Instructions for the 

2012 TSCA Chemical Data Reporting 

U.S. Environmental Protection Agency 

Office of Pollution Prevention and Toxics 

 July 2011 
HIGHLIGHTS OF 2012 TSCA CHEMICAL DATA REPORTING (CDR)

• The determination of the need to report is based on production volume during calendar year 

2011. 

• Information on the reportable chemical substance must be reported during the 2012 CDR 

submission period, February 1, 2012 to June 30, 2012 (40 CFR 711.20). 

• All reporting companies must report CDR data electronically, using e-CDRweb, the CDR 

web-based reporting tool, and EPA’s Central Data Exchange (CDX) system. Prior to 

submitting data, submitters must register with CDX. 

• Reporting is required for all chemical substances listed on the TSCA Inventory, both 

organic and inorganic, other than polymers, microorganisms, naturally occurring chemical 

substances, certain forms of natural gas, and water (40 CFR 711.5 and 711.6) when 

manufacture (including import) of those chemical substances meets the other reporting 

requirements. Chemical substances that are the subject of any of certain listed TSCA 

actions may not be eligible for partial or full exemptions (40 CFR 711.6). 

• Manufacturers (including importers) are required to report full manufacturing data, for 

calendar year 2011, and production volume only, for calendar year 2010, for all reportable 

chemical substances, when 2011 site-specific production volume equals or exceeds 25,000 

lb (40 CFR 711.15(b)). 

• Manufacturers (including importers) are required to report processing and use data, for 

calendar year 2011, for all reportable chemical substances, when 2011 site-specific 

production volume equals or exceeds 100,000 lb (40 CFR 711.15(b)). Inorganic chemical 

substances are no longer exempt from the reporting of processing and use information. 

• Small manufacturers are exempt from CDR requirements unless they manufacture 

(including import) 25,000 lb or more of a chemical substance that is the subject of a rule 

proposed or promulgated under sections 4, 5(b)(4), or 6 of TSCA, or is the subject of an 

order in effect under section 5(e) of TSCA, or is the subject of relief that has been granted 

under a civil action under sections 5 or 7 of TSCA (40 CFR 711.9) and (TSCA § 

8(a)(3)(A)(ii)). See Appendix B for further information. 

• Information submitted under CDR may be claimed as confidential; however, such claims 

must be made at the time of submission and substantiated in accordance with the CDR rule. 

Submitters must provide upfront substantiation of confidentiality claims for processing and 

use information as well as for confidentiality claims for site or chemical identity. A blank 

response or a response that is designated as “not known or reasonably ascertainable” may 

not be claimed as confidential (40 CFR 711.30). 

• Visit the CDR Web site (http://www.epa.gov/cdr or http://www.epa.gov/iur) for program 

updates and announcements, other guidance materials for 2012 reporting, and contact 

information for technical assistance. 
 i 

TABLE OF CONTENTS 

 Page 

1.0 Introduction .................................................................................................................... 1-1

1.1 Background and Statutory Authority ............................................................................... 1-1

1.2 Changes From 2006 IUR Requirements and Rationale for Changes .............................. 1-1

2.0 Reporting Requirements ............................................................................................... 2-1

2.1 Step I: Is Your Chemical Substance Subject to the CDR Rule? ...................................... 2-1

2.1.1 Is Your Chemical Substance Manufactured for Commercial 

Purposes? (Question A) 2-2

2.1.2 Is Your Chemical Substance on the TSCA Inventory? (Question B) ........................ 2-9

2.1.3 Is Your Chemical Substance Potentially Exempt from 

Reporting? (Question C) ................................................................................................... 2-12

2.1.4 Is Your Chemical Substance Ineligible for an Exemption Due to Its 

TSCA Regulatory or Enforceable Consent Agreement Status? (Question D) ................. 2-14

2.2 Step II: Are You a Manufacturer Who Is Required to Report? ..................................... 2-15

2.2.1 Did You Manufacture (Including Import) 25,000 lb or More of the Chemical 

Substance at a Single Site During the Principal Reporting Year? (Question E) ..... 2-17

2.2.2 Do You Qualify For a Small Manufacturer Exemption? (Question F) ................... 2-18

2.2.3 Did You Manufacture a Chemical Substance Subject to Reporting Due 

to Its TSCA Regulatory Status? (Question G) .................................................................. 2-19

2.2.4 Do You Qualify for Any Other Reporting Exemptions? (Question H) ................... 2-20

2.3 Step III: What Information Must You Report? .............................................................. 2-22

2.3.1 Did You Manufacture (Including Import) 100,000 lb or More of the Chemical 

Substance During the Principal Reporting Year? (Question I) ................................ 2-24

2.3.2 Is Your Chemical Substance Subject to Full Reporting due to Its TSCA 

Regulatory or Consent Agreement Status? (Question J) .................................................. 2-25

2.3.3 Is Your Chemical Substance Listed as a Petroleum Process Stream? 

(Question K)................................................................................................................ 2-25 

2.3.4 Is Your Chemical Substance Listed as a Chemical for Which There 

is Low Current Interest in the CDR Processing and Use Information? (Question L) ..... 2-25

3.0 When You Must Report ................................................................................................ 3-2

4.0 Instructions for Completing CDR Form U .................................................................. 4-1

4.1 Certification ..................................................................................................................... 4-1

4.2 Reporting Standard .......................................................................................................... 4-1

4.3 Part I - Section A. Parent Company Information ............................................................. 4-3

4.3.1 Parent Company Name (Block 1.A.1) ....................................................................... 4-4

4.3.2 Parent Company Dun & Bradstreet D-U-N-S® Number (Block 1.A.2) ................... 4-5

4.3.3 Parent Company Address (Blocks 1.A.3 through 1.A.8) ........................................... 4-5

4.4 Part I - Section B. Site Information ................................................................................. 4-5

4.4.1 Special Provisions for Importers ................................................................................ 4-6

4.4.2 Site Name (Block 1.B.1) ............................................................................................ 4-7

4.4.3 Site Dun & Bradstreet Number D-U-N-S® (Block 1.B.2) ........................................ 4-7

4.4.4 Site Street Address (Blocks 1.B.3 through 1.B.8) ..................................................... 4-7

4.5 Part I - Section C. Technical Contact Information .......................................................... 4-7

4.5.1 Technical Contact Name and Company Name (Blocks 1.C.1 and 1.C.2) ................. 4-8

4.5.2 Technical Contact Telephone Number and Email Address 

(Blocks 1.C.3 and 1.C.4) ..................................................................................................... 4-8
TABLE OF CONTENTS (Continued) 

ii

4.5.3 Technical Contact Mailing Address (Blocks 1.C.5 through 1.C.8) ........................... 4-8

4.6 Part II - Section A. Chemical Substance Identification ................................................... 4-8

4.6.1 Confidentiality of Chemical Substance Information (Block 2.A.1) ........................ 4-10

4.6.2 Chemical Substance Identifying Number (Block 2.A.2) ......................................... 4-12

4.6.3 ID Code (Block 2.A.3) ............................................................................................. 4-13

4.6.4 Chemical Name (Block 2.A.4) ................................................................................. 4-14

4.6.5 Special Provisions for Importers and Joint Submitters ............................................ 4-14

4.7 Part II - Section B. Manufacturing Information ............................................................. 4-15

4.7.1 Confidentiality of Company Information (Block 2.B.1) ......................................... 4-15

4.7.2 Confidentiality of Site Information (Block 2.B.2) ................................................... 4-15

4.7.3 Confidentiality of Technical Contact Information (Block 2.B.3) ............................ 4-16

4.7.4 Reporting Manufacturing Information for Calendar Year 2011 (Blocks 2.B.4.-

2.B.20).........................................................................................4-16

4.7.5 Reporting Production Volume (PV) for the Year 2010 (Block 2.B.20) .................. 4-23

4.8 Part III - Processing and Use Information ..................................................................... 4-23

4.8.1 Part III - Section A. Industrial Processing and Use Data (Blocks 3.A.1-

3.A.10..........................................................................................4-24

4.8.2 Part III - Section B. Consumer and Commercial Use Data (Blocks 3.B.1- 

3.B.10).........................................................................................4-32

5.0 How to Assert Confidentiality Claims.......................................................................... 5-1

5.1 Chemical Identity ............................................................................................................. 5-1

5.2 Site Identity ...................................................................................................................... 5-2

5.3 Processing and Use Information ...................................................................................... 5-3

5.4 CBI Claims for “NKRA” Responses ............................................................................... 5-4

5.5 Negative Responses for Products Intended for Use by Children ..................................... 5-4

6.0 How to Submit Your Form U to EPA .......................................................................... 6-1

6.1 The e-CDRweb Tool ........................................................................................................ 6-1

6.2 The Central Data Exchange (CDX) ................................................................................. 6-1

6.3 Registering with CDX...................................................................................................... 6-2

6.3.1 Registering as a Primary Authorized Official ............................................................ 6-3

6.3.2 Registering as a Primary Support Registrant ............................................................. 6-5

6.4 Creating a Passphrase ...................................................................................................... 6-7

6.5 Submitting Form U through CDX ................................................................................... 6-8

6.6 Accessing Your Site’s Data Before Submission ............................................................ 6-10

6.7 Special Instructions for Joint Submitters ....................................................................... 6-11

6.7.1 Submitting as a Manufacturer (including Importer) ................................................ 6-12

 6.7.2 Submitting as a Supplier.....................................................................6-14 

6.7.3 Reporting a Confidential Chemical Substance ........................................................ 6-18

6.7.4 Submitting as a Tertiary Submitter .......................................................................... 6-19

6.8 Correcting or Updating 2012 CDR Submissions ........................................................... 6-22

6.9 Recordkeeping Requirements ........................................................................................ 6-22

6.10 Requesting a Copy of Record ........................................................................................ 6-23

7.0 How to Obtain Copies of Documents Cited in This Guidance Document ................ 7-1

7.1 Obtaining Copies of the TSCA Rules .............................................................................. 7-1

7.2 Obtaining Copies of the Public Portion of the TSCA Inventory ..................................... 7-1 
TABLE OF CONTENTS (Continued) 

iii

Appendices 

Appendix A—Glossary....................................................................................A-1 

Appendix B—Chemical Substances that are the Subject of Certain TSCA Orders, 

 Proposed or Final TSCA Rules, or Relief Granted under Civil Actions, 

 or Consent Agreements........................................................................................B-1 

Appendix C—Chemical Substances Partially Exempt from Reporting in 2012...................C-1 

Appendix D—Descriptions for Codes for reporting Processing or Use Operations, 

 Industrial Sectors, Industrial Function Categories, and Consumer and 

 Commercial Product Categories........................................................D-1 
iv

LIST OF FIGURES

Figure 2-1. Decision Logic Diagram for Evaluating Step I ......................................................... 2-2 

Figure 2-2. Decision Logic Diagram for Evaluating Whether a Byproduct Chemical 

 Substance is Subject to the CDR Rule......................................................2-7 

Figure 2-3. Decision Logic Diagram for Evaluating Step II.........................................2-16 

Figure 2-4. Decision Logic Diagram for Evaluating Step III ...... ...................................2-23 
v

LIST OF TABLES

Table 1-1. Changes Made to the CDR Rule by the 2011 Amendments...........................1-2 

Table 2-1. Chemical Substances Covered by the Exemption for Certain 

 Forms of Natural Gas ............................................................................................... 2-13 

Table 2-2. Examples of Evaluating Substances for the Naturally Occurring 

 Exemption (40 CFR 711.6(a)(3)) ............................................................................. 2-11 

Table 2-3. Production Volume Threshold Examples .......................................................... 2-17 

Table 2-4. Small Manufacturer Exemption Examples (40 CFR 711.8) .................................... 2-20 

Table 2-5. Examples of Manufacturing/Importing Activities Under Circumstances 

 Which Do/Do Not Require Reporting ...................................................................... 2-21 

Table 2-6. Examples of Reporting Requirements for Information Described in 

 40 CFR 711.15(b)(4).........................................................................2-21 

Table 4-1. ID Code for Chemical Identifying Numbers ............................................................ 4-14 

Table 4-2. Examples of Reporting Production Volume for Part II – Manufacturing 

 Information....................................................................................4-19 

Table 4-3. Codes for Reporting Number of Workers Reasonably Likely to be Exposed ......... 4-20 

Table 4-4. Codes for Reporting Maximum Concentration ........................................................ 4-21 

Table 4-5. Codes Corresponding to Industrial Processing or Use Operations .......................... 4-26 

Table 4-6. Industrial Sectors ...................................................................................................... 4-26 

Table 4-7. Codes for Reporting Industrial Function Categories (IFCs) .................................... 4-28 

Table 4-8. Examples of Reporting Industrial Processing and Use Information ........................ 4-30 

Table 4-9. Codes for Reporting Numbers of Sites ..................................................................... 4-30 

Table 4-10. Codes for Reporting Number of Workers Reasonably Likely to be 

 Exposed During Processing and Use ..................................................................... 4-31 

Table 4-11. Product Category Codes ......................................................................................... 4-33 

Table 4-12. Examples of Products Intended for Use by Children ............................................. 4-35 

Table 5-1. Special Considerations for Asserting Confidentiality Claims .................................... 5-1 

Table 5-2. Substantiation Questions To Be Answered When Making Chemical 
vi

 Identity CBI Claims (from 40 CFR 711.30(b)(1)) ...................................................... 5-2 

Table 5-3. Substantiation Questions To Be Answered When Making Plant 

 Site Identity CBI Claims (40 CFR 711.30(c)(1))........................................................ 5-3 

Table 5-4. Substantiation Questions To Be Answered When Making Processing and Use 

 Information CBI Claims (40 CFR 711.30(d)(1)) ........................................................ 5-4 
vii

PREFACE 

 As part of the Inventory Update Reporting (IUR) Modifications final rule, EPA changed 

the identification of the regulation from IUR to Chemical Data Reporting (CDR). Throughout 

this document, EPA has retained the use of the term "IUR" to reflect historical terminology and 

has used the term "CDR" to describe the revised reporting requirements. 

 The primary goal of this document is to help the regulated community comply with the 

requirements of the CDR rule. This document does not substitute for that rule, nor is it a rule 

itself. It does not impose legally binding requirements on the regulated community or on the U.S. 

Environmental Protection Agency (EPA). 

 Manufacturers (including importers) are required by the CDR rule to report to EPA 

information concerning the manufacturing, processing, and use of certain chemical substances 

listed on the TSCA Chemical Substance Inventory. The CDR requirements have changed since 

the last collection, which occurred in 2006 and was based on 2005 production data. EPA 

amended the IUR rule in a final action promulgated on August 16, 2011. Manufacturers 

(including importers) are subject to the revised reporting requirements based on manufacturing 

(including importing) activities conducted during the principal reporting year (calendar year 

2011). The 2012 submissions are due by June 30, 2012, and must be submitted via the Internet 

using e-CDRweb and EPA’s Central Data Exchange (CDX). e-CDRweb is a web-based 

reporting tool that allows manufacturers (including importers) to file a paperless CDR 

submission and receive instant receipt confirmation of their submissions. Electronic reporting is 

expected to significantly reduce errors in the reported data. 

 This guidance document contains the following chapters and appendices: 

• Chapter 1 - Introduction to the CDR and changes made since the 2006 reporting cycle. 

• Chapter 2 - Reporting requirements to determine which chemical substances are reportable, 

who must report, and what information must be reported. 

• Chapter 3 - When you must report. 

• Chapter 4 - Instructions for completing Form U. 

• Chapter 5 - How to assert confidentiality claims. 

• Chapter 6 - How to submit your Form U to EPA. 

• Chapter 7 - How to obtain copies of documents cited in this guidance document. 

• Appendix A - Glossary. 

• Appendix B - Chemical substances that are the subject of certain TSCA orders, proposed or 

final TSCA rules, relief granted under civil actions, or consent agreements.
viii

• Appendix C - Chemicals substances partially exempt from reporting in 2012. 

• Appendix D - Descriptions of codes for reporting Processing or Use Operations, Industrial 

Sectors, Industrial Function Categories, and Consumer and Commercial Product Categories. 
Chapter 1.0 Introduction

1-1

1.0 Introduction 

1.1 Background and Statutory Authority 

 As part of the IUR Modifications final rule, EPA changed the identification of the 

regulation from IUR to Chemical Data Reporting (CDR). Throughout this document, EPA has 

retained the use of the term "IUR" to reflect historical terminology and has used the term "CDR" 

to describe the revised reporting requirements. 

In 1977, the U.S. Environmental Protection Agency (EPA) promulgated a rule under the 

Toxic Substances Control Act (TSCA) section 8(a), 15 U.S.C. 2607(a), to compile and keep 

current an inventory of chemical substances in commerce in the United States. This inventory is 

called the TSCA Chemical Substance Inventory (TSCA Inventory). In 1986, EPA promulgated 

the Inventory Update Reporting (IUR) rule, also under TSCA section 8(a), to facilitate the 

periodic updating of the TSCA Inventory and to support activities associated with implementing 

TSCA. The IUR rule has been amended since1986, most recently in 2011. At that time, EPA 

returned the frequency of reporting to once every four years, modified reporting thresholds, 

updated definitions, revised industrial classifications, modified situations in which 

confidentiality may be claimed, and began requiring electronic submission of CDR data over the 

Internet using the e-CDRweb reporting tool and EPA’s Central Data Exchange (CDX). EPA’s 

CDX is the point of entry on the Environmental Information Exchange Network for 

environmental data submissions to the Agency. It allows you to file a paperless CDR submission, 

significantly reducing data errors, and receive instant receipt confirmation of your submission. 

 This document, which pertains to EPA CDR reporting during 2012, updates the previous 

guidance issued for reporting in 2006 to incorporate instructions relevant to 2012 reporting. It 

provides detailed information and examples to assist manufacturers (including importers) in 

reporting under the CDR rule. Sample screenshots of the e-CDRweb tool are provided 

throughout this document to guide you through the completion of your Form U. These screen 

shots are not based on actual data, but are hypothetical situations generated to assist 

submitters in completing Form U. Appendix A provides a glossary of CDR terms, which may 

help you to understand the 2012 reporting requirements. 

This document is not a substitute for the CDR rule in 40 CFR Part 711. To the extent 

that any inconsistencies exist between the CDR rule and this document, the requirements as 

promulgated in the rule should be followed. You should carefully review 40 CFR Part 711 to 

determine whether you are required to report information in response to CDR requirements. 

 To comply with the CDR rule, it is important to have a thorough understanding of the 

TSCA Inventory and the procedures available to determine whether a chemical substance is 

listed on the TSCA Inventory. Chapter 7 of this guidance document explains how you can obtain 

copies of TSCA rules, including the CDR rule, and access the non-confidential TSCA Inventory. 

1.2 Changes From 2006 IUR Requirements and Rationale for Changes 

In 2011, EPA changed the 2006 IUR requirements by promulgating the CDR 

Modifications rule. Details on EPA’s rationale for specific changes are available in the preamble 
Chapter 1.0 Introduction

1-2

to the rule. Descriptions of the major changes are included in Table 1-1. In summary, EPA 

amended the IUR rule to: 

• Clarify reporting requirements; 

• Improve the quality of data submitted and entered into the Agency’s database; 

• Better match data collected with the Agency’s overall information needs; 

• Make data more available to the public; and 

• Reduce, to the extent possible, the paperwork burden on both regulated entities and EPA. 

Additionally, EPA developed the electronic CDR reporting tool, e-CDRweb, to 

incorporate these changes. 

Table 1-1. Changes Made to the IUR Rule by the 2011 Amendments 

 

Change Description 

How to Report 

CDX registration required All submitters (including joint submitters) are required to register with 

EPA’s Central Data Exchange (CDX) to submit their CDR reports 

electronically. Paper submissions will no longer be accepted. 

Use of electronic reporting tool, eCDRweb, required Requires electronic reporting of CDR data through the Internet, using 

EPA’s CDX and the electronic reporting tool, e-CDRweb. 

Who is Required to Report 

Manufacturers (including 

importers) of chemical substances 

over 25,000 lb/site/yr 

Requires reporting if the production volume of a chemical substance met or 

exceeded the 25,000 lb threshold during the principal reporting year (i.e., 

calendar year 2011) (40 CFR 711.8(a)). 

Manufacturers (including 

importers) of chemical substances 

that are potentially exempted 

under 40 CFR 711.6 

Provides that chemical-specific reporting exemptions do not apply to any 

chemical substance that is the subject of an enforceable consent agreement 

(ECA) (40 CFR 711.6). 

What to Report 

Revisions to company and 

chemical identity reporting 

Requires manufacturers (including importers) to report: (40 CFR 

711.15(b)(2) and 711.15(b)(3)(i)) 

• The company name and mailing address belonging to the U.S. 

parent company. 

• The currently correct Chemical Abstracts (CA) Index Name, as 

used to list the chemical substance on the TSCA Inventory, as part 

of the chemical identity. 

• The Chemical Abstracts Services (CAS) Registry Number or 

TSCA Accession Number, as part of the chemical identity. 

Submitters can no longer use the Pre-Manufacture Notice (PMN) 

Number as part of a chemical identity. 
Chapter 1.0 Introduction

1-3

Revisions to manufacturingrelated data elements Requires manufacturers (including importers) to report: (40 CFR 

711.15(b)(3)(iii)-(vi)) 

• The production volume for calendar year 2010. 

• For the principal reporting year (i.e., 2011) only: 

o The production volume of a manufactured (including 

imported) chemical substance used at the reporting site. 

o Whether an imported chemical substance is physically at 

the reporting site. 

o The volume of the chemical substance directly exported 

and not domestically processed or used. 

o Whether a manufactured chemical substance, such as a 

byproduct, is being recycled, remanufactured, 

reprocessed, or reused. 

Reporting of processing and use 

information required for chemical 

substances manufactured at 

100,000 lb or more (unless 

exempted) 

Replaces the 300,000 lb threshold with 100,000 lb. For the principal 

reporting year only, requires reporting of processing and use information of 

all reportable chemical substances manufactured at 100,000 lb or more, 

unless otherwise exempted (40 CFR 711.15(b)(4)). 

Revisions to industrial processing 

and use-related data elements 

Revises the list of industrial function categories. Replaces the reporting of 

NAICS codes with Industrial Sector codes (40 CFR 711.15(b)(4)(i)(B)). 

Revisions to consumer and 

commercial use-related data 

elements 

Revises the list of consumer and commercial product categories. In 

addition, separates reporting of consumer or commercial codes and adds an 

indication of the number of commercial workers on the reporting form (40 

CFR 711.15(b)(4)(ii)). 

“Readily obtainable” reporting 

standard replaced 

For the reporting of processing and use information required by 40 CFR 

711.15(b)(4), replaces the “readily obtainable” reporting standard with the 

“known to or reasonably ascertainable by” reporting standard (40 CFR 

711.15 (b)(4)). 

Requirement for a U.S. address 

added for importers 

Adds the requirement of a U.S. address for importers and clarifies 

procedures for joint submissions between importers and their foreign 

manufacturer counterparts (40 CFR 711.3 definition for site; 40 CFR 

711.15(b)(3)(i)(A)). 

Other Changes 

Definitions Reorganizes and consolidates existing definitions and adds new definitions 

including manufacture, manufacturer, site, and definitions related to 

electronic reporting and chemical processing and use (40 CFR 711.3). 

Water fully exempted from 

reporting 

Eliminates the need to report water (both naturally occurring and 

manufactured) under CDR; removes water from the petroleum streams 

partial exemption (40 CFR 711.6). 

New requirement for upfront 

substantiation for claiming 

confidential business information 

Upfront substantiation is required for each processing and use data element 

claimed as confidential business information (40 CFR 711.30 (d)). 

Confidentiality claims for certain 

information disallowed 

Confidentiality claims for processing and use data elements identified as 

“not known to or reasonably ascertainable by” are not allowed (40 CFR 

711.15(b)(4)). 

Reporting frequency changed Reporting is required for information generated during calendar year 2011 

and for calendar years at four-year intervals thereafter. (40 CFR 711.20) 
Chapter 2.0 Reporting Requirements 

2-1

2.0 Reporting Requirements 

 This chapter explains the reporting requirements for the 2012 CDR reporting cycle. CDR 

reporting requirements apply to manufacturers (including importers) of chemical substances. The 

term ‘chemical substance’ is defined in Appendix A. 

For the 2012 submission period, manufacturers (including importers) are required to use 

e-CDRweb, the CDR reporting tool, and EPA’s CDX to create an electronic version of Form U 

to submit information in response to the requirements of this rule (40 CFR Part 711). You must 

register with CDX to submit online, and you must register the name of the company on whose 

behalf you are submitting a Form U. EPA will no longer accept paper submissions or electronic 

media (diskette, CD-Rom, etc.) for any CDR submission. 

 If you reported under the 2006 IUR, you should review the reporting requirements 

carefully because they have changed. You may be required to report information on chemical 

substances that you did not need to report in previous IUR reporting cycles. 

This chapter discusses each of these steps and the associated reporting requirements in 

more detail. 

2.1 Step I: Is Your Chemical Substance Subject to the CDR Rule? 

 Under the CDR rule, reporting for the 2012 CDR 

reporting cycle is generally required for a chemical 

substance that is manufactured (including imported), is on 

the TSCA Inventory as of February 1, 2012, and is not 

specifically exempted by 40 CFR 711.6(a). The term “CDR 

reportable chemical substance” will be used throughout this 

document to refer to a chemical substance that fulfills these 

requirements. Figure 2-1 presents a decision logic diagram 

to assist you in determining whether you manufacture a 

CDR reportable chemical substance. The following 

subsections explain each question in greater detail. 

You should consider the following three steps to determine whether you are required to report 

for each chemical substance that you domestically manufacture (including import) into the 

United States during the principal reporting year (i.e., calendar year 2011): 

• Step I: Is your chemical substance subject to the CDR rule? 

• Step II: Are you a manufacturer (including importer) who is required to report? 

• Step III: What information must you report? 

An CDR reportable 

chemical is a chemical 

substance that is 

domestically manufactured 

or imported into the United 

States, is listed in the 

TSCA Inventory, and is not 

specifically exempted by 

40 CFR 711.6(a). 
Chapter 2.0 Reporting Requirements 

2-2

Figure 2-1. Decision Logic Diagram for Evaluating Step I 

2.1.1 Is Your Chemical Substance Manufactured for Commercial Purposes? (Question A) 

The first step in determining your reporting requirements is to determine whether you 

meet the definition of manufacture or manufacturer. The following manufacturing-related terms 

are defined below: 

• Manufacture – To manufacture, produce, or import for commercial purposes. 

Manufacture includes the extraction, for commercial purposes, of a component 

chemical substance from a previously existing chemical substance or complex 

STEP I: 

Is your chemical substance subject to the CDR rule? 

A. Is your chemical 

substance 

manufactured for 

commercial 

purposes? 

YOU DO 

NOT 

NEED TO 

REPORT. 

B. Is your chemical 

substance on the 

TSCA Inventory? 

(40 CFR 711.5 and 

711.20) 

You are manufacturing a CDR reportable chemical. 

EVALUATE STEP II. 

Yes

Yes 

No 

No

D. Is your chemical 

substance ineligible 

for an exemption due 

to its TSCA 

regulatory or consent 

agreement status? (40 

CFR711.6)

Yes

No 

C. Is your chemical 

substance 

potentially exempt 

from reporting? (40 

CFR 711.6(a)) 

Yes

No
Chapter 2.0 Reporting Requirements 

2-3

combination of chemical substances. When a chemical substance, manufactured 

other than by import, is: 

(1) produced exclusively for another person who contracts for such production, 

and 

 

(2) that other person specifies the identity of the chemical substance and controls 

the total amount produced and the basic technology for the plant process, then that 

chemical substance is co-manufactured by the producing manufacturer and the 

person contracting for such production (40 CFR 711.3). 

• Manufacture for commercial purposes – (1) To import, produce, or manufacture 

with the purpose of obtaining an immediate or eventual commercial advantage for 

the manufacturer, and includes among other things, such “manufacture” of any 

amount of a chemical substance or mixture: 

(i) For commercial distribution, including for test marketing. 

(ii) For use by the manufacturer, including use for product research and 

development, or as an intermediate. 

(2) Manufacture for commercial purposes also applies to chemical substances that 

are produced coincidentally during the manufacture, processing, use, or disposal 

of another chemical substance or mixture, including both byproducts that are 

separated from that other substance or mixture and impurities that remain in that 

chemical substance or mixture. Such byproducts and impurities may, or may not, 

in themselves have commercial value. They are nonetheless produced for the 

purpose of obtaining a commercial advantage since they are part of the 

manufacture of a chemical product for a commercial purpose (40 CFR 704.3). 

• Manufacturer – A person who manufactures a chemical substance (40 CFR 

711.3). 

Thus, the manufacture of a chemical substance by a toll manufacturer is considered 

manufacturing, even in instances where another person is also considered to be manufacturing 

that chemical substance by contract (see 2.1.1.1 below). Both the toll manufacturer and the 

contracting party would be considered the co-manufacturers of the chemical substance. 

For purposes of the CDR rule, a chemical substance is manufactured (including 

imported) only if it is manufactured (including imported) for commercial purposes. See TSCA 

Section 8(f), TSCA Section 3(7), and 40 CFR 704.3, which includes a parallel definition of 

“Import for commercial purposes.” As identified above, the term manufacture for commercial 

purposes means that the chemical substance is produced for the purpose of obtaining a 

commercial advantage. Manufacture for commercial purposes also applies to chemical 

substances that are produced coincidentally during the manufacture, processing, use, or disposal 

of another chemical substance or mixture, including both byproducts that are separated and 

impurities that remain in a chemical substance or mixture. (40 CFR 704.3) 

 
Chapter 2.0 Reporting Requirements 

2-4

2.1.1.1 Manufacturing by Contract

The person who contracts with another person, such as a toll manufacturer, to 

manufacture a chemical substance is now considered to be the co-manufacturer, along with the 

toll manufacturer of that chemical substance. This is a change from previous reporting cycles. 

As specified in the definition for manufacture, manufacturing by contract is a situation 

where the contracted person manufactures or produces the chemical substance exclusively for the 

contracting person, and where the contracting person specifies the identity of the chemical 

substance and controls the total amount produced and the basic technology of the plant process. 

2.1.1.2 Byproducts and Impurities 

Byproducts

 Byproducts are chemical substances that are 

produced without a separate commercial intent during 

the manufacture, processing, use, or disposal of another 

chemical substance(s) or mixture(s) (40 CFR 704.3). If 

the byproduct is manufactured (including imported) in a 

volume of 25,000 lb or more at a single site during the 

principal reporting year, then its manufacture (including 

import) is potentially subject to CDR requirements. 

