open and Close the Navigation Tree: To provide more visual form space, a navigation 

arrow ( ) that opens and closes the navigation tree is located to the right of the navigation 

tree. Click the arrow ( ) 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 in 

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

tree. When the 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 the 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 the folder title 

link, it will highlight in red. 

 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. Each section of the form 

is denoted with a ‘Form’ icon ( ). You can click the ‘Form’ icon ( ) or the 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 
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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.’ If you choose the ‘OK’ button, 

you will be taken to the requested screen without saving any of the data in the previous 

screen. If you choose the ‘Cancel’ button, the prompt will close and you will not be taken to 

the requested screen.

Exhibit 3-8 shows a screen capture of the navigation prompt window:

Exhibit 3-8: Navigation Prompt 

 Delete ‘Chemical’ Folders: To delete specific ‘Chemical’ folders, a ‘Delete’ icon ( ) 

displays at the bottom of each folder within the navigation tree of a PMN form. When a 

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

and cannot be retrieved. You can add a new chemical report by clicking the ‘Add 

Consolidated Chemical’ link, and filling in all corresponding data. This delete functionality is 

not applicable to the Biotechnology or Bona Fide form.

 Copy ‘Chemical’ folders: To copy a specific chemical folder, a ‘Copy’ link displays at the 

bottom of each folder within the navigation tree of a PMN form. When a chemical folder is 

copied, the chemical name, CASRN, and attached documents are removed from the copied 

chemical. This copy functionality is not applicable to the Biotechnology or Bona Fide

module. 

 Delete ‘Submitted Controlled Operations’ or ‘Operations Controlled By Others’: To 

delete a specific ‘Submitter Controlled Operations’ or ‘Operations Controlled By Others’ 

folder within a PMN form, a ‘Delete’ icon ( ) is displayed at the bottom of each ‘SubmitterControlled Operations’ or ‘Operations Controlled by Others’ folder within the navigation 

tree. 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. 

You can add a new ‘Submitter Operation’ or ‘Operation Controlled By Others’ by clicking 

the ‘Add Operation’ link under the appropriate folder and filling in all corresponding data. 

This delete functionality is not applicable to the Biotechnology or Bona Fide module within 

the Section 5 Notices and Supports application. 

 Upload XML: The system will display an ‘Upload XML’ button in the navigation tree to 

allow a user to upload a completed XML file into a PMN form, Joint PMN form, or to export 

an existing PMN form into an XML file format. For more information about the upload XML

functionality, refer to Section 4.1.27 for additional information.
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Exhibit 3-9 shows the screen capture of the Premanufacture Notice navigation tree (Scroll 1):

Exhibit 3-9: Premanufacture Notice Navigation Tree (Scroll 1)
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Exhibit 3-10 shows the screen capture of the Premanufacture Notice navigation tree (Scroll 2):

Exhibit 3-10: Premanufacture Notice Navigation Tree (Scroll 2)
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Exhibit 3-11 shows the screen capture of the Premanufacture Notice navigation tree (Scroll 3): 

Exhibit 3-11: Premanufacture Notice Navigation Tree (Scroll 3)
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Exhibit 3-12 shows the screen capture of the Biotechnology navigation tree:

Exhibit 3-12: Biotechnology Navigation Tree

Exhibit 3-13 shows the screen capture of the Bona Fide navigation tree (Class 1 or 2 chemical 

substances):

Exhibit 3-13: Bona Fide Navigation Tree (Class 1 or 2 Chemical Substances) 
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Exhibit 3-14 shows the screen capture of the Bona Fide navigation tree (polymer):

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

3.8 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: You can 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 ( ). The ‘Section 5 Notices and Supports

Validation’ pop-up window displays a report of all warning messages and validation errors 

that failed validation. 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 will initiate. Refer 

to Section 8 for more information on validating a form.
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The following exhibits, Exhibit 3-15, Exhibit 3-16, and Exhibit 3-17 show the screen captures 

for the action bar:

Exhibit 3-15: Action Bar – Validate

 Save: You can click the ‘Save’ icon ( ) at any stage of completing a Section 5 Notices and 

Supports form. 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 within the field set 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. 

Clicking the ‘Previous’ and ‘Next’ buttons on a form will also save the data entered within a 

form. Clicking the ‘X’ button in the upper-right corner of the form in your browser will 

automatically close the form without saving. 

Exhibit 3-16: Action Bar – Save

 Preview: You can 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 or a sanitized version of the 

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

form.

Exhibit 3-17: Action Bar – Preview

 Submit: As a Secondary AO you have the ability to click the ‘Submit’ icon ( ) to submit

Letters of Support, Joint Forms, and/or amendments to Joint Forms or after you or the 

Support have completed all sections of the Section 5 Notices and Supports submission

process.
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Exhibit 3-18: Action Bar – Submit

 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.

 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 the screen capture of the action bar ‘Help’ links:

Exhibit 3-19: Help – Links

3.9 Attach Documents 

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

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

You can access the ‘Attach Documents’ pop-up window by clicking the ‘Attach Document’ 

button displayed on a screen. You will attach the file and enter a description, number of pages, 

and confidential business information (CBI) status of the file. 

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

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

missing a required field, clicking the ‘OK’ button will display an error message notifying you to 

re-attach all documents. If you wish to change a CBI attachment to be non-CBI by un-checking 

the ‘CBI’ claim, a warning will appear 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 will delete the 

previously attached file. 

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

and the document information will be displayed 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. The system allows you to delete 

unwanted documents by clicking the ‘Delete’ icon ( ) located under the ‘Actions’ column. To 

view, open, or edit previously attached documents, click the appropriate file name of the 
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document within the ‘File Name’ column of the document table to view previously entered 

information.

 Type: Select the document type of the document that you upload. This drop-down menu 

contains the following values: ‘Aquatic Ecotoxicity,’ ‘Chemical Structure Diagram,’ ‘Fate,’ 

‘gel-permeation chromatography (GPC),’ ‘Genetic Toxicity,’ ‘Health Toxicity,’ ‘IES 

Report,’ ‘Safety Datasheet,’ and ‘Terrestrial Ecotoxicity’ for PMN and Biotechnology forms. 

This drop-down menu contains ‘Spectrum of Substance,’ ‘Statement of Commercialization,’ 

‘Statement of Research and Development,’ and ‘Other’ for Bona Fide forms. 

 Subtype: Select the document type of the document that you upload. This drop-down menu 

contains the following values, which are grouped under specific document types: 

‘Partitioning (e.g., Koc, Kd, Kow, Koa, Henry’s law constant),’ ‘Hydrolysis,’ ‘Fugacity,’ 

‘Photolysis,’ ‘Monitoring data (e.g. air, water, soil, biota, human),’ ‘Biodegradation,’ 

‘Bioconcentration Factors/Bioaccumulation Factors (BCF/BAF),’ ‘Material Safety Data 

Sheet/Safety Data Sheet (MSDS/SDS),’ ‘Technical Datasheet,’ ‘Eye Irritation,’ ‘Combined 

Repeated-Dose/Developmental/Reproductive Toxicity,’ ‘Sensitization,’ ‘Carcinogenicity,’ 

‘Repeated-Dose Toxicity,’ ‘Neurotoxicity,’ ‘Acute Toxicity,’ ‘Developmental Toxicity,’ 

‘Pharmacokinetics/Metabolism,’ ‘Dermal Irritation,’ ‘Reproductive Toxicity,’ ‘Fish Chronic 

Toxicity,’ ‘Invertebrate Acute Toxicity,’ ‘Invertebrate Chronic Toxicity,’ ‘Algae Toxicity,’ 

‘Fish Acute Toxicity,’ ‘Chromosomal Aberrations Assay,’ ‘Unscheduled DNA Synthesis,’ 

‘Genetic Mutation Assay,’ ‘Plant Toxicity,’ ‘Invertebrate Toxicity,’ ‘Avian Toxicity,’ and 

‘Other.’ Document subtypes are not applicable to a Bona Fide form. 

 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, .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 in a 

PMN or Biotechnology form. This field is not applicable to a Bona Fide form. 

 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. This 

checkbox is not applicable to a Bona Fide form. 

 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. This field is not applicable to a Bona Fide form. 

 Cancel: Click the button to cancel the attach document process. 

 OK: Click the 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 shows the screen capture of the ‘Attach Documents’ window:

Exhibit 3-20: Attach Documents Window 

Navigation: Click the ‘Cancel’ button to cancel the document attachment process. Click the 

‘OK’ button to attach the document that has been uploaded on the ‘Attach Documents’ window

to the form and navigate back to the original screen that the document attachment process was 

initiated from. 
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3.10 Search Substance Registry Services

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

form to identify any chemicals that may be stored in the Substance Registry Services (SRS). 

Search SRS: To access SRS, click the ‘Search SRS’ button. Clicking the ‘Search SRS’ button 

generates the ‘Search Substance Registry Services’ window. You can search for the reported 

chemical(s) by either the ‘CASRN’ or ‘CA Index Name or Other Synonym.’ The system allows 

you to claim the chemical substance(s) as confidential. If zero results are retrieved, the system 

allows you the option of entering manual chemical information by clicking the ‘Create New 

Chemical’ button. Clicking the ‘Create New Chemical’ button generates the ‘Chemical Not 

Found In Substance Registry Services’ window and allows you to enter chemical information by

filling in the ‘Chemical Name’ and CASRN under the manual entry text fields. 

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 identification 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. 

 CASRN: Enter the CASRN of the chemical. Either the ‘CASRN’ or ‘CA Index Name or 

Other Synonym’ field is required when searching SRS. 

 CA Index Name or Other Synonym: Enter the CA Index Name or Other Synonym. 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 to be populated 

when searching SRS. 

 Search: 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: Clicking the ‘Create New Chemical’ button generates the ‘Chemical 

Not Found In Substance Registry Services’ pop-up window. 
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Exhibit 3-21 shows the screen capture of the ‘Search Substance Registry Services’ window:

Exhibit 3-21: Search Substance Registry Services Window 

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

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

 CASRN: Enter the CASRN, if available. 

 Maximum Percent: Enter the maximum percentage of the impurity. This field is only

displayed when identifying an impurity on the ‘Additional Chemical Information’ screen. 

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

Services’ window. 

 OK: Clicking the ‘OK’ button populates the manually entered chemical information into the 

fields on the screen that the SRS search was initiated from. 
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Exhibit 3-22 shows the screen capture of the ‘Chemical Not Found In Substance Registry

Services’ window:

Exhibit 3-22: Chemical Not Found In Substance Registry Services Window 

Navigation: Click the ‘Search’ button on the ‘Search Substance Registry Services’ window to 

initiate the database search for the CASRN or CA Index Name or Other Synonym. After SRS 

returns results, clicking the ‘OK’ button on the ‘Search SRS’ window selects the chemical,

closes the ‘Search Substance Registry Services’ window and takes you back to the screen the 

SRS search was initiated from. Clicking the ‘Cancel’ button on the ‘Chemical Not Found In 

Substance Registry Services’ window takes you back to the ‘Search SRS’ window. Clicking the 

‘OK’ button saves the manually entered chemical information into the fields of the screen the 

SRS search was initiated from. 

3.11 Facility Registry System Search

The ‘FRS Search’ button is displayed on the ‘Submitter Controlled Site Information’ scr een and 

the ‘Sites Controlled By Others’ screen within a Section 5 Notices and Supports form to identify

the sites for which you will be reporting. 
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Click the ‘FRS Search’ button to generate the ‘Facility Registry System Search’ window. You 

will be able to search for a site by ‘EPA Registry ID,’ ‘Facility Name,’ ‘Facility Address,’ ‘City,’ 

‘State,’ and/or ‘Postal Code.’ When the results are found, you will be able to add a new site by 

selecting from the FRS results and clicking the ‘Add FRS Entry’ button or by adding a new site 

through the manual entry fields. The system allows each individual site to be claimed as CBI.

 EPA Registry ID: Enter the EPA Registry ID. At least one search parameter must be entered 

in order for results to be returned. 

 Facility Name: Enter the facility name. At least one search parameter must be entered in 

order for results to be returned. 

 Facility Address: Enter the facility address. At least one search parameter must be entered in 

order for results to be returned. 

 City: Enter the facility city. At least one search parameter must be entered in order for results 

to be returned. 

 State: Enter the facility state. At least one search parameter must be entered in order for 

results to be returned. 

 Postal Code: Enter the facility postal code. At least one search parameter must be entered in 

order for results to be returned. 

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

 Site Alias: Enter the site alias. This is a required field if a joint submission is being filed. 

 Search: Click the button to initiate EPA’s FRS search. 

 Add Manual Entry: Click the button to navigate to the ‘Add Manual Entry’ pop-up 

window.
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Exhibit 3-23 shows the screen capture of the ‘Facility Registry System Search’ pop-up window: 

Exhibit 3-23: Facility Registry System Search Window 

Navigation: Click the ‘Add FRS Entry’ button to input the selected site from the ‘FRS Search’ 

results to the screen from which you initiated the FRS search.

 Add FRS Entry: Click the button to close the ‘Facility Registry System Search’ pop-up 

window and populate the selected site to the site location table. 