 

 Byproducts may or may not, in themselves, have 

commercial value. They are nonetheless produced for 

the purpose of obtaining a commercial advantage 

because they are part of the manufacture of a chemical 

product for a commercial purpose. Thus, chemical 

substances that are the byproducts of the manufacture, 

processing, use, or disposal of another chemical 

substance or mixture, like any other manufactured 

chemical substance, are subject to CDR reporting if 

they are listed on the TSCA Inventory, are not 

otherwise excluded from reporting, and their 

manufacturers are not specifically exempted from CDR 

requirements. 

There are, however, conditions under which 

byproducts are not required to be reported. If, after it is 

manufactured (including imported), your byproduct 

chemical substance is not put to use for a separate 

commercial purpose (see 40 CFR 711.10(c) and 40 

CFR 720.30(h)), you do not need to report it. If your byproduct’s only separate commercial 

purpose “is for use by public or private organizations that (1) burn it as a fuel, (2) dispose of it as 

a waste, including in a landfill or for enriching soil, or (3) extract component chemical 

substances from it for commercial purposes” (see 40 CFR 720.30(g)), then that byproduct is also

Can a byproduct be manufactured 

if the main product is an article? 

Yes, potentially. You need to 

consider whether you are 

manufacturing a chemical substance 

as a byproduct when you are 

manufacturing an article. For 

example, if your use or processing of 

a chemical substance (chemical A) 

to manufacture an article 

coincidentally produces a different 

chemical substance (chemical B), 

apart from the article you intended to 

manufacture, then you have 

manufactured a byproduct chemical 

substance. This situation may occur, 

for example, when you are stripping 

a chemical substance off of a part of 

the article, and the stripping process 

results in the formation of a different 

chemical substance (possibly 

resulting in a “used” stripping 

solution). 
Chapter 2.0 Reporting Requirements 

2-5

excluded from CDR reporting. This exclusion applies only to the byproduct; it does not apply to 

the component chemical substances extracted from the byproduct. 

 In interpreting section 40 CFR 720.30(g), one needs to consider the following important 

points. 

• Regarding 40 CFR 720.30(g)(1), note that where 

a byproduct is burned as a fuel, and is also being 

burned for other non-exempt commercial 

purposes (e.g., if the combustion residue is used 

as a process input), then the exemption under 40 

CFR 720.30(g)(1) would not apply. To provide a 

specific example: in a paper pulping process 

black liquor is burned to generate power, and it 

then undergoes a chemical change to become 

manufactured smelt. The smelt is then used as a 

process inputs in the manufacture of white 

liquor which is then returned to the pulping 

process. The exemption under 40 CFR 

720.30(g)(1) would not apply to the manufacture 

of the black liquor because the black liquor’s 

post-combustion commercial purposes include 

non-exempt commercial purposes. If the black 

liquor were instead burned solely to generate 

power, the exemption under 40 CFR 

720.30(g)(1) would have applied. If the black 

liquor were instead incinerated solely for 

destruction, the exemption under 40 CFR 

720.30(h)(2) would have applied. 

• Regarding 40 CFR 720.30(g)(2), although the manufacture of a byproduct is not 

reportable if the byproduct is subsequently disposed of as a waste for purposes of 

enriching the soil (e.g., to change the soil properties in a desirable way, such as by 

serving as a filler to make the soil less dense or enhancing moisture retention), a 

substance used as a fertilizer is not necessarily an excluded byproduct. For instance, if 

the substance’s ordinary manner of use is as a fertilizer, then the substance is not a 

byproduct in the first place, and the provisions at 40 CFR 720.30(g) are inapplicable. 

• Regarding 40 CFR 720.30(g)(3), individual component chemical substances extracted 

from a byproduct are reportable substances if they are extracted for a commercial 

purpose, even if the manufacture of the byproduct itself is not reportable pursuant to 

720.30(g). 

A “component chemical substance” means a chemical substance that already exists in the 

byproduct. If the recycling process involves breaking chemical bonds or forming new 

chemical bonds to convert a chemical substance in the byproduct into a different 

chemical substance (which is then extracted), then the recycling process does not count as 

extracting a component chemical substance of the byproduct. Note: In circumstances 

Is there a distinction for CDR 

byproduct reporting when it is 

burned for fuel or incinerated as a 

waste? 

Any distinction between burning a 

byproduct as a fuel or incinerating it 

as a waste is generally not relevant 

under the CDR. This is because the 

CDR exempts both byproducts 

whose “only commercial purpose” is 

for burning as a fuel (40 CFR 

720.30(g)(1)), and byproducts that 

are “not used for commercial 

purposes” (40 CFR 720.30(h)(2)). 

This latter category would include 

incineration, solely for destruction. 
Chapter 2.0 Reporting Requirements 

2-6

where other substances in the byproduct are chemically reacted in order to facilitate the 

separation of a desired component chemical substance, such that the component chemical 

substance itself is not chemically changed before being extracted, then the process does

constitute an extraction of the unchanged component chemical substance. 

Note: Small businesses are generally not required to report information under CDR. See Section 

2.2.2 for discussion of the small manufacturer exemption. 

Figure 2-2 presents a decision logic diagram to assist you in determining whether your 

byproduct chemical substance is subject to the CDR rule. 
Chapter 2.0 Reporting Requirements 

2-7

Figure 2-2. Decision Logic Diagram for Evaluating Whether a Byproduct Chemical 

Substance is Subject to the CDR Rule

You should note that your byproduct may have a separate commercial purpose even if 

you do not intentionally commercialize it. You may be sending the byproduct, which you 

consider a waste, to another person or site. If that other person or site uses your byproduct in 
Chapter 2.0 Reporting Requirements 

2-8

such a manner that it has a commercial purpose, then you are potentially required to report the 

byproduct for purposes of CDR (assuming you meet other reporting requirements such as 

production volume and the chemical substance is not otherwise exempted from reporting). 

It is important to properly identify your byproduct chemical substance. Such chemical 

substances are often chemical combinations of variable or complex composition, and as such can 

be identified as a single chemical substance that represents the process stream. Complex 

chemical substances are listed on the TSCA Inventory as chemical substances of Unknown or 

Variable composition, Complex reaction products and Biological materials (“UVCB” chemical 

substances). In such cases, it is not necessary to determine the volumes of the individual 

chemical substances that comprise the UVCB chemical substance; rather, the single UVCB 

chemical substance name is proper. Further information on UVCB chemical substances is 

available on the EPA website at http://www.epa.gov/oppt/newchems/pubs/uvcb.txt. 

For more information on byproduct reporting, including naming byproducts, see the examples 

below, and the Q&A document: Recycling and the TSCA Chemical Substance InventoryPremanufacture Notification and Chemical Data Reporting Requirements available in the docket 

and also at http://www.epa.gov/cdr or http://www.epa.gov/iur. 

A byproduct that is manufactured for a commercial purpose and, after manufacture, is 

used for a separate commercial purpose, may be excluded from reporting under CDR by 40 CFR 

720.30(g)(2). 40 CFR 720.30(g)(2) states that if the byproduct’s only commercial purpose is for 

use by public or private organizations that dispose of it as a waste, including in a landfill or for 

enriching soil, the byproduct is exempt from being reported under CDR. 

Examples 2-2 and 2-3 describe manufacturers that may be subject to RCRA requirements and 

how the 720.30(g)(2) byproduct exemption applies in these circumstances. 

Example 2-1. Efforts to comply with other Federal, state, or municipal rules, such as the use of 

pollution control devices, may also result in the manufacture of reportable chemical substances. 

For example, an energy company may operate a sulfur recovery plant as a pollution control 

device to minimize sulfur oxides emissions. The sulfur recovery plant generates elemental sulfur, 

a chemically different chemical substance from sulfur oxides. The sulfur therefore has been 

manufactured for a commercial purpose because it is a chemical substance formed from the 

byproduct sulfur oxides emissions, which is an activity conducted for the commercial purpose of 

operating a power plant. If the elemental sulfur is then used for a commercial purpose (other than 

those listed in 40 CFR 720.30(g)), the energy company may incur reporting obligations under the 

CDR rule for the byproduct sulfur oxides as well as for the sulfur.
Chapter 2.0 Reporting Requirements 

2-9

If your byproduct is manufactured (including imported) for commercial purposes, and it 

is subsequently put to use for a commercial purpose other than those listed in 40 CFR 720.30(g), 

you may be required to report this chemical substance and should evaluate Question B on Figure 

2-1 (see also Section 2.1.2). 

Impurities

An impurity is a chemical substance which is unintentionally present with another 

chemical substance (40 CFR 704.3). Although impurities may be produced for the purpose of 

obtaining a commercial advantage because they are part of the manufacture of a chemical 

product for a commercial purpose, they are not manufactured for distribution in commerce as 

chemical substances per se and have no commercial purpose separate from the chemical 

substance, mixture, or article of which they are a part. Thus a chemical substance that is 

manufactured or imported solely as an impurity is not subject to the CDR reporting 

requirements. See 40 CFR 720.30(h)(1). 

2.1.2 Is Your Chemical Substance on the TSCA Inventory? (Question B) 

 The following subsections provide information to help you determine whether your 

chemical substance is listed on the TSCA Inventory. 

2.1.2.1 What is the TSCA Inventory?

 Authorized by section 8(b) of TSCA, the TSCA Inventory is a list of chemical substances 

manufactured (including imported) for commercial purposes in the United States. The TSCA 

Inventory was compiled originally in the late 1970s; chemical substances have been added 

continually through EPA’s New Chemicals Program. EPA keeps a Master Inventory File, which 

Example 2-3. Company ABC manufactures Byproduct X, which is not considered a RCRA solid 

waste because it serves as a feedstock to produce a zinc fertilizer and meets the requirements of 

40 CFR 261.4(a)(20) (i.e., it is a hazardous secondary material used to make zinc fertilizers). The 

zinc fertilizer that is produced meets the requirements of 40 CFR 261.4(a)(21). Byproduct X is 

not being disposed of as a waste and therefore does not meet the CDR byproduct exemption at 40 

CFR 720.30(g)(2). Company ABC is subject to reporting under the CDR, respecting the 

manufacture of its byproduct. 

 Example 2-2. Company ABC manufactures a byproduct. The byproduct does not qualify as a 

RCRA hazardous waste and does not meet the requirements of any exemption in 40 CFR 261.4. 

The manufacturer wishes to dispose of the byproduct, which can be used to enrich soil (e.g., to 

change the soil properties in a desirable way like serving as a filler to make the soil less dense or 

enhancing moisture retention). Company ABC provides this byproduct to another person who 

then disposes of it as a waste by spreading it on land to enrich the soil. If this disposal of the 

byproduct is the byproduct’s sole commercial use, the byproduct qualifies for the CDR reporting 

exemption under 40 CFR 720.30(g)(2). Company ABC is not subject to reporting under the 

CDR, respecting the manufacture of its byproduct. 
Chapter 2.0 Reporting Requirements 

2-10

is the authoritative list of all the chemical substances reported to EPA for inclusion on the TSCA 

Inventory. Free access to the non-confidential portion of the TSCA Inventory file, commonly 

referred to as the “public TSCA Inventory,” is available at 

http://www.epa.gov/oppt/existingchemicals/pubs/tscainventory/index.html. The public TSCA 

Inventory contains chemical substances for which the identity is not considered confidential and 

the generic identification of chemical substances for which the specific identity has been claimed 

as TSCA confidential business information (CBI). The TSCA Inventory status of chemical 

substances can also be determined from EPA’s Substance Registry Services (SRS), available at 

http://www.epa.gov/srs. See Section 2.1.3 for information about chemical substances that may 

be potentially exempt from reporting. 

2.1.2.2 How Do You Determine Whether a Chemical Substance is Listed on the 

TSCA Chemical Substance Inventory?

 The following methods may help you determine whether your chemical substance is 

listed on the TSCA Inventory: 

• Locate the chemical substance on the public section of the TSCA Inventory (see Chapter 7 for 

information on obtaining the TSCA Inventory); 

• Search SRS for information on the TSCA Inventory listing status; 

• Search company records to determine whether the chemical substance was previously 

reported to EPA under CDR; 

• Search company records for a commenced PMN or other communication with EPA that 

confirmed the chemical substance was on the TSCA Inventory; and 

• Search company records for a Notice of Commencement of manufacture or import for a PMN 

substance that was submitted to EPA. 

 Several commercial databases have incorporated the public section of the TSCA 

Inventory (which excludes chemical substances with confidential identities) and can indicate 

whether a given chemical substance is listed on that portion of the TSCA Inventory. Because 

these databases are not generated or reviewed by EPA, the Agency cannot guarantee the 

accuracy of the information. If you use a commercial database that fails to include all reportable 

chemical substances and, as a result, you fail to 

report information for these chemical substances, 

you may be in violation of TSCA (40 CFR 

711.1(c)). 

 The CDR reporting related to mixtures and 

UVCB substances (chemical substances that are 

of Unknown or Variable composition, Complex 

reaction products, or Biological materials) 

requires careful consideration by submitters. 

Whenever a submitter has manufactured or 

imported a combination of several chemicals, the 

Hydrates are mixtures of the 

corresponding non-hydrated chemical 

substance and water and, therefore, are 

not listed on the TSCA Inventory. Note 

that you may be required to report the 

corresponding non-hydrated component 

chemical substance. Adjust the reported 

production volume to exclude water. 
Chapter 2.0 Reporting Requirements 

2-11

submitter must first determine whether for TSCA purposes it is a mixture or a single UVCB 

chemical substance. A mixture is any combination of chemicals that meets the statutory 

definition of “mixture” at TSCA section 3(8). (See Appendix A). Mixtures are not reported to 

CDR – rather the mixture's component chemical substances, the chemical substances that make it 

up, are potentially subject to reporting, as described below. A UVCB substance is an indefinite 

combination of chemicals, that does not meet the statutory definition of “mixture” at TSCA 

section 3(8), whose number and individual identities and/or composition are not precisely or 

completely known. A UVCB combination of chemicals is subject to reporting under CDR and is 

considered a single chemical substance. Generally, the determination of whether a combination 

of chemicals is a mixture or a UVCB substance is made by the time that substance has been 

commercialized and, as such, would be clear early in the CDR process. The following discussion 

is presented with this generality in mind. 

• If you imported a mixture, you will need to report the individual chemical components of 

the mixture to the extent that your total volume for the individual chemical substance 

triggers reporting (i.e., generally, to the extent that such volume reaches the 25,000 lb 

threshold). 

• If you domestically manufactured a mixture, you will need to determine whether any 

chemical substances were formed from a chemical reaction that occurred as part of 

manufacturing the mixture. If a chemical reaction has occurred, a chemical substance 

formed from the chemical reaction may be subject to reporting, based on its production 

volume or the applicability of other exemptions. If a chemical reaction has not occurred, 

you have not manufactured any reportable chemical substances in the production of the 

mixture. In such a case, the production of the mixture has not triggered any CDR 

reporting requirement. 

• Domestic manufacturers and importers should also consider whether the combination of 

the chemicals they have domestically manufactured or imported (respectively) should be 

chemically identified for TSCA purposes as a single UVCB chemical substance instead 

of a mixture. 

EPA has developed two Inventory nomenclature guidance documents related to the mixtureUVCB determination titled: (1) Toxic Substances Control Act Inventory Representation For 

Chemical Substances Of Unknown Or Variable Composition, Complex Reaction Products And 

Biological Materials: UVCB Substances. Available on-line at: 

http://www.epa.gov/oppt/newchems/pubs/uvcb.txt; (2) Toxic Substances Control Act Inventory 

Representation For Combinations Of Two Or More Substances: Complex Reaction Products. 

Available on-line at: http://www.epa.gov/oppt/newchems/pubs/rxnprods.txt. 

Example 2-4. Company X manufactures 100,000 lb of magnesium sulfate heptahydrate,

which is considered under TSCA to be a mixture of magnesium sulfate and water. The nonhydrous portion of the magnesium sulfate heptahydrate mixture, magnesium sulfate, 

constitutes 48,838 lb, which exceeds the 25,000 lb threshold. Therefore, Company X is 

required to report 48,838 lb of magnesium sulfate under the CDR rule. 
Chapter 2.0 Reporting Requirements 

2-12

In the event that you are not able to find your chemical substance on the TSCA 

Inventory, contact the TSCA Hotline at (202) 554-1404 for assistance to determine whether 

reporting is required. If your chemical substance is on the TSCA Inventory, you should review 

Question C on Figure 2-1 (Section 2.1.3) to determine whether you qualify for any other 

reporting exemptions. 

2.1.3 Is Your Chemical Substance Potentially Exempt from Reporting? (Question C) 

 Five groups or categories of chemical substances, though included on the TSCA 

Inventory, are largely exempt from reporting under the CDR rule. These groups are polymers, 

microorganisms, certain forms of natural gas, naturally occurring chemical substances, and 

water. Sections 2.1.3.1 through 2.1.3.5 provide more details for each group of chemical 

substances. You may also refer to 40 CFR 711.6(a) for precise definitions of these groups. Note, 

however, that these exempted chemical substances (except for chemical substances that are 

exempted because they are naturally occurring) become subject to reporting again if they are the 

subject of any of certain TSCA actions. Section 2.1.4 provides details for when the exemption 

does not apply. Note that the act of importing does not change the identity of a chemical 

substance or group. For example, a naturally occurring chemical substance remains naturally 

occurring when it is imported. 

 To help identify chemical substances 

that are exempt from reporting under the 

CDR rule, EPA has labeled most of these 

chemical substances on the TSCA Inventory 

with the letters “XU.” In the SRS, most of 

these chemical substances are identified as 

being “TSCA IUR Exempt” under the 

Statutes/Regulations heading. Note that you 

are advised to use both these indicators only as a guide; submitters are responsible for verifying 

exemptions. Also note that if a chemical substance marked with “XU” or identified as being 

“TSCA IUR Exempt” subsequently becomes the subject of any of certain TSCA actions, the 

chemical substance is subject to the reporting requirements notwithstanding the “XU” or “TSCA 

IUR Exempt” indicator. If a chemical substance is not marked “XU” or “TSCA IUR Exempt,” 

and 40 CFR 711.6 does not provide sufficient guidance to determine whether the chemical 

substance is exempt, contact the TSCA Hotline at (202) 554-1404 for assistance. Due to the 

change from IUR to CDR, EPA anticipates that the “TSCA IUR Exempt” identification flag will 

change to “TSCA CDR Exempt.” 

 If your chemical substance is not in one of the following five categories of chemical 

substances, it is a CDR reportable chemical substance and you should review STEP II of the 

reporting requirements (Section 2.2, Figure 2-3). If your chemical substance is in one of the five 

categories, you should review Question D (Section 2.1.4). 

2.1.3.1 Polymers

Polymers are typically exempt from CDR reporting. The CDR definition of polymer is 

sufficiently broad to include virtually all those chemical substances that are generally considered 

Polymers, microorganisms, certain 

forms of natural gas, and water are not 

exempted from reporting when they are 

the subject of any of certain TSCA 

actions. See Section 2.1.4 for more 

details. 
Chapter 2.0 Reporting Requirements 

2-13

polymers. The definition also includes siloxanes and silicones, silsesquioxanes, rubber, lignin, 

polysaccharides (such as starch and gums), proteins (such as gelatin and hemoglobin), and 

enzymes. However, for chemical substances that result from hydrolysis, depolymerization, or 

chemical modification of polymers, regardless of the extent of these processes, if the final 

products are no longer polymeric (e.g., a mixture of amino acids that is the result of hydrolysis of 

a polypeptide), the chemical substances are not considered to be polymers and must be reported 

if not otherwise excluded (40 CFR 711.6(a)(1)). See Appendix A or 40 CFR 711.6(a)(1) for the 

specific definition of polymers for purposes of the CDR rule. 

2.1.3.2 Microorganisms

 Microorganisms are exempt from CDR reporting. A microorganism is any combination 

of chemical substances that is a living organism and that meets the definition of 

“microorganism” at 40 CFR 725.3. Any chemical substance produced from a living 

microorganism is reportable unless otherwise excluded (40 CFR 711.6(a)(2)). 

2.1.3.3 Certain Forms of Natural Gas

 Table 2-1 identifies certain forms of natural gas that are exempt from CDR reporting (see 

40 CFR 711.6(a)(4)). 

Table 2-1. Chemical Substances Covered by the Exemption for Certain Forms of Natural 

Gas 

Form of Natural Gas CAS Registry Number 

Natural gas (petroleum), raw liquid mix 64741-48-6 

Natural gas condensates 68919-39-1 

Gasoline natural 8006-61-9 

Gasoline (natural gas), natural 68425-31-0 

Natural gas 8006-14-2 

Natural gas, dried 68410-63-9 

2.1.3.4 Naturally Occurring Substances

 Chemical substances that are described in 40 CFR 710.4(b) of the TSCA Inventory 

Reporting Regulations are considered “naturally occurring.” Such chemical substances are not 

reportable under CDR if the chemical substance is produced solely by means described in section 

710.4(b). Examples of chemical substances that are typically naturally occurring materials are 

raw agricultural commodities, water, air, crude oil, rocks, ores, and minerals. However, because 

the section 710.4(b) exemption is process-specific rather than chemical-specific, if you 

manufacture any chemical substance in a manner other than just as described in section 710.4(b), 

you are required to report it unless it is otherwise exempted (40 CFR 711.6(a)(3)). For this 

reason, minerals and certain agricultural products are sometimes considered not to be naturally 

occurring because of the means by which they are produced or isolated. Whether a chemical 

substance is considered “naturally occurring” depends on the manner in which it is produced and 
Chapter 2.0 Reporting Requirements 

2-14

isolated. Table 2-2 presents some examples of evaluating chemical substances for the naturally 

occurring chemical substance exemption. 

Table 2-2. Examples of Evaluating Chemical Substances for the Naturally Occurring 

Exemption (40 CFR 711.6(a)(3)) 

y Calcined clays formed by heating naturally occurring clay typically must be reported because such heating is 

generally not done solely to remove water; a chemical change is primarily intended. 

y Chemical substances that are removed/isolated from nature by physical or natural means are typically 

considered to be “naturally occurring.” Using water to extract a chemical substance from a naturally occurring 

chemical substance is considered a natural means of removal. However, using any other solvent is not 

considered a natural means of removal and would result in the extracted chemical substance being potentially 

subject to reporting. 

y In an electrostatic separation, small particles are removed from a liquid or gas stream. The process is 

essentially analogous to gravitational separation. Chemical substances that are processed by this means are 

considered to be “naturally occurring.” 

y Mined coal is typically included in the naturally occurring chemical substances category. 

y Ammonia and nitric acid are generally produced by chemical synthesis and are, therefore, generally not 

considered to be “naturally occurring.” 

2.1.3.5 Water

 Water, including both naturally occurring water and manufactured water (CASRN 7732-

18-5), is exempt from CDR reporting. While naturally occurring water has always been exempt, 

the exemption for manufactured water is in effect for 2012 reporting. 

2.1.4 Is Your Chemical Substance Ineligible for an Exemption Due to Its TSCA 

Regulatory or Enforceable Consent Agreement Status? (Question D) 

 With the exception of naturally occurring chemical substances, chemical substances must 

be reported if they are the subject of any of the following (even if the chemical substance is 

otherwise exempt): 

• A rule proposed or promulgated under Sections 4, 5(a)(2),5(b)(4), or 6 of TSCA; 

• An order issued under TSCA Sections 5(e) or 5(f); 

• Relief that has been granted under a civil action under TSCA Sections 5 or 7; or 

• An enforceable consent agreement (ECA) under 40 CFR Part 790. 

(40 CFR 711.6) 

Example 2-5. Company A manufactured 35,000 lb of Chemical X, a polymer, in 2010. 

Chemical X is part of an enforceable consent agreement (ECA) between EPA and Company 

A, in which Company A is performing additional testing on Chemical X. Although Chemical 

X is a polymer that normally would be exempt from CDR reporting, it is part of an ECA and, 

thus, Company A is required to report Chemical X for the 2012 CDR. Additionally, Company 

B manufactures 40,000 lb of Chemical X in 2011. Although Company B is not a party to the 

ECA, Company B is also required to report Chemical X for the 2012 CDR. 
Chapter 2.0 Reporting Requirements 

2-15

Appendix B provides assistance in determining which chemical substances are included 

in these groups. However, if you are unable to determine whether the specific chemical 

substance you manufacture (including import) is listed in Appendix B, you can contact the 

TSCA Hotline at (202) 554-1404 or tsca-hotline@epa.gov. If you have determined that your 

chemical substance is a CDR reportable chemical substance, evaluate Step II on Figure 2-3 to 

determine whether you are a manufacturer (including importer) who is required to report. 

2.2 Step II: Are You a Manufacturer Who Is Required to Report? 

 If you determined from Step I that you manufacture (including import) a CDR reportable 

chemical substance, Figure 2-3 presents a decision logic diagram that may help you determine 

whether you are a manufacturer (including importer) who must report. The following 

subsections explain each question in greater detail. 
Chapter 2.0 Reporting Requirements 

2-16

Figure 2-3. Decision Logic Diagram for Evaluating Step II 

YOU DO 

NOT 

NEED TO 

REPORT. 

YOU MUST REPORT. 

Evaluate STEP III. 

Yes 

Yes 

No 

No 

STEP II: 

Are you a manufacturer who is required to report? 

Yes 

Yes No 

No 

E. Did you 

manufacture (including 

import) 25,000 lb or 

more of the chemical 

substance at a single 

site during the principal 

reporting year? 

F. Do you qualify 

for a small 

manufacturer 

exemption? 

(40 CFR 711.9)

G. Did you 

manufacture a 

chemical substance 

subject to reporting 

due to its TSCA 

regulatory status? 

(40 CFR 711.9)

H. Do you qualify 

for any other 

reporting 

exemptions? (see 

Section 2.2.4) 
Chapter 2.0 Reporting Requirements 

2-17

2.2.1 Did You Manufacture (Including Import) 25,000 lb or More of the Chemical 

Substance at a Single Site During the Principal Reporting Year? (Question E) 

 You are subject to CDR reporting if you manufactured (including imported) a chemical 

substance in production volumes of 25,000 lb or greater at any single site you owned or 

controlled during the principal reporting year. For the 2012 CDR, the principal reporting year is 

2011. If you both domestically manufacture and import the same chemical substance, add the 

domestically manufactured and imported volumes at each site for calendar year 2011 to 

determine whether the amount of the chemical substance meets or exceeds the 25,000 lb 

threshold. Do not subtract the volume of chemical substance directly exported. The site at which 

a chemical substance is imported is described in 40 CFR 711.3 and 4.4.1 of this document. 

 Table 2-3 provides examples of how the production volume reporting requirement 

applies. 

Table 2-3. Production Volume Threshold Examples 

Description 2011 Reporting Requirement 

Company A, which has only one manufacturing site, 

manufactured 26,000 lb of Chemical X, which is not exempt 

from reporting, at its site in 2011. 

Company A must report for Chemical X because it 

manufactured 25,000 lb or more of Chemical X at 

its sole manufacturing site in 2011. 

Company B, which has only one manufacturing site, 

manufactured 26,000 lb of Chemical X at its site in 2009 and 

20,000 lb of Chemical X in 2011. 

Company B is not required to report for Chemical X 

because it manufactured less than 25,000 lb of 

Chemical X in 2011. 

Company C has two manufacturing sites for Chemical X. In 

2011, Site 1 manufactured 13,000 lb of Chemical X and Site 

2 manufactured 15,000 lb of Chemical X. 

Company C is not required to report for Chemical X 

at either site because 2011 production was less than 

25,000 lb at each site. 

Company D has two manufacturing sites for Chemical X. In 

2011, Site 1 manufactured 10,000 lb of Chemical X and Site 

2 manufactured 150,000 lb of Chemical X. 

Company D must report for Chemical X at Site 2 

because at this location production was 25,000 lb or 

more in 2011. Company D is not required to report 

for Chemical X for Site 1 because 2011 production 

was less than 25,000 lb. 

Company E has one site where it imports and manufactures 

Chemical X. Company E manufactured 21,000 lb of 

Chemical X and imported 5,000 lb of Chemical X in 2011. 

Company E must report for Chemical X because the 

aggregate volume produced at and imported by its 

site in 2011 was 25,000 lb or more. 

Company F has one site where it manufactured 30,000 lb of 

Chemical X in 2011. The company directly exported 25,000 

lb of Chemical X and sold the remaining 5,000 lb in the 

United States. 

Company F must report for Chemical X because it 

manufactured over 25,000 lb in 2011. The amount 

directly exported does not affect the determination 

of the need to report. 

Meeting the 25,000 lb Threshold for Chemical Substances in Mixtures 

 In many cases, reportable chemical substances are components of a mixture. Although 

mixtures themselves are not reportable, the 25,000 lb threshold is applicable for each CDR 
Chapter 2.0 Reporting Requirements 

2-18

reportable chemical substance comprising a mixture; therefore, the chemical substances making 

up a mixture may individually be reportable. If you manufacture chemical substances as part of a 

mixture, you would determine your CDR reporting requirements by following Questions A-E 

(Sections 2.1.1 through 2.2.1) for each chemical substance in the mixture. As described in 

section 2.1.2.2, hydrates are mixtures of the corresponding non-hydrated chemical substance and 

water. 

 UVCB Chemical Substances: Note that, under TSCA, a complex combination of 

chemical substances is in most cases considered to be a single UVCB chemical substance. In 

such cases, reporting is triggered based on the volume of the UVCB chemical substance 

manufactured (that is, the whole entity), and not based on the volume of individual chemical 

components which may be present in the UVCB chemical substance. See Section 2.1.1.2 for 

further discussion of UVCB chemical substances. 

 Imported Mixtures: As an importer (see 40 CFR 704.3) of a mixture of chemical 

substances listed on the TSCA Inventory, you must determine whether the individual component 

chemical substances of a mixture are reportable. To do so, you would determine whether the 

annual aggregated volume of a particular reportable chemical substance was 25,000 lb or more at 

the site that controls the importation. The 25,000 lb threshold is applicable for each CDR 

reportable chemical substance in a mixture. You can determine the production volume for each 

chemical substance in the mixture that you imported during a particular calendar year by using 

the weight and percent composition of the chemical substance in the mixture. For each imported 

chemical substance, you would aggregate the volume of the chemical substance in all annual 

imports associated with the reporting site as defined in 40 CFR 711.3 and add the amount of the 

chemical substance domestically manufactured at the same site, if any, to determine whether the 

total volume of the chemical manufactured (including imported) meets the 25,000 lb threshold. 

Note that a chemical substance that is imported solely in small quantities for research and 

development, as an impurity, or as part of an article or in a manner described in 40 CFR 

720.30(g) and (h) is not subject to the CDR reporting requirements (40 CFR 711.10). 

 

 If you have determined that you are manufacturing a CDR reportable chemical substance 

and meet the reporting threshold of 25,000 lb, evaluate Question F to determine whether you 

qualify for a small manufacturer exemption. 

2.2.2 Do You Qualify For a Small Manufacturer Exemption? (Question F) 

 You qualify as a small manufacturer if you meet either of the following criteria (40 CFR 

704.3): 

• Your total sales during 2011, combined with those of your parent company, domestic or 

foreign (if any), are less than $4 million regardless of annual production volume. 

• Your total sales during 2011, combined with those of your parent company, domestic or 

foreign (if any), are less than $40 million and your annual production volume of that chemical 

substance does not exceed 100,000 lb at any individual plant site. If the annual production 

volume of the chemical substance at any of your sites is more than 100,000 lb, you are 

required to report only for those sites. Note that under this criterion, it is possible to qualify as 
Chapter 2.0 Reporting Requirements 

2-19

a small manufacturer with respect to some chemical substances and not others or with respect 

to some sites and not others. 

 For purposes of the definition of a small manufacturer, total annual sales include all sales 

of the company, not just the total sales of a given chemical substance. 

 If you have determined that you are a small manufacturer of a CDR reportable chemical 

substance, evaluate Question G (described in the next section) to determine whether you are 

exempt from any reporting. 

If you do not qualify for a small manufacturer exemption, evaluate Question H in Figure 

2-3 (further described in Section 2.2.4) to determine whether you qualify for any other reporting 

exemptions. 

2.2.3 Did You Manufacture a Chemical Substance Subject to Reporting Due to Its TSCA 

Regulatory Status? (Question G) 

 Small manufacturers are exempt from CDR requirements unless they manufacture 

(including import) a chemical substance that is the subject of a rule proposed or promulgated 

under sections 4, 5(b)(4), or 6 of TSCA, or is the subject of an order in effect under section 5(e) 

of TSCA, or is the subject of relief that has been granted under a civil action under sections 5 or 

7 of TSCA (40 CFR 711.9) and (TSCA § 8(a)(3)(A)(ii)). Appendix B provides assistance with 

determining which chemical substances fall into these groups. 

Table 2-4 provides examples of how the small manufacturing exemption applies. 
Chapter 2.0 Reporting Requirements 

2-20

Table 2-4. Small Manufacturer Exemption Examples (40 CFR 711.9) 

Description 2012 Reporting Requirement 

Site 1, which is one of several sites owned by Company A, 

had a production volume of 120,000 lb of Chemical X in 

2011. The total annual sales of Company A (all sites 

combined) were $1.25 million in 2011. 

Site 1 is not required to report for Chemical X 

because combined sales in 2011 did not exceed $4 

million. 

Site 2, which is one of several sites owned by Company B, 

had a production volume of 90,000 lb of Chemical X in 

2011. The total annual sales of Company B (all sites 

combined) were $20 million in 2011. None of the other sites 

produce Chemical X. 

Site 2 is not required to report for Chemical X 

because annual production volume of that chemical 

substance did not exceed 100,000 lb at any of 

Company B’s sites, and Company B had total 

annual sales of less than $40 million. 

Site 3, which is one of several sites owned by Company C, 

had a production volume of 200,000 lb of Chemical X in 

2011. Site 4, another site owned by Company C, had a 

production volume of 75,000 lb of Chemical X in 2011. The 

total annual sales of Company C (all sites combined) were 

$30 million in 2011. 

Company C must report for Chemical X at Site 3 

because annual production volume at Site 3 

exceeded 100,000 lb. Company C is not required to 

report for Chemical X at Site 4 because annual 

production volume at site 4 did not exceed 100,000 

lb and total annual sales was less than $40 million. 

Site 5, which is one of several sites owned by Company D, 

had a production volume of 50,000 lb of Chemical X in 

2011. The total annual sales of Company D (all sites 

combined) were $100 million in 2011. 

Company D must report for Chemical X at Site 5 

because total annual sales in 2011 exceeded $40 

million and the production volume of Chemical X 

at Site 5 exceeded 25,000 lb. 

Site 6, which is one of several sites owned by Company E, 

had a production volume of 120,000 lb of Chemical X in 

2011. The total annual sales of Company E (all sites 

combined) were $1.25 million in 2011. Chemical X is 

subject to a section 4 test rule. 

Site 6 is required to report for Chemical X. Even 

though combined sales are less than $4 million, this 

chemical substance is subject to a test rule and 

therefore must be reported. 

2.2.4 Do You Qualify for Any Other Reporting Exemptions? (Question H) 

 If you manufacture a reportable chemical substance solely under the following 

circumstances, you are not required to report for those chemical substances under the CDR rule: 

• The chemical substance is manufactured solely in small quantities for research and 

development (40 CFR 711.10(a)). 

• The chemical substance is imported as part of an article (40 CFR 711.10(b)). An article is 

defined in 40 CFR 704.3 as “a manufactured item (1) which is formed to a specific shape or 

design during manufacture, (2) which has end-use function(s) dependent in whole or in part 

upon its shape or design during end use, and (3) which has either no change of chemical 

composition during its end use or only those changes resulting in composition which have no 

commercial purpose separate from that of the article, and that result from a chemical reaction 

that occurs upon end use of other chemical substances, mixtures, or articles; except that fluids 

and particles are not considered articles regardless of shape or design.” EPA considers 

imported items articles if they are manufactured in a specific shape or design for a particular 

end-use application and this design is maintained as an essential feature in the finished 

product. Thus, EPA views materials such as metal or plastic sheets, wire, coated fabric, rolled 

carpet, sheets of plywood, and other similar materials as articles, even if, for example, 

subsequent to import they are rolled or drawn thinner, cut, printed, laminated, or 
Chapter 2.0 Reporting Requirements 

2-21

thermoformed, provided they meet the above definition. Chemical substances that are part of 

such articles are not subject to reporting under the CDR rule. If the shape of an item does not 

serve a function with respect to the item’s end use (e.g., it is imported in a particular shape for 

the sake of shipping convenience) then it would not be considered an article. Thus, chemical 

substances that are part of items not considered by EPA as articles, such as metal ingots, 

billets, and blooms are subject to reporting under the CDR rule. 

• The chemical substance is manufactured as an impurity, a non-isolated intermediate, or under 

any of the other circumstances identified in 40 CFR 720.30(g) and (h). (40 CFR 711.10(c)) 

• If between February 1, 2011, and January 31, 2012, you submitted all of the information 

required by the CDR rule in response to another rule promulgated under section 8(a) of TSCA 

(such as the Preliminary Assessment Information Reporting (PAIR) rule at 40 CFR Part 717, 

Subpart B), you are not required to report the same information under CDR for the same 

chemical substance during 2012 (40 CFR 711.22(a)). 

Table 2-5 presents examples of these circumstances. 

Table 2-5. Examples of Manufacturing/Importing Activities Under Circumstances Which 

Do/Do Not Require Reporting 

Description 2012 Reporting Requirement 

Company A manufactures 400,000 lb of a chemical 

intermediate called Chemical X during the production of a 

polymer. Chemical X is manufactured in Reactor 1 and is 

subsequently entirely consumed when reacted with other 

chemicals. Chemical X never leaves Reactor 1, except for 

sampling purposes. 

Company A does not need to report Chemical X 

because it is considered to be a non-isolated 

intermediate and is therefore fully exempt. 

Company B manufactures 400,000 lb of a chemical 

intermediate called Chemical Y during the production of a 

polymer. Chemical Y is manufactured in Reactor 1 and 

transferred to a storage tank until needed. Chemical Y is 

then transferred to Reactor 2 where it is mixed with other 

reactants to form the desired polymer, at which point 

Chemical Y is destroyed. Chemical Y never leaves this 

production site. 

Company B is required to report Chemical Y. 

When Chemical Y was transferred to the storage 

tank, it was isolated, and, thus, does not meet the 

definition for “non-isolated intermediate.” 

Company C imports 10 million lb of Chemical Z in the form 

of thin sheets. Company C cuts these sheets into the desired 

size and shape, which are sold to consumers. 

Company C is not required to report Chemical Z 

because it is considered to be an article and 

therefore exempt from reporting. 

Company D imports 10 million lb of Chemical W in the 

form of pellets. Company D subsequently melts and molds 

Chemical W into the desired shape, which is sold directly to 

consumers. 

Company D is required to report Chemical W 

because it imported pellets whose shape or design 

when imported was not related to their end use. 

Company D domestically manufactures 10 million lb of 

Chemical W. Company D subsequently sells Chemical W to 

Company E in the form of pellets. Company E melts and 

molds the pellets. 

Company D is required to report as the 

manufacturer of Chemical W. Company E is not 

required to report because it is neither 

manufacturing nor importing Chemical W. 

If you manufacture a CDR reportable chemical substance in quantities greater than 

25,000 lb and do not qualify for any reporting exemptions, you should evaluate Step III, 
Chapter 2.0 Reporting Requirements 

2-22

described in the following section, to determine what information you must report for your 

chemical substance. 

2.3 Step III: What Information Must You Report? 

 Once you determine from Steps I and II that you are a manufacturer (including importer) 

of a CDR reportable chemical substance and are required to report, this section will help you 

determine what information you must report. 

 You are required to report the information described in 40 CFR 711.15(b)(1), (b)(2), and 

(b)(3) in Parts I and II of Form U. Basic company and site identification information is required 

by 40 CFR 711.15(b)(1) and (b)(2). Chemical identification and information pertaining to the 

manufacture (including import) of chemical substances is required by 40 CFR 710.15(b)(3). 

Note that the basic company and site information is reported once per site while the 

manufacturing information is reported separately for each reportable chemical substance at the 

site. 

 Figure 2-4 presents a decision logic diagram to assist you in determining the CDR 

information you must report. The following subsections explain each question in greater detail. 
Chapter 2.0 Reporting Requirements 

2-23

Figure 2-4. Decision Logic Diagram for Evaluating Step III 

No 

No 

STEP III: 

What information must you report? 

Yes 

No 

Complete 

Parts I and 

II only. 

L. Is your chemical 

substance listed as a 

chemical for which 

there is low current 

interest in the CDR 

processing and use 

information? (40 CFR 

711.6(b)(2)(iv))

J. Is your chemical 

substance subject 

to full reporting 

due to its TSCA 

regulatory or 

consent agreement 

status? (40 CFR 

711.6)

Yes 

Yes 

K. Is your 

chemical substance 

listed as a 

petroleum process 

stream? (40 CFR 

711.6(b)(1)) 

Complete Parts I, II, and III of Form U 

I. Did you manufacture 

(including import) 

100,000 lb or more of 

the chemical substance 

at a single site during 

the principal reporting 

year? (40 CFR

711.15(b)(4)

Yes 

No 
Chapter 2.0 Reporting Requirements 

2-24

2.3.1 Did You Manufacture (Including Import) 100,000 lb or More of the Chemical 

Substance During the Principal Reporting Year? (Question I) 

 If you manufacture (including import) 100,000 lb or more of a reportable chemical 

substance at a single site in calendar year 2011, you must also report the information described in 

40 CFR 711.15(b)(4) in Part III of Form U for that chemical substance. This information 

describes the industrial processing and use, and consumer and commercial uses of the chemical 

substance. Table 2-6 provides some examples of when industrial processing and use information 

and commercial and consumer use information must be reported. 

 If you have determined that you are manufacturing a CDR reportable chemical substance 

that meets the reporting threshold of 100,000 lb, evaluate Question J to determine whether you 

qualify for any partial exemptions. Manufacturers (including importers) of partially exempt 

chemical substances listed in 40 CFR 711.6(b) are not required to report processing and use 

information described in 40 CFR 711.15(b)(4) for those chemical substances, but are otherwise 

required to report the information requested on basic identity and manufacturing information 

described in 40 CFR 711.15(b)(2) and (3) for those chemical substances. 

Table 2-6. Examples of Reporting Requirements for Information Described in 40 CFR 

711.15(b)(4) 

Description 2012 Reporting Requirement 

Company A, which has only one manufacturing 

site, manufactured 100,000 lb of Chemical X, 

which is not exempt from reporting, at its site in 

2011. 

Company A must complete Parts I, II, and III for Chemical X 

because it manufactured 100,000 lb or more of Chemical X 

in 2011. 

Company B, which has only one manufacturing 

site, manufactured 100,000 lb of Chemical X at its 

site in 2010 and 50,000 pounds of Chemical X in 

2011. 

Company B is not required to complete Part III for Chemical 

X because it manufactured less than 100,000 lb of Chemical 

X in 2011. Company B must complete Parts I and II for 

Chemical X. 

Company C has two manufacturing sites for 

Chemical X. In 2011, Site 1 manufactured 40,000 

lb of Chemical X and Site 2 manufactured 60,000 

pounds of Chemical X. 

Company C is not required to complete Part III for Chemical 

X at either site because 2011 production was less than 

100,000 lb at each site. Company C should complete Parts I 

and II for Chemical X at each site. 

Company D has three manufacturing sites for 

Chemical X. In 2011, Site 1 manufactured 10,000 

lb of Chemical X, Site 2 manufactured 30,000 lb 

of Chemical X, and Site 3 manufactured 350,000 

lb of Chemical X. 

Company D is not required to report for Chemical X for Site 

1 because 2011 production was less than 25,000 lb. Company 

D must complete Parts I and II for Chemical X at Site 2 

because at this location production was 25,000 lb or more in 

2011. Company D must complete Parts I, II, and III for 

Chemical X at Site 3 because 2011 production was 100,000 

lb or more at this location. 

Company E has one site where it imports and 

manufactures Chemical X. Company E 

manufactured 70,000 lb of Chemical X and 

imported 400,000 lb of Chemical X in 2011. 

Company E must complete Parts I, II, and III for Chemical X 

because the combined amount manufactured and imported in 

2011 was 100,000 lb or more. 

In 2011, Company F manufactured 300,000 lb of 

a liquid that contains Chemical X at 50% by 

weight. Company F manufactured Chemical X via 

a chemical reaction; it did not combine existing 

chemicals to form a mixture. 

Company F must complete Parts I, II, and III for Chemical X, 

because it manufactured 100,000 or more lb (i.e. 150,000 lb) 

of Chemical X in 2011. 
Chapter 2.0 Reporting Requirements 

2-25

2.3.2 Is Your Chemical Substance Subject to Full Reporting due to Its TSCA Regulatory 

or Consent Agreement Status? (Question J) 

 Chemical substances that are the subject of proposed or promulgated TSCA rules and/or 

orders or chemical substances that are part of certain enforceable consent agreements are not 

afforded a partial exemption (40 CFR 711.6). See Section 2.1.4 for a description of the chemical 

substances that meet these criteria. If you manufacture (including import) these chemical 

substances at quantities of 100,000 lb or more, you must report all CDR information (i.e., 

manufacturing, processing, and use information) regardless of any exemptions for which the 

chemical substance would otherwise qualify. See Appendix B for additional information about 

these chemical substances. 

 If your chemical substance is not part of a regulatory action or consent agreement, 

continue to evaluate Questions K and L as seen on Figure 2-4 and also described further in the 

following sections to determine whether your chemical substance is partially exempt. 

2.3.3 Is Your Chemical Substance Listed as a Petroleum Process Stream? (Question K) 

 Manufacturers (including importers) of certain petroleum process streams, regardless of 

the production volume, do not need to complete Part III of Form U for these chemical 

substances. The chemical substances termed “petroleum process streams” for purposes of CDR 

that are partially exempt from CDR requirements are those listed by CAS Registry Number at 40 

CFR 711.6(b)(1). Appendix C lists the exempt petroleum process streams. 

2.3.4 Is Your Chemical Substance Listed as a Chemical for Which There is Low Current 

Interest in the CDR Processing and Use Information? (Question L) 

 EPA created a partial exemption for certain chemical substances for which EPA has 

identified a low current interest in their processing and use information. The specific chemical 

substances listed at 40 CFR 711.6(b)(2)(iv) are also listed in Appendix C. 

 If your CDR reportable chemical substance manufactured (including imported) in 

quantities of 100,000 lb or more is partially exempt, you are required to report only Parts I and II 

of the reporting form. Otherwise, you are required to report Parts I, II, and III of the reporting 

form, covering manufacturing, processing, and use information for your CDR reportable 

chemical substance. Chapter 3 will help you determine when you must report this information to 

EPA. 
Chapter 2.0 When You Must Report 

3-2 3-1 

3.0 When You Must Report 

 For the 2012 reporting cycle, you are required to report information (pertaining to 

calendar year 2011 and 2010) during the 2012 submission period. The 2012 submission period 

begins February 1, 2012 and ends June 30, 2012 (40 CFR 711.20). 

 Your submissions for the 2012 reporting cycle must be submitted to EPA via the Internet 

and through EPA’s Central Data Exchange (CDX) no later than June 30, 2012. You should note 

that registration with CDX is required prior to accessing e-CDRweb to submit your CDR 

information (40 CFR 711.35). (See Chapter 6 for more information on how to report your data 

using e-CDRweb and CDX). If you are required to report, failure to file your report during this 

period is a violation of TSCA sections 8(a) and 15 and may subject you to penalties (40 CFR 

711.1(c)). 
Chapter 2.0 When You Must Report 

4-1

4.0 Instructions for Completing CDR Form U 

 This chapter will help you complete the CDR Form U. Section 4.1 describes how to 

certify your submission. Section 4.2 discusses the reporting standard – the effort required to 

comply with the CDR rule. Sections 4.3 through 4.8 provide guidance to help you complete 

each required section of Form U. 

 You are required to use the CDR reporting tool, e-CDRweb, to submit information for 

each CDR reportable chemical substance. If you are reporting information for more than one 

chemical substance at your site, you must report information for all reportable chemical 

substances on one Form U. However, you must submit a separate Form U for each site for which 

you are required to report. 

 The certification statement and Part I of Form U are completed once per reporting site. 

Parts II and III are completed for each reportable chemical substance at the site. Part IV is 

reserved for the special case of a joint submission, and is completed by the secondary submitter. 

Note: Items such as the validation page and the SRS search page will appear in separate 

windows. Ensure that your pop-up blocker is disabled before you begin to complete Form U. 

4.1 Certification 

 Your CDR submission must be certified, indicating that your submitted information has 

been completed in compliance with the CDR requirements and that any confidentiality claims 

are true and correct. To certify, the certification statement must be electronically signed and 

dated by an authorized official at your company. The authorized official typically is a senior 

official with management responsibility for the person (or persons) completing the form. You 

must include the printed name, title, and email address for the person signing the certification. 

See Section 6.3.1 for how to complete an electronic signature agreement. 

This certification statement applies to all the information supplied on the form and should 

be signed only after the form has been completed. Note that knowingly providing false or 

misleading information or concealing required information may be punishable by fine or 

imprisonment or both under TSCA section 16(b). 

4.2 Reporting Standard 

 Submitters are required to exercise certain levels of due diligence in gathering the 

information required by the CDR rule. You must report your information to the extent that the 

information is known to or reasonably ascertainable by you and your company. The term 

“known to or reasonably ascertainable by” is defined in 40 CFR 704.3 and discussed more fully 

below.1

 

 

1

 Note that, for the 2006 IUR only, EPA had a different reporting standard (readily obtainable) for processing and 

use data. 
Chapter 2.0 When You Must Report 

4-2

Known to or reasonably ascertainable by means all information in a person’s 

possession or control, plus all information that a reasonable person similarly situated 

might be expected to possess, control, or know. 

 Under TSCA section 8(a), EPA may collect information associated with chemical 

substances to the extent that it is known to or reasonably ascertainable by the submitter. This 

includes, but is not limited to, information that may be possessed by employees or other agents 

of the company reporting under the CDR rule, including persons involved in the research, 

development, manufacturing, or marketing of a chemical substance and includes knowledge 

gained through discussions, symposia, and technical publications. For purposes of CDR, the 

known to or reasonably ascertainable by standard applies to all the information required by the 

rule. 

 Examples of types of information that are considered to be in a person’s possession or 

control, or that a reasonable person similarly situated might be expected to possess, control, or 

know include: 

• Files maintained by the submitter, such as marketing studies, sales reports, or customer 

surveys; 

• Information contained in standard references, such as MSDSs, that contain use information or 

concentrations of chemical substances in mixtures; and 

• Information from the Chemical Abstracts Service (CAS) and from Dun & Bradstreet D-U-NS®. 

The following hypothetical examples illustrate the anticipated application of the “known 

to or reasonably ascertainable standard,” in the specific context of the collection of processing 

and use data under the CDR. Because the standard applies on a case-by-case basis, however, 

these examples cannot substitute for a complete analysis of a submitter’s particular 

circumstances: 

Company XYZ discovers that it has no knowledge of how a particular reportable 

chemical substance (chemical substance #1) is processed or used by its customers. Company 

XYZ usually maintains marketing data documenting customers’ use of its chemicals, in line with 

the reasonable business practices typical of comparable manufacturers, but it irrevocably lost 

these data for chemical substance #1 due to an inadvertent computer malfunction. Company 

XYZ has many customers, but it expects that it could substantially reconstruct this missing 

information by briefly contacting its largest customer and asking that customer what chemical 

substance #1 is generally used for. Company XYZ contacts this customer, reports on the basis of 

the processing and use data that the customer was willing to provide. Company XYZ has likely 

fulfilled its duties under the reporting standard. Company XYZ would not have fulfilled its 

duties under the reporting standard if it had not endeavored to supplement the information it 

already knew. 

Company XYZ has never maintained information on how a particular reportable 

chemical substance (chemical substance #2) is processed or used by its customers. However, it 

is typical for comparable manufacturers to collect such information as part of their reasonable 

business practices. Company XYZ has many customers but it expects that it could substantially 
Chapter 2.0 When You Must Report 

4-3

fill this data gap by reviewing the public web site of its largest customer. Company XYZ reviews 

this web site, and reports on the basis of the information contained in the web site. Company 

XYZ has likely fulfilled its duties under the reporting standard. Company XYZ would not have 

fulfilled its duties under the reporting standard if it had not endeavored to supplement the 

information it already knew. 

Company ABC maintains seasonal marketing data on changes in use patterns for a 

particular chemical substance (chemical substance #3). Comparable manufacturers typically only 

maintain such data on an annual basis, in line with reasonable business practices. Company 

ABC irrevocably loses its summer marketing data for chemical substance #3, due to an 

inadvertent computer malfunction. Company ABC expects that it could substantially reconstruct 

the missing summer marketing data by contacting its largest customer and asking the customer 

what it used or processed chemical substance #3 for in the past summer. Nevertheless, instead of 

attempting to reconstruct the summer data in this manner, Company ABC reports on the basis of 

the processing and use data that it already knows (regarding the winter, spring, and fall of the 

year). Company ABC has likely fulfilled its duties under the reporting standard. Company ABC 

would not have fulfilled its duties under the reporting standard if it designated the information as 

“not known or reasonably ascertainable” simply because one of the seasonal marketing reports 

was missing. 

Company ABC has never maintained information on how a particular reportable 

chemical substance (chemical substance #4) is processed or used by its customers. However, it is 

typical for comparable manufacturers to collect such information as part of their reasonable 

business practices. Company ABC has one major customer and ten minor customers. Company 

ABC asks its major customer to supply information about how chemical substance #4 is 

processed and used, but that customer is unwilling to supply this information. Company ABC 

reasonably expects that the only remaining way to substantially fill this data gap would be to 

send a survey to its ten minor customers. Company ABC reports that the information is “not 

known or reasonably ascertainable” to it. Company ABC has likely fulfilled its duties under the 

reporting standard. 

4.3 Part I - Section A. Parent Company Information2

 You must provide information about your U.S. parent company. For purposes of CDR, 

your U.S. parent company is the highest level company, located in the United States, which 

directly owns at least 50 percent of the voting stock of the manufacturer. This definition is 

limited to this context, is distinct from the more geographically broad definition of "parent 

company" used in 40 CFR 704.3, and does not apply to the determination of whether a person 

meets the small manufacturer exemption. Corporate names should be treated as U.S. parent 

company names for companies with multiple sites. When a site is owned by more than one 

company and none of the site owners directly owns at least 50 percent of its voting stock, the site 

should provide the name of the U.S. parent company of either the site operator or the owner with 

the largest ownership interest in the site. 

 

2

 See Sec 4.7.1 for information concerning CBI claims for Parent Company Information. 
Chapter 2.0 When You Must Report 

4-4

Note: Information provided during CDX registration will populate your U.S. parent 

company identification information in Section A. Please double check this information to 

ensure all required fields are complete and accurate. If any information is incorrect or 

incomplete, the authorized official should make the necessary changes in CDX. 

4.3.1 Parent Company Name (Block 1.A.1) 

 Enter the full name of the U.S. parent company, if applicable. The U.S. parent company 

name is the name of the highest level company, located in the United States, which directly owns 

at least 50 percent of the voting stock of the manufacturer. You should include any additional 

identifying terms such as Inc., Ltd., L.L.C., etc. 

Example 4-1. Bestchem Corporation is not owned or controlled by any other corporation but 

has sites throughout the country whose names begin with Bestchem. In this case, Bestchem 

Corporation should be listed as the U.S. parent company. 
Chapter 2.0 When You Must Report 

4-5

4.3.2 Parent Company Dun & Bradstreet D-U-N-S® Number (Block 1.A.2) 

 Enter the 9-digit Dun & Bradstreet D-U-N-S® number (D&B number) associated with 

the parent company name entered in Block 1.A.1. The number may be obtained from the 

treasurer or financial officer of the company. 

 D&B assigns separate numbers to subsidiaries and parent companies; you should make 

sure that the number you provide EPA belongs to your U.S. parent company. To verify the 

accuracy of your site and U.S. parent company D&B number and name, go to 

https://www.dnb.com/product/dlw/form_cc4.htm or call 1-800-234-3867. Callers to the toll free 

phone number should understand that the D&B support representatives will need to verify that 

callers requesting the D&B number are an agent of the business. D&B recommends knowing 

basic information such as when the business originated, officer names, and the name, address, 

and phone number for the facility. 

You must obtain a D&B number for the U.S. parent company, if none exists. If your 

U.S. parent company does not have a D&B number, you can request one from your local office 

of D&B. There is no charge for this service and you are not required to disclose sensitive 

financial information to get a number. For more information on obtaining a D&B number, see 

https://www.dnb.com. If you are already listed with D&B, but do not know your number, you can 

call 1-800-234-3867 for assistance. 

4.3.3 Parent Company Address (Blocks 1.A.3 through 1.A.8) 

Enter the mailing address of the U.S. parent company name entered in Block 1.A.1, 

including the appropriate county or parish, using standard addressing techniques as established 

by the U.S. Postal Service. Post office box numbers should be accompanied by a street address. 

If a post office box is listed, it should be listed after the street address.

4.4 Part I - Section B. Site Information3

 EPA requires the following information to be reported for each plant site at which a 

reportable chemical substance is manufactured: the site name, site D&B number, street address, 

city, county (or parish), state, and zip code. 

Note: Information provided during CDX registration will populate your site identification 

information in Section B. Please double check this information to ensure all required fields 

are complete and accurate. If any information is incorrect or incomplete, the authorized 

official should make the necessary changes in CDX. 

 

3

 See Sec 4.7.2 for information concerning CBI claims for Site Information. 
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4.4.1 Special Provisions for Importers 

 The site where you import a chemical substance is considered the site of the operating 

unit within your organization that is directly responsible for importing the chemical substance 

and that controls the import transaction (e.g., the company’s U.S. headquarters). For CDR, all 

importers must provide a U.S. address for the controlling site; this site may be your company’s 

headquarters in the United States. If there is no such operating unit or headquarters in the United 

States, the site address for the importer is the U.S. address of an agent acting on the importer’s 

behalf who is authorized to accept service of process for the importer (40 CFR 711.3). In the 

event that more than one person may meet the definition of “importer” (40 CFR 704.3), only one 

person should report. See 40 CFR 711.22(b). 

Example 4-2. The headquarters of your company is located in New Town. Your company 

owns a plant site located in Old Town, which is in a different state. A headquarters employee 

purchases and arranges to have 500,000 lb of Chemical X imported from Japan to the Old 

Town plant site. The headquarters site in New Town controls the import transaction and is the 

site reported on Form U. 
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4.4.2 Site Name (Block 1.B.1) 

 Enter the full name of the site. You should include any additional identifying terms such 

as Inc., Ltd., L.L.C., etc. 

4.4.3 Site Dun & Bradstreet Number D-U-N-S® (Block 1.B.2) 

 D&B assigns separate numbers to subsidiaries and parent companies; make sure that the 

number you provide EPA in block 1.B.2 belongs to the individual site for which you are 

reporting. You must obtain a D&B number for the site , if none exists. If the site does not have a 

D&B number, you can request one from your local office of D&B. Please refer to Section 4.3.2 

for information on obtaining a D&B number. 

4.4.4 Site Street Address (Blocks 1.B.3 through 1.B.8) 

 Enter your site mailing address, including the appropriate county or parish (or other 

jurisdictional indicator), using standard addressing techniques as established by the U.S. Postal 

Service. Post Office box numbers should be accompanied by a street address. If a Post Office 

box is listed, it should be listed after the street address. 

4.5 Part I - Section C. Technical Contact Information4

This section requests information about the person whom EPA may contact for 

clarification of the information in your CDR submission. The technical contact should be a 

person who can answer questions about the reported chemical substance(s). Typically, a person 

located at the manufacturing site is best able to answer such questions. However, companies may 

use their discretion in selecting a technical contact or multiple technical contacts, as provided by 

the new e-CDRweb tool. Submitters should consider, in selecting the technical contact, that EPA 

may have follow-up questions about a CDR submission, one or more years after the submission 

date. The technical contact need not be the person who signed the certification statement. You 

can select your technical contact from the drop down list of support registrants or enter 

information for a new technical contact. 

Note: If you select from the list of support registrants, the technical contact information 

provided during CDX registration will populate Section C. Please double check this 

information to ensure all required fields are complete and accurate. If any information is 

incorrect or incomplete, the authorized official should make the necessary changes in CDX. 

 

4

 See Sec 4.7.3 for information concerning CBI claims for Technical Contact Information. 

Example 4-3. The headquarters of your company is located in New Town. Your company 

owns three manufacturing sites, Sites 1, 2, and 3, all located in different states. An employee 

based at headquarters purchases and arranges to have 500,000 lb of Chemical X imported 

from Japan. The chemical is distributed as follows: 20,000 lb is delivered to Site 1; 180,000 

lb is delivered to Site 2; and 300,000 lb is delivered to Site 3. The headquarters in New Town 

controls the import transaction for all three sites, and therefore is responsible for reporting all 

500,000 lb of Chemical X. The site reported on Form U is New Town. 
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4.5.1 Technical Contact Name and Company Name (Blocks 1.C.1 and 1.C.2) 

 Enter the name of the person whom EPA may contact for clarification of information 

submitted on Form U. Enter the name of the company employing the technical contact. 

4.5.2 Technical Contact Telephone Number and Email Address (Blocks 1.C.3 and 1.C.4) 

 Enter the technical contact’s telephone number, including the area code, and the contact’s 

email address. 

4.5.3 Technical Contact Mailing Address (Blocks 1.C.5 through 1.C.8) 

 Enter the technical contact’s full mailing address, using standard addressing techniques as 

established by the U.S. Postal Service. Post Office box numbers should be accompanied by a 

street address. If a Post Office box is used as a mailing address, the street address should be 

given in Block 1.C.5 followed by the Post Office box number in Block 1.C.6. 