 Site Name: Enter the site name. This is a required field if a manually entered site is being 

added.
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 Address 1: Enter the first line of the mailing address of the site. This is a required field if a 

manually entered site is being added. 

 Address 2: Enter the second line of the mailing address of the site. 

 City: Enter the city of the mailing address of the site. This is a required field if a manually 

entered site is being added. 

 State: Enter the state of the mailing address of the site. This is a required field if a manually 

entered site is being added. 

 Postal Code: Enter the postal code of the mailing address of the site. This is a required field 

if a manually entered site is being added. 

 CBI: Check the ‘CBI’ checkbox to claim the manually entered site as confidential. 

 Site Alias: Enter the site alias for the manually entered site. This is a required field if a joint 

submission is being filed.

 Cancel: Click the button to navigate back to the ‘Facility Registry System Search’ pop-up 

window.

 OK: Click the button to populate the entered site information into the table displayed on the 

screen from which you initiated the FRS search. 
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Exhibit 3-24 shows the screen capture of the ‘Add Manual Entry’ pop-up window: 

Exhibit 3-24: Add Manual Entry Window 

Navigation: Click the ‘OK’ button to add the manually entered site information to the site fields 

on the screen from which you initiated the FRS search.
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4 PMN Secondary User 

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 submission. This PMN must be submitted at least 90 

days prior to the manufacture or import of the chemical.

The PMN joint process is a multi-step process with coordination needed on the parts of Primary

and Secondary users (including AOs and Agents/Consultants). The Primary user will first 

identify that a Joint Submission and/or Letter of Support(s) will supplement a form. Based on the 

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

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

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

identification number (ID). 

When the Primary user enters the relevant ‘Joint’ or ‘Letter of Support’ folder, the user will enter 

the Secondary AO or Secondary Agent/Consultant’s contact information on the first screen. The 

Primary user will use the email address entered on this screen to send the Secondary user the 

unique identification number. The next screen in the ‘Joint’ or ‘Letter of Support’ folder will 

display the unique identification number that will be sent to the Secondary AO or Secondary

Agent/Consultant, and a text box for the Primary user to provide instructions or information to 

the Secondary user about what is to be filed. 

The Secondary user will register in CDX as a Secondary AO 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 will work the same, other than being able to 

enter a foreign address for ‘Letter of Support.’ Once the Secondary AO has created a new form

and assigned a passphrase, the Secondary AO may enter the required information on the form. 

On the ‘Create Passphrase’ screen, the Secondary AO will enter the unique identification number

sent via email from the Primary AO’s form. Once the Secondary AO has entered the unique 

identification number, the form will display. 

4.1 Create Joint Submission 

As a Secondary AO, you can start a new Letter of Support or Joint Submission and assign your 

Supports to complete the form. 

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 AO and creating a passphrase on the ‘Create Passphrase’ 

screen. The ‘General Form Information’ screen allows you to identify information that is specific 

to the form type selected from the ‘Section 5 Notices and Supports Forms’ screen.

The ‘General Form Information’ screen presents a list of text fields and drop-down menus 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 use to identify the form. A unique form alias is helpful 

when you have multiple forms and/or when you must differentiate between forms to the help 

desk. Upon navigating to the screen, a default form alias generates in the following format: 

<Form Type-YYYYMMDD-HH:MM:SS Time Zone>.
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The ‘PMN Identification’ section allows you to enter information about other communications 

with EPA by entering a 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 or Primary Agent/Consultant selected from the ‘Type of Notice’ dropdown menu. The following values will 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 will not to allow you to enter in the 

specific other information. More often than not, the remaining options under ‘Test Data’ 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: Edit the form alias, if necessary. Upon navigating to the screen, the screen will 

auto-generate an 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. Accepts 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. 

 Environmental Fate Data: Check the checkbox to identify whether the form contains 

environmental fate data. 

 Health Effects Data: Check the checkbox to identify whether the form contains health 

effects data. 

 Environmental Effects Data: Check the checkbox to identify whether the form contains 

environmental effects data. 

 Physical/Chemical Properties: Check the checkbox to identify whether the form contains 

physical/chemical properties. 

 Test data not in the possession or control of the submitter: Check the checkbox to 

identify whether the form contains test data not in the possession or control of the submitter. 

 Risk Assessments: Check the checkbox to identify whether the submission contains risk 

assessments. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 34

 Structure/Activity Relationships: Check the checkbox to identify whether the submission 

contains structure/activity relationships. 

 Other Data: Check the checkbox to identify whether the submission contains other data. 

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

Submission):

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

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. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 35

4.1.2 Agent Information 

You can navigate to the ‘Agent Information’ screen by clicking the ‘Next’ button from the 

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

Information’ link within the navigation tree.

The ‘Agent Information’ screen allows you to enter information regarding all parties involved in 

populating the PMN form. The contact should be a person who can answer questions about the 

form. The ‘Agent Information’ screen presents you with an ‘Add Agent’ button that generates 

the ‘Add Agent’ pop-up window that displays a list of fields that allows 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 contact is the same individual who is filling out the form, you will be able to click 

the ‘Copy CDX Registration’ button to retrieve user information from CDX registration. The 

system allows you to claim entered contact information as confidential by checking the ‘CBI’ 

checkbox. Each agent will have an individual CBI claim. You will be able to enter the contact 

information for each agent, and click the ‘OK’ button which will populate the agents table 

located on the bottom of the ‘Agent Information’ screen. The table allows you to delete agents

by clicking the ‘Delete’ icon located under the ‘Actions’ column. To edit agent information, 

click the agent name within the ‘Last Name’ column that 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 that 

allows you to enter multiple agents into a table format. 

 Last Name: Displays the last name of the reported agent. Clicking the ‘Last Name’ link will 

allow you to view and edit the agent information. 

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

 Address: Displays the 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. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 36

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

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

Navigation: 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. 

 Copy CDX Registration: Clicking the ‘Copy CDX Registration’ button will display a 

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

populate the fields with your contact information provided during CDX registration. 

 Check here to claim this information as CBI: Check the ‘CBI’ checkbox to claim contact 

information as confidential.

 First Name: Enter the agent’s first name. If you have clicked the ‘Copy CDX Registration’ 

button, the fields populate with information entered during CDX registration. 

 Last Name: Enter the agent’s last name. If you have clicked the ‘Copy CDX Registration’ 

button, the fields populate with information entered during CDX registration.

 Position: Enter the agent’s job title. 

 Company Name: Enter the agent’s company name. If you have clicked the ‘Copy CDX 

Registration’ button, the fields populate with information entered during CDX registration.
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 37

 Phone Number: Enter the daytime phone number of the agent: U.S. or international. This 

field does not accept dashes. If you have clicked the ‘Copy CDX Registration’ button, the 

fields populate with information entered during CDX registration.

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

email address format: John.Doe@abc.com. If you have clicked the ‘Copy CDX Registration’ 

button, the fields populate with information entered during CDX registration.

 Mailing Address 1: Enter the first line of the agent’s mailing address. If you have clicked 

the ‘Copy CDX Registration’ button, the fields populate with information entered during 

CDX registration.

 Mailing Address 2: Enter the second line of the agent’s mailing address. If you have clicked 

the ‘Copy CDX Registration’ button, the fields populate with information entered during 

CDX registration.

 City: Enter the city of the agent’s mailing address. If you have clicked the ‘Copy CDX 

Registration’ button, the fields populate with information entered during CDX registration.

 State: Select the state of the agent’s mailing address from the drop-down menu. If you have 

clicked the ‘Copy CDX Registration’ button, the fields populate with information entered 

during CDX registration.

 Postal Code: Enter the postal code of the mailing address for the agent. If you have clicked 

the ‘Copy CDX Registration’ button, the fields populate with information entered during 

CDX registration.

 Country: Select the country of the agent’s mailing address from the drop-down menu. If you 

have clicked the ‘Copy CDX Registration’ button, the fields populate with information 

entered during CDX registration.
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 38

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

Exhibit 4-3: Add Agent Window 

Navigation: Click the ‘Cancel’ button to cancel the process of adding an agent. Click the ‘OK’ 

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

screen. 

4.1.3 Technical Contact Information

You can navigate to the ‘Technical Contact Information’ 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 capable of answering questions related to the chemical submitted 

to EPA within the PMN form, or be able to obtain the answers to these questions. The technical 

contact does not have to be physically working at the site reported on the form but must be 

readily available by phone or email. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 39

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

same person who is filling out the form, the system will allow you to click the ‘Copy CDX 

Registration’ button to retrieve their user information from CDX. You will enter the contact 

information for each technical contact on 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 bottom of the screen. The table allows you to delete a technical contact by clicking 

the ‘Delete’ icon ( ) located under the ‘Actions’ column. To edit technical contact information, 

click the technical contact name within the ‘Last Name’ column. The text fields populate with 

the information originally entered for the specified technical contact as editable text. The system 

allows you to claim entered contact information as confidential by checking the ‘CBI’ checkbox. 

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

Technical Contact’ pop-up window, which allows you to enter technical contact information. 

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

link 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.
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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Exhibit 4-4 shows the screen capture of the ‘Technical Contact Information’ screen (Joint 

Submission):

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

Navigation: Click the ‘Next’ button to navigate to the ‘Chemical Identification’ screen if it is 

already displayed within the navigation tree. You can also access this screen by clicking the 

‘Add Consolidated Chemical’ link within the navigation tree. 

 Copy CDX Registration: Click the ‘Copy CDX Registration’ to populate the fields with 

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

confirming the import of CDX registration information. 

 Check here to claim this information as CBI: Check the ‘CBI’ checkbox to claim the 

technical contact information as confidential. If the ‘CBI’ checkbox is checked before 

clicking the ‘Copy CDX Registration’ button, the ‘CBI’ checkbox will become unchecked 

upon navigating back to the screen after copying CDX registration information. To claim a 

technical contact as confidential, check the ‘CBI’ checkbox after importing CDX registration

information. 

 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. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 41

 Last Name: Enter the technical contact’s last name. If you have clicked the ‘Copy CDX 

Registration’ button, the fields populate 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. If you have clicked the 

‘Copy CDX Registration’ button, the fields populate with information entered during CDX 

registration. This is a required field. 

 Phone Number: Enter the daytime phone number of the technical contact: U.S. or 

international. This field does not accept dashes. If you have clicked the ‘Copy CDX 

Registration’ button, the fields populate with information entered during CDX registration.

This is a required field. 

 Email Address: Enter the technical contact’s email address. The email address must follow 

the standard email address format: John.Doe@abc.com. If you have clicked the ‘Copy CDX 

Registration’ button, the fields populate with information entered during CDX registration.

This is a required field. 

 Mailing Address 1: Enter the first line of the technical contact’s mailing address. If you 

have clicked the ‘Copy CDX Registration’ button, the fields populate with information 

entered during CDX registration. This is a required field. 

 Mailing Address 2: Enter the second line of the technical contact’s mailing address. If you 

have clicked the ‘Copy CDX Registration’ button, the fields populate with information 

entered during CDX registration.

 City: Enter the technical contact’s city of the mailing address. If you have clicked the ‘Copy 

CDX Registration’ button, the fields populate with information entered during CDX 

registration. This is a required field. 

 State: Select the state of the technical contact’s mailing address from the drop-down menu. If 

you have clicked the ‘Copy CDX Registration’ button, the fields populate with information 

entered during CDX registration. This is a required field. 

 Postal Code: Enter the postal code of the technical contact’s mailing address. If you have 

clicked the ‘Copy CDX Registration’ button, the fields populate with information entered 

during CDX registration. This is a required field. 

 Country: Displays ‘United States.’ 
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Secondary Authorized Official 42

Exhibit 4-5 shows the screen capture of the ‘Add Technical Contact’ window:

Exhibit 4-5: Add Technical Contact Window 

Navigation: Click the ‘Cancel’ button to cancel the process of adding a technical contact. Click 

the ‘OK’ button to navigate back to the ‘Technical Contact Information’ screen. 

4.1.4 Chemical Identification 

You can navigate to the ‘Chemical Identification’ screen by clicking the ‘Next’ button from the 

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

Consolidated Chemical’ link within the navigation tree. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 43

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 

substance or a polymer. Based on the selection that you designate, the appropriate screens for the 

respective chemical will appear. If you select the radio button for a ‘Class 1 or 2 Chemical 

Substance,’ the ‘Class 1 or 2 Chemical Substances’ screen will appear. If you identify the 

chemical as a polymer by selecting the ‘Polymer’ radio button, the ‘Polymer Identification 

Information’ screen and the ‘Monomers and Other Reactants’ screen will appear. 

This screen also allows you to identify an alias for the chemical substance. The alias is required 

since you are completing a Joint Submission or Letter of Support. The alias field will allow you 

to identify chemicals in a consolidated chemical submission. 

 Class 1 or 2 Chemical Substance: Select the ‘Class 1 or 2 Chemical Substance’ radio button 

to declare if 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 an error message warning you that you will lose all data for this chemical if the 

chemical type changes. It is required that either the ‘Class 1 or 2 Chemical Substance’ or 

‘Polymer’ radio button is selected. 

 Polymer: Select the ‘Polymer’ radio button to declare the chemical a polymer. If you select 

the ‘Class 1 or 2 Chemical Substance’ radio button after initially selecting the ‘Polymer’ 

radio button, the application generates an error message warning you that you will lose all 

data for this chemical if the chemical type changes. It is required that either the ‘Class 1 or 2 

Substance’ or ‘Polymer’ radio button is selected. 

 Chemical Alias: Enter the chemical alias to associate with a chemical. This field will autogenerate a chemical alias if left blank. This field is required. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 44

Exhibit 4-6 shows the screen capture of the ‘Chemical Identification’ screen (Joint Submission):

Exhibit 4-6: Chemical Identification Screen (Joint Submission)

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 navigate to the ‘Class 1 or 2 Chemical Substances’ screen by clicking the ‘Next’ button 

from the ‘Chemical Identification’ screen when the radio button for ‘Class 1 or 2 Chemical 

Substance’ is selected. You can also access the ‘Class 1 or 2 Chemical Substances’ screen by 

clicking the ‘Class 1 or 2 Chemical Substances’ link within the navigation tree. 

The ‘Class 1 or 2 Chemical Substances’ screen provides fields for you to enter information 

describing the chemical for which the PMN is being filed. This screen will outline the unique 

chemical properties that show the name, composition and structure of the chemical. The system 

will allow you to identify several key aspects concerning a chemical’s identity. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 45

You will first state that a chemical component should be created by clicking the ‘Add Chemical 

Component’ button. Upon clicking the ‘Add Chemical Component’ button, an 

expandable/collapsible field set generates that contains numerous fields that pertain to the 

particular chemical. You will be able to enter multiple chemical components, each with unique 

information, by clicking the ‘Add Chemical Component’ 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 for you to enter information pertaining to that 

particular chemical.

For a multi-component submission, create the 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 

Chemical Component’ button, the application generates a field set containing numerous fields 

that allow you to enter information pertaining to that particular chemical. Enter additional 

chemical components, 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.

If you select the ‘Class 1’ radio button, the system will take you to the ‘Additional Chemical 

Information’ screen when navigating away from the screen. If the ‘Class 2’ radio button is 

selected, the system will take you 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 CAS Registry Numbers. 

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, or complete, or representative structural diagrams to the fullest 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 Chemical Component: Click the button to generate the class 1 or 2 chemical 

substances expandable/collapsible field set. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 46

 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 is displayed 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 is displayed 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 link located at the upper-right of the expandable/collapsible field sets 

to expand a series of field sets. 

 Collapse All: Click the link located at the upper-right of the expandable/collapsible field sets 

to collapse a series of field sets.

 B.1.a Class of Substance: In section B.1.a, you identify whether a ‘Class 1’ or ‘Class 2’ 

chemical substance is being reported. When you select the ‘Class 2’ chemical substance radio 

button, you indicate 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 to 

allow 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 apply to all the 

components. You may claim the class of the chemical substance as confidential by checking 

the ‘CBI’ checkbox. 

 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. 

 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 

substance without specific structures. 

 CBI: Check the ‘CBI’ checkbox to claim the ‘Class of Substance’ as confidential. 

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

Services’ pop-up window. Refer to Section 3.10 regarding additional information on the 

search SRS functionality.

 CASRN: Displays the CASRN of the chemical, if applicable. 

 Chemical Name: Displays the chemical name of the chemical. For class 1 substances, a ‘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 chemical 

abstract (CA) nomenclature rules and conventions. 

 Generic Chemical Name: Enter the generic name to associate with a chemical; this field

only displays when ‘CASRN’ and ‘Chemical Name’ are CBI. 

The image 

part with 

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not found in 

the file.
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 47

 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. 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 consolidated 

submission, each chemical must be ‘Method 1’ except when the submission is pending a 

Letter of Support for that chemical. Selecting the ‘Method 1 (CAS Inventory Expert 

Service)’ radio button generates the ‘IES Order #’ field. 

 Method 2: Select the ‘Method 2’ 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.’ 

 IES Order #: This field only displays when you select the ‘Method 1 (CAS Inventory Expert 

Service)’ radio button. 

 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’ as confidential. 

 Section: 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 in order to upload an 

attachment. 

 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.9 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 associated with 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 document row permanently from the 

system. A warning message displays to confirm the 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. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 48

Exhibit 4-7 shows the screen capture of the ‘Class 1 or 2 Chemical Substances’ screen (Joint 

Submission) (Scroll 1):

Exhibit 4-7: Class 1 or 2 Chemical Substances Screen (Joint Submission) (Scroll 1) 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 49

Exhibit 4-8 shows the screen capture of the ‘Class 1 or 2 Chemical Substances’ screen (Joint 

Submission) (Scroll 2):

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

Navigation: If you selected 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. If you selected 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. 

4.1.6 Polymer Identification Information 

You can navigate to the ‘Polymer Identification Information’ screen by clicking the ‘Next’ 

button from the ‘Chemical Identification’ screen when you select the radio button for ‘Polymer.’ 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 50

You can also navigate to the ‘Polymer Identification Information’ screen by clicking the 

‘Polymer Identification Information’ link within the navigation tree. 

The ‘Polymer Identification Information’ screen provides fields for you to enter information 

describing the polymer(s) for which the PMN is being filed. This screen will outline the unique 

chemical properties that show the name, composition and structure of the polymer. The system 

will allow you to identify several key aspects concerning a polymer’s identity. 

You can create a chemical component by clicking the ‘Add Chemical Component’ button. Upon 

clicking the ‘Add Chemical Component’ button, an expandable/collapsible field set generates 

that contains numerous fields that pertain to the particular polymer. You will be able to enter 

multiple chemical components, each with unique information, by clicking the ‘Add Chemical 

Component’ 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 allows you to enter information pertaining to 

that particular chemical.

For a multi-component submission, create the field set by clicking the ‘Add Chemical 

Component’ 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 Chemical 

Component’ 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 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.

 Add Chemical Component: 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 is displayed 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 is displayed 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 link located at the upper-right of the expandable/collapsible field sets 

to expand a series of field sets. 

 Collapse All: Click the link located at the upper-right of the expandable/collapsible field sets 

to collapse a series of field sets.

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have been 

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renamed, o...
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 51

 Search SRS: Click the button to generate the ‘Search SRS’ pop-up window. Refer to Section 

3.10 for additional regarding the search SRS functionality.

 CASRN: Displays the CASRN of the chemical.

 Chemical Name: Displays the name of the chemical that has been identified. This is a 

required field. 

 CBI: Check the checkbox to identify the chemical as confidential.

 B.6 Generic chemical name: Enter the generic name to associate with a chemical. This field 

displays when ‘Chemical Name’ and ‘CASRN’ are CBI. This is a required field. 

 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. Selecting the ‘Method 1 (CAS Inventory Expert 

Service)’ radio button generates the ‘IES Order #’ field. 

 IES Order #: Enter the IES order number. This field displays when the user selects ‘Method 

1 (CAS Inventory Expert Service)’ for ID method.

 Method 2: Select the ‘Method 2’ 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: Select the section of the page that the document will be associated with. This dropdown menu contains the following values: ‘Chemical Structure Diagram,’ and ‘ID Method.’

This is a required field if you are attaching documents. 

 Attach Document: Click the button to generate the ‘Attach Documents’ pop-up window. 

Refer to Section 3.9 for additional details regarding the attach document functionality.

 Section: Displays the section of the page the file is associated with. 

 File Name: Displays the file name and file extension of the file that is uploaded on the 

‘Attach Documents’ window. 

 Description: Displays the description of the document. 

 Pages: Displays the number of pages in the 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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Secondary Authorized Official 52

Exhibit 4-9 shows the screen capture of the ‘Polymer Identification Information’ screen (Joint 

Submission) (Scroll 1):

Exhibit 4-9: Polymer Identification Information Screen (Joint Submission) (Scroll 1)
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 53

Exhibit 4-10 shows the screen capture of the ‘Polymer Identification Information’ screen (Joint 

Submission) (Scroll 2):

Exhibit 4-10: Polymer Identification Information Screen (Joint Submission) (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. 

4.1.7 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. 
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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.’ 

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%).

 CBI: Check the ‘CBI’ checkbox to claim the polymer weight information as confidential. 

 Method of Measurement: Only a single response option can be selected for ‘Method of 

Measurement;’ valid values include ‘GPC’ and ‘Other (Specify).’ GPC is a well-established 

method for establishing 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 measure: 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 (i) lowest number avg. molecular 

weight; the entered value must be a positive numerical value. 

 (ii) max. weight % below 500 molecular weight: Enter the (ii) max. weight % 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 100. This value must be less than the value specified in 

the ‘(iii) max weight % below 1,000 molecular weight’ field. 

 (iii) max. weight % below 1000 molecular weight: Enter the (iii) max. weight % 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 100. This value must be greater than or equal to the 

value specified in the ‘(ii) max. weight % below 500 molecular weight’ field.
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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Exhibit 4-11 shows the screen capture of the ‘Monomers and Other Reactants’ screen (Joint 

Submission) (Scroll 1):

Exhibit 4-11: Monomers and Other Reactants Screen (Joint Submission) (Scroll 1) 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 56

Exhibit 4-12 shows the screen capture of the ‘Monomers and Other Reactants’ screen (Joint 

Submission) (Scroll 2):

Exhibit 4-12: Monomers and Other Reactants Screen (Joint Submission) (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. 

 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 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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‘Cancel’ link is displayed 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 is displayed 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 link located at the upper-right of the expandable/collapsible field sets 

to expand a series of field sets. 

 Collapse All: Click the link located at the upper-right of the expandable/collapsible field sets 

to collapse a series of field sets.

 Search SRS: Click the ‘Search SRS’ button to generate the ‘Search SRS’ pop-up window. 

Refer to Section 3.10 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 SRS’ pop-up window. This is a 

required field. 

 Chemical Name: 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. 

 CBI: Check the ‘CBI’ checkbox to claim the monomer or other reactant name and CASRN 

as confidential.

 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. If the value entered is less than or equal to ‘2’ a warning will be 

displayed in the global validate function indicating that the ‘Typical Composition’ is a value

that is less than or equal to 2% and asking you whether it should be included in the Chemical 

Identity. This is a required field. 

 CBI: Check the ‘CBI’ checkbox to claim the ‘Typical Composition’ and ‘Include In Identity’ 

field 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. 

 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 

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OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 58

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.

 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.9 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. Clicking the ‘File Name’ link will take you 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. 

4.1.8 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 on the ‘Class 1 or 2 Chemical Substances’ screen. You can also 

navigate to the ‘Class 2 Substances’ screen by clicking the ‘Class 2 Substances’ link within the 

navigation tree.

The ‘Class 2 Substances’ screen provides fields for you to enter in 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 allows you to identify specific elements 

in the creation of the chemical using the following fields: ‘Precursor Substances,’ ‘Nature of 

Reaction,’ and ‘Range of Composition.’

You will be able to enter precursor substances by searching SRS or using manual entry when the 

substance is not in SRS. The substances will display in a table listing the ‘Chemical Name’ and 

CASRN. 

The system allows you to capture ‘Nature of Reaction’ and ‘Range of Composition’ in text 

boxes. The text boxes for both ‘Nature of Reaction’ and ‘Range of Composition’ can be claimed 

CBI. 

 B.1.e.1. Precursor Substances: This table captures the chemicals identified as immediate 

precursor substances, along with the respective CASRNs. This table can be claimed CBI by 

checking the ‘CBI’ checkbox.

 CBI: Check the ‘CBI’ checkbox to claim the precursor substances information as 

confidential. 

 Chemical Name: Displays the chemical name associated with a precursor substance. 

Clicking the ‘Chemical Name’ link takes you to the ‘Search SRS’ pop-up window for edits. 

 CASRN: Displays the CASRN associated with a precursor substance, if applicable. 

 Actions: 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. 
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 B.1.e.2. Nature of Reaction: Enter the nature of reaction 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 description. 

 CBI: Check the ‘CBI’ checkbox to claim the range of composition information as 

confidential. 

 Section: Select the section of the page the document is associated with that you intend to 

attach. This is a required field. 

 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window and document upload process. Refer to Section 3.9 for further details. 

 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’ 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. 
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Exhibit 4-13 shows the screen capture of the ‘Class 2 Substances’ screen (Joint Submission)

(Scroll 1):

Exhibit 4-13: Class 2 Substances Screen (Joint Submission) (Scroll 1) 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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Exhibit 4-14 shows the screen capture of the ‘Class 2 Substances’ screen (Joint Submission)

(Scroll 2):

Exhibit 4-14: Class 2 Substances Screen (Joint Submission) (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. 

4.1.9 Additional Chemical Information 

You can navigate to the ‘Additional Chemical Information’ screen by clicking the ‘Next’ button 

from the ‘Chemical Identification’ screen when you select the radio button for ‘Class 1 or 2 

Chemical Substance.’ You can also navigate to the ‘Additional Chemical Information’ screen by

clicking the ‘Next’ button from the ‘Class 2 Substances’ screen. You can also navigate to the 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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‘Additional Chemical Information’ screen by 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. 