4.6 Part II - Section A. Chemical Substance Identification 

You must use the Agency’s Substance Registry Services (SRS) to report the chemical 

substance identification information consisting of the currently correct Chemical Abstracts (CA) 

Index Name and the correct corresponding Chemical Abstracts Service (CAS) Registry Number 

(CASRN), as described in Sections 4.6.2 and 4.6.4. The SRS is EPA’s central system for 

information about chemical substances that are tracked or regulated by EPA or other sources. It 
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is the authoritative resource for basic information about chemicals, biological organisms, and 

other chemical substances of interest to EPA and its state and tribal partners. 

The correct CA Index Name and CASRN must be reported separately for each CDR 

reportable chemical substance at your site. If you wish to report a chemical substance listed on 

the confidential portion of the TSCA Inventory, you will need to report the chemical substance 

using a TSCA Accession Number (the generic name corresponding to the Accession Number 

will automatically be incorporated into your form). See Section 4.6.1 for details on how to report 

confidential chemical substances. 

You will be able to connect directly to the SRS database from the reporting tool to report 

the correct CA Index Names and CASRNs for all of your non-confidential chemical substances 

on the TSCA Inventory. TSCA Accession Numbers and generic chemical names will be listed 

for chemical substances on the confidential portion of the TSCA Inventory. The use of the SRS 

to obtain the identities for all CDR reportable chemical substances is a convenient way to meet 

the chemical nomenclature requirement and will help to prevent errors in the reporting of 

chemical identification information for the CDR. 
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4.6.1 Confidentiality of Chemical Substance Information (Block 2.A.1) 

If you wish to report a chemical substance listed on the confidential portion of the TSCA 

Inventory, you will need to report the chemical substance using a TSCA Accession Number. 

The generic chemical name corresponding to the TSCA Accession Number will also be 

automatically incorporated into your form. 

You may claim as confidential the identity of a chemical substance that is already listed 

as confidential on the TSCA Inventory (40 CFR 711.30(b)). To do so, you must check the 

appropriate CBI box in Part II, Section A and submit detailed written answers to the 

substantiation questions listed in Table 5-2. The identities of chemical substances listed on the 

public version of the TSCA Inventory are already publicly known. Therefore, claims for 

confidential treatment of the identity of a chemical substance which is listed on the public 

section of the TSCA Inventory are not valid and will not be allowed using the reporting tool. The 

Agency limits chemical identity CBI claims to only those chemical substances listed on the 

confidential portion of the Master Inventory File. 
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 CBI claims for chemical identity will be accepted only when accompanied by a separate 

written substantiation for the chemical substances claimed as CBI. Clicking “Click here” in the 

warning statement automatically triggers the substantiation questions. If you fail to substantiate 

the claim for confidentiality of the chemical identity in accordance with applicable rules, EPA 

may make the information available to the public without further notice to you. Note that 

checking this box does not protect the link between your company and the chemical substance; it 

only asserts a CBI claim for the specific identity of the chemical substance. See Section 5.1 for 

more details about substantiating CBI claims for the identity of a chemical substance. 

You have selected a chemical substance that is listed on the confidential portion of the TSCA 

Inventory. You may claim as confidential the identity of a chemical substance that is already listed as 

confidential on the TSCA Inventory. To do so, check the CBI box and submit detailed written 

answers to the substantiation questions. Click here to respond to the substantiation questions. This 

will navigate you to the CBI Substantiation Summary screen. If you do not wish to claim the chemical 

identity confidential, uncheck the CBI box. 
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4.6.2 Chemical Substance Identifying Number (Block 2.A.2) 

 Every chemical substance reported in 

accordance with CDR must be accompanied 

by its correct CASRN, corresponding to the 

chemical substance’s specific chemical 

name as described in 4.6.4. (40 CFR 

711.15(b)(3)(i)). You may enter either a 

CASRN (Block 2.A.2) or the specific name 

of the chemical substance (Block 2.A.4) to 

select the appropriate CASRN/Chemical 

Abstracts (CA) Index Name combination 

from the SRS database. 

 EPA is requiring that you report only the CASRN as a chemical identifying number, 

except in the case of confidential chemical substances. In the case of confidential chemical 

substances, EPA is requiring that you report only the TSCA Accession Number as a chemical 

identifying number. If, in the past, you reported using the PMN case number of a confidential 

substance, you can use the PMN case number to search the SRS to populate the pertinent 

chemical identification information for the confidential chemical substance listed on the TSCA 

Inventory. In the SRS, you can readily find a cross-reference list that displays the Accession 

Number, generic chemical name, and the PMN case number (or for an initial TSCA Inventory 

substance, the TSCA Inventory reporting form number) for any confidential chemical substance 

Report the correct CASRN for your chemical 

substance if it is listed on the nonconfidential portion of the TSCA Inventory. 

If your chemical substance is listed on the 

confidential portion of the TSCA Inventory 

and you wish to continue having the chemical 

identity be confidential, report the EPAdesignated TSCA Accession Number. Each 

TSCA Inventory chemical substance has at 

least one of these types of numbers. 
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listed on the TSCA Inventory. You can then select from the SRS the correct Accession Number 

corresponding to the confidential chemical substance intended to be reported (the generic name 

corresponding to the Accession Number will automatically be incorporated into your report). 

 There are certain circumstances where you occasionally may not be sure of the particular 

PMN case number and Accession Number the Agency has assigned to one of its confidential 

chemical substances, such that you would not be able to definitely determine this solely from 

searching the SRS. This could happen, for example, if the chemical substance were originally 

reported as part of a consolidated PMN and you did not learn from EPA which particular case 

number in the consolidated PMN number sequence corresponds to which of the several reported 

confidential chemical substances. This could also happen if a certain PMN represented a mixture 

of two or more confidential chemical substances, such that multiple Accession Numbers were 

assigned to the different chemical substances reported in that single PMN, and you didn't already 

request the particular Accession Numbers from EPA for the individual chemical substances 

comprising that multi-component type of PMN. In such circumstances, you should contact EPA 

well before initiating CDR reporting to obtain the required Accession Numbers from the Agency. 

 Submitters who are not able to identify the Accession Number by searching the SRS 

should contact EPA, in writing or via fax on company letterhead, well before initiating CDR 

reporting to obtain the Accession Number assigned when the Notice of Commencement (NOC) 

was submitted to the Agency. Individuals are urged to submit a complete and accurate TSCA 

Inventory Correspondence via fax or by U.S. mail at least one month before the submission 

deadline. Note that incomplete and/or inaccurate requests may be rejected. The Agency will 

respond to such inquiries in as timely a manner as possible. It is the responsibility of the 

submitter to contact the Agency for such information in sufficient time to allow for the Agency 

to respond. 

 Please send requests for a TSCA Accession Number as soon as possible to: 

By Fax: 202-564-9538 

By U.S. Postal Service: By Hand Delivery or Courier:

U.S. Environmental Protection Agency U.S. Environmental Protection Agency 

Office of Pollution Prevention and Toxics Office of Pollution Prevention and Toxics 

Document Control Office (7407M) Confidential Business Information Center 

1200 Pennsylvania Ave, NW EPA East Building, Room 6428 

Washington, DC 20460 1201 Constitution Ave, NW 

 Washington, DC 20004 

 202-564-8930; 202-564-8940 

4.6.3 ID Code (Block 2.A.3) 

 The code corresponding to the type of identifying number you selected in the SRS will be 

entered in Block 2.A.1. See codes in Table 4-1. 
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Table 4-1. ID Code for Chemical Identifying Numbers 

If the Number You are Reporting is a(n) This Code Will be Entered 

Accession Number A 

CAS Registry Number C 

4.6.4 Chemical Name (Block 2.A.4) 

 EPA is requiring the reporting of the CA Index Name currently used to list the chemical 

substance on the TSCA Inventory as the chemical name reported for CDR. You may enter either 

a CASRN (Block 2.A.2) or the specific name of the chemical substance (Block 2.A.4) to select 

the appropriate CASRN/Chemical Abstracts (CA) Index Name combination from the SRS 

database. 

In cases where a chemical substance is listed on the confidential portion of the TSCA 

Inventory, you are to report the chemical substance’s Accession Number which is listed on the 

non-confidential portion of the TSCA Inventory and is included in the SRS (the generic name 

corresponding to the Accession Number will automatically be incorporated into your report). In 

order to continue to protect the confidentiality of the underlying specific chemical identification 

information (i.e., the CASRN and specific chemical name), you must claim the chemical identity 

as CBI and complete the upfront substantiation. Doing so will maintain the confidentiality of the 

underlying specific chemical name and CASRN of the confidential chemical substance. The 

Accession Number and generic chemical name will remain non-confidential. Failure to identify 

the chemical identity as CBI and complete the upfront substantiation will waive any CBI claim 

to the chemical identity and will result in the transfer of the chemical substance from the 

confidential portion of the TSCA Inventory to the non-confidential, publicly releasable, portion 

of the TSCA Inventory.

4.6.5 Special Provisions for Importers and Joint Submitters 

You may report an alternate chemical name, and in the case of importers, a trade name, in 

those instances where your supplier will not disclose to you the specific chemical name of the 

imported TSCA Inventory chemical substance or a reactant used to manufacture the TSCA 

Inventory chemical substance because the name is claimed confidential. In these cases, you and 

the supplier may report the information required in a joint submission. If you as the importer 

cannot provide the chemical name, supply a trade name or other designation to identify the 

proprietary chemical substance and provide the supplier’s (secondary submitter’s) company 

information. Complete as much of the Form U as you can. In addition, you must use e-CDRweb 

to ask the supplier (secondary submitter) of the confidential chemical substance to directly 

provide EPA with the correct chemical identity (as described in 4.6.2), in a joint submission with 

you. Your request to the supplier must include instructions for submitting chemical identity 

information electronically, using e-CDRweb and CDX (see 40 CFR 711.35), and for clearly 

referencing your submission. Contact information for the supplier, a trade name or other 

designation for the chemical substance or mixture, and a copy of the request to the supplier must 

be included with your submission for the chemical substance. 

 Similarly, in the event that you as a manufacturer completing a Form U cannot provide 

the complete chemical identity because you manufacture the reportable chemical substance using 
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a reactant having a specific chemical identity claimed as confidential by its supplier, supply a 

trade name or other designation to identify the proprietary chemical substance and provide the 

supplier’s (secondary submitter’s) company information. Complete as much of the Form U as 

you can. In addition, you must use e-CDRweb to ask the supplier to directly provide to EPA the 

correct chemical identity of the confidential reactant in a joint submission. Such request must 

include instructions for submitting chemical identity information electronically using e-CDRweb 

and CDX (see 40 CFR 711.35), and for clearly referencing your submission. Contact 

information for the supplier, a trade name or other designation for the chemical substance, and a 

copy of the request to the supplier must be included with your submission referencing the 

chemical substance. 

 In both cases, if the secondary submitter chooses to respond to the primary submitter’s 

request, the secondary submitter would use e-CDRweb to identify the chemical substance in 

question and the percent composition of each component chemical substance of the trade name 

product or mixture. 

EPA will only accept joint submissions that are submitted electronically using eCDRweb and CDX (see 40 CFR 711.35) and that clearly reference the Form U submission to 

which they refer. See Chapter 6.7 for more information on how to submit joint reports. These 

special provisions only apply in cases where the supplier will not reveal the pertinent chemical 

identity to you because it is claimed confidential. In the event that you actually know the 

chemical identity of a chemical substance subject to CDR reporting, you must provide that 

information irrespective of a supplier’s confidentiality claims. 

4.7 Part II - Section B. Manufacturing Information 

The following subsections describe the manufacturing information required to be 

reported for each chemical substance. 

4.7.1 Confidentiality of Company Information (Block 2.B.1) 

 Check the CBI box in this block to assert a confidentiality claim for the link between the 

chemical substance and the company information reported in Part I, Section A. Checking other 

CBI boxes on the form will not protect this link. You may claim this connection as confidential 

for some chemical substances for which you are reporting, while not making the claim for others 

(each chemical substance manufactured at a site is reported in separate sections of Form U). 

EPA will not impute the existence of a CBI claim for company identity from a CBI claim 

associated with a different chemical substance. 

4.7.2 Confidentiality of Site Information (Block 2.B.2) 

 Check the CBI box in this block and complete the substantiation questions to assert a 

confidentiality claim for the link between the chemical substance and the site identity reported in 

Part I, Section B. Checking the CBI box automatically triggers the substantiation questions. See 

Section 5.2 for information on completing the substantiation questions. If you fail to substantiate 

the site CBI claim in accordance with the applicable rules, EPA may make the information 

available to the public without further notice to you. 
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You may claim the connection between chemical substance and site as confidential for 

some chemical substances for which you are reporting, while not making the claim for others 

(each chemical substance is reported separately in Form U). EPA will not impute the existence of 

a CBI claim for site identity from a CBI claim associated with a different chemical substance. 

EPA also has observed that submitters sometimes claim only their company identity, but 

not their site identity, as confidential. EPA will not impute the existence of a CBI claim for site 

identity from a CBI claim for company identity, even if the company name appears within the 

site identity information. 

4.7.3 Confidentiality of Technical Contact Information (Block 2.B.3) 

Check the CBI box in this block to assert a confidentiality claim for the link between the 

chemical substance and the technical contact information reported in Part I, Section C of Form 

U. You may claim this connection as confidential for some chemical substances for which you 

are reporting, while not making the claim for others (each chemical substance is reported 

separately in Form U). EPA will not impute the existence of a CBI claim for technical contact 

information from a CBI claim associated with a different chemical substance. 

4.7.4 Reporting Manufacturing Information for Calendar Year 2011 (Blocks 2.B.4.-

2.B.20) 

This section of the CDR describes the manufacturing data elements that should be 

reported for your CDR reportable chemical substance for the calendar year 2011, the principal 
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reporting year for the 2012 submission period. If any information is not known or reasonably 

ascertainable by you (including your company), enter or select “NKRA” for “not known or 

reasonably ascertainable” in the box corresponding to that data element. You may also check the 

CBI box next to each data element to claim data as confidential. However, keep in mind that you 

can not claim a “NKRA” designation as confidential. 

4.7.4.1 Activity (Domestically Manufacture and/or Import) (Block 2.B.4)

 Check the box(es) that describe whether you domestically manufacture or import the 

chemical substance. If you both domestically manufacture and import the same chemical 

substance, check both boxes. 

4.7.4.2 Domestically Manufactured Production Volume (Block 2.B.5)

 Report the volume of the chemical substance domestically manufactured at your site 

during calendar year 2011, in pounds. Report the quantity to at least two significant figures; it 

should be accurate to the extent known to or reasonably ascertainable by you. Production 

volumes should be reported in numeric format, without commas (e.g., 6352000). For example, 

“2 million” or “2 E6" are not acceptable, nor are production volumes with decimals or 

abbreviations such as M (e.g., 12,000,000 = 12M) or K (e.g., 50,000 = 50K). 
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4.7.4.3 Imported Production Volume (Block 2.B.6)

 Report the volume of chemical substance imported by your site in 2011, in pounds. 

Report the quantity to at least two significant figures; it should be accurate to the extent known 

to or reasonably ascertainable by you. You should use the same numeric format as described for 

Block 2.B.5, domestically manufactured production volume. Imported and domestically 

manufactured production volumes are reported separately for each chemical substance at each 

site. 

 Note that if you import various mixtures containing reportable chemical substances, you 

should add all import volumes associated with each chemical substance. For instance, if you 

import three mixtures and each mixture contains Chemical A, then you would determine the 

volume of Chemical A in each mixture and report the aggregated amount. 

4.7.4.4 For Imported Chemical Substances, Is the Chemical Never Physically at 

Site? (Block 2.B.7)

 Use the drop down box to select one of the following choices: 

Y = Yes, the imported chemical substance is never physically at the reporting site (e.g., if 

you ship the chemical substance from a foreign country directly to another location such 

as a warehouse, a processing or use site, or a customer’s site), 

N = No, the imported chemical substance is actually physically present at the site. 

NKRA = It is not known to or reasonably ascertainable by you whether the imported 

chemical substance is physically present at the site. 

4.7.4.5 Production Volume Used On-Site (Block 2.B.8)

 Report the total volume of the domestically manufactured and imported chemical 

substance used at the reporting site, in pounds. The number represents the volume of the 

chemical substance that does not leave the manufacturing site. The production volume used onsite should not exceed the sum of the domestically manufactured and imported volumes minus 

the volume exported (i.e., (Block 2.B.5 + Block 2.B.6) –Block 2.B.9). Report the quantity to at 

least two significant figures; it should be accurate to the extent known to or reasonably 

ascertainable by you. You should use the same numeric format as described for Block 2.B.5, 

domestically manufactured production volume. 

4.7.4.6 Production Volume Exported (Block 2.B.9)

 Report the production volume directly exported and not domestically processed or used, 

in pounds. The volume exported should not exceed the sum of the domestically manufactured 

and imported volumes (i.e., (Block 2.B.5 + Block 2.B.6). Report the quantity to at least two 

significant figures; it should be accurate to the extent known to or reasonably ascertainable by 

you. You should use the same numeric format as described for Block 2.B.5, domestically 

manufactured production volume. 
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Table 4-2. Examples of Reporting Production Volume for Part II – Manufacturing 

Information 

Description 2012 Reporting Requirement 

Site 1 domestically manufactures 30,000 lb of Chemical X. Site 1 should report 30,000 lb as domestically 

manufactured for Chemical X. The total 

production volume (i.e., the domestically 

manufactured volume) should be used to report the 

remaining CDR information. 

Site 2 domestically manufactures 15,000 lb of Chemical X 

and directly imports 15,000 lb of Chemical X. 

Site 2 should report 15,000 lb as domestically 

manufactured. Because Site 2 controls the import 

transaction, Site 2 should also report 15,000 lb as 

imported for Chemical X. The total production 

volume (i.e., sum of the domestically manufactured 

and import volumes) should be used to report the 

remaining CDR information. 

Site 3 domestically manufactures 30,000 lb of Chemical X. 

Of the 30,000 lb manufactured, Site 3 directly exports 

10,000 lb to a foreign customer. 

Site 3 should report 30,000 lb as domestically 

manufactured and 10,000 lb as exported for 

Chemical X. The production volume not directly 

exported should be used to report the remaining 

CDR information. 

Site 4 domestically manufactures 70,000 lb and imports 

30,000 lb of Chemical X. Site 4 uses 20,000 lb of Chemical 

X on site. 

Site 4 should report 70,000 lb as domestically 

manufactured, 30,000 lb as imported and 20,000 lb 

as used on site. The total production volume (i.e., 

sum of the domestically manufactured and import 

volumes) should be used to report the remaining 

CDR information. 

In 2011, Company B coordinates the import of 100,000 lb 

of Chemical X, which is imported directly to three different 

sites owned by Company B. Site 5 receives 40,000 lb and 

Sites 6 and 7 each receive 30,000 lb of Chemical X. 

Company B should report 100,000 lb as imported 

for Chemical X. The total production volume (i.e., 

the imported volume) should be used to report the 

remaining CDR information. Because the three 

sites controlled by Company B did not control the 

import transaction, the sites are not required to 

report the imported volumes. 

4.7.4.7 Number of Workers (Block 2.B.10)

 Report the total number of workers reasonably likely to be exposed to each reportable 

chemical substance at each site during calendar year 2011 (40 CFR 711.15(b)(3)(vii)). For Block 

2.B.10, use the drop down box to select the code corresponding to the appropriate range for the 

number of workers reasonably likely to be exposed to a reportable chemical substance during 

manufacture. Table 4-3 shows the codes and ranges which appear in the drop down box. 
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Table 4-3. Codes for Reporting Number of Workers Reasonably Likely to be Exposed 

Code Range of Workers Reasonably Likely to be Exposed 

W1 Fewer than 10 workers 

W2 At least 10 but fewer than 25 workers 

W3 At least 25 but fewer than 50 workers 

W4 At least 50 but fewer than 100 workers 

W5 At least 100 but fewer than 500 workers 

W6 At least 500 but fewer than 1,000 workers 

W7 At least 1,000 but fewer than 10,000 workers 

W8 At least 10,000 workers 

 “Reasonably likely to be exposed” means “an exposure to a chemical substance which, 

under foreseeable conditions of manufacture, processing, distribution in commerce, or use of the 

chemical substance, is more likely to occur than not to occur. Such exposures would normally 

include, but would not be limited to, activities such as charging reactor vessels, drumming, bulk 

loading, cleaning equipment, maintenance operations, materials handling and transfers, and 

analytical operations. Covered exposures include exposures through any route of entry 

(inhalation, ingestion, skin contact, absorption, etc.), but excludes accidental or theoretical 

exposures” (40 CFR 711.3). 

 Persons reasonably likely to be exposed to a chemical substance include workers whose 

employment requires them to pass through areas where chemical substances are manufactured, 

processed, or used (e.g., production workers and foremen, process engineers, and plant 

managers). Workers employed to drive vehicles which transport the chemical substance should 

be included in the number of workers reasonably likely to be exposed to the chemical substance 

if they come into contact with the chemical substance during loading or unloading. For example, 

workers engaged in the connection or disengagement of hoses used to load or unload the 

chemical substance should be included. However, workers involved solely with transporting 

chemical substances in sealed containers that are totally enclosed with no potential for exposure 

should not be included. 

 In addition, when a site employs temporary, seasonal, or contract workers in the 

manufacture of a reportable chemical substance, these workers should be included in the number 

of workers reasonably likely to be exposed to a chemical substance if they work in areas where 

the chemical substance is manufactured. The term does not include those employees whose jobs 

are not associated with potential exposures to a chemical substance or mixture (e.g., 

administrative staff who never enter areas where the chemical substance is manufactured) and 

who are unlikely to be exposed to a chemical substance for even a brief period of time. No 

allowance is made for personal protective equipment or for engineering controls that reduce but 

do not preclude exposure to a chemical substance; however, if contact between a worker and a 

chemical substance is highly improbable, the worker should not be included among those 

persons reasonably likely to be exposed to the chemical substance. 

 When there is no potential exposure to a chemical substance, the code W1 corresponding 

to fewer than 10 workers would be reported. This would be the case, for instance, when a 

chemical substance is imported in sealed containers and resold without repackaging or is shipped 

from a foreign source directly to a customer. 
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4.7.4.8 Maximum Concentration (Block 2.B.11)

 Report the maximum concentration, measured by percentage of weight, of your 

reportable chemical substance at the time it is reacted on-site to produce a different chemical 

substance (site-limited) or as it leaves the site (40 CFR 711.15(b)(3)(viii)).The concentration 

must be accurate to the extent that information is known to or reasonably ascertainable by you. 

In your determination of the maximum concentration, do not include concentrations of the 

product sent off-site for non-commercial purposes (40 CFR 710.1(a)). 

 For each chemical substance, from the drop down box select the code which corresponds 

to the appropriate maximum concentration range of the chemical substance. Table 4-4 shows the 

codes and concentration ranges which appear in the drop down box. If the maximum 

concentration falls between two ranges, round your estimate to the nearest one percent using 

standard rounding procedures. Report the code that corresponds to the appropriate range. Report 

the maximum concentration regardless of the various physical forms in which the chemical 

substance may be sent off-site or reacted on-site to produce a different chemical substance. 

Table 4-4. Codes for Reporting Maximum Concentration 

Code Concentration Range (weight percent) 

M1 Less than 1% by weight 

M2 At least 1% but less than 30% by weight 

M3 At least 30% but less than 60% by weight 

M4 At least 60% but less than 90% by weight 

M5 At least 90% by weight 

4.7.4.9 Is Chemical Substance Being Recycled, Remanufactured, Reprocessed, or 

Reused ? (Block 2.B.12)

 Use the drop down box to select one of the following choices 

Y = Yes, the manufactured chemical substance, such as a byproduct, is to be recycled, 

remanufactured, reprocessed, or reused. 

N = No, the manufactured chemical substance, such as a byproduct, is not to be recycled, 

remanufactured, reprocessed, or reused. 

NKRA = It is not known to or reasonably ascertainable by you whether the manufactured 

chemical substance, such as a byproduct, is to be recycled, remanufactured, reprocessed, 

or reused. 

By selecting “Yes,” you indicate that the manufactured chemical substance, which otherwise 

would be disposed of as a waste, is being removed from the waste stream and is being used or 

reused for a commercial purpose. 
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4.7.4.10 Physical Form and Percentage of Production Volume (Blocks 2.B.13 through 

2.B.19)

 Report all physical forms of the chemical substance at the time it is reacted or as it leaves 

your site and the percentage of production volume (including both domestically manufactured 

and imported volumes) for each physical form (40 CFR 711.15(b)(3)(viii)). For each chemical 

substance at each site, the submitter must report as many physical forms as applicable by 

selecting the appropriate blocks which correspond to the following six physical forms: 

• Dry Powder 

• Pellets or Large Crystals 

• Water- or Solvent-Wet Solid 

• Other Solid 

• Gas or Vapor 

• Liquid 

Select “Unknown”, if the physical form of the chemical substance is not known to or 

reasonably ascertainable by you. 

Report the percentage of the total production volume of the chemical substance for each 

physical form reacted onsite or sent off-site rounded off to the closest 10 percent (40 CFR 

711.15(b)(3)(ix)). If the chemical substance is sent off-site in more than one physical form, 

report all the physical forms in which it is sent off-site. These percentages may total more or less 

than 100% due to rounding. 

Example 4-4. The papermaking process involves the pulping of wood and several processing 

steps which generate white (CASRN 68131-33-9), black (CASRN 66071-92-9), and green 

(CASRN 68131-30-6) pulping liquors. During papermaking, wood pulping using the white liquor 

generates a black pulping liquor waste product, which is typically burned, resulting in the 

production of energy and an inorganic smelt that becomes green liquor. Green liquor is further 

processed to generate white liquor, which is used in the wood pulping process. The pulping liquors 

generated by the pulping cycle are CDR reportable chemical substances that are considered 

recycled, remanufactured, reprocessed, or reused. Block 2.B.12 should be selected for these 

chemical substances. 
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Information regarding processing or use 

activities must be reported to the extent 

that it is known to or reasonably 

ascertainable by the submitter (40 CFR 

711.15(b)(4)). 

4.7.5 Reporting Production Volume (PV) for the Year 2010 (Block 2.B.20) 

Report the total volume of the chemical substance manufactured at your site (includes 

domestically manufactured and imported volumes) during the 2010 calendar year in pounds. 

Report the production volume to at least two significant figures; it should be accurate to the 

extent known to or reasonably ascertainable by you. Production volumes should be reported in 

numeric format, with or without commas (i.e., 58,000 or 6352000). For example, “2 million” or 

“2 E6" are not acceptable, nor are production volumes with decimals or abbreviations such as M 

(e.g., 12,000,000 = 12M) or K (e.g., 50,000 = 50K). 

4.8 Part III - Processing and Use Information 

 In addition to completing Parts I and II, you 

must complete Part III of Form U for reportable 

chemical substances manufactured (including 

imported) for commercial purposes in an amount of 

100,000 pounds or more at any one site during 

calendar year 2011 (40 CFR 711.15(b)), unless the 

chemical substance is partially exempt. See Sections 2.3.3 and 2.3.4 to determine whether you 

qualify for a partial exemption. If you manufacture the chemical substance in an amount less 

than 100,000 pounds at a site, you do not need to complete Part III for the chemical substances at 

that site; instead, check the N/A box. Report industrial processing and use information for each 

chemical substance manufactured (including imported) in an amount of 100,000 lb or more at 

sites under your control and at domestic sites that receive a reportable chemical substance from 

you directly or indirectly (including through a broker/distributor, from a customer of yours, etc.) 

(40 CFR 711.15(b)(4)). You should report the processing and use activities for the total 2011 

production volume reported (both domestically manufactured (Block 2.B.5.) and imported 

(Block 2.B.6.)) in Part II. 

Example 4-5. Determining Percentage of Production Volume

Company A domestically manufactures 75,000 lb and imports 25,000 lb of Chemical X, for a 

total production volume of 100,000 lb. Forty-eight percent (48,000 lb) of the production 

volume is produced as dry powder, 24 percent (24,000 lb) is produced as a pellets, 24 percent 

(24,000 lb) as a liquid solution, and 4 percent (4,000 lb) as a water-wet solid. Company A 

would report the following: 

 

Dry Powder 50% 

Pellets or Large Crystals 20% 

Water- or Solvent-Wet Solid 0% 

Other Solid 0% 

Gas or Vapor 0% 

Liquid 20% 
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The processing or use information should be reported to the extent that it is known to or 

reasonably ascertainable by you (40 CFR 711.15). Under the “known to or reasonably 

ascertainable by” standard, a submitter would therefore prepare its report about the processing 

and use of a chemical substance it manufactures (including imports), without confining its 

inquiry solely to what is known to managerial and supervisory employees, but would also be 

expected to review information which the manufacturer (including importer) may have in their 

possession or control, plus all information that a reasonable person similarly situated might be 

expected to possess, control, or know. The inquiry would be as extensive as a reasonable person, 

similarly situated, might be expected to perform within the organization. Information derived 

from customer surveys or other customer contacts, like any other information, would be “known 

to” the submitter if it is available after a reasonable inquiry within the organization. The standard 

does not necessarily require that the manufacturer conduct an exhaustive survey of all 

employees. 

EPA would like to furthermore clarify that submitters are not required to conduct a new 

or additional customer survey (i.e., to pose a comprehensive set of identical questions to multiple 

customers) under this standard. If particular information cannot be derived or reasonably 

estimated from the information available to the company without conducting further customer 

surveys, it is not “known to or reasonably ascertainable” to the submitter for purposes of the 

CDR. However, to the extent that customer surveys are already in the submitter’s possession or 

control, and to the extent that reasonable efforts to analyze or derive information from alreadyavailable customer surveys may inform processing and use information that is reported, the 

information is generally “known to or reasonably ascertainable.” Section 4.2 contains additional 

information on the “known to or reasonably ascertainable by” reporting standard. 

If any information is not known or reasonably ascertainable by you (including your 

company), enter or select “NKRA” for “not known or reasonably ascertainable” in the box 

corresponding to that data element. 

You may check the CBI box next to each data element to claim data as confidential. 

However, keep in mind that you cannot claim a “NKRA” designation as confidential. Checking 

a CBI box associated with a specific processing and use data element automatically triggers 

substantiation questions. See Section 5.3 for information on completing the substantiation 

questions. Additional guidance on reporting processing and use information is available in the 

documents Questions and Answers for the 2012 TSCA Chemical Data Reporting and Summary 

of EPA’s Responses to Comments Submitted for the Proposed TSCA Inventory Update Reporting 

Modifications Rule available on the Resources page at http://www.epa.gov/cdr or

http://www.epa.gov/iur.