A table titled ‘Impurities’ displays to allow you to enter information about the impurities that 

may be reasonably anticipated to be in the respective chemical or polymer as manufactured for 

commercial purpose. To populate the table, click the ‘Search SRS’ button to access the SRS 

search. You will also be able to enter a chemical using the ‘Chemical Name’ and ‘CASRN’ field 

(if applicable). 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. You will also be able 

to attach documents for the ‘Impurities’ section.

A table titled ‘Byproducts’ displays to allow you to enter information regarding the byproducts 

that may be produced from the manufacture of the respective chemical or polymer. To populate 

the table, click the ‘Search SRS’ button to access the SRS search. You will also be able to enter 

data and attach documents for the ‘Byproducts’ section.

A ‘Synonyms’ table provides fields to capture the synonyms that the respective chemical or 

polymer may be referred to in documentation. Click the ‘Add’ icon ( ) to add more fields to list 

synonyms. Click the ‘Save’ icon ( ) to save an entered synonym. Click the ‘Form’ icon ( ) to 

edit an entered synonym. Click the ‘Delete’ icon ( ) to delete a synonym. A maximum of five 

synonyms can be entered in the table. The chemical synonyms will not be populated using the 

search SRS functionality. You may attach documents associated with the ‘Synonyms’ section to 

provide additional synonyms.

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. Click the ‘Add’ 

icon ( ) to add additional fields to list trade names. Click the ‘Save’ icon ( ) to save an entered 

trade name. Click the ‘Form’ icon ( ) to edit an entered trade name. Click the ‘Delete’ icon ( ) 

to delete an entered trade name. 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). To add a 

document, select the section of the page the document is associated with from the ‘Section’ dropdown menu, and click the ‘Attach Document’ button. Clicking the ‘Attach Document’ button 

generates the ‘Attach Documents’ pop-up window. 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 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 63

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.

 Impurity: Displays the name of the impurity. An impurity is a chemical substance that you 

do not intend to be present with your PMN substance. Your intent is thus the primary 

determinant as to impurity status. 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. Clicking the ‘Impurity’ link takes you to the ‘Search Substance Registry Services’ 

pop-up window for editing. 

 CASRN: Displays the Chemical Abstracts Service Registry Number (CASRN) for the 

impurity (if applicable). 

 Maximum %: Displays the maximum percentage for the impurity. 

 CBI: Indicates the CBI status for an 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. 

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

Services’ pop-up window. Refer to Section 3.10 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. Clicking the 

‘Byproduct Name’ link takes you to the ‘Search Substance Registry Services’ pop-up 

window. 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 a 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. 

 Synonym: Enter the synonym of the chemical; there is a maximum of five chemical 

synonyms. 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 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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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 

values and click the ‘Next’ button without saving the changed value, an error will generate. 

 CBI: Check the ‘CBI’ checkbox to claim the synonym field set as confidential.

 Action: Click the ‘Add’ icon ( ) to add a new text field for synonyms. Click the ‘Save’ icon

( ) to save a chemical synonym. Click the ‘Form’ icon ( ) to edit a chemical synonym. 

Click the ‘Delete’ icon ( ) to delete a previously added chemical synonym. 

 Trade Identification: 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. 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 values and click the ‘Next’ 

button without saving the changed value, an error will generate. 

 CBI: Check the ‘CBI’ checkbox to claim the trade identification section as confidential. 

 Action: Click the ‘Add’ icon ( ) to add a new text field for trade identification names. Click

the ‘Save’ icon ( ) to save a chemical synonym. Click the ‘Form’ icon ( ) to edit a 

chemical synonym. Click the ‘Delete’ icon ( ) to delete a previously added trade 

identification name. 

 Section: Select the section of the page that the document is associated with from the dropdown menu. This drop-down menu contains the following options for selection: 

‘Byproducts,’ ‘Impurities,’ ‘Synonyms’ and ‘Trade Identification.’ This is a required field if 

you attempt to attach a document.

 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.9 for further details regarding the attach document 

functionality.

 Section: Displays the section of the page that an attached document is associated with. 

 File Name: Displays the name of the file and file extension 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. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 65

Exhibit 4-15 shows the screen capture of the ‘Additional Chemical Information’ screen (Scroll 1) 

(Joint Submission):

Exhibit 4-15: Additional Chemical Information Screen (Joint Submission) (Scroll 1) 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

Secondary Authorized Official 66

Exhibit 4-16 shows the screen capture of the ‘Additional Chemical Information’ screen (Joint 

Submission) (Scroll 2):

Exhibit 4-16: Additional Chemical Information Screen (Joint Submission) (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. 

4.1.10 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.
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The ‘Production Volume and Hazard/Safety Information’ screen collects different information 

regarding a chemical’s production and hazard elements. 

Production Volume: The ‘Production Volume’ section captures the information about the 

production for the respective chemical or polymer for the ‘Maximum first 12-month production’ 

and the ‘Maximum 12-month production.’ The ‘Maximum first 12-month production’ value 

should be less than or equal to the ‘Maximum 12-month production’ value. The maximum 

volume is up to 100,000,000,000,000 for either field. The entered values will automatically

display decimal points. Decimals will be 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. 

 Attach Document: You will upload a document for an individual section by clicking the 

‘Attach Document’ button which will generate the ‘Attach Documents’ pop-up window. 

Refer to Section 3.9 for additional details regarding the attach document functionality. 

 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. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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 Maximum First 12-Month Production: Enter the data associated with the production 

volume. The entered value must be a numerical value, is able to display decimals to the 

milligram, and must be less than 100,000,000,000,000. 

 Maximum 12-Month Production: Enter the data associated with the production volume. 

The entered value must be a numerical value, is able to display decimals to the milligram, 

and must be less than 100,000,000,000,000. This value must be greater than or equal to the 

‘Maximum first 12-month production’ value. 

 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’ and ‘Hazard 

Information.’

 Attach Document: Click the button to generate the ‘Attach Documents’ pop-up window. 

Refer to Section 3.9 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 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. 
OPPT MTS Section 5 Notices and Supports User Guide September 20, 2013

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Exhibit 4-17 shows the screen capture of the ‘Production Volume and Hazard/Safety

Information’ screen (Joint Submission):

Exhibit 4-17: Production Volume and Hazard/Safety Information Screen (Joint 

Submission)

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’ screen. You can also access this

screen by clicking the ‘Use Information’ link within the navigation tree.
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The ‘Use Information’ screen is used to capture data about how the new chemical substance is 

intended to be used by function and application. When you navigate to the screen, the screen 

contains instructional text and an ‘Add Use’ button. 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 as a list that will show a 

truncated version of the ‘Category of Use’ and ‘Production %.’ 

You will first enter a description for ‘Category of Use.’ 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 will capture the different elements of use that the PMN form captures. The ‘Production 

%’ and ‘% in Formulation’ 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’ is captured for a 

use and can equal up to 100%. The ‘% in Formulation’ 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’ must total 100%. 

The ‘% of substance expected’ 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. 

Attach Document: You will be able to upload a document for an individual section by clicking 

the ‘Attach Document’ button which will generate the ‘Attach Documents’ pop-up window. You 

will be able to attach the file and enter information about the description, pages, and CBI status. 

Refer to Section 3.9 for additional details regarding the attach document functionality. 

 Add Use: Click the ‘Add Use’ button to add and open 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 is displayed 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 is displayed 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. 

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 Expand All: Click the link located at the upper-right of the expandable/collapsible field sets 

to expand a series of field sets. 

 Collapse All: Click the link located at the upper-right of the expandable/collapsible field sets 

to collapse a series of field sets.

 C.2.b. Category of Use: Enter the ‘Category of Use’ for the specific chemical. This is a 

required field. 

 CBI: Check the ‘CBI’ checkbox to claim the ‘Category of Use’ 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. 

 Generic Use Description: Enter the generic use description. This field is displayed 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. 

 Binding: Check the ‘Binding’ checkbox to claim the ‘Category of Use’ as binding.

 Total Production for this Use: Enter the ‘Production %’ 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 ‘Production %’ as confidential. 

 % In Formulation: Enter the % in formulation value 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. 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. This is a required field. 

 CBI: Check the ‘CBI’ checkbox to claim the ‘Percentage in Formulation’ as confidential.

 Site Limited % of substance expected per use: Enter the site limited percentage of 

substance expected per use for the submitted substance. Blank fields are recognized as zeros. 

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 

contiguous property unit where manufactured and will not intentionally be removed from the 

site except for waste disposal. 

 Consumer % of substance expected per use: Enter the consumer percentage of substance 

expected per use for the submitted substance. Blank fields are recognized as zeros. 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 % of substance expected per use: Enter the industrial percentage of substance 

expected per use for the submitted substance. Blank fields are recognized as zeros. 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 % of substance expected per use: Enter the commercial percentage of 

substance expected per use for the submitted substance. Blank fields are recognized as zeros. 

This field allows for decimal values. Break down the use(s) by percentage for the indicated 

end user categories. Indicate % 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 the 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. 

 Production Total: Displays the total production percentage for all uses.

 Attach Document: Click the button to generate the ‘Attach Documents’ pop-up window. 

Refer to Section 3.9 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. 

 Pages: Displays the number of pages a document contains. 

 CBI: Displays whether the respective document was claimed as CBI. 

 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning 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 4-18 shows the screen capture of the ‘Use Information’ screen (Joint Submission) (Scroll 

1):

Exhibit 4-18: Use Information Screen (Joint Submission) (Scroll 1) 
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Exhibit 4-19 shows the screen capture of the ‘Use Information’ screen (Joint Submission) (Scroll 

2):

Exhibit 4-19: Use Information Screen (Joint Submission) (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 

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. The chemical properties are used by OPPT 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 the chemical: ‘Physical state of a neat substance,’ ‘Vapor 

Pressure @ temperature,’ ‘Density/relative density,’ ‘Solubility @ temperature ___ solvent ___,’ 

‘Solubility in water @ temperature ___,’ ‘Melting temperature,’ ‘Boiling/sublimation 

temperature @ ____ torr pressure,’ ‘Spectra,’ ‘Dissociation constant,’ ‘Particle size distribution,’ 

‘Octanol/water partition coefficient,’ ‘Henry’s Law constant,’ ‘Volatilization from water,’ 

‘Volatilization from soil,’ ‘pH @ concentration ___,’ ‘ Flammability,’ ‘Explodability,’ and 

‘Absorption/coefficient.’ All of the properties will capture the relevant values for the chemical. 

Each property can be selected as either ‘Measured’ or ‘Estimated.’ Each property may be 

claimed individually as CBI. 

To enter a property, select the property from a drop-down menu and click the ‘Add Property’ 

button. The expandable/collapsible field set will expand and display all the fields that should be 

entered for that property. You are then able to enter all the relevant information. 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 the property 

and all the relevant values. The property will capture the relevant values for the chemical and can 

be selected as ‘Measured’ or ‘Estimated.’ 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 following 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 

was estimated (Estimated). 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. 

 Add Property: Click the ‘Add Property’ button to add and open a new ‘Property’ 

expandable/collapsible field set.
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 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 is displayed 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 is displayed 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 link located at the upper-right of the expandable/collapsible field sets 

to expand a series of field sets. 

 Collapse All: Click the link located at the upper-right 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 Estimated: Indicate whether the property value is 

‘Measured’ or ‘Estimated’ 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 @ [pressure] torr pressure: Enter the value of the 

boiling/sublimation temperature @ _____torr pressure of the chemical substance. Value 

fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the 

‘Boiling/sublimation temperature @ [pressure] torr pressure’ property is selected. 

 Boiling/sublimation temperature @ [pressure] Torr pressure – 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 pressure - Measured or Estimated:

Indicate whether the property value is ‘Measured’ or ‘Estimated’ by selecting the appropriate 

value from the drop-down menu. This is a required field if the ‘Boiling/sublimation’ property

is selected. 

 Boiling/sublimation temperature @ [pressure] torr pressure - CBI: Check the ‘CBI’ 

checkbox to claim the boiling/sublimation temperature @ ____ torr pressure 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. 

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 Density/relative density - Measured or Estimated: Indicate whether the property value is 

‘Measured’ or ‘Estimated’ 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 Estimated: Indicate whether the property value is 

‘Measured’ or ‘Estimated’ 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 Estimated: Indicate whether the property value is ‘Measured’ 

or ‘Estimated’ 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 Estimated: Indicate whether the property value is ‘Measured’ 

or ‘Estimated’ 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. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the 

‘Henry’s Law constant’ property is selected. 

 Henry’s Law constant - Measured or Estimated: Indicate whether the property value is 

‘Measured’ or ‘Estimated’ 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. 

Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the ‘Melting 

Temperature’ property is selected. 
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 Melting Temperature - Measured or Estimated: Indicate whether the property value is 

‘Measured’ or ‘Estimated’ 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 Estimated: Indicate whether the 

property value is ‘Measured’ or ‘Estimated’ 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 Estimated: Indicate whether the property value is 

‘Measured’ or ‘Estimated’ 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 Estimated: Indicate whether the property 

value is ‘Measured’ or ‘Estimated’ 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 PH @ concentration. This field allows for 

text. This is a required field.

 PH @ concentration [concentration] Value: Enter the PH @ concentration 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 Estimated: Indicate whether the 

property value is ‘Measured’ or ‘Estimated’ 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 property as confidential.
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 Solubility @ temperature [temperature] °C: Enter the solubility of the chemical substance 

at a temperature value measured in °C. This field allows text and is also able to accept ‘<’ or 

‘>’ symbols. This is a required field. 

 Solubility @ temperature 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 [temperature] solvent [solvent]’ property is selected.

 Solubility @ temperature value: Enter the solubility of the chemical substance in g/L. 

 Solubility @ temperature Measured or Estimated: Indicate whether the property value is 

‘Measured’ or ‘Estimated’ by selecting the appropriate value from the drop-down menu. This 

is a required field if the ‘Solubility @ temperature [temperature] solvent [solvent]’ property

is selected.

 Solubility @ temperature [temperature] solvent [solvent] CBI: Check the ‘CBI’ 

checkbox to claim the solubility @ temperature [temperature] solvent [solvent] property as 

confidential. 

 Solubility in Water @ temperature: Enter the solubility in water at a specific temperature

in °C of the chemical. 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 Estimated: Indicate whether the 

property value is ‘Measured’ or ‘Estimated’ by selecting the appropriate value from the dropdown 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 Estimated: Indicate whether the property value is ‘Measured’ or 

‘Estimated’ 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.

 Vapor Pressure @temperature [temperature] °C: Enter the Vapor Pressure @ 

Temperature value in °C of the chemical. This is a required field if the property is selected.

 Vapor Pressure @ temperature [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 [temperature] Measured or Estimated: Indicate whether 

the property value is ‘Measured’ or ‘Estimated’ by selecting the appropriate value from the 

drop-down menu. This is a required field if the ‘Vapor Pressure @ temperature’ property is 

selected. 
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 Vapor Pressure @ temperature [temperature] CBI: Check the ‘CBI’ checkbox to claim 

the vapor pressure @ temperature [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 Estimated: Indicate whether the property value is 

‘Measured’ or ‘Estimated’ 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 Estimated: Indicate whether the property value is 

‘Measured’ or ‘Estimated’ 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 Estimated: Indicate whether the property value is ‘Measured’ or 

‘Estimated’ 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 the screen capture of the ‘Physical and Chemical Properties Worksheet’ 

screen (Joint Submission) (Scroll 1):

Exhibit 4-20: Physical and Chemical Properties Worksheet Screen (Joint Submission)

(Scroll 1)
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Exhibit 4-21 shows the screen capture of the ‘Physical and Chemical Properties Worksheet’ 

screen (Joint Submission) (Scroll 2):

Exhibit 4-21: Physical and Chemical Properties Worksheet Screen (Joint Submission) 

(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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Secondary Authorized Official 83

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 will be used 

to capture all the studies and particular attachments that refer to the chemical properties captured 

on the previous screen. When you first access the screen, instructional text, an ‘Attach 

Document’ button, and an attachments table will display. 

When you attach a document, all the properties that were selected on the previous screen will be 

listed with checkboxes to allow you to select which properties the attachment refers to. You will 

select the properties that are relevant to the document and then select a type and subtype for the 

attachment. You will be able to attach the document, enter a description, and list the number of 

pages.

The system allows you to claim the 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. The system allows you to delete unwanted documents by clicking the 

‘Delete’ icon ( ) located under the ‘Actions’ column.

 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.9 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 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 4-22 shows the screen capture of the ‘Physical and Chemical Properties Worksheet –

Continued (Optional)’ screen (Joint Submission):

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

(Joint Submission)

Navigation: Click the ‘Next’ button to navigate to the ‘Submitter Controlled Site Information’ 

screen if the form is not a consolidated submission. You can also access this screen by clicking 

the ‘Submitter Controlled Site Information’ link within the navigation tree. 

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

Documents

You can navigate to the ‘Physical and Chemical Properties Worksheet – Continued (Optional) 

Attach Documents’ window by clicking the ‘Attach Document’ button on the ‘Physical and 

Chemical Properties Worksheet – Continued (Optional)’ screen. 

The ‘Physical and Chemical Properties Worksheet – Continued (Optional)’ screen will be used 

to capture all studies and particular attachments that refer to the physical and chemical properties 

captured on the previous screen. When navigating to the screen, instructional text and an ‘Attach 

Document’ button will display. 

When attaching a document, all properties selected on the previous screen will be listed with 

checkboxes to allow the properties that the attachment refers to, to be selected. The type and 
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subtype for the attachment and then the properties relevant to the document will be selected. The 

document is able to be attached; a description and the number of pages can be entered. 

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.

The attachment table displays the ‘File Name,’ ‘Properties,’ ‘Description,’ ‘Pages,’ ‘CBI,’ and 

‘Actions’ columns. The system allows unwanted documents to be deleted by clicking the 

‘Delete’ icon ( ) located under the ‘Actions’ column.

 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 

previous screen that can be potentially associated with a document. Check the appropriate 

chemical properties that are associated with a document that is being attached. These 

checkboxes are enabled only if ‘Physical Chemical Property’ is selected from the ‘Type’ 

drop-down menu.

 Attachment: Displays the ‘Browse’ button for you to search for and identify documents to 

be attached that can be associated with the physical/chemical properties identified on the 

‘Physical and Chemical Properties Worksheet’ screen. 

 Description: Enter the description associated with a document. 

 Number of Pages: Enter the number of pages a document contains. 

 CBI: Check the ‘CBI’ checkbox to claim the document as 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 the screen capture of the ‘Physical and Chemical Properties Worksheet –

Continued (Optional) Attach Documents’ window (Scroll 1):

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

Documents Window (Joint Submission) (Scroll 1) 
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Exhibit 4-24 shows the screen capture of the ‘Physical and Chemical Properties Worksheet –

Continued (Optional) Attach Documents’ window (Joint Submission) (Scroll 2):

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

Documents Window (Joint Submission) (Scroll 2)

Navigation: Click the ‘Cancel’ or ‘OK’ button to navigate back to the ‘Physical and Chemical 

Properties Worksheet – Continued (Optional)’ screen. 
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4.1.15 Submitter Controlled Site Information

You can navigate to the ‘Submitter Controlled 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 ‘Submitter Controlled Site Information’ link 

within the navigation tree. 

The ‘Submitter Controlled Site Information’ screen captures information about the identification

of submitter sites. The screen first captures specific data for the site by allowing you to search for 

a particular site using the FRS system or manually enter site information. You will list all of the 

sites that are controlled by the submitter on this screen. The list will be utilized for you to select 

the site(s) for which a particular operation occurs. You will fill out the details of the operations 

and chemicals that are tied to the site(s) under the operations folders. 

 FRS Search: Click the button to generate the ‘Facility Registry System Search’ pop-up 

window. Refer to Section 3.11 for additional details regarding the FRS search functionality. 

 Registry ID: Displays the registry ID of the site. 

 Site Name: Displays the site name of the site. 

 Address: Displays the site address of the site. 

 Actions: Click the ‘Delete’ icon ( ) to delete the entire site row permanently from the 

system. A warning message displays to confirm the deletion of the site. 
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Exhibit 4-25 shows the screen capture of the ‘Submitter Controlled Site Information’ screen 

(Joint Submission):

Exhibit 4-25: Submitter Controlled Site Information Screen (Joint Submission)

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 ‘Submitter Controlled 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 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 processing, or use operation 

involving a 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 
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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 sitespecific data for the chemical is known for sites controlled by others. If you indicate that there is 

site-specific data by clicking the ‘Yes’ button, the screen will populate with a ‘List of Sites 

Controlled by Others’ table, an ‘FRS Search’ button, and a text field to enter the ‘# of unknown 

sites.’ To add specific site information, click the ‘FRS Search’ button and the system will 

generate a search for FRS. Sites can be searched by ‘EPA Registry ID,’ ‘Facility Name,’ 

‘Facility Address,’ ‘City,’ ‘State,’ and/or ‘Postal Code.’ When results are returned, a new site 

can be added to the table by selecting from the FRS results and clicking the ‘Add FRS Entry’ 

button or by adding a new site through the manual entry fields. The system allows each 

individual site to be claimed as CBI. The system also allows unknown sites to be entered in a 

text field. The number of sites may also be claimed as CBI. If there is no site-specific data, the 

screen will display a text box to enter the number of unknown sites. 

A list of all sites controlled by others will display on this screen. The list will be utilized to select 

the site(s) for which a particular operation/process occurs. The details of the operations and 

chemicals that are tied to the site(s) under the operations folders will be entered.

 FRS Search: Click the button to generate the ‘Facility Registry System Search’ pop-up 

window. Refer to Section 3.11 for additional details regarding the FRS search functionality. 

 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 the user selects ‘No’ only the listed navigation options will display. 

 Do you have site-specific information?: If you select ‘Yes’ the screen will populate with 

information for the user to enter specific site information. If you select ‘No’ you will be able 

to enter the number of unknown sites. 

 EPA Registry ID: Displays the registry ID of the site. Clicking the ‘EPA Registry ID’ link 

will take you to the ‘Facility Registry System Search’ pop-up window to make any edits. 

 Site Name: Displays the site name of the site. 

 Address: Displays the site address of the site. 

 City: Displays the city of the site. 

 State: Displays the state of the site. 

 Postal Code: Displays the postal code of the site. 

 CBI: Indicates the CBI status of a site by displaying either a ‘Y’ or an ‘N.’ 

 Actions: Click the ‘Delete’ icon ( ) to delete the entire site row permanently from the 

system. A warning message displays to confirm the deletion of the site.

 # of Unknown sites: Enter the number of unknown sites. 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 the screen capture of the ‘Sites Controlled By Others’ screen (Joint 

Submission):

Exhibit 4-26: Sites Controlled By Others Screen (Joint Submission)

Navigation: Click the ‘Next’ button to navigate to the ‘Submitter Operation Information’ screen.

You can also access this screen by clicking the ‘Submitter Operation Information’ link 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 within the navigation tree. You can add sites by clicking 

the ‘Add Operation’ link within the navigation tree. 

The ‘Submitter Operation Information’ screen captures information about the operation that 

occurs at a particular site or group of sites. You are asked a series of questions and based on the 

responses; information will display to allow you to fill out a series of fields about a specific 

operation to be populated. The guided approach is designed to eliminate user error and ensure the 

completion of all relevant sections for a site. You will be able to enter an alias to identify the 

operation. 
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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 as a ‘batch’ or ‘continuous’ process. Based on the property selected, 

you will fill in the relevant information. If you select the ‘Use’ operation type, then you will have 

no further options on this screen. The follow-up screens are also used to capture specific 

information about the operation type process. 

The system displays an option for describing the ‘Process Description’ in a text box. 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 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 appropriate file name of the document 

within the ‘File Name’ column of the attachment table.

The attachment table displays the file name of the document, the document description, the 

number of pages in the document, and whether a sanitized copy of the document was attached. 

To delete unwanted documents, click the ‘Delete’ icon ( ) located under the ‘Actions’ column.

 Operation Alias: Enter the operation alias. This field makes it easier to distinguish between 

operations when there is more than one operation. This is a required field. 

 Add Site: Click the button to add a site specified on the ‘Submitter Controlled Site 

Information’ screen to the site table. 

 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. 

 Actions: Click the ‘Delete’ icon ( ) to delete a site from the table. A warning message 

displays to confirm the deletion of the site. 

 Consolidated Chemical checkboxes: Displays all consolidated chemicals in a PMN 

submission. 

 CBI: Check the ‘CBI’ checkbox to claim the operation type as confidential. 

 Processing: Check the checkbox to indicate that processing is taking place at the site. 

Checking the ‘Processing’ checkbox displays the ‘Is it batch or continuous’ radio buttons.
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 Manufacturing: Check the checkbox to indicate that manufacturing is taking place at the 

site. Checking the ‘Manufacturing’ checkbox displays the ‘Is it batch or continuous’ radio 

buttons. 

 Use: Check the checkbox to indicate that chemical use is taking place at the site.

 CBI: Check the checkbox to claim the amount and duration information as confidential. 

 Is it batch or continuous?: If the ‘Batch’ radio button is selected, only the appropriate fields 

will display. If the ‘Continuous’ radio button is selected, only the appropriate fields will 

display. Either the ‘Batch’ or ‘Continuous’ radio button is required to be selected.

 Max kg/batch: Enter the max kilograms (kg) 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 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 value. 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 max kilograms (kg) that is 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 the user selects 

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 

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 button to generate the ‘Attach Documents’ pop-up window. 

Refer to Section 3.9 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.
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 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. 