 

4.8.1 Part III - Section A. Industrial Processing and Use Data (Blocks 3.A.1 through 

3.A.10) 

 For each IUR chemical substance manufactured (including imported) in an amount of 

100,000 lb or more, report up to ten unique combinations of the following data elements: the 

Type of Process or Use Operation (TPU) (described in Section 4.8.1.1), the Industrial Sector (IS) 

(described in Section 4.8.1.2), and the Industrial Function Category (IFC) (described in Section 

4.8.1.3) (40 CFR 711.15(b)(4)(i)). A combination of these three data elements defines a potential 

exposure scenario for risk-screening and priority-setting purposes. For each of these unique 

combinations, you are also required to report the percentage of production volume (described in 

Section 4.8.1.4), the number of sites (described in Section 4.8.1.5), and the number of workers 
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(described in Section 4.8.1.6) (40 CFR 711.15(b)(4)(i)). If more than ten unique combinations 

apply to a chemical substance, you need only report the ten combinations for the chemical 

substance that cumulatively represent the largest percentage of production volume, measured by 

weight (40 CFR 711.15(b)(4)(i)(C)). The reporting tool will allow you to enter more than ten 

combinations if you choose to do so. 

4.8.1.1 Type of Processing or Use Operation 

To the extent that it is known to or reasonably ascertainable by you, use the drop down 

box to select the code which corresponds to the appropriate Type of Processing or Use Operation 

(TPU) for the particular combination of IS and IFC codes. Table 4-5 shows the codes and TPUs 

which appear in the drop down box. Note that if a chemical substance is fully reacted (i.e., 

reporting “PC” for the processing code), then the chemical substance is consumed and further 

processing and use information for that chemical substance will not exist. In such a situation, 

there is no further downstream processing and use information to be reported for that particular 

type of processing or use operation under 40 CFR 711.15(b)(4). A processing or use code may be 

reported more than once if more than one IS and/or IFC code applies to the same processing or 

use operation. Definitions for each code are provided in Appendix D, which may assist you in 

determining which code to report. 
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Table 4-5. Codes for Reporting Type of Industrial Processing or Use Operations 

Code Operation 

PC Processing as a reactant 

PF Processing—incorporation into formulation, mixture, or reaction product 

PA Processing—incorporation into article 

PK Processing—repackaging 

U Use—non-incorporative activities 

4.8.1.2 Industrial Sectors

 You must select from the drop down box the code which corresponds to the appropriate 

Industrial Sector (IS) for all sites that receive a reportable chemical substance from you either 

directly or indirectly (including through a broker/distributor, from a customer of yours, etc.) and 

that process and use of the reportable chemical substance to the extent that this information is 

known to or reasonably ascertainable by you (40 CFR 711.15(b)(4)(i)(B)). Table 4-6 shows the 

codes and sectors which appear in the drop down box. Because an industrial sector may apply to 

more than one processing and use scenario for a chemical substance, the same IS code may be 

reported with different combinations of IFC and TPU codes. 

 Note that for the 2006 IUR, you were required to report five-digit North American 

Industrial Classification System (NAICS) codes. Beginning with the 2012 reporting, EPA is 

replacing the NAICS codes with IS codes. A listing identifying the correspondence between 

NAICS codes and IS codes is provided in Table D-2 in Appendix D. Submitters who know the 

NAICS code can easily identify the IS code from Table D-2. Submitters who do not know a 

specific NAICS code may be able to identify a more general category. 

 When you chose the IS “Other,” you also need to provide a written description of the use 

of the chemical substance. Your description may include the NAICS code. 

Table 4-6. Industrial Sectors (IS) 

IS Code IS Title 

IS1 Agriculture, forestry, fishing and hunting 

IS2 Oil and gas drilling, extraction, and support activities 

IS3 Mining (except oil and gas) 

IS4 Utilities 

IS5 Construction 

IS6 Food, beverage, and tobacco product manufacturing 

IS7 Textiles, apparel, and leather manufacturing 

IS8 Wood product manufacturing 

IS9 Paper manufacturing 

IS10 Printing and related support activities 

IS11 Petroleum and coal products manufacturing 

IS12 Asphalt paving, roofing, and coating materials manufacturing 

IS13 Petroleum lubricating oil and grease manufacturing 
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IS Code IS Title 

IS14 All other petroleum and coal products manufacturing 

IS15 Petrochemical manufacturing 

IS16 Industrial gas manufacturing 

IS17 Synthetic dye and pigment manufacturing 

IS18 Carbon black manufacturing 

IS19 All other basic inorganic chemical manufacturing 

IS20 Cyclic crude and intermediate manufacturing 

IS21 All other basic organic chemical manufacturing 

IS22 Plastic material and resin manufacturing 

IS23 Synthetic rubber manufacturing 

IS24 Organic fiber manufacturing 

IS25 Pesticide, fertilizer, and other agricultural chemical manufacturing 

IS26 Pharmaceutical and medicine manufacturing 

IS27 Paint and coating manufacturing 

IS28 Adhesive manufacturing 

IS29 Soap, cleaning compound, and toilet preparation manufacturing 

IS30 Printing ink manufacturing 

IS31 Explosives manufacturing 

IS32 Custom compounding of purchased resin 

IS33 Photographic film paper, plate, and chemical manufacturing 

IS34 All other chemical product and preparation manufacturing 

IS35 Plastics product manufacturing 

IS36 Rubber product manufacturing 

IS37 Nonmetallic mineral product manufacturing (includes clay, glass, cement, concrete, 

lime, gypsum, and other nonmetallic mineral product manufacturing. 

IS38 Primary metal manufacturing 

IS39 Fabricated metal product manufacturing 

IS40 Machinery manufacturing 

IS41 Computer and electronic product manufacturing 

IS42 Electrical equipment, appliance, and component manufacturing 

IS43 Transportation equipment manufacturing 

IS44 Furniture and related product manufacturing 

IS45 Miscellaneous manufacturing 

IS46 Wholesale and retail trade 

IS47 Services 

IS48 Other (requires additional information) 

4.8.1.3 Industrial Function Category 

 Select from the drop down box the code that corresponds to the appropriate Industrial 

Function Category (IFC) for each particular combination of TPU and IS that you report (40 CFR 

711.15(b)(4)(i)(C)). Table 4-7 shows the codes and IFCs that appear in the drop down box. 

Descriptions for each IFC are provided in Appendix D. If you select U099 (Other), provide a 

description of the industrial function of the chemical substance. Note that EPA revised the IFC 

descriptions and codes for the 2012 reporting. 
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Table 4-7. Codes for Reporting Industrial Function Categories (IFCs) 

IFC Code IFC Title 

U001 Abrasives 

U002 Adhesives, binders, and sealants 

U003 Adsorbents and absorbents 

U004 Agricultural chemicals (non-pesticidal) 

U005 Anti-adhesive agents 

U006 Bleaching agents 

U007 Corrosion inhibitors and anti-scaling agents 

U008 Dyes 

U009 Fillers 

U010 Finishing agents 

U011 Flame retardants 

U012 Fuels and fuel additives 

U013 Functional fluids (closed systems) 

U014 Functional fluids (open systems) 

U015 Intermediates 

U016 Ion exchange agents 

U017 Lubricants and lubricant additives 

U018 Odor agents 

U019 Oxidizing/reducing agents 

U020 Photosensitive chemicals 

U021 Pigments 

U022 Plasticizers 

U023 Plating agents and surface treating agents 

U024 Process regulators 

U025 Processing aids, not otherwise listed 

U026 Processing aids, specific to petroleum production 

U027 Propellants and blowing agents 

U028 Solids separation agents 

U029 Solvents (for cleaning and degreasing) 

U030 Solvents (which become part of product formulation or mixture) 

U031 Surface active agents 

U032 Viscosity adjustors 

U033 Laboratory chemicals 

U034 Paint additives and coating additives not described by other codes 

U099 Other (specify) 

4.8.1.4 Percentage of Production Volume

 Estimate the percentage of total 2011 production volume that is attributable to each 

unique combination of TPU, IS, and IFC. The percentage should be accurate to the extent that it 

is known to or reasonably ascertainable by you. Round your estimates to the nearest 10 percent 
Chapter 2.0 When You Must Report 

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of production volume (40 CFR 711.15(b)(4)(i)(D)). If you would like to provide more specific 

percentages, please do so. Do not round a particular combination that accounts for less than five 

percent of the total production volume to zero percent if the production volume attributable to 

that combination is greater than or equal to 25,000 lb. In such cases, you must report the 

percentage of production volume attributable to that combination to the nearest one percent of 

production volume (40 CFR 711.15(b)(4)(i)(D)). 

 The total percentage of 

production volumes associated 

with the TPU, IS, and IFC 

combinations may add up to more 

than 100 percent, given that you 

are reporting on distribution of a 

chemical substance to sites in 

your control as well as 

downstream sites, some of which 

are not immediate purchasers 

from your original manufacturing 

site. Additionally, the total 

percentage of production volume 

may add up to less than 100 

percent if, for example: 

• You do not know or cannot reasonably ascertain information about how all of your 

production volume is processed or used; 

• More than 10 combinations of codes are applicable to your chemical substance; or 

• You export a portion of the production volume. 

Table 4-8 provides examples of reporting industrial processing and use data. 

How to determine your percent production volume: 

1. Determine the production volume that is attributable 

to each unique combination of TPU, IS, and IFC. 

2. Determine your total production volume for 2011. 

a. Add together the volume domestically 

manufactured and the volume imported. 

b. DO NOT subtract the volume used on-site or 

the volume exported 

3. Divide the volume determined in step 1 by the volume 

determined in step 2 and multiply by 100. 
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Table 4-8. Examples of Reporting Industrial Processing and Use Information 

Description 2012 Reporting Requirement 

Site 1 manufactures 500,000 lb of Chemical X for 

processing for incorporation into a mixture. All of the 

production is for use in industrial sector IS17 (Synthetic 

Dye and Pigment Manufacturing). Of the production 

volume, 67% (335,000 lb) is used as a dye and 33% 

(165,000 lb) is used as a pigment. 

On line 3.A.1 of Form U, enter PF for type of 

process or use, IS17 for industrial sector, U008 for 

IFC, and 70% for production volume. On line 

3.A.2 of Form U, enter PF for type of process or 

use, IS17 for industrial sector, U021 for IFC, and 

30% for production volume. 

Site 1 manufactures 500,000 lb of Chemical X for 

processing for incorporation into a mixture. All of the 

production is for use under industrial sector IS17 (Synthetic 

Dye and Pigment Manufacturing). Of the production 

volume, 97% (485,000 lb) is used as a coloring agent for 

dyes and 3% (15,000 lb) is used as a coloring agent for 

pigments. 

On line 3.A.1 of Form U, enter PF for type of 

process or use, IS17 for industrial sector, U008 for 

IFC, and 100% for production volume. On line 

3.A.2 of Form U, enter PF for type of process or 

use, IS14 for industrial sector, and U021 for IFC. 

Because less than 100,000 lb is used for pigments, 

enter 0% for production volume. 

Site 1 manufactures 12,000,000 lb of Chemical X for 

processing for incorporation into a mixture. All of the 

production is for use under industrial sector IS17 (Synthetic 

Dye and Pigment Manufacturing). Of the production 

volume, 97% (11,640,000 lb) is used as a coloring agent for 

dyes and 3% (360,000 lb) is used as a coloring agent for 

pigments. 

On line 3.A.1 of Form U, enter PF for type of 

process or use, IS17 for industrial sector, U008 for 

IFC, and 100% for production volume. Because the 

use in pigments, IFC U021, accounts for 100,000 

lb or more, on line 3.A.2 of Form U, enter PF for 

type of process or use, IS17 for industrial sector, 

U021 for IFC, and 3% for production volume. 

4.8.1.5 Number of Sites Code

 For each unique combination of TPU, IS, and IFC, select from the drop down box the 

code which corresponds to the appropriate number range for the total number of industrial sites, 

including those not under your control, that process or use each reported chemical substance to 

the extent that such information is known or reasonable ascertainable by you (40 CFR 

711.15(b)(4)(i)(E)). In the event you both manufacture (including import) and process or use the 

same reportable chemical substance at the reporting plant site, your site would be counted as 

both a manufacturing site in Part II of Form U and a processing or use site reported in Part III of 

Form U (40 CFR 711.15(b)(4)). Table 4-9 shows the codes and site number ranges which appear 

in the drop down box. 

Table 4-9. Codes for Reporting Numbers of Sites 

Codes Range 

S1 Fewer than 10 sites 

S2 At least 10 but fewer than 25 sites 

S3 At least 25 but fewer than 100 sites 

S4 At least 100 but fewer than 250 sites 

S5 At least 250 but fewer than 1,000 sites 

S6 At least 1,000 but fewer than 10,000 sites 

S7 At least 10,000 sites 

4.8.1.6 Number of Workers Code

 For each unique combination of Type of Process or Use Operation, Industrial Sector, and 

Industrial Function Category, estimate the total number of workers that are reasonably likely to 
Chapter 2.0 When You Must Report 

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be exposed to the chemical substance at sites that process or use the chemical substance (40 CFR 

711.15(b)(4)(i)(F)). Include workers at sites which are not under your control as well as those 

sites you control. For each chemical substance, select from the drop down box the code that 

corresponds to the estimated range of the number of workers reasonably likely to be exposed. To 

claim this information as confidential, check the box adjacent to the reported information. Table 

4-10 shows the codes and worker ranges which appear in the drop down box. 

Table 4-10. Codes for Reporting Number of Workers Reasonably Likely to be Exposed 

During Processing and Use 

Code Range of Workers Reasonably Likely to be Exposed 

W1 Fewer than 10 workers 

W2 At least 10 but fewer than 25 workers 

W3 At least 25 but fewer than 50 workers 

W4 At least 50 but fewer than 100 workers 

W5 At least 100 but fewer than 500 workers 

W6 At least 500 but fewer than 1,000 workers 

W7 At least 1,000 but fewer than 10,000 workers 

W8 At least 10,000 workers 

 “Reasonably likely to be exposed” means “an exposure to a chemical substance which, 

under foreseeable conditions of manufacture (including import), processing, distribution in 

commerce, or use of the chemical substance, is more likely to occur than not to occur. Such 

exposures would normally include, but would not be limited to, activities such as charging 

reactor vessels, drumming, bulk loading, cleaning equipment, maintenance operations, materials 

handling and transfers, and analytical operations. Covered exposures include exposures through 

any route of entry (inhalation, ingestion, skin contact, absorption, etc.), but excludes accidental 

or theoretical exposures” (40 CFR 711.3). 

 Persons reasonably likely to be exposed to a chemical substance include workers whose 

employment requires them to pass through areas where chemical substances are manufactured, 

processed, or used (e.g., production workers and foremen, process engineers, and plant 

managers). Workers employed to drive vehicles that transport the chemical substances should be 

included in the number of workers reasonably likely to be exposed to the chemical substance if

they come into contact with the chemical substance during loading or unloading. For example, 

workers engaged in the connection or disengagement of hoses used to load or unload the 

chemical substance should be included. However, workers involved solely with transporting 

chemical substances in sealed (totally enclosed with no potential for exposure) containers should 

not be included. 

 In addition, when a site employs temporary, seasonal, or contract workers in the 

manufacture of a reportable chemical substance, these workers should be included in the number 

of workers reasonably likely to be exposed to a chemical substance if they work in areas where 

the chemical substance is manufactured. The term does not include those employees whose jobs 

are unassociated with potential exposures to a chemical substance or mixture (e.g., 

administrative staff who never enter areas where the chemical substance is manufactured) and 

who are unlikely to be exposed to a chemical substance for even a brief period of time. No 

allowance is made for personal protective equipment or for engineering controls that reduce but 
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do not preclude exposure to a chemical substance; however, if contact between a worker and a 

chemical substance is highly improbable, the worker should not be included among those 

persons reasonably likely to be exposed to the chemical substance. 

4.8.2 Part III - Section B. Consumer and Commercial Use Data (Blocks 3.B.1 through 

3.B.10) 

 For purposes of CDR reporting, a commercial use means the use of a chemical substance 

or a mixture (including as part of an article) in a commercial enterprise providing saleable goods 

or a service (40 CFR 711.3). A consumer use, on the other hand, means the use of a chemical 

substance or a mixture (including as part of an article) when sold to or made available to 

consumers for their use (40 CFR 711.3). 

 You are required to report information that is known to or reasonably ascertainable by 

you concerning the consumer and commercial end uses of each chemical substance 

manufactured (including imported) in an amount of 100,000 lb or more at sites you control and 

at sites controlled by people to whom you have either directly or indirectly (including through a 

broker/distributor, from a customer, etc.) distributed the reportable chemical substance (40 CFR 

711.15(b)(4)). 

4.8.2.1 Product Category 

 You must designate up to ten product categories which correspond to the actual use of the 

chemical substance by selecting from the drop down box the codes which corresponds to the 

appropriate product categories (40 CFR 711.15(b)(4)(ii)(A)). The reporting tool will allow you to 
Chapter 2.0 When You Must Report 

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enter more than ten categories if you choose to do so. Table 4-11 shows the codes and product 

categories which appear in the drop down box. 

Note that EPA revised the list of product category codes. Descriptions of these categories 

are provided in Appendix D. If you select C999 (Other), you must provide a description of the 

product category. If more than ten codes apply, you need report only the ten codes for the 

chemical substance that cumulatively represent the largest percentage of production volume, 

measured by weight (40 CFR 711.15(b)(4)(ii)(A)). 

Table 4-11. Product Category Codes 

Code Description 

Chemical Substances in Furnishing, Cleaning, Treatment/Care Products 

C101 Floor coverings 

C102 Foam seating and bedding products 

C103 Furniture and furnishings not covered elsewhere 

C104 Fabric, textile, and leather products not covered elsewhere 

C105 Cleaning and furnishing care products 

C106 Laundry and dishwashing products 

C107 Water treatment products 

C108 Personal care products 

C109 Air care products 

C110 Apparel and footwear care products 

Chemical Substances in Construction, Paint, Electrical, and Metal Products 

C201 Adhesives and sealants 

C202 Paints and coatings 

C203 Building/construction materials - wood and engineered wood products 

C204 Building/construction materials not covered elsewhere 

C205 Electrical and electronic products 

C206 Metal products not covered elsewhere 

C207 Batteries 

Chemical Substances in Packaging, Paper, Plastic, Hobby Products

C301 Food packaging 

C302 Paper products 

C303 Plastic and rubber products not covered elsewhere 

C304 Toys, playground, and sporting equipment 

C305 Arts, crafts, and hobby materials 

C306 Ink, toner, and colorant products 

C307 Photographic supplies, film, and photochemicals 

Chemical Substances in Automotive, Fuel, Agriculture, Outdoor Use Products 

C401 Automotive care products 

C402 Lubricants and greases 

C403 Anti-freeze and de-icing products 

C404 Fuels and related products 

C405 Explosive materials 

C406 Agricultural products (non-pesticidal) 
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Code Description 

C407 Lawn and garden care products 

Chemical Substances in Products not Described by Other Codes

C980 Non-TSCA use 

C999 Other (specify) 

4.8.2.2 Consumer and/or Commercial Use

For each Product Category reported, select from the drop down box in the “Consumer 

and/or Commercial” column in Part III.B of Form U the options to indicate whether the use is a 

consumer use or a commercial use (40 CFR 711.15b)(4)(ii)(B). If the product has both consumer 

and commercial uses, select both options. 

4.8.2.3 Use in Product(s) Intended for Use by Children

 Within each consumer product category reported, you must determine whether any 

amount of each reportable chemical substance manufactured (including imported) in an amount 

of 100,000 lb or more by you is present in or on any consumer product(s) intended for use by 

children age 14 or younger, regardless of the concentration of the chemical substance remaining 

in or on the product (40 CFR 711.15(b)(4)(ii)(C)). If you determine that your chemical substance 

or mixture is used in a consumer product intended for use by children, select “Yes” from the 

drop down box in the “Used in Product(s) Intended for Children” column in Part III.B of Form 

U. If you determine that your chemical substance or mixture is not used in a consumer product 

intended for use by children, select “No” from the drop down box. If information as to whether 

the chemical substance is used in or on any consumer products intended for use by children is 

not known to or reasonably ascertainable by you, select “NKRA” from the drop down box. 

 EPA defines “intended for use by children” to mean the chemical substance or mixture is 

used in or on a product that is specifically intended for use by children age 14 or younger (40 

CFR 711.3). Your chemical substance or mixture is intended for use by children if you answer 

“yes” to at least one of the following questions about the product into which your chemical 

substance or mixture is incorporated: 

• Is the product commonly recognized (i.e., by a reasonable person) as being intended for 

use by children age 14 or younger? 

• Does the manufacturer of the product state through product labeling or other written 

materials that the product is intended or will be used by children age 14 or younger? 

• Is the advertising, promotion, or marketing of the product aimed at children age 14 or 

younger? 

 Table 4-12 illustrates some examples of “Use in Product(s) Intended for Use by 

Children.” For example, certain products (e.g., crayons, coloring books, diapers, and toy cars) 

are typically used by children age 14 or younger. If you determine that your chemical substance 

or mixture is used in crayons, for example, you would report “Y” for children’s use for C305. 
Chapter 2.0 When You Must Report 

4-35

 Certain products, such as household cleaning products, automotive supplies, and 

lubricants, typically are not intended to be used by children age 14 or younger. As such, if you 

determine that your chemical substance or mixture is used in automotive care products and 

lubricants, for example, you would report “no” for children’s use for categories C401 and C402. 

Table 4-12. Examples of Products Intended for Use by Children 

Codes Category Examples 

Chemical Substances in Furnishings, Cleaning, Treatment/Care Products 

C102 Foam seating and bedding products Child’s car seat, children’s sheets 

C103 Furniture and furnishings not covered 

elsewhere 

Baby cribs, changing tables 

C104 Fabrics, textile, and leather products 

not covered elsewhere 

Children’s clothing 

C108 Personal care products Baby shampoo, children’s bubble bath 

Chemical Substances in Construction, Paint, Electrical and Metal Products 

C201 Adhesives and sealants Craft glue, model glue 

C202 Paints and coatings Finger paints, water colors intended for use by children 

C205 Electrical and electronic products Electronic games, remote control cars 

Chemical Substances in Packaging, Paper, Plastic, Hobby Products

C302 Paper products Diapers, baby wipes, coloring books 

C303 Plastic and rubber products not 

covered elsewhere 

Pacifiers 

C304 Toys, playground, and sporting 

equipment 

Toy trucks, dolls, toy cars, wagons, action figures, balls, 

swing sets, slides, skates, baseball gloves 

C305 Arts, Crafts, and Hobby Materials Chemicals used as colorants in crayons, coloring inks, 

markers 

Chemical Substances in Automotive, Fuel, Agriculture, Outdoor Use Products 

C407 Lawn and garden products Lawn and gardening tools designed specifically for children 

(e.g., kids rake) 

C999 Other (specify) Other items specifically intended for use by children age 14 

or younger 

4.8.2.4 Percentage of Production Volume
Chapter 2.0 When You Must Report 

4-36

 Estimate the percentage of your production volume for each chemical substance 

manufactured (including imported) in an amount of 100,000 lb or more that is attributable to 

each specific consumer and commercial end use carried out at sites under your control, as well as 

at sites that receive a reportable chemical substance from you either directly or indirectly 

(including through a broker/distributor, from a customer, etc.), to the extent that such 

information is known to or reasonably ascertainable to you (40 CFR 711.15(b)(4)(ii)(D)). You 

should round estimates to the nearest ten percent of production volume (40 CFR 

711.15(b)(4)(ii)(D)). If you would like to provide more specific percentages, please do so. You 

may not round a consumer and commercial product category that accounts for five percent or 

less of the total production volume of a reportable chemical substance to zero percent if the 

production volume attributable to that consumer 

and commercial product category is greater than 

or equal to 25,000 lb. (40 CFR 

711.15(b)(4)(ii)(D)). In such cases, you must 

report the percentage of production volume 

attributable to that consumer and commercial 

product category to the nearest one percent of 

the production volume (40 CFR 

711.15(b)(4)(ii)(D)). 

 Note that the total percentage of 

production volumes reported may add up to 

more or less than 100 percent. Rounding to the 

nearest ten percent can result in summed 

percentages either above or below 100 percent. 

Additionally, the total percentage of production 

volume may add up to less than 100 percent if, 

for example: 

• You do not know or cannot reasonably ascertain information about how all your 

production volume is used in consumer and commercial products; 

• More than ten commercial or consumer product categories are applicable to your 

chemical substance; or 

• A portion of your production is consumed in industrial uses or exported. 

4.8.2.5 Maximum Concentration Code

 When the chemical substance you manufacture (including import) is used in commercial 

or consumer products, you are required to report the estimated typical maximum concentration 

(measured by weight) of each chemical substance in each commercial or consumer product 

category reported in Part III of Form U (40 CFR 711.15(b)(4)(ii)(E)). For each chemical 

substance used in a reported commercial or consumer product, select from the drop down box the 

code that corresponds to the appropriate concentration range. Table 4-4 shows the codes and 

concentration ranges which appear in the drop down box. 

4.8.2.6 Number of Commercial Workers Code

 Report the total number of commercial workers, including those at sites not under your 

control that are reasonably likely to be exposed while using the reportable chemical substance, 

with respect to each commercial use (40 CFR 711.15(B)(4)(II)(F)). For each chemical substance 

How to determine your percent 

production volume: 

1. Determine the production volume that is 

attributable to each consumer and 

commercial end use. 

2. Determine your total production volume 

for 2011. 

a. Add together the volume 

domestically manufactured and the 

volume imported. 

b. DO NOT subtract the volume 

used on-site or the volume 

exported 

3. Divide the volume determined in step 1 

by the volume determined in step 2 and 

multiply by 100. 
Chapter 2.0 When You Must Report 

4-37

with a commercial use reported in Part III, select code which corresponds to the appropriate 

range of commercial workers reasonably likely to be exposed. Table 4-10 shows the code and 

worker ranges which appear in the drop down box. 
Chapter 5.0 How to Assert Confidentiality Claims 

5-1

5.0 How to Assert Confidentiality Claims 

 You can designate your CDR data as confidential business information (CBI) by 

checking the CBI box associated with selected data elements, responding to a series of 

substantiation questions for selected data elements, and ensuring that the signature of your 

authorized official accompanies any substantiation. You are encouraged to limit claims for CBI 

only to situations in which they are absolutely necessary. You are also encouraged not to assert 

confidentiality claims if your circumstances have changed and confidentiality is no longer 

needed. CBI claims will not be accepted or honored if they are not asserted as required at the 

time information is submitted to EPA or if they are submitted in a manner inconsistent with the 

CDR rule. 

 CBI claims must be warranted under the criteria for determining confidentiality found 

within 40 CFR 2.208. EPA’s procedures for processing and reviewing confidentiality claims are 

set forth at 40 CFR Part 2, Subpart B and 40 CFR 711.30. EPA strongly encourages you to 

review confidentiality claims carefully to ensure that the information in question falls under the 

protection of TSCA Section 14 and fully meets the substantive questions within the Part 2 rules. 

If you assert that any of the information contained in the answers to these questions itself 

contains CBI, you must clearly identify the information that is claimed confidential by marking 

the specific information on each page with a label such as “confidential business information,” 

“proprietary,” or “trade secret” (40 CFR 711.30(b)(2)). If you fail to follow these instructions, 

EPA may release the information to the public without further notice to you. 

 Specific procedures to claim the identity of the reported chemical substance, the identity 

of the site, and processing and use data as CBI are addressed in the following subsections. Table 

5-1 summarizes the special considerations for these data elements. 

Table 5-1. Special Considerations for Asserting Confidentiality Claims 

Data Element Asserting a Confidentiality Claim 

Chemical Identity The chemical identities listed on the public version of the TSCA Inventory are 

already publicly known; therefore submitters cannot claim such chemical identities 

as CBI. The Agency has in the past, and will continue to do so, limited chemical 

identity claims to only those chemical substances listed on the confidential portion 

of the Master Inventory File. To assert a confidentiality claim for the TSCA 

Accession Number corresponding to the confidential chemical substance intended 

to be reported, check CBI box in Part II Section A and submit written answers to 

questions in 40 CFR 711.30(b)(1). (The questions are reproduced in Table 5-2.) 

Site Identity Check CBI box in Part II Block 2.B.2 and submit written answers to the questions 

in 40 CFR 711.30(c)(1). (The questions are reproduced in Table 5-3.) 

Processing and Use Data 

Check the appropriate CBI box in Part III, and submit written answers to questions 

in 40 CFR 711.30(d)(1) for each CBI box checked. (The questions are reproduced 

in Table 5-4.) 

5.1 Chemical Identity 

 You may assert a confidentiality claim for the specific identity of a chemical substance 

only if EPA treats the identity of that chemical substance as confidential on the TSCA Inventory 

at the time your report is submitted (i.e., the chemical substance is not on the public portion of 

the TSCA Inventory) (40 CFR 711.30(b)). If you report a previously confidential chemical 
Chapter 5.0 How to Assert Confidentiality Claims 

5-2

substance as nonconfidential, that chemical substance subsequently will be listed on the TSCA 

Inventory as nonconfidential. 

 To assert a claim for the confidential chemical identity associated with the TSCA 

Accession Number ,you must check the appropriate CBI box in Part II, Section A and submit 

detailed written answers to the substantiation questions listed in Table 5-2. Checking the CBI 

box for chemical identity automatically triggers the substantiation questions. The answers must 

be complete and specific to the chemical substance in question. If you answer “Yes” to question 

11, write the file name in the text box and electronically attach the relevant document. 

Table 5-2. Substantiation Questions To Be Answered When Asserting Chemical 

Identity CBI Claims (40 CFR 711.30(b)(1)) 

No. Question 

1. What harmful effects to your competitive position, if any, or to your supplier’s competitive position, do 

you think would result from the identity of the chemical substance being disclosed in connection with 

reporting under the CDR? How could a competitor use such information? Would the effects of disclosure 

be substantial? What is the causal relationship between the disclosure and the harmful effects? 

2. For how long should confidential treatment be given? Until a specific date, the occurrence of a specific 

event, or permanently? Why? 

3. Has the chemical substance been patented? If so, have you granted licenses to others with respect to the 

patent as it applies to the chemical substance? If the chemical substance has been patented, and therefore 

disclosed through the patent, why should it be treated as confidential? 

4. Has the identity of the chemical substance been kept confidential to the extent that your competitors do 

not know it is being manufactured or imported for a commercial purpose by anyone? 

5. Is the fact that the chemical substance is being manufactured (including imported) for a commercial 

purpose available to the public, for example, in technical journals, libraries, or State, local, or Federal 

agency public files? 

6. What measures have you taken to prevent undesired disclosure of the fact that the chemical substance is 

being manufactured (including imported) for a commercial purpose? 

7. To what extent has the fact that this chemical substance is manufactured (including imported) for 

commercial purposes been revealed to others? What precautions have been taken regarding these 

disclosures? Have there been public disclosures or disclosures to competitors? 