Exhibit 4-27 shows the screen capture of the ‘Submitter Operation Information’ screen (Joint 

Submission) (Scroll 1):

Exhibit 4-27: Submitter Operation Information Screen (Joint Submission) (Scroll 1)
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Exhibit 4-28 shows the screen capture of the ‘Submitter Operation Information’ screen (Joint 

Submission) (Scroll 2):

Exhibit 4-28: Submitter Operation Information Screen (Joint Submission) (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.
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You will be presented with expandable/collapsible field sets for occupational exposure release

information. You will be asked to fill in information for ‘Worker Category,’ ‘Worker Activity,’ 

‘Protective Equipment/Engineering Controls,’ ‘Physical Form(s),’ ‘% New Substance,’ ‘# 

Workers Exposed,’ ‘Maximum Duration Hours/Day’ and ‘Maximum Duration Days/Year.’ EPA 

is attempting to estimate exposure levels, 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’ 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 is displayed 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 is displayed 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 link located at the upper-right of the expandable/collapsible field sets 

to expand a series of field sets. 

 Collapse All: Click the link located at the upper-right 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: Select the worker activity (i.e. bag dumping, tote filling, unloading drums, 

sampling, cleaning, etc.) in which workers may be exposed to a chemical substance. 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 as 

confidential. 

 Binding: Check the ‘Binding’ checkbox to claim the protective equipment/engineering 

controls information as binding.

 Physical Form(s): Indicate 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 

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as an attachment. For wet cakes, a percent moisture estimate may prevent EPA from making 

an estimate that is too conservative. This is a required field.

 CBI: Check the ‘CBI’ checkbox to claim the physical form(s) information as confidential. 

 Binding: Check the ‘Binding’ checkbox to claim the physical form(s) information as 

binding. 

 % New Substance: 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. This is a 

required field. 

 CBI: Check the ‘CBI’ checkbox to claim the percentage new substance information as 

confidential. 

 Binding: Check the ‘Binding’ checkbox to claim the % new substance information as 

binding. 

 # Workers Exposed: 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: Enter the number of hours per day 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: Enter the number of days per year 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. 

 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 4-29 shows the screen capture of the ‘Occupational Exposures’ screen (Joint 

Submission) (Scroll 1):

Exhibit 4-29: Occupational Exposures Screen (Joint Submission) (Scroll 1)
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Exhibit 4-30 shows the screen capture of the ‘Occupational Exposures’ screen (Joint 

Submission) (Scroll 2):

Exhibit 4-30: Occupational Exposures Screen (Joint Submission) (Scroll 2)

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.
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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 

related to the flow diagram/process description on the ‘Submitter Operation Information’ screen . 

This page is duplicated and filled out 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. Present 

data that is accurate and as complete as possible. 

You will first be presented with an ‘Add’ button to add an expandable/collapsible field set for 

‘Environmental Release and Disposal – Submitter Controlled Sites’ information. You will be 

asked to fill in 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,’ and ‘Control Technology Description.’ 

You will be asked to enter information concerning the release to water, such as POTW, 

navigable waterways and other. 

 Add: Click the ‘Add’ button to generate an expandable/collapsible ‘Environmental Release 

and Disposal’ 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 is displayed 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 is displayed 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 link located at the upper-right of the expandable/collapsible field sets 

to expand a series of field sets. 

 Collapse All: Click the link located at the upper-right 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): Enter the amount of new 

substance released to environment. Release estimates should be consistent with the release 

levels shown on the proceeding flow diagram. Include intermittent release estimates from 

cleaning of equipment and transportation containers, even if cleaned off-site. Either the 

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‘Amount of new substance released to environment’ field should be populated or the 

‘Amount of new substance released to Control Technology’ field should be populated. 

 Amount of new substance released to environment kg/batch: Select the radio button to 

indicate the amount of new substance released to the environment measures in kg per batch. 

 Amount of new substance released to environment kg/day: Select the radio button to 

indicate that the amount of new substance released to the environment measures in kg per 

day. 

 CBI: Check the ‘CBI’ checkbox to claim the amount of new substance released to the 

environment as confidential.

 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. 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/batch: Select the radio 

button to indicate that the amount of new substance released to control technology measures 

in kg per batch. 

 Amount of new substance released to control technology kg/day: Select the radio button 

to indicate that the amount of new substance released to control technology measures in kg

per day. 

 CBI: Check the ‘CBI’ checkbox to claim the amount of new substance released to control 

technology as confidential. 

 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, Publicly Owned Treatment Works (POTW), or other 

(please specify) to which the new substance will be released from that release point. 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. 

 CBI: Check the ‘CBI’ checkbox to claim the control technology description as confidential. 

 Binding: Check the ‘Binding’ checkbox to claim the control technology description as 

binding. 
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 Release after Control Technology: Enter the release after control technology. Estimate the 

amount released to the environment after control technology (in kg/day). This is a required 

field. 

 Save: Click the ‘Save’ button to save the information entered within the ‘Environmental 

Release and Disposal – Submitter controlled Sites’ 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.

 CBI: Check the ‘CBI’ checkbox to claim the release after control technology as confidential.

 POTW Name: Enter the POTW name. 

 POTW NPDES #: Enter the POTW: National Pollutant Discharge Elimination System 

(NPDES) #. 

 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 NPDES number of the navigable waterway.

 Navigable Waterway CBI: Check the ‘CBI’ checkbox to claim the ‘Navigable Waterway’

as confidential. 

 Other (Specify) Name: Enter the Other: Name. 

 Other (Specify) CBI: Check the ‘CBI’ checkbox to claim the ‘Other Name’ as confidential. 
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Exhibit 4-31 shows the screen capture of the ‘Environmental Releases’ screen (Joint Submission)

(Scroll 1):

Exhibit 4-31: Environmental Releases Screen (Joint Submission) (Scroll 1)
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Exhibit 4-32 shows the screen capture of the ‘Environmental Releases’ screen (Joint Submission)

(Scroll 2):

Exhibit 4-32: Environmental Releases Screen (Joint Submission) (Scroll 2)

Navigation: 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 
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access this screen by clicking the ‘Industrial Sites Controlled By Others’ link within the 

navigation tree under the ‘Operations Controlled by Others’ folder.

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 alias to identify the 

operation. 

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 allows you 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 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. 

 Add Site: Select a site from the drop-down menu and click the button to add a site to the 

sites table. 

 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. 

 Actions: Click the ‘Delete’ icon ( ) to delete a site from the table. A warning message 

confirming deletion of the site displays. 

 Consolidated Chemical(s): Displays all consolidated chemicals in a PMN form. At least one 

checkbox is required to be selected. 

 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), and entry point of all 

feedstocks (including reactants, solvents and catalysts, etc) and all products, recycle streams, 

and wastes. Include cleaning chemicals (note frequency if not used daily or per batch). (3) 
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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. 

 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 3.9 for additional details regarding the attach document

functionality. 

 File Name: Displays the file name and file extension of the file 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 will be displayed confirming deletion of the document. 
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Exhibit 4-33 shows the screen capture of the ‘Industrial Sites Controlled By Others’ screen (Joint 

Submission):

Exhibit 4-33: Industrial Sites Controlled By Others Screen (Joint Submission)

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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You will be presented with buttons to add expandable/collapsible field sets for worker exposure 

release information and environmental disposal information. You will be asked to fill in 

information for ‘Worker Category,’ ‘# Workers Exposed,’ ‘Duration of Exposure Hours/Day,’ 

‘Duration of Exposure Days/Year,’ ‘Protective Equipment/Engineering Controls,’ ‘Physical 

Form(s),’ ‘% New Substance,’ ‘% in Formulation,’ ‘Release Number,’ ‘

Amt New Substance Released Directly into Environment,’ ‘Amt New Substance Released 

Directly into Control Technology,’ ‘Media of Release’ and ‘Control Technology.’

 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 is displayed 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 is displayed 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 link located at the upper-right of the expandable/collapsible field sets 

to expand a series of field sets. 

 Collapse All: Click the link located at the upper-right of the expandable/collapsible field sets 

to collapse a series of field sets.

 Worker Category (1): Select the worker category of the activity in which workers may be 

exposed to the specified substance from the drop-down menu.

 Worker Activity (1): Select the worker activity in which workers may be exposed to the 

specified substance from the drop-down menu.

 CBI: Check the ‘CBI’ checkbox to claim the worker category and worker 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 work in days/year. This field allows decimal values. 

 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. 

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 CBI: Check the ‘CBI’ checkbox to claim the protective equipment/engineering controls 

information as confidential. 

 Physical Forms (6): Enter a description of physical form of exposure. 

 % New Substance (6): Describe percentage new chemical substance (if in mixture). 

 CBI: Check the ‘CBI’ checkbox to claim the percentage new substance information as 

confidential.

 % in Formulation (7): Estimate the percent of the new substance as formulated when 

packaged or used as a final product. 

 CBI: Check the ‘CBI’ checkbox to claim the percentage in formulation information as 

confidential. 

 Save: Click the ‘Save’ button to save the information entered in the ‘Worker 

Exposure/Environmental Release’ 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 4-34 shows the screen capture of the ‘Exposures/Releases’ screen (Joint Submission)

(Scroll 1):

Exhibit 4-34: Exposures/Releases Screen (Joint Submission) (Scroll 1)

 Add: Click the ‘Add’ button to generate the ‘Environmental Release’ 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. 
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 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 

kg 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 

kg per batch. 

 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): Enter an estimate 

of the amount of the new substance released into control technology to the environment in kg

per day or kg per 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 kg 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 kg 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 contains the following values: ‘Fugitive Air,’ ‘OffSite Incineration,’ ‘POTW,’ ‘Stack Air,’ ‘Surface Water,’ and ‘Other,’ that will be used to 

limit the release of the new substance to the environment. 

 If Other, Specify: Enter the other media of release. 

 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 as confidential. 

 Save: Click the ‘Save’ button to save the information entered into the ‘Environmental 

Disposal’ 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 4-35 shows the screen capture of the ‘Exposures/Releases’ screen (Joint Submission)

(Scroll 2):

Exhibit 4-35: Exposures/Releases Screen (Joint Submission) (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.
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The ‘Byproduct Information’ screen captures byproducts about a particular site. The system 

displays fields for you to enter byproducts. 

 Byproduct: Enter byproducts that may result from the operation. 

 CBI: Check the ‘CBI’ checkbox to claim all byproducts as confidential. 

 Actions: Click the ‘Save’ icon ( ) to save an entered by 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 4-36 shows the screen capture of the ‘Byproduct Information’ screen (Joint Submission):

Exhibit 4-36: Byproduct Information Screen (Joint Submission)

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. 
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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. 

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. 
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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 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 3.9 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 in the ‘File Name’ column 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.’ 
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 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently 

from the system. A warning message displays to confirm the deletion.

Exhibit 4-37 shows the screen capture of the ‘Optional Pollution Prevention’ screen (Joint 

Submission):

Exhibit 4-37: Optional Pollution Prevention Screen (Joint Submission)

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 allows 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. 
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 Please click here to view a list of commonly attached documents and where they should 

be attached: Clicking the link displays a list of documents and where they should be 

attached.

 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.9 for further information 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.

 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 4-38 shows the screen capture of the ‘Additional Attachments’ screen (Joint 

Submission):

Exhibit 4-38: Additional Attachments Screen (Joint Submission)

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 document the file is associated with, file 

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

document, date attached, and whether the document is CBI.

 Section: Displays the section of the document the file is associated with. 

 File Name: Displays the file name and file extension of the files that were uploaded on the 

‘Attach Documents’ pop-up window. 
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 Description: Displays the description of the file that was uploaded on the ‘Attach 

Documents’ pop-up window. 

 Pages: Displays the number of pages in the file that was uploaded on the ‘Attach 

Documents’ pop-up window. 

 Date: Displays the upload date of the file that was uploaded on the ‘Attach Documents’ popup window.

 CBI: Indicates the CBI status of the file that was uploaded onto the ‘Attach Documents’ popup window by displaying either a ‘Y’ or an ‘N.’ 
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Exhibit 4-39 shows the screen capture of the ‘Attachment Summary’ screen (Joint Submission):

Exhibit 4-39: Attachment Summary Screen (Joint Submission)

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. 

 Optional Cover Letter: Enter the description and any additional special instructions 

regarding the form.

 CBI: Check the ‘CBI’ checkbox to claim the information as confidential. 
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Exhibit 4-40 shows the screen capture of the ‘Optional Cover Letter’ screen (Joint Submission):

Exhibit 4-40: Optional Cover Letter Screen (Joint Submission)

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. Click 

the ‘Submit’ ( ) icon located in the bottom action bar to begin the submission process. 

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 into a current PMN form for PMN 

documents with numerous chemicals. You also have the option to export a current PMN form

into an XML file using the ‘Export XML’ link. 

 Upload XML File: Clicking the button generates the ‘File Upload’ window for you to search 

for the ZIP archive file populated with PMN information. The archive file must contain the 

XML form in a file labeled ‘formdata.xml.’ The application processes the ZIP archive file 

and displays any applicable error messages. 
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 Export XML: Clicking the button generates the XML file of the current PMN form that a 

user can download. 

Exhibit 4-41 shows the screen capture of the ‘Upload XML’ screen:

Exhibit 4-41: Upload XML Screen 

Navigation: Click the ‘Validate’ icon ( ) in the bottom action bar to validate the form. Click 

the ‘Submit’ ( ) icon to begin the submission process.
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5 Biotechnology Secondary User

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. All the 

forms have the same upload requirements and EPA will retain responsibility for verifying the 

correct information is received. 

The Biotechnology Joint and/or Letter of Support process will be a multi-step process with 

coordination required between the Primary, Joint, and/or Letter of Support submitters. The 

Primary user would first state that a Joint Submission and/or Letter of Support would supplement 

the application on the ‘General Form Information’ screen. Based on the selection, the ‘Joint 

Submission’ and/or ‘Letter of Support’ folder will populate. Each folder will contain a section 

for you to enter contact information, field information, and instruction information with the 

secondary user’s unique identification number. The Primary submitter may identify up to two

Joint Submissions and an unlimited number of Letters of Support. 

When the Primary user enters the relevant Joint Submission and/or Letter of Support folder, the 

Primary user will be asked to enter contact information for the Joint and/or Letter of Support

submitter on the first screen. The Primary user will use the email address entered on this screen 

will be used to send the Joint and/or Letter of Support Submitter the unique identifier. The 

second screen in the Joint and/or Letter of Support folder will display the unique ID that will be 

sent to the Secondary use at and a text box for the Primary user to provide the Secondary user

instructions or information about what is to be filed. The Secondary user will not be sent the 

information that the Primary user captured or be able to access the Joint and/or Letter of Support 

form until the Primary AO has submitted the original Biotechnology form. 

The secondary submitter will register in CDX as a Secondary AO 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 identifier on the ‘Enter 

Passphrase’ screen sent via email by the Primary user which will generate the appropriate form 

that the secondary submitter will be populating. The unique ID will link the primary and joint 

forms on the backend. The joint form will contain the same screens listed for the primary

Biotechnology form, except the Joint submitter will not be supplied the ‘Joint Folder.’ All 

screens will be identical with regards to requirements and view with the exception of the 

‘Section 5 Notices and Supports Forms’ screen and the ‘General Form Information’ screen, 

which are listed below. The secondary submission process will also be identical to the primary

submission.

5.1.1 General Form Information

You can access the ‘General Form Information’ screen by creating a passphrase in the ‘Create 

Passphrase’ screen or by entering a passphrase in the ‘Enter Passphrase’ screen. 
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The ‘General Form Information’ screen presents a list of text fields and drop-down menus that 

allow you to enter 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 screen, a default alias comprised of the form type and date 

stamp will be auto-generated in the following format: <Form Type -YYYYMMDD-HH:MM:SS 

Time Zone>. 

The system will allow you to enter a TS number to tie support forms or joint submissions to the 

original Biotechnology form. 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. 

The ‘Text/Comments’ text box is required when an attachment is not provided. A ‘CBI’ 

checkbox is displayed next to the ‘Text/Comments’ text box to claim the information as 

confidential.

The ‘General Form Information’ screen also presents the option for you to attach a document by 

clicking the ‘Attach Document’ button. By clicking the ‘Attach Document’ button, you will 

generate an ‘Attach Documents’ pop-up window and will have the ability to attach a file and 

enter information for the attachment in the form of a description, number of pages and CBI 

status. The system allows you to claim the uploaded document as CBI. If you claim a document 

as CBI, the system requires you to upload the sanitized version of the attached document. 

After the document has been uploaded for attachment, the ‘Attach Documents’ pop-up window 

will close and the document information will be displayed in a table format on the screen. The 

attachment table displays the file name of the document, the description, the number of pages, if 

the document was claimed as CBI and if a sanitized copy of the document was attached. The 

system allows you to delete unwanted documents by clicking the ‘Delete’ icon located under the 

‘Actions’ column. To access or edit previously attached documents, click the appropriate file 

name of the document within the ‘File Name’ column of the attachment table.

 Form Alias: Enter the form alias. Upon navigating to the screen, the system will autogenerate an 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. Accepts 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.

 Text/Comments: Enter the 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 
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information, environmental toxicity, and human health toxicity. Please refer to Section 

3.9 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 of the document. 

 Pages: Displays the number of pages the 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 will display asking you to confirm the 

deletion. 

Exhibit 5-1 shows the screen capture of the ‘General Form Information’ screen (Joint 

Biotechnology):

Exhibit 5-1 General Form Information Screen (Joint Biotechnology

Navigation: 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. 
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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 presents you with an ‘Add Technical Contact’ 

button. A pop-up window generates and allows you to input information into the list of text 

fields. The text fields can populate from your CDX registration information by clicking the 

‘Copy CDX Registration’ button. You have the option of claiming the submission as confidential

by checking the checkbox labeled ‘CBI.’ When you check the ‘CBI’ checkbox, this states 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 the screen capture of the ‘Technical Contact Information’ screen (Joint 

Biotechnology):

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

 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. 

 Check here to claim this information as CBI: Check the ‘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. If you have clicked the ‘Copy CDX 

Registration’ button, the fields populate with information entered during CDX registration. 

This is a required field. 

 Position: Enter the job title. 

 Company Name: Enter the company name. If you have clicked the ‘Copy CDX 

Registration’ button, the fields populate with information entered during CDX registration.

This is a required field. 

 Phone Number: Enter the daytime phone number of the technical contact; this field does not 

accept dashes. If you have clicked the ‘Copy CDX Registration’ button, the fields populate 

with information entered during CDX registration. This is a required field. 

 Email Address: Enter the email address. The email address must follow the standard email 

address format: John.Doe@abc.com. If you have clicked the ‘Copy CDX Registration’ 

button, the fields populate with information entered during CDX registration. This is a 

required field. 

 Mailing Address 1: Enter the first line of the mailing address. If you have clicked the ‘Copy 

CDX Registration’ button, the fields populate with information entered during CDX 

registration. This is a required field. 

 Mailing Address 2: Enter the second line of the mailing address. If you have clicked the 

‘Copy CDX Registration’ button, the fields populate with information entered during CDX 

registration. 

 City: Enter the U.S. city of the mailing address of the technical contact. If you have clicked 

the ‘Copy CDX Registration’ button, the fields populate with information entered during 

CDX registration. This is a required field. 

 State: Select the state of the mailing address of the technical contact from the drop-down 

menu. If you have clicked the ‘Copy CDX Registration’ button, the fields populate 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. If you 

have clicked the ‘Copy CDX Registration’ button, the fields populate with information 

entered during CDX registration. This is a required field. 

 Country: Displays ‘United States.’
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Exhibit 5-3 shows the screen capture of the ‘Add Technical Contact’ window:

Exhibit 5-3: Add Technical Contact Window

Navigation: Click the ‘Cancel’ button to stop the process of entering technical contact 

information. Click the ‘OK’ button to return to the ‘Technical Contact Information’ screen and 

populate the entered technical contact information.

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 
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regarding the application. The cover 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. 

Exhibit 5-4 shows the 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 perform a global save of the form. 

Click the ‘Preview’ icon ( ) located in the bottom action bar to view a PDF preview of the 

form. Click the ‘Submit’ ( ) icon located in the bottom action bar to begin the submission 

process.
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6 Bona Fide Form Secondary User

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 Create Bona Fide Form

To create a new Bona Fide form, navigate to the ‘Section 5 Notices and Supports Forms’ screen 

and select ‘Bona Fide’ from the ‘Form Type’ drop-down menu. Refer to Section 3.4 for 

additional details regarding the ‘Section 5 Notices and Supports Forms’ screen. 

Refer to Section 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 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 within the form. The application will generate a 

‘Technical Contact Information’ screen when you check the ‘Technical Contact’ checkbox. 

You can indicate that you are submitting on behalf of another company by checking the 

‘Submitting on Behalf of Company’ checkbox. The ‘Submitting on Behalf of Company’ screen 

presents a list of text fields that allow the user to input contact information for the company on 

whose behalf the submission is being made when submitting on behalf of another company. The 

application will generate a ‘Submitting on Behalf of Company’ screen when you check the 

‘Submitting on Behalf of Company’ 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

business information.

 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.

 Submitting on Behalf of Company: Check the ‘Submitting on Behalf of Company’ 

checkbox to indicate that you will be submitting a Bona Fide form on behalf of another 
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company. A ‘Submitting on Behalf of Company’ screen will display during the submission 

process for you to enter information pertaining to the company you are submitting on behalf 

of that will manufacture or import the chemical substance. 

Exhibit 6-1 shows the 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. 
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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.

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. 

 Prefix: Select the primary contact’s prefix from the drop-down menu. 

 First Name: Enter the primary contact’s first name. This is a required field

 Middle Initial: Enter the primary contact’s middle initial. 

 Last Name: Enter the primary contact’s last name. This is a required field.

 Suffix: Select the primary contact’s suffix from the drop-down menu.

 Title: Enter the primary contact’s job title. 

 Company Name: Enter the primary contact’s company name. 

 Phone Number: Enter the primary contact’s daytime U.S. phone number; dashes are not 

allowed. This is a required field.

 Email Address: Enter the primary contact’s email address. The email address must 

follow the standard email address format: John.Doe@ABC.com. This is required.

 Mailing Address 1: Enter the first line of the primary contact’s mailing address. This is 

required.

 Mailing Address 2: Enter the second line of the primary contact’s mailing address. 

 City: Enter the city of the primary contact’s mailing address. 

 State: Select the state of the primary contact’s mailing address from the drop-down 

menu. The state field is required if the user selects ‘United States’ from the country dropdown menu.

 Postal Code: Enter the postal code of the primary contact’s mailing address. This is a 

required field

 Country: Select the primary contact’s country from the drop-down menu. This is a 

required field. 
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Exhibit 6-2 shows the 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 will 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 submission. The ‘Technical 

Contact Information’ screen is utilized across all Section 5 Notices and Supports forms.

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’ on the ‘General Document 

Information’ screen, all entered technical contact information will be flagged as CBI.

 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. 

 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. This is a required field. 

 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 the 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 

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. The 

alias is an optional field that will rename 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. 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 the screen capture of the ‘Chemical Identification Information’ (Polymer) 

screen: 

Exhibit 6-4: Chemical Identification Information Screen (Polymer)
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Exhibit 6-5 shows the screen capture of the ‘Chemical Identification Information’ (Class 1 or 2

Chemical Substance) screen: 

Exhibit 6-5: Chemical Identification Information Screen (Class 1 or 2 Chemical Substance

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. If you selected the 

‘Polymer’ radio button, click the ‘Next’ button to navigate to the ‘Polymer Identification 

Information’ screen.

6.1.5 Class 1 or 2 Chemical Substances

You can navigate to the ‘Class 1 or 2 Chemical Substances’ screen if you selected the ‘Class 1 or 

2 Chemical Substance’ radio button on the ‘Chemical Identification Information’ screen and 

clicked the ‘Next’ button. 

The ‘Class 1 or 2 Chemical Substances’ screen provides fields for you to enter information 

describing the chemical for the Bona Fide form which is to be filed, including its name, 

composition, and structure. 

You can add a chemical component by clicking the ‘Add Chemical Component’ button. Upon 

clicking the ‘Add Chemical Component’ button, an expandable/collapsible field set generates

that contains numerous fields used to identify the chemical in question. You will be able to enter 

multiple chemical components, each with unique information, by clicking the ‘Add Chemical 

Component’ button for each chemical component you wish to identify.

 Add Chemical Component: Click the button to generate a chemical field set. 
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 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 is displayed 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 is displayed 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 link located at the upper-right of the expandable/collapsible field sets 

to expand a series of field sets. 

 Collapse All: Click the link located at the upper-right of the expandable/collapsible field sets 

to collapse a series of field sets.

 Class of Substance: In the ‘Class of Substance’ section, you identify whether a ‘Class 1’ or 

‘Class 2’ chemical substance is being reported. When you select a ‘Class 2’ chemical 

substance, you are indicating that some portions of the structure may not be known and an 

additional screen will appear within the navigation tree for you to enter information 

concerning how the chemical was created. If multiple class 2 chemical components are 

added, one ‘Class 2 Substances’ screen will apply to all chemical components. 

 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) by ‘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 ‘CASRN’ 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. When you select the ‘Method 1 (CAS Inventory Expert 

Service)’ radio button, the system will generate an ‘Attach IES Report’ button for you to 

attach an IES report. 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 generates within the ‘Chemical 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 display in a table format on the ‘Class 1 or 2 

Chemical Substances’ screen. The document attachment table displays the file name of the 

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document(s) and the user-provided description of the document(s). The system provides 

functionality for you to delete unwanted documents by clicking the ‘Delete’ icon ( ) located 

under the ‘Actions’ column. To access or edit previously attached documents, click the file 

name link under the ‘File Name’ column.

 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: To access the ‘Attach Chemical Structure’ screen, click the 

‘Attach Chemical Structure’ button within the ‘Chemical Identification Information’ field set. 

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. 