8. Does this particular chemical substance leave the site of manufacture (including import) in any form (e.g., 

as product, effluent, emission)? If so, what measures have been taken to guard against the discovery of its 

identity? 

9. If the chemical substance leaves the site in a product that is available to the public or your competitors, 

can the chemical substance be identified by analysis of the product? 

10. For what purpose do you manufacture (including import) the chemical substance? 

11. Has EPA, another Federal agency, or any Federal court made any pertinent confidentiality determinations 

regarding this chemical substance? If so, please attach copies of such determinations. 

5.2 Site Identity 

 You may assert a claim of confidentiality for the identity of the manufacturing (including 

importing) site if the linkage of the site with a reportable chemical substance is confidential and 

not publicly available (40 CFR 711.30(c). Claiming site identity as confidential protects the 

release of site name (i.e., where the chemical substance was manufactured (including imported)) 

address, city, county, state, zip code, and Dun & Bradstreet number. Note that claiming site 

identity confidential does not protect the link between the chemical identity and the company 
Chapter 5.0 How to Assert Confidentiality Claims 

5-3

name. To protect the link between the chemical identity and the company name, you need to 

check the CBI box associated with the company name. 

 To assert a claim of confidentiality for site identity, check the appropriate CBI box in Part 

II, Section B and substantiate your claim with detailed written answers to the two questions (see 

Table 5-3) at 40 CFR 711.30(c)(1). Checking the CBI box for site identity automatically triggers 

the substantiation questions. Note that confidentiality claims for both site and company 

information are to be made in conjunction with a specific chemical substance and cannot be 

made generically for a whole submission. For instance, if you report four chemical substances 

manufactured (including imported) at a given site on Form U, you are able to claim the site 

identity as confidential for one chemical substance while releasing this information for the other 

three. If the site identity for a particular chemical substance is not claimed as CBI, or is claimed 

but not substantiated pursuant to 40 CFR 711.30(c), EPA may make that information available to 

the public without further notice to the submitter. EPA will not impute the existence of a CBI 

claim for site identity from a CBI claim for company identity, even if the company name appears 

within the site identity information. 

Table 5-3. Substantiation Questions To Be Answered When Asserting Plant 

Site Identity CBI Claims (40 CFR 711.30(c)(1)) 

No. Question 

1. Has site information been linked with a chemical identity in any other Federal, state, or local reporting 

scheme? For example, is the chemical identity linked to a facility in a filing under the EPCRA section 311, 

namely through a Material Safety Data Sheet (MSDS)? If so, identify all such schemes. Was the linkage 

claimed as confidential in any of these instances? 

2. What harmful effect, if any, to your competitive position do you think would result from disclosure of the 

identity of the site and the chemical substance? How could a competitor use such information? Would the 

effects of disclosure be substantial? What is the causal relationship between the disclosure and the harmful 

effects? 

5.3 Processing and Use Information 

You may assert a claim of confidentiality for data associated with the processing and use 

information reported in Part III of Form U if you have reason to believe that release of the 

information would reveal trade secrets or confidential commercial or financial information, as 

provided by section 14 of TSCA and 40 CFR Part 2. While submitters were not required to 

provide upfront substantiation for this information during the last reporting cycle (2006), EPA 

now requires upfront substantiation of CBI claims for these data. To assert a claim of 

confidentiality for data associated with processing and use information, check the appropriate 

CBI box(es) in Part III of Form U and, for each box checked, substantiate your claim with 

detailed written answers to the questions in Table 5-4 (40 CFR 711.30(d)(1)). Checking a CBI 

box for a specific data element automatically triggers the substantiation questions. The answers 

must be complete and specific as to the chemical substance and data element in question. 
Chapter 5.0 How to Assert Confidentiality Claims 

5-4

Table 5-4. Substantiation Questions To Be Answered When Asserting Processing and Use 

Information CBI Claims (40 CFR 711.30(d)(1)) 

No. Question 

1. Is the identified use of this chemical substance publicly known? For example, is information on the use 

available in advertisements or other marketing materials, professional journals or other similar materials, or 

in non-confidential mandatory or voluntary government filings or publications? Has your company ever 

provided use information on the chemical substance that was not claimed as confidential? 

2. What harmful effect, if any, to your competitive position or to your customer’s competitive position do you 

think would result from disclosure of the processing and use data and the chemical substance? How could a 

competitor use such information? Would the effects of disclosure be substantial? What is the causal 

relationship between the disclosure and the harmful effects? 

5.4 CBI Claims for “NKRA” Responses 

 If you designate information as “not known to or reasonably ascertainable by” (i.e., if you 

make a “NKRA” response), you can not claim the “NKRA” response as confidential. 

5.5 Negative Responses for Products Intended for Use by Children 

If your chemical substance is not used in products intended for use by children (i.e., you 

answered ‘No’ in Part III.B), you are encouraged not to claim the information as confidential.
Chapter 6.0 How to Submit Your Form U to EPA 

6-1

6.0 How to Submit Your Form U to EPA 

 For the 2012 submission period, manufacturers (including importers) are required to use 

e-CDRweb, the CDR reporting tool, and EPA’s Central Data Exchange (CDX) to create an 

electronic version of Form U to submit information in response to the requirements of this rule 

(40 CFR Part 711). EPA will no longer accept paper forms or electronic media (diskette, CDRom, etc.) for any CDR submission. A separate Form U is required for each plant site (40 CFR 

711.15(a)). If you need to report information for more than one reportable chemical substance at 

your site, submit the information for all the chemical substances on one Form U. 

6.1 The e-CDRweb Tool 

The reporting tool, e-CDRweb, is a user-friendly, web-based tool that allows you to 

submit Form U electronically over the Internet. The tool includes embedded help files to help 

guide you through the CDR submission process and integrates with the Agency’s Substance 

Registry Services (SRS) and Facility Registry System (FRS) to improve data quality and 

facilitate data entry. It can be accessed anywhere you have a connection to the Internet and 

requires no downloads or tool installs. Once you complete the relevant data entry, the tool will 

validate the form by performing basic error checks and making sure all the required fields are 

completed, allow you to create and save the submission for your records, and encrypt your file 

for submission through CDX.

Authorized officials and all support registrants must register to use the e-CDRweb tool at 

https://cdx.epa.gov. This registration requires the completion of an electronic signature 

agreement (ESA) form. You can either submit the form electronically or mail the form to EPA. 

If you choose to mail the ESA form, please allow adequate time for the mailing and 

processing of the form, which is estimated to take a minimum of five (5) business days. Note 

that a foreign supplier cannot submit an ESA electronically. If you are already registered 

with CDX for another TSCA program (e.g., the New Chemicals program), as either an 

Authorized Official or Support Registrant, you do not need to register again. In this case, log into 

CDX with your current user ID and password, and add the CDR as a new program. 

 

For sites with their own data collection processes, e-CDRweb allows direct data transfers 

of Extensible Markup Language (XML) files into the reporting tool. By selecting “Upload 

XML,” you can directly enter data for more than one chemical substance in Form U. You will be 

able to make adjustments to the uploaded information. The schema is available from the CDR 

web site at http://www.epa.gov/cdr or http://www.epa.gov/iur.

For more information on accessing e-IURweb, please visit http://www.epa.gov/cdr or

http://www.epa.gov/iur. Additional assistance is available from the TSCA Hotline by telephone 

at (202) 554-1404 or by email at http://www.tsca-hotline@epa.gov. The TSCA hotline operates 

Monday through Friday, from 8:30 a.m. to 5:00 p.m. (EST). 

6.2 The Central Data Exchange (CDX) 

CDX is a service which enables you to electronically submit data to EPA. Registering 

your name, contact information, and information of the company on whose behalf you are 

submitting a Form U is required. 
Chapter 6.0 How to Submit Your Form U to EPA 

6-2

The following tasks can be performed through CDX: 

• Retrieval of the company identity for which you are registered to submit documents; 

• Cryptographic key pair generation; 

• File encryption; 

• File decryption; 

• Document Submission – allows you to submit your CDR Form U electronically to EPA; and 

• Copy of Record Download – allows you to download the official submitted document and the 

XML associated with that document. 

For questions or additional information about CDX, please visit http://www.epa.gov/cdx. 

Additional assistance can be obtained from the CDX help desk at helpdesk@epacdx.net or CDX 

technical support staff at 888-890-1995 (8:00 a.m. to 6:00 p.m. (EST) Monday through Friday).

6.3 Registering with CDX 

CDX registration is required only for persons who will be submitting a Form U to EPA on 

behalf of a site, or for persons who are authorized to enter CDR data for a site. Each site that 

submits CDR information is required to have an Authorized Official (AO) who is the person 

responsible for signing the form and is responsible for the data). A site may also have one or 

more Support Registrants (SR) who complete Form U on behalf of the authorized official. For 

purposes of CDX registration, the roles and access rights of an Authorized Official and a Support 

Registrant are as follows: 

 Primary Authorized Official --The Primary Authorized Official is the person legally 

responsible for the site’s CDR submission. The AO is the only person who can create a 

new Form U, reopen a completed Form U, and electronically sign and submit a Form U. 

The AO, typically, is a senior official for the reporting company, often with management 

responsibility for the person (or persons) completing the form. A company may have 

more than one person register as an AO; however, each AO will be given a separate CDX 

user ID and will need to know the passphrase of a specific Form U to access the form. 

For CDR purposes, the “primary” designation indicates the AO for a U.S. site. In the 

event that the CDR submission is part of a joint submission, the Primary AO is 

responsible for initiating the joint submission. EPA assumes that this person may be the 

authorized official for more than one plant site; therefore, there is a one-to-many 

relationship between an authorized official and sites. 

Benefits of Submitting Forms through CDX: 

■ Reduces time and expense of mailing paper 

■ Improves security using digital encryption 

■ Eliminates errors associated with manual processing 

■ Automates and expedites validation and receipt 

 acknowledgement 

■ Minimizes follow-up phone calls for clarification and 

 correction 
Chapter 6.0 How to Submit Your Form U to EPA 

6-3

 Secondary Authorized Official -- The Secondary Authorized Official is the person 

legally responsible for the secondary portion of a joint CDR submission. As with the 

Primary AO, the Secondary AO is the only person who can create a new Form U, reopen 

a completed Form U, and electronically sign and submit a Form U. The Secondary AO, 

typically, is a senior official for the secondary company, often with management 

responsibility for the person (or persons) completing the form. A company may have 

more than one person register as an AO; however, each AO will be given a separate CDX 

user ID and will need to know the passphrase of a specific Form U to access the form. 

EPA assumes that this person may be the authorized official for more than one plant site; 

therefore, there is a one-to-many relationship between an authorized official and sites. 

 Primary Support Registrant -- The Primary Support Registrant is a person designated 

by an authorized official to provide supporting information on behalf of a site. The SR 

may be a corporate on-site contact, a technical contact, a paid employee of the company, 

an outside consultant for the company, or an authorized representative agent for the 

company. Support registrants are not allowed to create a new Form U or sign the 

certification statement required for the initial CDR submission, but they may enter or 

modify data for the site for which they are authorized. EPA assumes that this individual 

may be associated with more than one site, and even more than one company. SRs must 

register with CDX before they can be associated with a site. 

 Secondary Support Registrant --The Secondary Support Registrant is a person 

designated by a Secondary AO to provide supporting information on behalf of the 

secondary company in a joint submission. The SR may be a corporate on-site contact, a 

technical contact, a paid employee of the company, an outside consultant for the 

company, or an authorized representative agent for the company. SRs are not allowed to 

create a new submission or sign the certification statement required for the initial CDR 

submission, but they may enter or modify data for the site for which they are authorized. 

SRs must register with CDX before they can be associated with a site.

6.3.1 Registering as a Primary Authorized Official 

 CDX registration is a multi-part process. Follow these instructions to register at the CDX 

web site and add the e-CDRweb tool to your new CDX account. 

Step 1: Complete the basic registration information 

a. Go to http://cdx.epa.gov to create your CDX account. 

b. On the CDX Home page, click the hyperlink next to “If you are new to CDX 

and wish to register, please click here.”A warning and privacy notice will be 

displayed. 

c. Click the “Click here to continue” link to start the registration process. 

 

d. Accept the Terms and Conditions registration agreement. You will be 

directed to the Registration page. 
Chapter 6.0 How to Submit Your Form U to EPA 

6-4

e. Complete all required information noted with a red asterisk. After entering a 

user name, password, and secret question, you will be asked to enter your 

organization’s information. 

 

f. On the Program Selection page, select the Chemical Safety and Pollution 

Prevention option and click “Next.” 

 

g. On the Add Program ID page, change the “Program ID Type” dropdown to 

“Primary Authorized Official.” This will trigger the electronic signature 

agreement process. 

Step 2: Sign the Electronic Signature Agreement (ESA) 

The ESA form contains information entered during CDX registration along 

with terms of agreement for use of the electronic signature, and your 

signature. This form is the main registration form for CDX and helps ensure 

that all electronic signature holders are responsible parties. If you represent 

multiple sites, you will be able to generate a single ESA for all the sites you 

represent. Complete and electronically submit the ESA form. If you prefer, 

you can print and mail the form to EPA. 

Step 3: Complete Online Registration 

 After completing and submitting the ESA form, the “successfully registered” 

confirmation page will be displayed. Click “Finished” to complete your online 

registration as a submitter for the 2012 CDR. You will be taken to the MyCDX home 

page. At this point, you have only created an online account and signed up for a role. 

Your registration application will be reviewed and if your credentials are confirmed, you 

will be notified via e-mail that your account has been activated. 

Step 4: Activate your account 

Once your account has been activated, the system will send you a registration 

status change notification email, requesting that you log into the system and continue 

with the user setup process. 

Step 5: Complete the 20-5-1 Questionnaire 

After logging back into CDX, you will be asked to provide answers to five 

security questions from the “20-5-1 Questionnaire.” Each time you enter CDX, thereafter, 

you will be prompted with one randomly selected question of the five you answered to 

confirm your identity. 

 The “successfully registered” confirmation page will be displayed. Click 

“Continue” to complete your registration. You will be taken to the MyCDX home page. 

Step 6: Click the “Edit Current Account Profiles” link 

You will be taken to the “Edit Organization Profiles” screen. Once on the page, 

click the “Add/Edit Facilities” link and follow the prompts to select the name of your 
Chapter 6.0 How to Submit Your Form U to EPA 

6-5

reporting site from EPA’s Facility Registry System (FRS) Facility Selector. The FRS 

Facility Selector will appear in a separate pop-up window. Search results will be returned 

displaying: EPA Registry ID, Facility Name, and Address. 

Step 7: Click the “OPPT Chemical Submission System” link 

You will be taken to the OPPT Chemical Submission System homepage. Choose 

“Chemical Data Reporting (CDR)” as your submission type and click “Ok.” 

 Step 8: Begin using the e-CDRweb tool 

Complete Parts I-III of Form U for all your reportable chemical substances as 

described in Section 4 of this document. You will need to create a passphrase before you 

can start to complete Form U. See Section 6.4 for instructions on creating a passphrase. 

Note: Items such as the validation page and the SRS search page will appear in 

separate windows. Ensure that your pop-up blocker is disabled before you begin to 

complete Form U. 

6.3.2 Registering as a Primary Support Registrant 

CDX registration is a multi-part process. Follow these instructions to register at the CDX 

web site and add the e-CDRweb tool to your CDX account. 

Step 1: Complete the basic registration information 

a. Go to http://cdx.epa.gov to create your CDX account. 

b. On the CDX Home page, click the hyperlink next to “If you are new to CDX 

and wish to register, please click here.” A warning and privacy notice will be 

displayed. 

c. Click the “Click here to continue” link to start the registration process. 

 

d. Accept the Terms and Conditions registration agreement. You will be 

directed to the Registration page. 

 

e. Complete all required information noted with a red asterisk. After entering a 

user name, password, and secret question, you will be asked to enter your 

organization’s information. 

f. On the Program Selection page, select the “ Chemical Safety and Pollution 

Prevention” option button and click “Next.” 

g. On the Add Program ID page, change the “Program ID Type” dropdown to 

“Primary Support Registrant.” This will trigger the electronic signature 

agreement process. 

Step 2: Enter the Authorized Official’s CDX User ID 
Chapter 6.0 How to Submit Your Form U to EPA 

6-6

Enter the CDX user ID of the Authorized Official for whom you will be 

submitting information. If you enter the Authorized Official’s user ID correctly the 

system will ask for further verification. After viewing the information of the Authorized 

Official whose ID was entered, click the “Next” button to complete the electronic 

signature agreement form. 

Step 3: Sign the Electronic Signature Agreement (ESA) 

The ESA form contains information entered during CDX registration along with 

terms of agreement for use of the electronic signature, and your signature. This form is 

the main registration form for CDX and helps ensure that all electronic signature holders 

are responsible parties. Complete and electronically submit the ESA form. If you prefer, 

you can print and mail the form to EPA. 

Step 4: Complete Online Registration 

 After completing and submitting the ESA form, the “successfully registered” 

confirmation page will be displayed. Click “Finished” to complete your online 

registration as a Support Registrant. You will be taken to the MyCDX home page. At this 

point, you have only created an online account and signed up for a role. Your registration 

application will be reviewed and if your credentials are confirmed, you will be notified 

via e-mail that your account has been activated. 

Step 5: Activate your account 

Once your account has been activated, the system will send you a registration 

status change notification email, requesting that you log into the system and continue 

with the user setup process. 

Step 6: Complete the 20-5-1 Questionnaire 

After logging back into CDX, you will be asked to provide answers to five 

security questions from the “20-5-1 Questionnaire.” Each time you enter CDX, thereafter, 

you will be prompted with one randomly selected question of the five you answered to 

confirm your identity. 

 The “successfully registered” confirmation page will be displayed. Click 

“Continue” to complete your registration. You will be taken to the MyCDX home page. 

Step 7: Click the “Edit Current Account Profiles” link 

You will be taken to the “Edit Organization Profiles” screen. Once on the page, 

click the “Add/Edit Facilities” link and follow the prompts to select the name of your 

reporting site from EPA’s Facility Registry System (FRS) Facility Selector. The FRS 

Facility Selector will appear in a separate pop-up window. Search results will be returned 

displaying: EPA Registry ID, Facility Name, and Address. 

Step 8: Click the “OPPT Chemical Submission System” link 
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You will be taken to the OPPT Chemical Submission System homepage. Choose 

“Chemical Data Reporting (CDR)” as your submission type and click “Ok.” 

 Step 9: Begin using the e-CDRweb tool 

Complete Parts I-III of Form U for all your reportable chemical substances as 

described in Section 4 of this document. You will need to create a passphrase before you 

can start to complete Form U. See Section 6.4 for instructions on creating a passphrase. 

Note: Items such as the validation page and the SRS search page will appear in 

separate windows. Ensure that your pop-up blocker is disabled before you begin to 

complete Form U. 

6.4 Creating a Passphrase 

 In order to begin completing your Form U, you will need to create a passphrase that is 8-

20 characters in length. To better protect your account, your passphrase should contain a 

combination of letters and numbers. Your passphrase may include spaces, but should not contain 

special characters (e.g., +, ?, and *). You can create and use the same passphrase for all your 

reporting sites. 

A passphrase can only be created by an Authorized Official for a reporting site. Your 

passphrase will be used as an encryption key to protect the contents of your data. As an 

Authorized Official, you are responsible for remembering your passphrase and distributing it to 

only authorized Support Registrants for your site. 
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***NOTE: If you lose or forget your passphrase, you will not be able to access 

your Form U to print, submit, or make changes. You will need to complete a 

new Form U and create a new passphrase for the reportable chemical 

substance(s) at your site. For security reasons, the system administrator will 

not have access to your passphrase and will not be able to retrieve it or reset it 

to a new one. 

6.5 Submitting Form U through CDX 

Follow these instructions to submit Form U. Please note that EPA will not be able to 

access a site’s Form U until it is submitted through CDX. 

Step 1. After you enter data for all the reportable chemical substances at your site, click 

the “Submit” button at the bottom of the screen. Note that only an Authorized Official 

can sign and submit a Form U. 
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Step 2. Please correct all errors and review all warnings on the validation page to ensure 

the information is complete and correct. 

Step 3. Print or save a courtesy copy of your Form U submission. This document is for 

your personal records only. DO NOT SUBMIT THE FORM TO EPA. 

Step 4. Follow the prompts that will lead you to CDX, re-enter your passphrase, and 

complete the CROMERR 20-5-1 questions. 

Step 5. Click “Confirm” to submit your Form U to EPA. 

Step 6. Please verify that all fields are correct on the preview screen. Once you submit 

Form U, you will need to log into CDX to access the original Form U and make changes 

to the data. See Section 6.8 if you would like to make changes to your Form U 

submission.

Step 7. Check the status of your submission through CDX. 
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 After the file is processed and the signature validated, messages will be sent to the 

registered email address and the associated CDX inbox. These messages will confirm receipt of 

the CDR submission and validation of the signature. 

 To maintain the confidentiality of information submitted to EPA, e-CDRweb encrypts 

submissions using a Federal Information Processing Standards (FIPS) certified encryption 

module. The submission is encrypted by the reporting tool and remains encrypted during 

transmission to CDX, while stored and archived in CDX, and during transmission from CDX to 

EPA’s operational data repository. The file can only be decrypted with EPA’s private key when 

it reaches its final destination. EPA is the only party that possesses the private key, which 

converts the encrypted text back into readable text. EPA recognizes that securing CBI data is of 

utmost and critical importance to the success of CDX in the CDR submission process. For that 

reason, only CBI-cleared, EPA employees and contractors will be permitted access to CDR 

submissions. 

 

6.6 Accessing Your Site’s Data Before Submission 

Form U can be completed in more than one session. The tool will save all data entered 

on a page once you navigate away from the page (i.e., you click “Next” or “Previous”). 

However, please click the “Save” button before logging out of the tool. You can pick up where 

you left off at any time. 
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Note that if a user accesses a page that is being edited by another individual, he or she 

will be able to view the most updated version of the form, but will not be able to edit any 

information. However, multiple people can edit different pages of the form at the same time. 

6.7 Special Instructions for Joint Submitters

Joint submissions are allowed only in those instances where a supplier will not disclose to 

the manufacturer (including importer) the specific chemical name of the imported chemical 

substance or of a reactant used to manufacture a chemical substance, because the supplier claims 

the specific chemical name is confidential. 

This may happen, for instance, when a company is importing a mixture under a trade 

name, and the foreign manufacturer refuses to reveal the chemical identity of a confidential 

component of the mixture. In this case, the importer and the supplier can jointly report the 

information through a joint submission. The importer must ask the supplier of the confidential 

chemical substance to directly provide EPA with the correct chemical identity in Part IV of Form 

U (see 40 CFR 711.15(b)(3)(i)(A)). 

 This may also happen in the event a manufacturer cannot provide the entire chemical 

identity of a chemical substance it manufactures because the chemical substance is manufactured 

using a reactant having a specific chemical identity that the reactant supplier claims as 

confidential and will not reveal to the manufacturer. In this case, the manufacturer and the 

supplier of the reactant can jointly report the information through a joint submission. The 

manufacturer must submit a report directly to EPA containing all information he or she knows or 

can reasonably ascertain about the chemical identity. Furthermore, the manufacturer must also 

ask the reactant supplier to directly provide to EPA the correct chemical identity of the 

confidential reactant in a joint submission (see 40 CFR 711.15(b)(3)(i)(B)). 

A Primary AO or a Primary SR can identify, on a chemical-by-chemical basis, the 

Secondary AO for a chemical substance. A site may have different Secondary AOs for different 

chemical substances in its submission. The e-CDRweb tool will generate a unique ID number for 

each chemical substance (identified by a trade name). Therefore, a Secondary AO may receive 

multiple ID numbers from a Primary AO or SR. A Secondary AO may also report multiple 

chemical substances under one ID number in the case that the ID number refers to a mixture. In 

that situation, the Secondary AO will be identifying the chemical substances that comprise the 

mixture. 

 Because signatures are required by each party of a joint submission, they must each 

register with CDX, and complete their own sections of the same Form U report. The reporting 

tool will match both submissions based upon the unique ID number sent by the manufacturer 

(including importer) to notify the supplier of the partial CDR submission. Secondary AOs and 

SRs do not have access to any of the information submitted to EPA by the Primary AO. 

Likewise, Primary AOs and SRs cannot see the information that the Secondary AO reports to 

EPA. This way, the confidentiality of information for both the primary and secondary submitters 

is protected. The information provided by both submitters will be combined and processed as 

one joint submission once they are received by EPA. 

NOTE: In the event that a manufacturer (including importer) actually knows or can 

reasonably ascertain the chemical identity (e.g., the CASRN or Accession Number) of a 

chemical substance subject to CDR reporting, the manufacturer (including importer) must 
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provide that information irrespective of a supplier’s confidentiality claims. If such a 

primary submitter wishes to claim the chemical identity as confidential, to do so it must 

check the CBI box and provide upfront substantiation as described in Section 4.6.1. 

Different CBI procedures, described below, apply to submissions made directly by 

suppliers (i.e., by secondary and tertiary submitters). 

6.7.1 Submitting as a Manufacturer (including Importer) 

 If you are a manufacturer (including importer), as primary submitter, you should: 

1. Register with CDX as a Primary Authorized Official or Primary Support Registrant. 

See section 6.3 for instructions on registering with CDX. 

2. Complete Parts II and III of Form U for all your reportable chemical substances as 

described in Section 4 of this document. If you would like to create a joint 

submission, click the “Add Joint Submission” button to complete the required 

information for each reportable chemical substance supplied to you. Use the “Add 

Chemical” tab to include information for additional chemical substances supplied by 

the same company or another company. 

a. Part II- Section A: Joint Submission Information (Blocks 2.A.5 through 

2.A.12) 

Click the “Add Joint Submission” button on the Navigation bar. Under the “Joint 

Submission Report” folder, click the “Chemical Identification (2.A)” link. The 

screen will display “Section 2.A – Chemical Identification (Joint Submissions 

Information).” Enter the trade name or another name to identify the proprietary 

mixture, and your secondary submitter's company name and complete mailing 

address. You may provide additional information about the trade name product 

(e.g., chemical substances that you know are components of the trade name 

product) in Block 2.A.6. 
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Follow the instructions in the box labeled “Unique Identifier for Joint 

Submission” to communicate with the secondary submitter via email. The tool 

will generate an email with a unique ID number and language that you can use to 

notify your secondary submitter of the partial CDR submission containing 

information for the trade name product. The ID number will be used to link the 

joint reports in an internal database. The email will request that the secondary 

submitter report the correct chemical identity information to EPA using eCDRweb and refer them to the CDR web site (http://www.epa.gov/cdr or

http://www.epa.gov/iur) for guidance on registering with CDX and completing 

Part IV of Form U. You can indicate whether you would like the tool to send a 

copy of your email to EPA, thereby providing a record of the request to the 

secondary submitter. 

b. Part II-Section B: Manufacturing Information (Blocks 2.B.1 through 2.B.20) 

Enter the manufacturing information for the proprietary chemical substance as 

described in Section 4.7 of this document. 

c. Part III: Processing and Use Information (Blocks 3.A.1 through 3.B.10) 

Enter the processing and use information for the proprietary chemical substance 

as described in Section 4.8 of this document. 
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3. Submit the form to EPA via CDX. Please verify that all fields are correct on the 

preview screen. 

4. It is your responsibility to ask your secondary submitter to complete Part IV of Form 

U and send the information to EPA by the end of the submission period. It is also 

your responsibility to include a copy of your request to your secondary submitter with 

the portion of the Form U that you send to EPA. The tool will make a copy of record 

available to the primary and the secondary submitters after EPA receives each portion 

of a joint submission. If the secondary submitter decides to provide you directly with 

the required trade name product information, you should change your submission 

type and submit a single submission. 

6.7.2 Submitting as a Supplier 

 If you are a supplier, as secondary submitter, you should: 

1. Register with CDX as a “Secondary Authorized Official” or “Secondary Support 

Registrant.” See section 6.3 for instructions on registering with CDX. Note that if 

you’re an foreign supplier will need to complete and mail an Electronic Signature 

Agreement (ESA) form to EPA as part of CDX registration. If you are a foreign 

supplier, you cannot submit the ESA electronically. Please allow adequate time for 

the mailing and processing of the form, which is estimated to take a minimum of 

five (5) business days. If you are already registered with CDX for another TSCA 

program (e.g., the PMN program) as either an Authorized Official or Support 

Registrant, you do not need to register again. In this case, log into CDX with your 

current user ID and password, and add the CDR as a new program. 

2. Complete Part IV of Form U. 

a. Section A: Secondary Company Information (Blocks 4.A.1 through 4.A.8)

Your company information (domestic or foreign company name and mailing address) 

provided during CDX registration will populate Section A. Please double check this 

information to ensure all required fields are complete and accurate. If any 

information is incorrect or incomplete, the Authorized Official should make the 

necessary changes in CDX. 
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b. Section B: Secondary Technical Contact Information (Blocks 4.B.1 through 

4.B.10)

You are responsible for designating a technical contact for your company. Select the 

contact from the drop down list of Support Registrants or enter information for a new 

technical contact. If you select from the list of Support Registrants, the technical 

contact information (name, phone number, mailing address, etc.) will populate 

Section B. Please double check this information to ensure all required fields are 

complete and accurate. If any information is incorrect or incomplete, the Authorized 

Official should make the necessary changes in CDX. 

The technical contact should be a person who can answer specific questions about the 

reported chemical substance(s) in your CDR submission. Typically, a person located 

at the manufacturing site is best able to answer such questions. The technical contact 

need not be the person who signs the certification statement. 
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c. Section C: Primary Company Information 

Enter the Unique Identifier for Joint Submissions number provided to you by the 

manufacturer (including importer). Click the “Populate” button to generate the 

trade product name provided by the manufacturer (including importer). Verify the 

information and click the “Next” button to enter the information to identify the 

chemical substance. 
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d. Section D: Trade Product Identification Information

In this section of the Form U, enter your trade product name (which may be 

different than the name provided by the primary submitter) and the chemical 

composition of the product. 

Step 1: Enter the trade product name used to identify the chemical substance in 

Box 4.D.1. 

Step 2: In Section 4.D.2, click on the magnifying glass under the “Action”

column and select the correct CA Index Name and CASRN for the chemical 

substance from the SRS. 

The reporting tool is directly linked to the nonconfidential portion of the TSCA 

Inventory through the SRS database, which lists all chemical substances on the 

TSCA Inventory. Most chemical substances are identified by CA Index Name 

and CASRN. Chemical substances listed on the confidential portion of the TSCA 

Inventory are identified in SRS using a TSCA Accession Number and generic 

name. In the case of a chemical substance listed on the confidential portion of the 

TSCA Inventory, a secondary submitter does not need to claim the underlying 

chemical identity CBI or provide upfront substantiation. For such a chemical 

substance, EPA will presume that the chemical identity associated with the 

Accession Number is subject to a confidentiality claim when it is reported by a 
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secondary submitter. See Section 6.7.3 for more information on reporting a 

chemical substance listed on the confidential portion of the TSCA Inventory. In 

addition, EPA will presume that the information reported in Section 4.D. of Form 

U, and the connection between the chemical identity and the primary company 

associated with the joint submission, is subject to a confidentiality claim when it 

is reported by a secondary submitter. 

Step 3: Enter the percent composition of each component chemical substance of 

the trade name product or mixture. 

Step 4: You may provide additional information associated with the chemical 

substance in Block 4.D.3. 

e. Submit the file to EPA via CDX. Please verify that all fields are correct on 

the preview screen. 

 

6.7.3 Reporting a Confidential Chemical Substance 

 In the case of confidential chemical substances, report the TSCA Accession Number (the 

generic name corresponding to the Accession Number will automatically be incorporated into 

your report). Submitters who, in the past, have reported using the PMN case number of a 

confidential chemical substance can identify the Accession Number from the SRS by searching 

on the PMN case number. In the SRS, a submitter can readily find a cross-reference list that 
Chapter 6.0 How to Submit Your Form U to EPA 

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displays the Accession Number, generic chemical name, and the PMN case number (or for an 

initial TSCA Inventory chemical substance, the TSCA Inventory reporting form number) for any 

confidential chemical substance listed on the TSCA Inventory. Please note that a generic name 

often is not specific to a given TSCA Inventory chemical substance and may be used to represent 

multiple specific chemical identities. The TSCA Accession Number, however, is unique to the 

specific confidential chemical substance. 

 Submitters who are not able to identify the Accession Number by searching the SRS 

should contact EPA, in writing or via fax on company letterhead, well before initiating CDR 

reporting to obtain the Accession Number assigned when the Notice of Commencement (NOC) 

was submitted to the Agency. Individuals are urged to submit a complete and accurate TSCA 

Inventory Correspondence via fax or by U.S. mail at least one month before the submission 

deadline. Note that incomplete and/or inaccurate requests may be rejected. The Agency will 

respond to such inquiries in as timely a manner as possible. It is the responsibility of the 

submitter to contact the Agency for such information in sufficient time to allow for the Agency 

to respond. 

Please send requests for a TSCA Accession Number as soon as possible to: 

By Fax: 202-564-9538 

By U.S. Postal Service: By Hand Delivery or Courier:

U.S. Environmental Protection Agency U.S. Environmental Protection Agency 

Office of Pollution Prevention and Toxics Office of Pollution Prevention and Toxics 

Document Control Office (7407M) Confidential Business Information Center 

1200 Pennsylvania Ave, NW EPA East Building, Room 6428 

Washington, DC 20460 1201 Constitution Ave, NW 

 Washington, DC 20004 

 202-564-8930; 202-564-8940 

6.7.4 Submitting as a Tertiary Submitter 

There may be instances where a foreign supplier purchases a mixture, under a trade 

name, from another company (tertiary company) and does not know the chemical components of 

the mixture. The foreign supplier can ask the company manufacturing the confidential chemical 

substance to directly provide EPA with the correct chemical identity in Part IV of Form U. In 

this case, the tertiary company would register with CDX and use the Unique Identifier for Joint 

Submissions, sent to the foreign supplier by the manufacturer (including importer), to complete 

Part IV of Form U. 

The foreign supplier does not have access to any of the information submitted to EPA by 

the tertiary company. Likewise, the tertiary company cannot see the information the foreign 

supplier reports to EPA. This way, the confidentiality of information for both the foreign 

supplier and tertiary company is protected. 

A tertiary company submitting on behalf of a supplier should: 

1. Register with CDX as a “Secondary Authorized Official” or “Secondary Support 

Registrant.” See Section 6.3 for instructions on registering with CDX. 
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2. Complete Part IV of Form U. 

a. Section A: Secondary Company Information (Blocks 4.A.1 through 4.A.8)

Your company information (domestic or foreign company name and mailing address) 

provided during CDX registration will populate Section A. Please double check this 

information to ensure all required fields are complete and accurate. If any 

information is incorrect or incomplete, the authorized official should make the 

necessary changes in CDX. 

b. Section B: Secondary Technical Contact Information (Blocks 4.B.1 through 

4.B.10)

You are responsible for designating one technical contact for your company. Select 

the contact from the drop down list of Support Registrants or enter information for a 

new technical contact. If you select from the list of Support Registrants, the technical 

contact information (name, phone number, mailing address, etc.) will populate 

Section B. Please double check this information to ensure all required fields are 

complete and accurate. If any information is incorrect or incomplete, the Authorized 

Official should make the necessary changes in CDX. 

The technical contact should be a person who can answer specific questions about the 

reported chemical substance(s) in your CDR Form U submission. Typically, a person 

located at the manufacturing site is best able to answer such questions. The technical 

contact need not be the person who signs the certification statement. 

c. Section C: Trade Name Product Identification Information (Block 4.C.1 

through 4.C.2)

Enter the Unique Identifier for Joint Submissions field provided to you by the 

supplier. Click the “Populate” button to generate the trade product name provided 

by the primary submitter. Verify the information and click the “Next” button to 

enter the information to identify the chemical substance. 

d. Section D: Trade Product Identification Information

In this section of the Form U, enter your trade product name (which may be 

different than the name provided by the primary submitter) and the chemical 

composition of the product. 

Step 1: Enter the trade product name used to identify the chemical substance in 

Box 4.D.1. 

Step 2: In Section 4.D.2, click on the magnifying glass under the “Action”

column and select the correct CA Index Name and CASRN for the chemical 

substance from the SRS. 

The reporting tool is directly linked to the nonconfidential portion of the TSCA 

Inventory through the SRS database, which lists all chemical substances on the 
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TSCA Inventory. Most chemical substances are identified by CA Index Name 

and CASRN. Chemical substances listed on the confidential portion of the TSCA 

Inventory are identified in SRS using a TSCA Accession Number and generic 

name. In the case of a chemical substance listed on the confidential portion of the 

TSCA Inventory, a tertiary submitter does not need to claim the underlying 

chemical identity CBI or provide upfront substantiation. For such a chemical 

substance, EPA will presume that the chemical identity associated with the 

Access Number is subject to a confidentiality claim when it is reported by a 

tertiary submitter. See Section 6.7.3 for more information on reporting a chemical 

substance listed on the confidential portion of the TSCA Inventory. In addition, 

EPA will presume that the information reported in Section 4.D. of Form U, and 

the connection between the chemical identity and the secondary company 

associated with the joint submission, is subject to a confidentiality claim when it 

is reported by a tertiary submitter. 

Step 3: Enter the percent composition of each component chemical substance of 

the trade name product or mixture. 

Step 4: You may provide additional information associated with the chemical 

substance in Block 4.D.3. 

e. Submit the file to EPA via CDX. Please verify that all fields are correct on 

the preview screen. 
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6.8 Correcting or Updating 2012 CDR Submissions 

If you wish to make a correction or addition to a previously submitted 2012 CDR Form 

U, log into CDX and access the original Form U. On the Forms page, unlock the form and edit as 

needed. 

Only an Authorized Official or a Support Registrant (e.g. technical contact) can make 

changes to a previously submitted CDR Form U. An Authorized Official will be required to log 

into CDX and unlock the Form U to allow a Support Registrant to amend the validated and 

submitted form. The initial view of the data will be “Read Only” and persons must affirm in a 

multi-step process that an amendment is needed. A Support Registrant can save, finalize, or 

cancel an amendment, but an Authorized Official is responsible for signing and submitting the 

amended form. Canceling an amendment will revert back to the previously signed submission. 

After certifying to the truthfulness and accuracy of the information reported and 

validating the Form U, the amended data file will be sent to EPA by CDX. The act of correcting 

errors in Form U submissions under the CDR does not grant the person making the correction 

immunity from enforcement action for any possible violations of the CDR rule. 

If the reporting period is coming to a close, and changes have been made and saved to the 

Form U that have not been signed and submitted by the Authorized Official, a notice will be sent 

to the Authorized Official and Support Registrant(s). They will be notified that the Form U 

submission must be signed and submitted to EPA in order for it to be considered a valid 

submission. 

6.9 Recordkeeping Requirements 

 You are required to retain records of your CDR reports for five years beginning on the 

last day of the applicable submission period (40 CFR 711.25). For example, if you submit an 

CDR report for a submission period ending June 30, 2012, you would be required to retain the 

records on which the report is based until June 30, 2017. Submitters are encouraged to retain 

their records longer than five years to ensure that past records are available as a reference when 

new Form Us are being generated. 

 As long as the records are maintained in a manner consistent with normal business 

practices, you may determine their exact format. Required records include those that show the 

production volume, plant site, and site-limited status of each chemical substance reported. If a 

chemical substance is not reported because its site-specific annual production is less than 25,000 

lb, EPA suggests you maintain records to document your reasons for not filing Form U. 

 If you qualify as an exempt small manufacturer, you need to keep records only for those 

chemical substances that you are required to report; however, in claiming an exemption, you bear 

the burden of documenting that you qualify for the exemption. 
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6.10 Requesting a Copy of Record 

You may obtain a copy of record of your Form U, in accordance with the Cross-Media 

Electronic Reporting Rule (CROMERR). To generate a copy of your Form U, log into the 

reporting tool and click the “Copy of Record” button to view and print a copy of the form. The 

copy of record should be available shortly after the submission is completed. If a Form U is 

printed prior to submission, it will contain a watermark identifying that it is draft and cannot be 

submitted to EPA. You can also receive a copy of record through your CDX account. 
Chapter 6.0 How to Obtain Copies of Documents Cited in These Instructions 

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7.0 How to Obtain Copies of Documents Cited in 

This Guidance Document 

7.1 Obtaining Copies of the TSCA Rules 

 The CDR rule, 40 CFR Part 711, is available on the internet at the following address: 

http://www.access.gpo.gov/nara/cfr/waisidx_05/40cfr710_05.html

 You may also contact the TSCA Hotline by telephone at (202) 554-1404 or by email 

tsca-hotline@epa.gov for assistance. 

7.2 Obtaining Copies of the Public Portion of the TSCA Inventory 

The public portion of the TSCA Inventory is available on the New Chemicals Program’s 

web site at http://www.epa.gov/opptintr/existingchemicals/pubs/tscainventory/index.html. To 

search the non-confidential portion of the TSCA Inventory, companies and individuals can 

download a Microsoft Access file or Comma Separated Value (CSV) text file. 
Chapter 6.0 How to Obtain Copies of Documents Cited in These Instructions 

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Appendix A 

Glossary 

The definitions and descriptions of terms used in CDR reporting provided below are 

taken from 40 CFR Part 711 unless otherwise noted. 

Act means the Toxic Substances Control Act, 15 U.S.C. 2601 et seq. 

Administrator means the Administrator of the U.S. Environmental Protection Agency. 

(See TSCA 3(1)) 

Article means a manufactured item (1) which is formed to a specific shape or design 

during manufacture, (2) which has end-use function(s) dependent in whole or in part upon its 

shape or design during end use, and (3) which has either no change of chemical composition 

during its end use or only those changes of composition which have no commercial purpose 

separate from that of the article, and that result from a chemical reaction that occurs upon end 

use of other chemical substances, mixtures, or articles; except that fluids and particles are not 

considered articles regardless of shape or design. (40 CFR 704.3) 

Byproduct means a chemical substance produced without separate commercial intent 

during the manufacture, processing, use, or disposal of another chemical substance(s) or 

mixture(s). (40 CFR 704.3) 

Central Data Exchange (CDX) means EPA's centralized electronic document receiving 

system, or its successors, including associated instructions for registering to submit electronic 

documents. 

Chemical substance means any organic or inorganic substance of a particular molecular 

identity, including any combination of such substances occurring in whole or in part as a result 

of a chemical reaction or occurring in nature, and any chemical element or uncombined radical. 

“Chemical substance” does not include: 

(1) Any mixture; 

(2) Any pesticide (as defined in the Federal Insecticide, Fungicide, and Rodenticide Act) 

when manufactured, processed, or distributed in commerce for use as a pesticide; 

(3) Tobacco or any tobacco product; 

(4) Any source material, special nuclear material, or byproduct material (as such terms 

are defined in the Atomic Energy Act of 1954 and the regulations issued under such 

Act);

(5) Any article the sale of which is the subject to the tax imposed by section 4181 of the 

Internal Revenue Code of 1954 (determined without regard to any exemptions from 

such tax provided by section 4182 or 4221 or any other provision of such Code); and 

(6) Any food, food additive, drug, cosmetic, or device (as such terms are defined in 

section 201 of the Federal Food, Drug, and Cosmetic Act) when manufactured, 
Chapter 6.0 How to Obtain Copies of Documents Cited in These Instructions 

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processed, or distributed in commerce for use as a food, food additive, drug, cosmetic, or 

device. (See TSCA 3(2)) 

Commerce means trade, traffic, transportation, or other commerce: (A) between a place 

in a State and any place outside of such State, or (B) which affects trade, traffic, transportation, 

or commerce described in clause (A). (TSCA 3(3)) 

Commercial use means the use of a chemical substance or a mixture containing a 

chemical substance (including as part of an article) in a commercial enterprise providing saleable 

goods or services. 

Consumer use means the use of a chemical substance or a mixture containing a chemical 

substance (including as part of an article) when sold to or made available to consumers for their 

use. 

Customs territory of the United States, as referenced in TSCA section 3 and defined in 

general note 2 of the Harmonized Tariff Schedule of the United States, includes only the States, 

the District of Columbia, and Puerto Rico. 

Distribute in commerce and distribution in commerce, when used to describe an 

action taken with respect to a chemical substance or mixture or article containing a substance or 

mixture mean to sell, or the sale of, the substance, mixture, or article in commerce; to introduce 

or deliver for introduction into commerce, or the introduction or delivery for introduction into 

commerce of, the substance, mixture, or article; or to hold, or the holding of, the substance, 

mixture, or article after its introduction into commerce. (TSCA 3(4)) 

e-CDRweb means the electronic, web-based tool provided by EPA for the completion 

and submission of the CDR Form U report. 

EPA means the United States Environmental Protection Agency. (40 CFR 704.3)

Importer means (1) any person who imports any chemical substance or any chemical 

substance as part of a mixture or article into the customs territory of the United States, and 

includes: (i) the person primarily liable for the payment of any duties on the merchandise, or (ii) 

an authorized agent acting on his/her behalf. (2) Importer also includes, as appropriate: 

(i) The consignee. 

(ii) The importer of record. 

(iii) The actual owner if an actual owner's declaration and superseding bond have been 

filed in accordance with 19 CFR 141.20. 

(iv) The transferee, if the right to draw merchandise in a bonded warehouse has been 

transferred in accordance with subpart C of 19 CFR part 144. 

(3) For the purposes of this definition, the customs territory of the United States consists of the 

50 States, Puerto Rico, and the District of Columbia. (40 CFR 704.3) 

Impurity means a chemical substance which is unintentionally present with another 

chemical substance. (40 CFR 704.3) 
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 Industrial function means the intended physical or chemical characteristic for which a 

chemical substance or mixture is consumed as a reactant; incorporated into a formulation, 

mixture, reaction product, or article; repackaged; or used. 

Industrial use means use at a site at which one or more chemical substances or mixtures 

are manufactured (including imported) or processed. 

Intended for use by children means the chemical substance or mixture is used in a 

product that is specifically intended for use by children age 14 or younger. A chemical substance 

or mixture is intended for use by children when the submitter answers “yes” to at least one of the 

following questions for the product into which the submitter’s chemical substance or mixture is 

incorporated: 

(1) Is the product commonly recognized (i.e., by a reasonable person) as being intended 

for children age 14 or younger? 

(2) Does the manufacturer of the product state through product labeling or other written 

materials that the product is intended or will be used by children age 14 or younger? 

(3) Is the advertising, promotion, or marketing of the product aimed at children age 14 or 

younger? 

Intermediate means any chemical substance that is consumed, in whole or in part, in 

chemical reactions used for the intentional manufacture of other chemical substances or 

mixtures, or that is intentionally present for the purpose of altering the rates of such chemical 

reactions. (40 CFR 704.3) 

Known to or reasonably ascertainable by means all information in a person’s 

possession or control, plus all information that a reasonable person similarly situated might be 

expected to possess, control, or know. (40 CFR 704.3) 

Manufacture means to manufacture, produce, or import for commercial purposes. 

Manufacture includes the extraction, for commercial purposes, of a component chemical 

substance from a previously existing chemical substance or complex combination of substances. 

When a chemical substance, manufactured other than by import, is: (1) produced exclusively for 

another person who contracts for such production, and (2) that other person specifies the identity 

of the chemical substance and controls the total amount produced and the basic technology for 

the plant process, then that chemical substance is co-manufactured by the producing 

manufacturer and the person contracting for such production. 

Manufacturer means a person who manufactures a chemical substance. 

Manufacture for commercial purposes means: (1) to import, produce, or manufacture 

with the purpose of obtaining an immediate or eventual commercial advantage for the 

manufacturer, and includes among other things, such “manufacture” of any amount of a chemical 

substance or mixture: 

(i) For commercial distribution, including for test marketing. 

(ii) For use by the manufacturer, including use for product research and 

development, or as an intermediate. 

(2) Manufacture for commercial purposes also applies to substances that are produced 

coincidentally during the manufacture, processing, use, or disposal of another substance or 
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mixture, including both byproducts that are separated from that other substance or mixture and 

impurities that remain in that substance or mixture. Such byproducts and impurities may, or may 

not, in themselves have commercial value. They are nonetheless produced for the purpose of 

obtaining a commercial advantage since they are part of the manufacture of a chemical product 

for a commercial purpose. (40 CFR 704.3) 

Master Inventory File means EPA's comprehensive list of chemical substances which 

constitute the Chemical Substances Inventory compiled under section 8(b) of the Act. It includes 

substances reported under Part 710 of this chapter and substances reported under Part 720 of this 

chapter for which a Notice of Commencement of Manufacture or Import has been received under 

§720.120 of this chapter. 

Microorganism means any combination of chemical substances that is a living organism 

and that meets the definition of microorganism at 40 CFR 725.3. Any chemical substance 

produced from a living microorganism is reportable under the CDR regulation unless otherwise 

excluded. 

Mixture means any combination of two or more chemical substances if the combination 

does not occur in nature and is not, in whole or in part, the result of a chemical reaction; except 

that such term does include any combination which occurs, in whole or in part, as a result of a 

chemical reaction if none of the chemical substances comprising the combination is a new 

chemical substance and if the combination could have been manufactured for commercial 

purposes without a chemical reaction at the time the chemical substances comprising the 

combination were combined. (TSCA 3(8)) 

Naturally occurring substance is any chemical substance which is naturally occurring 

and: (1) which is (i) unprocessed or (ii) processed only by manual, mechanical, or gravitational 

means, by dissolution in water, by flotation, or by heating solely to remove water; or (2) which is 

extracted from air by any means. (40 CFR 710.4(b)) 

Non-isolated intermediate means any intermediate that is not intentionally removed 

from the equipment in which it is manufactured, including the reaction vessel in which it is 

manufactured, equipment which is ancillary to the reaction vessel, and any equipment through 

which the substance passes during a continuous flow process, but not including tanks or other 

vessels in which the substance is stored after its manufacture. (40 CFR 704.3) 

Person means any individual, firm, company, corporation, joint venture, partnership, sole 

proprietorship, association, or any other business entity; any State or political subdivision 

thereof, or any municipality; any interstate body; and any department, agency, or instrumentality 

of the Federal government. (40 CFR 704.3) 

Polymer means any chemical substance described with the word fragments “*polym*”, 

“*alkyd”, or “oxylated” in the Chemical Abstracts (CA) Index Name in the Master Inventory 

File, where the asterisk (*) in the listed word fragments indicates that any sets of characters may 

precede, or follow, the character string defined. Polymers also include any chemical substance 

which is identified in the Master Inventory File as siloxane(s) and silicone(s), silsesquioxane(s), 

a protein (albumin, casein, gelatin, gluten, hemoglobin), an enzyme, a polysaccharide (starch, 

cellulose, or gum), rubber, or lignin. The polymer exclusion does not apply to a polymeric 
Chapter 6.0 How to Obtain Copies of Documents Cited in These Instructions 

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substance that has been hydrolyzed, depolymerized, or otherwise chemically modified, except in 

cases where the intended product of this reaction is totally polymeric in structure. 

Principal reporting year means the latest complete calendar year preceding the 

submission period. 

Process means to process for commercial purposes. (40 CFR 704.3) 

Process for commercial purposes means the preparation of a chemical substance or 

mixture after its manufacture for distribution in commerce with the purpose of obtaining an 

immediate or eventual commercial advantage for the processor. Processing of any amount of a 

chemical substance or mixture is included in this definition. If a chemical substance or mixture 

containing impurities is processed for commercial purposes, then the impurities also are 

processed for commercial purposes. (40 CFR 704.3) 

Processor means any person who processes a chemical substance or mixture. (40 CFR 

704.3) 

Reasonably likely to be exposed means an exposure to a chemical substance which, 

under foreseeable conditions of manufacture (including import), processing, distribution in 

commerce, or use of the chemical substance, is more likely to occur than not to occur. Such 

exposures would normally include, but would not be limited to, activities such as charging 

reactor vessels, drumming, bulk loading, cleaning equipment, maintenance operations, materials 

handling and transfers, and analytical operations. Covered exposures include exposures through 

any route of entry (inhalation, ingestion, skin contact, absorption, etc.), but excludes accidental 

or theoretical exposures. 

Repackaging means the physical transfer of a chemical substance or mixture, as is, from 

one container to another container or containers in preparation for distribution of the chemical 

substance or mixture in commerce. 

Reportable chemical substance means a chemical substance described in §711.5. 

Site means a contiguous property unit. Property divided only by a public right-of-way 

shall be considered one site. More than one plant may be located on a single site. 

(a) For chemical substances manufactured under contract, i.e., by a toll manufacturer, the 

site is the location where the chemical substance is physically manufactured. 

(b) The site for an importer who imports a chemical substance described in §711.5 is the 

U.S. site of the operating unit within the person's organization that is directly responsible 

for importing the substance. The import site, in some instances, may be the organization's 

headquarters in the United States. If there is no such operating unit or headquarters in the 

United States, the site address for the importer is the United States address of an agent 

acting on behalf of the importer who is authorized to accept service of process for the 

importer. 
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 (c) For portable manufacturing units sent out to different locations from a single 

distribution center, the distribution center shall be considered the site. 

Site-limited means a chemical substance is manufactured and processed only within a 

site and is not distributed for commercial purposes as a substance or as part of a mixture or 

article outside the site. Imported substances are never site-limited. Although a site-limited 

chemical substance is not distributed for commercial purposes outside the site at which it is 

manufactured and processed, the substance is considered to have been manufactured and 

processed for commercial purposes. 

Small quantities solely for research and development (or “small quantities solely for 

purposes of scientific experimentation or analysis or chemical research on, or analysis of, such 

substance or another substance, including such research or analysis for the development of a 

product”) means quantities of a chemical substance manufactured, imported, or processed or 

proposed to be manufactured, imported, or processed solely for research and development that 

are no greater than reasonably necessary for such purposes. (40 CFR 704.3) 

State means any State of the United States, the District of Columbia, the Commonwealth 

of Puerto Rico, the Virgin Islands, Guam, the Canal Zone, American Samoa, the Northern 

Mariana Islands, or any other territory or possession of the United States. (TSCA 3(13)) 

Submission period means the period in which manufacturing, processing, and use data 

are submitted to EPA. 

 

Test marketing means the distribution in commerce of no more than a predetermined 

amount of chemical substance, mixture, or article containing that chemical substance or mixture, 

or a mixture containing that substance, by a manufacturer or processor, to no more than a defined 

number of potential customers to explore market capability in a competitive situation during a 

predetermined testing period prior to the broader distribution of that chemical substance, 

mixture, or article in commerce. (40 CFR 704.3) 

United States, when used in the geographic sense, means all of the States. (TSCA 3(14)) 

U.S. Parent Company means the highest level company, located in the United States, 

that directly owns at least 50 percent of the voting stock of the manufacturer. 

Use means any utilization of a chemical substance or mixture that is not otherwise 

covered by the terms manufacture or process. Relabeling or redistributing a container holding a 

chemical substance or mixture where no repackaging of the chemical substance or mixture 

occurs does not constitute use or processing of the chemical substance or mixture. 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-1

Appendix B 

Chemical Substances that are the Subject of Certain TSCA Orders, 

Proposed or Final TSCA Rules, or Relief Granted under Civil 

Actions

(as of July 2011)

Listed below are the CAS Registry Numbers (for non-confidential chemical substances) 

or Accession Numbers (for confidential chemical substances) of chemical substances that are the 

subject of a rule, proposed or promulgated under TSCA section 4, 5(a)(2),5(b)(4), or 6; a consent 

agreement developed under the procedures of 40 CFR part 790; an order issued under section 

5(e)or 5(f) of TSCA; or relief that has been granted under a civil action under sections 5 or 7 of 

TSCA as of March 2011. See 40 CFR 711.6, and 711.9 and TSCA § 8(a)(3)(A)(ii) for further 

details. Table B-1 provides a brief description of the reporting requirements at 40 CFR 711.6 and 

711.9. 

Table B-1. Explanation of Reporting Requirements 

40 CFR 

711 

Reporting Requirements Explanation of Reporting 

Requirements 

§ 711.6 Some groups or categories of chemical substances are 

exempted from some or all of the reporting 

requirements of this part, with the following 

exception: A chemical substance described in 

paragraph (a)(1), (a)(2), or (a)(4), or (b) of this 

section is not exempted from any of the reporting 

requirements of this part if that chemical substance is 

the subject of a rule proposed or promulgated under 

TSCA section 4, 5(a)(2), 5(b)(4), or 6, or is the 

subject of a consent agreement developed under the 

procedures of 40 CFR part 790, or is the subject of an 

order issued under TSCA section 5(e) or 5(f), or is the 

subject of relief that has been granted under a civil 

action under TSCA section 5 or 7... 

Information must be reported 

for chemical substances that 

would otherwise be wholly 

or partially exempted from 

CDR requirements because 

they are the subject of certain 

TSCA actions. 

§ 711.9 A person described in § 711.8 is not subject to the 

requirements of this part if that person qualifies as a 

small manufacturer as that term is defined in 40 CFR 

704.3. Notwithstanding this exclusion, a person who 

qualifies as a small manufacturer is subject to this 

part with respect to any chemical substance that is the 

subject of a rule proposed or promulgated under 

TSCA section 4, 5(b)(4), or 6, or is the subject of an 

order in effect under TSCA section 5(e), or is the 

subject of relief that has been granted under a civil 

The exemption for small 

businesses does not apply to 

persons who manufacture 

(including import) a 

chemical substance that is the 

subject of certain TSCA 

actions. Even in such 

circumstances, however, the 

volume thresholds for 

reporting found in §711.8 

 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-2

40 CFR 

711 

Reporting Requirements Explanation of Reporting 

Requirements 

action under TSCA section 5 or 7. still apply. 

IMPORTANT: This document is intended to be an information resource. While EPA 

has tried to provide an accurate list of chemical substances, the list may contain errors and 

omissions. This list should not be relied upon in lieu of relevant orders, Federal Register 

documents, or the Code of Federal Regulations. In the event of a conflict between this list and 

orders, Federal Register documents, or the Code of Federal Regulations, this list will not be 

considered controlling. 