 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(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 Chemical Substances’ screen. The attachment table displays the 

file name of the document and user-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. To access or edit previously attached documents, click the 

appropriate file name of the document within the ‘File Name’ column of the attachment table.
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Exhibit 6-6 shows the screen capture of the ‘Class 1 or 2 Chemical Substances’ screen (Joint 

Bona Fide) (Scroll 1): 

Exhibit 6-6: Class 1 or 2 Chemical Substances Screen (Joint Bona Fide) (Scroll 1)
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Exhibit 6-7 shows the screen capture of the ‘Class 1 or 2 Chemical Substances’ screen (Joint 

Bona Fide) (Scroll 2): 

Exhibit 6-7: Class 1 or 2 Chemical Substances Screen (Joint Bona Fide) (Scroll 2)

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’ radio button and clicked the ‘Save’ button within 

the expandable/collapsible field set, then 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. 
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6.1.6 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 selected the ‘Class 2’ radio button on the 

‘Class 1 or 2 Chemical Substances’ screen. You can also access this screen by clicking the 

‘Save’ icon ( ) within the action bar and clicking the ‘Class 2 Substances’ link within the 

navigation tree.

The ‘Class 2 Substances’ screen provides fields for you to enter 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 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 the ‘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. 

 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. 

 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. 

 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 3.9 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. 

 Actions: 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 6-8 shows the screen capture of the ‘Class 2 Substances’ screen (Scroll 1): 

Exhibit 6-8: Class 2 Substances Screen
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Exhibit 6-9 shows the screen capture of the ‘Class 2 Substances’ screen (Scroll 2): 

Exhibit 6-9: 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. 
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Click the ‘Add Chemical Component’ button to create a chemical component. Upon clicking the 

‘Add Chemical Component’ 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 

Chemical Component’ 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 for you to enter information pertaining to that 

particular chemical.

For a multi-component submission, create individual field sets by clicking the ‘Add Chemical 

Component’ 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 Chemical 

Component’ 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 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.

 Add Chemical Component: Displays 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 is displayed 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 is displayed 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 link located at the upper-right of the expandable/collapsible field sets 

to expand a series of field sets. 

 Collapse All: Click the link located at the upper-right 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 ‘CASRN’ under the manual entry field set. The 

system provides functionality for you to enter the selected chemical information 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 

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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 identification method was used 

to determine the chemical identity. When you select ‘Method 1 (CAS Inventory Expert 

Service),’ the system will generate an ‘Attach IES Report’ button for you to attach an IES 

report. 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. To access or edit previously attached 

documents, click the file name link under the ‘File Name’ column.

 Chemical Structure Diagram: The system allows you to attach a chemical structure 

diagram. This field is optional.

 Attach Chemical Structure: To access the ‘Attach Chemical Structure’ window, click the 

‘Attach Chemical Structure’ button within the polymer identification information field set. 

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 user-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. To access or edit previously attached documents, click the appropriate file name of the

document within the ‘File Name’ column of the attachment table.
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Exhibit 6-10 shows the screen capture of the ‘Polymer Identification Information’ screen: 

Exhibit 6-10: 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. 
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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 

Monomer’ button that allows you to identify the monomer(s) that make up the polymer 

composition.

 Add Monomer: Click the 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 is displayed 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 is displayed 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 link located at the upper-right of the expandable/collapsible field sets 

to expand a series of field sets. 

 Collapse All: Click the link located at the upper-right 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 3.10 for additional details regarding the search 

SRS functionality. 

 CASRN: Displays the CASRN for the specified monomer; this field populates based on 

information entered on the ‘Search SRS’ 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. 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.

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 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window. Refer to Section 3.9 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. 

Exhibit 6-11 shows the screen capture of the ‘Monomers and Other Reactants’ screen: 

Exhibit 6-11: 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. 
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6.1.9 Use Information 

You can navigate to the ‘Use Information’ screen by clicking the ‘Next’ button from the ‘Class 1 

or 2 Chemical Substances’ screen, from the ‘Class 2 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 

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. 

Exhibit 6-12 shows the screen capture of the ‘Use Information’ screen: 

Exhibit 6-12: 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.
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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, which are optional.

 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’ 

pop-up window to upload documents. Refer to Section 3.9 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. 

 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. 

Exhibit 6-13 shows the screen capture of the ‘Document Management’ screen: 

Exhibit 6-13: 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 6-14 shows the screen capture of the ‘Optional Cover Letter’ screen: 

Exhibit 6-14: 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 ( ) to view a PDF preview of the form. Click the ‘Submit’ icon ( ) located in 

the bottom action bar to begin the submission process and navigate to the ‘Submitting Official 

Information’ screen.
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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 differentiated by buttons. After you choose between the ‘Regular’ 

or ‘Sanitized’ PDF, a draft watermarked PDF version of the form generates. Click the ‘Back’ 

button in the browser to navigate back to the submission. 

The watermark reads ‘Draft - 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 the user with the flexibility to track their status and see their entire 

submission in a single viewpoint.

Exhibit 7-1 shows the screen capture for the ‘Preview’ of the Biotechnology form:

Exhibit 7-1: Preview Biotechnology Form Screen
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Exhibit 7-2 shows the screen capture for the ‘Preview’ of the Biotechnology form:

Exhibit 7-2: Preview Biotechnology Form PDF
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8 Validate 

You can click the ‘Validate’ icon ( ) from the bottom action bar at any stage of completing a 

Section 5 Notices and Supports Form submission. The ‘Section 5 Notices and Supports

Validation’ pop-up window displays when you click the ‘Validate’ icon ( ). 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 submission to find missing 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, 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. 

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, 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 close the ‘Section 5 Notices and Supports Validation’ pop-up window by clicking the

‘X’ button located at the top right of the window. 
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Exhibit 8-1 shows the screen captures for the ‘Section 5 Notices and Supports Validation’ popup 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 AO, you have the ability to sign and submit a Joint or Letter of Support form 

for a Section 5 Notices and Supports form to EPA. You may also submit amendments for Joint 

forms. You can save your form at any point during the data entry process. Any assigned Supports

for your form cannot submit the Section 5 Notices and Supports form. 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 an AO 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. Clicking the ‘Home’ button navigates you to the Section 5 Notices and Supports ‘Home’ 

screen. 

The following statement, which displays to the Primary AO and Secondary AO, must be 

confirmed before the system will allow a user to move on: “Please confirm that you are the 

legally responsible party from the submitting company.” If you check this checkbox, the 

application will take you to either the appropriate certification screen or the CROMERR screen. 

If you do not check the checkbox associated with this statement, the application navigates 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. 
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Exhibit 9-1 shows the 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. 

 CBI: Check the ‘CBI’ checkbox to claim the ‘Submitting Official 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. 
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 First Name: Displays the first name of the submitting official, which has been pre-populated 

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: Enter 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.

 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. 

9.2 Submitting On Behalf Of

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 amendments/revisions/updates/etc. to an original submission. 

After checking the ‘Submitting On Behalf Of’ checkbox on the ‘Submitting Official 

Information’ screen (which is only displayed for amendments/revisions/updates/etc. to an 

original submission), you will be taken to the ‘Submitting On Behalf Of’ screen to enter in the 

information about the company on which you are submitting the form. Click the ‘Home’ button 

to navigate to the Section 5 Notices and Supports ‘Home’ screen. 
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Exhibit 9-2 shows the screen capture of the ‘Submitting On Behalf Of’ screen:

Exhibit 9-2: Submitting On Behalf Of Screen

Navigation: Click the ‘Next’ button to continue with submitting the form and proceed to the 

‘Submission Process: Validation’ screen. Click the ‘Home’ button to navigate back to the 

Section 5 Notices and Supports ‘Home’ screen. 

 CBI: Check the ‘CBI’ checkbox to claim the ‘Submitting On Behalf Of’ information as 

confidential.

 First Name: Enter the first name of the ‘Submitting On Behalf Of’ individual on whose 

behalf you are submitting this form. 

 Middle Initial: Enter the middle initial of the ‘Submitting On Behalf Of’ individual on 

whose behalf you are submitting this form. 
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 Last Name: Enter the last name of the ‘Submitting On Behalf Of’ individual on whose 

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. 

 Phone Number: Enter the phone number 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. 

 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. 

 State: Enter the state of the mailing address of the ‘Submitting On Behalf Of’ individual on 

whose behalf you are submitting this form. 

 Postal Code: Enter the postal code of the ‘Submitting On Behalf Of’ individual on whose 

behalf you are submitting this form.

 Country: Enter the country of the ‘Submitting On Behalf Of’ individual on whose behalf 

you are submitting this form.

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.
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Exhibit 9-3 shows the screen capture of the ‘Submission Process: Validation’ screen:

Exhibit 9-3: Submission Process: Validation Screen

After the Section 5 Notices and Supports form is verified, a PDF is generated for you to view. 

Exhibit 9-4 shows the screen capture of the ‘Submission Process: PDF Generation’ screen:

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

Exhibit 9-5 shows the 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. 
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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. 

Exhibit 9-6 shows the 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 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 the 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 submission 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 the 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 the 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 processed 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 form 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 

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 CROMER 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 the screen capture of the ‘Download Copy of Record’ screen:

Exhibit 10-1: Download Copy of Record Screen

The ‘Copy of Record’ screen displays the ‘File Name’ and ‘Action’ columns in a table format. 

You can click the ‘Actions’ button to download the individual files, PDF version of the 

submitted document or the XML version of the Section 5 Notices and Supports document. 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. 
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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
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11 Create an Amendment 

To amend a submitted Joint PMN or Joint Biotechnology or Bona Fide Letter of Support 

submission, navigate to the ‘Section 5 Notices and Supports Forms’ screen and locate a 

previously submitted form 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 the screen capture of the ‘Section 5 Notices and Supports Forms’ screen:

Exhibit 11-1: Section 5 Notices and Supports Form

Navigation: After clicking the ‘Lock’ icon ( ), you will receive a prompt to confirm the unlock 

process. If you do not want to continue with the amendment, click the ‘Cancel’ 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.
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Exhibit 11-2 shows the 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 revised notice process. 

After you enter the passphrase and click the ‘Next’ button you will be taken to the ‘General 

Form Information’ screen. Refer to Section 3.6 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 Section 1 through Section

4.1.26 for instructions on editing a revised PMN form. Refer to Section 5.1.1 through Section

5.1.3 for instructions on editing a revised Biotechnology 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 all of the 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: If you click this link, a new internet browser window will generate 

displaying the Regulatory Impact Analysis for the Regulation of Microbial Products of 

Biotechnology: Government Costs screen. 

 Microbial Products of Biotechnology: Final Rule (62 FR 17910): If you click this link, a 

new internet browser window will generate displaying the Microbial Products of 

Biotechnology: Final Rule (62 FR 17910) screen. 

 Points to Consider in the Preparation of TSCA Biotechnology Submissions for 

Microorganisms: If you click this link, a new internet browser window will generate 

displaying the Points to Consider in the Preparation of TSCA Biotechnology Submissions for 

Microorganisms PDF. 

 CDX Home: If you click this link, a new internet browser window will generate displaying 

the CDX Homepage.

 TSCA Chemical Substances Inventory: If you click this link, a new internet browser 

window will generate displaying the TSCA Chemical Substances Inventory screen.

 Substance Registry Services (SRS): If you click this link, a new internet browser window 

will generate displaying the Substance Registry Services screen. 

 Facility Registry System (FRS): If you click this link, a new internet browser window will 

generate displaying the Facility Registry System (FRS) screen. 

 CAS Inventory Expert Services: If you click this link, a new internet browser window will 

generate displaying the CAS Inventory Expert Services (IES) screen.

 National Pollutant Discharge Elimination System (NPDES): If you click this link, a new 

internet browser window will generate displaying the National Pollutant Discharge 

Elimination System (NPDES) screen.

 New Chemicals Program Homepage: If you click this link, a new internet browser window 

will generate displaying the New Chemicals Program screen.

 Status of Section 5 Notices: If you click this link, a new internet browser window will 

generate displaying the Status of Section 5 Notices screen. 
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Exhibit 12-1 shows the screen capture of the ‘Resources’ screen (Scroll 1):

Exhibit 12-1: Resources Screen (Scroll 1)
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Exhibit 12-2 shows the 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

AO Authorized Official

CAS Chemical Abstract 

CASRN Chemical Abstract Service Registry Number

CBI Confidential Business Information

CDX Central Data Exchange

CFR Code of Federal Regulations 

CoR Copy of Record

CROMERR Cross-Media Electronic Reporting Regulation

CSPP Submissions for Chemical Safety and Pesticide Programs

CSV Comma-Separated Values

EPA Environmental Protection Agency

ETI Environmental Technology Initiative 

FR Federal Regulation 

FRS Facility Registry System 

GPC Gel-Permeation Chromatography

ID Unique Identifier

IES Inventory Expert Services 

IH Industrial Hygienist 

IR Infrared

KG Kilograms 

LOREX Low Release/Low Exposure Exemption 

LOS

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

PDF Portable Document Format 

PMN Premanufacture Notice

POTW Publicly Owned Treatment Works

PPE Personal Protective Equipment 

PPM Parts Per Million
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RCRA Resource Conservation and Recovery Act 

SAR Structure-Activity Relationship

SME Subject Matter Expert

SNUN Significant New Use Notice

SNUR Significant New Use Rules

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