In addition, please note that this list does NOT contain a full listing of all chemical 

substances subject to the CDR rule. The list is only intended to include those chemical 

substances which would otherwise be wholly or partially exempted from CDR requirements but 

for which information must be reported because they are the subject of certain TSCA actions as 

noted above. The exemptions for polymers, inorganic chemical substances, or microorganisms 

do not apply for chemical substances on these lists. The exemption for small businesses does not 

apply to some of the chemical substances on these lists. The exemption for naturally occurring 

chemical substances is still valid for chemical substances on these lists, as discussed in Section 

2.1.3.4 of this Instruction manual. If after consulting the list you are uncertain as to the 

regulatory status of a chemical substance, contact the TSCA Hotline at (202) 554-1404 for 

assistance. 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-3

Appendix B

Table B-2. Chemical Substances that are the Subject of Certain TSCA Actions

By CAS Registry Number 

CAS Registry 

Number 

TSCA 

ACTION 

 50-07-7 5(a)(2) 

 50-29-3 5(a)(2) 

 50-55-5 5(a)(2) 

 51-79-6 5(a)(2) 

 56-04-2 5(a)(2) 

 56-49-5 5(a)(2) 

 56-53-1 5(a)(2) 

 57-10-3 4 

 62-44-2 5(a)(2) 

 62-50-0 5(a)(2) 

 70-25-7 5(a)(2) 

 70-30-4 5(a)(2) 

 74-90-8 4 

 74-93-1 4 

 74-95-3 4 

 74-97-5 4 

 75-05-8 4 

 75-07-0 4 

 75-15-0 4 

 75-35-4 4 

 75-36-5 4 

 75-88-7 5(a)(2) 

 76-01-7 5(a)(2) 

 77-73-6 4 

 78-11-5 4 

 78-33-1 4 

 78-59-1 4 

 78-87-5 4 

 79-00-5 4 

 79-20-9 4 

 79-31-2 4 

 79-46-9 4 

 79-95-8 4 

 80-62-6 4 

 80-73-9 5(a)(2); 5(e) 

 83-41-0 4 

 84-65-1 4 

 85-22-3 5(a)(2) 

CAS Registry 

Number 

TSCA 

ACTION 

 85-44-9 4 

 87-10-5 4 

 87-63-8 5(a)(2) 

 87-65-0 4 

 89-32-7 4 

 91-20-3 4 

 92-52-4 4 

 92-66-0 5(a)(2) 

 92-86-4 5(a)(2) 

 92-87-5 5(a)(2) 

 94-04-2 5(a)(2); 5(e) 

 95-69-2 5(a)(2) 

 95-77-2 4 

 95-80-7 4 

 95-94-3 5(a)(2) 

 95-95-4 4 

 96-22-0 4 

 98-09-9 4 

 98-29-3 4 

 98-56-6 4 

 98-86-2 4 

 99-28-5 4 

 99-35-4 5(a)(2) 

 100-00-5 4 

 100-21-0 4 

 100-41-4 4 

 100-44-7 4 

 101-55-3 5(a)(2) 

 101-90-6 4 

 104-76-7 4 

 106-42-3 4 

 106-46-7 4 

 106-90-1 4 

 106-92-3 4 

 107-04-0 5(a)(2) 

 107-06-2 4 

 107-13-1 4 

 107-21-1 4 

CAS Registry 

Number 

TSCA 

ACTION 

 107-31-3 4 

 108-03-2 4 

 108-19-0 4 

 108-31-6 4 

 108-60-1 4 

 108-90-7 4 

 108-93-0 4 

 109-66-0 4 

 109-86-4 5(a)(2) 

 109-99-9 4 

 110-12-3 4 

 110-44-1 4 

 110-49-6 5(a)(2) 

 110-80-5 5(a)(2) 

 111-11-5 4 

 111-15-9 5(a)(2) 

 111-42-2 4 

 111-44-4 4 

 111-84-2 4 

 112-52-7 4 

 115-86-6 4 

 118-75-2 4 

 118-79-6 4 

 118-82-1 4 

 119-61-9 4 

 120-36-5 4 

 120-80-9 4 

 120-83-2 4 

 121-69-7 4 

 122-39-4 4 

 122-60-1 4 

 123-30-8 4 

 123-33-1 4 

 123-42-2 4 

 123-54-6 5(a)(2) 

 123-63-7 5(a)(2) 

 126-72-7 5(a)(2) 

 126-80-7 4 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-4

CAS 

Registry 

Number

TSCA 

ACTION

 126-99-8 4 

 127-19-5 4 

 127-68-4 4 

 128-39-2 4 

 142-82-5 4 

 144-62-7 4 

 149-44-0 4 

 150-76-5 4 

 307-35-7 5(a)(2) 

 307-51-7 5(a)(2) 

 320-72-9 4 

 335-24-0 5(a)(2) 

 335-71-7 5(a)(2) 

 335-77-3 5(a)(2) 

 335-97-7 5(a)(2) 

 353-50-4 5(a)(2) 

 354-21-2 5(a)(2) 

 354-25-6 5(a)(2) 

 355-03-3 5(a)(2) 

 355-46-4 5(a)(2) 

 359-07-9 5(e) 

 372-39-4 5(a)(2); 5(e) 

 375-03-1 5(a)(2) 

 375-81-5 5(a)(2) 

 375-92-8 5(a)(2) 

 376-14-7 5(a)(2) 

 383-07-3 5(a)(2) 

 409-02-9 4 

 423-50-7 5(a)(2) 

 423-82-5 5(a)(2) 

 423-86-9 5(a)(2) 

 428-59-1 5(a)(2) 

 460-70-8 5(a)(2) 

 460-92-4 5(a)(2) 

 463-58-1 4 

 506-51-4 4 

 506-52-5 4 

 515-40-2 4 

 531-85-1 5(a)(2) 

 547-68-2 5(a)(2) 

CAS 

Registry 

Number

TSCA 

ACTION

 556-52-5 4 

 573-58-0 5(a)(2) 

 576-24-9 4 

 576-26-1 4 

 583-78-8 4 

 591-78-6 5(a)(2) 

 594-42-3 4 

 608-71-9 4 

 608-93-5 4; 5(a)(2) 

 615-53-2 5(a)(2) 

 615-58-7 4 

 622-86-6 5(a)(2); 5(e) 

 624-83-9 4 

 640-19-7 4 

 680-31-9 5(a)(2) 

 690-27-7 5(a)(2) 

 690-83-5 5(a)(2); 5(e) 

 693-38-9 5(a)(2) 

 693-57-2 5(a)(2); 5(e) 

 773-14-8 5(a)(2) 

 930-33-6 5(a)(2) 

 930-37-0 4 

 930-55-2 5(a)(2) 

 931-35-1 5(a)(2) 

 933-75-5 4 

 1116-54-7 5(a)(2) 

 1129-42-6 5(a)(2); 5(e) 

 1163-19-5 4 

 1187-03-7 5(a)(2) 

 1241-94-7 4 

 1324-76-1 4 

 1330-78-5 4 

 1332-21-4 6 

 1333-82-0 6 

 1336-36-3 6 

 1489-69-6 5(a)(2); 5(e) 

 1511-62-2 5(a)(2); 5(e) 

 1649-08-7 5(a)(2) 

 1652-63-7 5(a)(2) 

 1660-95-3 5(a)(2); 5(e) 

CAS 

Registry 

Number

TSCA 

ACTION

 1690-76-2 5(a)(2); 5(e) 

 1691-99-2 5(a)(2) 

 1705-60-8 5(a)(2); 5(e) 

 1737-93-5 5(a)(2); 5(e) 

 1763-23-1 5(a)(2) 

 1869-77-8 5(a)(2) 

 1885-48-9 5(a)(2) 

 1888-71-7 5(a)(2) 

 1893-52-3 5(a)(2) 

 1937-37-7 5(a)(2) 

 1940-42-7 4 

 2052-07-5 5(a)(2) 

 2113-57-7 5(a)(2) 

 2146-71-6 5(e) 

 2210-79-9 4 

 2224-15-9 4 

 2238-07-5 4 

 2250-98-8 5(a)(2) 

 2263-09-4 5(a)(2) 

 2302-97-8 5(a)(2) 

 2320-06-1 5(a)(2) 

 2362-14-3 5(a)(2) 

 2368-80-1 5(a)(2) 

 2417-04-1 5(a)(2); 5(e) 

 2421-08-1 5(a)(2) 

 2425-01-6 4 

 2425-79-8 4 

 2426-08-6 4 

 2429-73-4 5(a)(2) 

 2429-79-0 5(a)(2) 

 2429-81-4 5(a)(2) 

 2429-82-5 5(a)(2) 

 2429-83-6 5(a)(2) 

 2429-84-7 5(a)(2) 

 2432-99-7 5(a)(2) 

 2461-15-6 4 

 2479-46-1 5(a)(2); 5(e) 

 2494-89-5 4 

 2524-04-1 4 

 2528-36-1 4 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-5

CAS 

Registry 

Number

TSCA 

ACTION

 2530-83-8 4 

 2537-62-4 5(a)(2) 

 2568-33-4 5(a)(2) 

 2586-58-5 5(a)(2) 

 2602-34-8 5(a)(2) 

 2602-46-2 5(a)(2) 

 2615-25-0 5(a)(2); 5(e) 

 2682-20-4 5(a)(2) 

 2706-91-4 5(a)(2) 

 2716-10-1 5(a)(2); 5(e) 

 2716-12-3 5(a)(2); 5(e) 

 2795-39-3 5(a)(2) 

 2840-00-8 5(a)(2); 5(e) 

 2893-80-3 5(a)(2) 

 2897-60-1 4 

 2941-64-2 4 

 2965-52-8 5(a)(2) 

 2991-50-6 5(a)(2) 

 2991-51-7 5(a)(2) 

 2991-52-8 5(a)(2) 

 3052-70-8 5(a)(2); 5(e) 

 3072-84-2 4 

 3083-25-8 5(a)(2) 

 3089-19-8 5(a)(2) 

 3101-60-8 4 

 3107-18-4 5(a)(2) 

 3132-64-7 5(a)(2) 

 3165-93-3 5(a)(2) 

 3188-83-8 4 

 3194-55-6 4 

 3377-92-2 5(a)(2); 5(e) 

 3389-71-7 5(a)(2) 

 3397-65-7 5(a)(2) 

 3530-19-6 5(a)(2) 

 3567-65-5 5(a)(2) 

 3568-29-4 4 

 3607-78-1 5(a)(2) 

 3626-28-6 5(a)(2) 

 3772-94-9 4 

 3811-71-0 5(a)(2) 

CAS 

Registry 

Number

TSCA 

ACTION

 3820-83-5 5(a)(2) 

 3871-50-9 5(a)(2) 

 3871-99-6 5(a)(2) 

 3872-25-1 5(a)(2) 

 3971-28-6 5(e) 

 3984-22-3 5(a)(2); 5(e) 

 4016-11-9 4 

 4016-14-2 4 

 4080-98-2 5(a)(2) 

 4151-50-2 5(a)(2) 

 4161-22-2 5(a)(2) 

 4162-45-2 4 

 4300-97-4 5(a)(2); 5(e) 

 4335-09-5 5(a)(2) 

 4694-91-1 5(a)(2); 5(e) 

 4719-04-4 4 

 4790-71-0 5(a)(2); 5(e) 

 5026-74-4 4 

 5117-12-4 5(a)(2); 5(e) 

 5248-39-5 5(a)(2); 5(e) 

 5255-75-4 4 

 5397-03-5 5(a)(2) 

 5493-45-8 4 

 5614-37-9 5(a)(2) 

 5958-25-8 5(a)(2); 5(e) 

 6196-98-1 5(a)(2); 5(e) 

 6290-49-9 5(a)(2) 

 6304-39-8 5(a)(2); 5(e) 

 6358-80-1 5(a)(2) 

 6360-29-8 5(a)(2) 

 6360-54-9 5(a)(2) 

 6381-77-7 4 

 6712-98-7 5(a)(2) 

 6752-33-6 5(a)(2) 

 6770-38-3 5(a)(2) 

 6921-17-1 5(e) 

 7226-23-5 5(a)(2) 

 7328-97-4 4 

 7345-69-9 5(a)(2) 

 7384-80-7 5(a)(2) 

CAS 

Registry 

Number

TSCA 

ACTION

 7422-52-8 4 

 7439-97-6 5(a)(2) 

 7446-14-2 5(a)(2) 

 7647-01-0 4 

 7664-39-3 4 

 7665-72-7 4 

 7738-94-5 6 

 7758-97-6 5(a)(2) 

 7775-11-3 6 

 7778-50-9 6 

 7782-50-5 4 

 7789-00-6 6 

 7789-99-3 5(a)(2); 5(e) 

 8005-02-5 4 

 8014-91-3 5(a)(2) 

 8068-03-9 5(a)(2) 

 10190-55-3 5(a)(2) 

 10192-46-8 5(a)(2) 

 10588-01-9 6 

 11103-86-9 6 

 12027-96-2 5(a)(2); 5(e) 

 12031-65-1 5(a)(2); 5(e) 

 12032-75-6 5(a)(2); 5(e) 

 12036-37-2 5(a)(2); 5(e) 

 12049-47-7 5(a)(2); 5(e) 

 12056-51-8 5(a)(2); 5(e) 

 12057-17-9 5(a)(2); 5(e) 

 12141-67-2 5(a)(2) 

 12163-45-0 5(a)(2); 5(e) 

 12175-02-9 5(a)(2) 

 12230-80-7 5(a)(2); 5(e) 

 12232-96-1 5(e) 

 12438-71-0 5(a)(2); 5(e) 

 12656-57-4 5(a)(2) 

 12656-85-8 5(a)(2) 

 12673-69-7 5(e) 

 13049-88-2 5(a)(2) 

 13169-90-9 5(a)(2) 

 13223-43-3 5(a)(2) 

 13236-02-7 4 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-6

CAS 

Registry 

Number

TSCA 

ACTION

 13252-13-6 5(e) 

 13417-01-1 5(a)(2) 

 13439-89-9 5(a)(2) 

 13530-65-9 6 

 13530-68-2 6 

 13561-08-5 4 

 13654-09-6 5(a)(2) 

 13893-53-3 5(a)(2); 5(e) 

 13990-54-0 5(a)(2) 

 14018-95-2 6 

 14035-94-0 5(e) 

 14228-73-0 4 

 14518-69-5 5(a)(2) 

 14650-24-9 5(a)(2) 

 14720-55-9 5(a)(2) 

 15578-32-2 5(a)(2) 

 15827-56-2 5(a)(2); 5(e) 

 16068-37-4 5(a)(2) 

 16071-86-6 5(a)(2) 

 16079-88-2 5(a)(2) 

 16096-31-4 5(a)(2); 5(e) 

 16298-38-7 5(a)(2) 

 16532-79-9 4 

 17202-41-4 5(a)(2) 

 17557-23-2 4 

 17963-04-1 4 

 18241-31-1 5(e) 

 18934-00-4 5(a)(2); 5(e) 

 19019-43-3 5(a)(2) 

 19201-36-6 5(a)(2) 

 19372-44-2 5(a)(2); 5(e) 

 19721-22-3 5(a)(2); 5(e) 

 19829-42-6 5(e) 

 20138-28-7 5(e) 

 20217-01-0 4 

 21055-88-9 5(a)(2) 

 21142-29-0 5(a)(2) 

 21160-95-2 5(a)(2); 5(e) 

 21542-96-1 5(a)(2) 

 21544-03-6 5(a)(2) 

CAS 

Registry 

Number

TSCA 

ACTION

 21807-69-2 5(a)(2); 5(e) 

 21850-44-2 4 

 22094-81-1 5(a)(2) 

 22094-83-3 5(a)(2) 

 22094-85-5 5(a)(2) 

 22421-59-6 4 

 22527-63-5 4 

 22576-65-4 5(a)(2) 

 23153-23-3 5(a)(2) 

 24307-26-4 5(a)(2) 

 24448-09-7 5(a)(2) 

 24615-84-7 4 

 24924-36-5 5(a)(2) 

 25155-23-1 4 

 25245-34-5 5(a)(2) 

 25249-16-5 5(a)(2) 

 25268-77-3 5(a)(2) 

 25321-41-9 4 

 25327-89-3 4 

 25608-40-6 5(a)(2) 

 25646-71-3 4 

 26172-55-4 5(a)(2) 

 26447-14-3 4 

 26694-69-9 5(a)(2) 

 26761-45-5 4 

 27060-75-9 5(a)(2); 5(e) 

 27193-86-8 4 

 27603-25-4 5(a)(2) 

 27610-48-6 5(a)(2); 5(e) 

 27753-52-2 5(a)(2) 

 27858-07-7 5(a)(2) 

 27936-88-5 5(a)(2) 

 28108-99-8 4 

 28554-31-6 5(a)(2); 5(e) 

 29081-56-9 5(a)(2) 

 29091-20-1 5(a)(2); 5(e) 

 29117-08-6 5(a)(2) 

 29457-72-5 5(a)(2) 

 29761-21-5 4 

 30025-38-8 5(a)(2) 

CAS 

Registry 

Number

TSCA 

ACTION

 30381-98-7 5(a)(2) 

 30486-37-4 5(a)(2); 5(e) 

 30813-81-1 5(a)(2); 5(e) 

 31138-65-5 4 

 31506-32-8 5(a)(2) 

 31775-16-3 5(a)(2); 5(e) 

 32315-10-9 5(a)(2); 5(e) 

 32534-81-9 4; 5(a)(2) 

 32536-52-0 4; 5(a)(2) 

 32539-16-5 5(a)(2) 

 32568-89-1 4 

 34052-90-9 5(e) 

 34415-31-1 5(a)(2); 5(e) 

 34455-03-3 5(a)(2) 

 34590-94-8 4 

 34621-99-3 5(a)(2); 5(e) 

 35077-00-0 5(a)(2) 

 35243-89-1 4 

 35358-78-2 5(a)(2) 

 35544-45-7 5(a)(2) 

 36177-92-1 5(a)(2) 

 36355-01-8 5(a)(2) 

 36483-60-0 5(a)(2) 

 37338-48-0 5(a)(2) 

 37853-59-1 4 

 37853-61-5 4 

 37859-57-7 5(a)(2) 

 38006-74-5 5(a)(2) 

 38304-52-8 4 

 38850-52-1 5(a)(2) 

 38850-58-7 5(a)(2) 

 38850-60-1 5(a)(2) 

 39142-28-4 5(a)(2) 

 39290-90-9 5(a)(2); 5(e) 

 39318-30-4 5(a)(2); 5(e) 

 40088-47-9 5(a)(2) 

 41088-52-2 5(a)(2) 

 41240-76-0 5(a)(2) 

 41317-15-1 5(a)(2); 5(e) 

 43048-08-4 5(a)(2) 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-7

CAS 

Registry 

Number

TSCA 

ACTION

 43224-75-5 5(a)(2) 

 50598-28-2 5(a)(2) 

 50598-29-3 5(a)(2) 

 50622-20-3 5(a)(2) 

 51032-47-4 5(a)(2) 

 51160-97-5 5(a)(2); 5(e) 

 51851-37-7 5(a)(2) 

 51868-46-3 5(a)(2) 

 52032-20-9 5(a)(2) 

 52166-82-2 5(a)(2) 

 52350-17-1 5(a)(2) 

 52495-71-3 5(a)(2); 5(e) 

 52550-45-5 5(a)(2) 

 52556-42-0 4 

 54208-63-8 4 

 54423-67-5 5(a)(2); 5(e) 

 55120-77-9 5(a)(2) 

 55554-55-7 5(a)(2) 

 55910-10-6 5(a)(2) 

 56372-23-7 5(a)(2) 

 56553-60-7 5(a)(2) 

 56773-42-3 5(a)(2) 

 56803-37-3 4 

 56875-68-4 5(a)(2) 

 57589-85-2 5(a)(2) 

 58576-98-0 5(a)(2) 

 58577-08-5 5(a)(2) 

 58857-49-1 5(a)(2) 

 58920-31-3 5(a)(2) 

 59071-10-2 5(a)(2) 

 59447-55-1 5(a)(2); 5(e) 

 59789-51-4 5(a)(2); 5(e) 

 60270-55-5 5(a)(2) 

 60466-61-7 5(a)(2); 5(e) 

 60497-09-8 5(e) 

 60501-41-9 4 

 60825-27-6 5(a)(2); 5(e) 

 61551-69-7 5(e) 

 61577-14-8 5(a)(2) 

 61578-04-9 4 

CAS 

Registry 

Number

TSCA 

ACTION

 61660-12-6 5(a)(2) 

 61788-76-9 4 

 62037-80-3 5(e) 

 62435-71-6 5(a)(2); 5(e) 

 63141-09-3 5(a)(2) 

 63936-56-1 5(a)(2) 

 64712-27-2 5(a)(2) 

 64723-18-8 5(a)(2) 

 65652-41-7 4 

 65738-56-9 5(a)(2) 

 65992-66-7 5(a)(2); 5(e) 

 65996-79-4 4 

 65996-82-9 4 

 65996-89-6 4 

 65996-92-1 4 

 66008-68-2 5(a)(2) 

 66008-69-3 5(a)(2) 

 66008-70-6 5(a)(2) 

 66034-17-1 5(a)(2) 

 66241-11-0 4 

 66988-04-3 5(e) 

 67584-42-3 5(a)(2) 

 67584-48-9 5(a)(2) 

 67584-49-0 5(a)(2) 

 67584-50-3 5(a)(2) 

 67584-52-5 5(a)(2) 

 67584-53-6 5(a)(2) 

 67584-54-7 5(a)(2) 

 67584-56-9 5(a)(2) 

 67584-57-0 5(a)(2) 

 67584-58-1 5(a)(2) 

 67584-60-5 5(a)(2) 

 67584-61-6 5(a)(2) 

 67584-62-7 5(a)(2) 

 67906-38-1 5(a)(2) 

 67906-40-5 5(a)(2) 

 67906-41-6 5(a)(2) 

 67906-42-7 5(a)(2) 

 67906-70-1 5(a)(2) 

 67906-71-2 5(a)(2) 

CAS 

Registry 

Number

TSCA 

ACTION

 67906-73-4 5(a)(2) 

 67906-74-5 5(a)(2) 

 67923-61-9 5(a)(2) 

 67939-36-0 5(a)(2) 

 67939-37-1 5(a)(2) 

 67939-42-8 5(a)(2) 

 67939-61-1 5(a)(2) 

 67939-87-1 5(a)(2) 

 67939-88-2 5(a)(2) 

 67939-90-6 5(a)(2) 

 67939-92-8 5(a)(2) 

 67939-93-9 5(a)(2) 

 67939-94-0 5(a)(2) 

 67939-96-2 5(a)(2) 

 67939-97-3 5(a)(2) 

 67939-98-4 5(a)(2) 

 67940-02-7 5(a)(2) 

 67969-65-7 5(a)(2) 

 67969-69-1 5(a)(2) 

 68081-83-4 5(a)(2) 

 68082-78-0 4 

 68084-62-8 5(a)(2) 

 68134-06-5 4 

 68134-07-6 4 

 68156-00-3 5(a)(2) 

 68156-01-4 5(a)(2) 

 68156-06-9 5(a)(2) 

 68156-07-0 5(a)(2) 

 68187-57-5 4 

 68187-76-8 4 

 68187-84-8 4 

 68227-87-2 5(a)(2) 

 68227-94-1 5(a)(2) 

 68227-96-3 5(a)(2) 

 68227-97-4 5(a)(2) 

 68227-98-5 5(a)(2) 

 68227-99-6 5(a)(2) 

 68228-00-2 5(a)(2) 

 68239-72-5 5(a)(2) 

 68239-73-6 5(a)(2) 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-8

CAS 

Registry 

Number

TSCA 

ACTION

 68239-74-7 5(a)(2) 

 68239-75-8 5(a)(2) 

 68259-06-3 5(a)(2) 

 68259-07-4 5(a)(2) 

 68259-08-5 5(a)(2) 

 68259-09-6 5(a)(2) 

 68259-12-1 5(a)(2) 

 68259-14-3 5(a)(2) 

 68259-15-4 5(a)(2) 

 68259-38-1 5(a)(2) 

 68259-39-2 5(a)(2) 

 68298-06-6 5(a)(2) 

 68298-08-8 5(a)(2) 

 68298-09-9 5(a)(2) 

 68298-10-2 5(a)(2) 

 68298-11-3 5(a)(2) 

 68298-13-5 5(a)(2) 

 68298-60-2 5(a)(2) 

 68298-62-4 5(a)(2) 

 68298-78-2 5(a)(2) 

 68298-80-6 5(a)(2) 

 68298-81-7 5(a)(2) 

 68298-89-5 5(a)(2) 

 68299-20-7 5(a)(2) 

 68299-21-8 5(a)(2) 

 68299-29-6 5(a)(2) 

 68299-39-8 5(a)(2) 

 68310-02-1 5(a)(2) 

 68310-17-8 5(a)(2) 

 68310-75-8 5(a)(2) 

 68318-34-3 5(a)(2) 

 68318-36-5 5(a)(2) 

 68329-56-6 5(a)(2) 

 68391-09-3 5(a)(2) 

 68442-60-4 4 

 68479-98-1 4 

 68517-02-2 4 

 68527-02-6 4 

 68541-01-5 5(a)(2) 

 68541-02-6 5(a)(2) 

CAS 

Registry 

Number

TSCA 

ACTION

 68541-80-0 5(a)(2) 

 68555-69-1 5(a)(2) 

 68555-70-4 5(a)(2) 

 68555-71-5 5(a)(2) 

 68555-72-6 5(a)(2) 

 68555-73-7 5(a)(2) 

 68555-74-8 5(a)(2) 

 68555-75-9 5(a)(2) 

 68555-76-0 5(a)(2) 

 68555-78-2 5(a)(2) 

 68555-79-3 5(a)(2) 

 68555-81-7 5(a)(2) 

 68555-90-8 5(a)(2) 

 68555-91-9 5(a)(2) 

 68555-92-0 5(a)(2) 

 68568-77-4 5(a)(2) 

 68586-14-1 5(a)(2) 

 68608-13-9 5(a)(2) 

 68608-14-0 5(a)(2) 

 68609-96-1 4 

 68610-90-2 4 

 68611-64-3 4 

 68647-60-9 4 

 68649-26-3 5(a)(2) 

 68797-76-2 5(a)(2) 

 68815-72-5 5(a)(2) 

 68867-60-7 5(a)(2) 

 68867-62-9 5(a)(2) 

 68877-32-7 5(a)(2) 

 68891-96-3 5(a)(2) 

 68891-97-4 5(a)(2) 

 68891-98-5 5(a)(2) 

 68891-99-6 5(a)(2) 

 68909-15-9 5(a)(2) 

 68928-80-3 5(a)(2) 

 68937-41-7 4 

 68957-31-3 5(a)(2) 

 68957-32-4 5(a)(2) 

 68957-53-9 5(a)(2) 

 68957-54-0 5(a)(2) 

CAS 

Registry 

Number

TSCA 

ACTION

 68957-55-1 5(a)(2) 

 68957-57-3 5(a)(2) 

 68957-58-4 5(a)(2) 

 68957-60-8 5(a)(2) 

 68957-61-9 5(a)(2) 

 68957-62-0 5(a)(2) 

 68957-63-1 5(a)(2) 

 68958-60-1 5(a)(2) 

 68958-61-2 5(a)(2) 

 68959-23-9 4 

 68987-80-4 4 

 68988-22-7 4 

 69045-83-6 5(a)(2) 

 69045-84-7 5(a)(2); 5(e) 

 69155-42-6 4 

 69938-76-7 5(a)(2); 5(e) 

 70225-14-8 5(a)(2) 

 70225-15-9 5(a)(2) 

 70225-16-0 5(a)(2) 

 70225-17-1 5(a)(2) 

 70225-20-6 5(a)(2) 

 70225-24-0 5(a)(2) 

 70225-26-2 5(a)(2) 

 70248-52-1 5(a)(2) 

 70693-50-4 4 

 70776-36-2 5(a)(2) 

 70900-40-2 5(a)(2) 

 71033-08-4 4 

 71463-74-6 5(a)(2) 

 71463-78-0 5(a)(2) 

 71463-79-1 5(a)(2) 

 71463-80-4 5(a)(2) 

 71463-81-5 5(a)(2) 

 71487-20-2 5(a)(2) 

 71526-07-3 5(a)(2); 5(e) 

 71808-64-5 4 

 72162-15-3 4 

 72319-24-5 4 

 72785-08-1 5(a)(2) 

 72804-49-0 5(a)(2) 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-9

CAS Registry 

Number

TSCA 

ACTION

 73018-93-6 5(a)(2) 

 73019-19-9 5(a)(2) 

 73019-20-2 5(a)(2) 

 73019-28-0 5(a)(2) 

 73038-33-2 5(a)(2) 

 73231-04-6 5(e) 

 73275-59-9 5(a)(2) 

 73665-18-6 4 

 73772-32-4 5(a)(2) 

 73772-33-5 5(a)(2) 

 73772-34-6 5(a)(2) 

 74398-71-3 4 

 75150-13-9 4 

 75405-06-0 5(a)(2); 5(e) 

 77939-50-5 5(e) 

 77986-14-2 5(e) 

 78245-94-0 5(a)(2); 5(e) 

 78543-39-2 5(e) 

 79710-86-4 5(a)(2) 

 79771-08-7 5(a)(2) 

 79771-09-8 5(a)(2) 

 80584-91-4 5(f) 

 80584-92-5 5(f) 

 81190-38-7 5(a)(2) 

 81711-69-5 5(a)(2) 

 82799-44-8 5(a)(2) 

 83048-65-1 5(a)(2) 

 83748-27-0 5(a)(2) 

 83748-28-1 5(a)(2) 

 84268-08-6 5(a)(2); 5(e) 

 84852-53-9 5(a)(2); 5(e) 

 84962-05-0 5(a)(2) 

 85029-61-4 5(a)(2); 5(e) 

 85137-09-3 5(a)(2) 

 85204-21-3 5(f),6 

 85322-38-9 4 

 85586-67-0 5(a)(2) 

 85712-26-1 5(a)(2); 5(e) 

 85712-27-2 5(a)(2); 5(e) 

 85736-97-6 5(a)(2) 

 86273-46-3 5(a)(2); 5(e) 

CAS Registry 

Number

TSCA 

ACTION

 86917-58-0 5(a)(2); 5(e) 

 87676-07-1 5(a)(2); 5(e) 

 89610-32-2 5(a)(2) 

 90194-13-1 5(a)(2) 

 90884-29-0 5(a)(2); 5(e) 

 91081-99-1 5(a)(2) 

 91144-26-2 5(a)(2) 

 91788-83-9 5(a)(2) 

 92044-87-6 5(e) 

 92484-07-6 5(a)(2); 5(e) 

 93072-06-1 5(a)(2) 

 93589-69-6 5(a)(2); 5(e) 

 93705-66-9 5(a)(2); 5(e) 

 93820-33-8 5(a)(2) 

 94054-35-0 5(e) 

 94133-90-1 5(a)(2) 

 94148-67-1 5(a)(2) 

 94213-53-3 5(a)(2) 

 94317-64-3 5(a)(2); 5(e) 

 94933-05-8 5(a)(2) 

 95175-38-5 5(a)(2) 

 95590-48-0 5(a)(2) 

 96152-42-0 5(a)(2) 

 96478-09-0 5(a)(2); 5(e) 

 96549-95-0 5(a)(2); 5(e) 

 98999-57-6 5(a)(2) 

 99607-70-2 5(a)(2) 

 99636-32-5 5(e) 

 99742-80-0 5(e) 

 100402-91-3 5(e) 

 100545-50-4 5(a)(2) 

 100912-15-0 5(a)(2) 

 101646-62-2 5(a)(2) 

 101646-63-3 5(a)(2) 

 103331-86-8 5(a)(2) 

 103458-14-6 5(a)(2) 

 103490-06-8 5(a)(2); 5(e) 

 103490-08-0 5(a)(2); 5(e) 

 103580-64-9 5(a)(2) 

 103697-96-7 5(a)(2); 5(e) 

 104503-68-6 5(a)(2) 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-10

CAS Registry 

Number

TSCA 

ACTION

 105362-40-1 5(a)(2) 

 105658-30-8 5(a)(2); 5(e) 

 106008-93-9 5(a)(2) 

 106008-94-0 5(a)(2) 

 106359-91-5 5(a)(2) 

 106790-31-2 5(a)(2); 5(e) 

 110726-28-8 5(a)(2) 

 110843-97-5 5(a)(2); 5(e) 

 110843-98-6 5(a)(2); 5(e) 

 111109-77-4 5(a)(2) 

 116671-32-0 5(a)(2); 5(e) 

 116971-11-0 5(a)(2) 

 117397-31-6 5(a)(2) 

 117806-54-9 5(a)(2) 

 118716-61-3 5(a)(2) 

 118716-62-4 5(a)(2) 

 119344-86-4 5(a)(2) 

 119438-11-8 5(a)(2); 5(e) 

 119462-56-5 5(a)(2) 

 119535-63-6 5(a)(2) 

 119914-24-8 5(e) 

 120983-72-4 5(a)(2) 

 121144-97-6 5(a)(2); 5(e) 

 121255-03-6 5(a)(2); 5(e) 

 121776-57-6 5(a)(2); 5(e) 

 122035-71-6 5(a)(2); 5(e) 

 124756-59-8 5(e) 

 124993-63-1 5(a)(2); 5(e) 

 125630-94-6 5(a)(2) 

 125904-10-1 5(a)(2); 5(e) 

 125904-11-2 5(a)(2); 5(e) 

 125997-20-8 5(a)(2); 5(e) 

 126213-50-1 5(a)(2) 

 126505-35-9 5(a)(2); 5(e) 

 126682-74-4 5(e) 

 127133-66-8 5(a)(2) 

 128446-60-6 5(a)(2) 

 129733-59-1 5(a)(2) 

 129813-71-4 5(a)(2) 

 130097-33-5 5(a)(2) 

 130169-66-3 5(a)(2); 5(e) 

CAS Registry 

Number

TSCA 

ACTION

 130353-62-7 5(a)(2); 5(e) 

 130728-76-6 5(a)(2); 5(e) 

 132182-92-4 5(a)(2) 

 132299-20-8 5(e) 

 132482-53-2 5(a)(2) 

 132767-86-3 5(a)(2) 

 133911-74-7 5(a)(2); 5(e) 

 134701-20-5 5(a)(2) 

 134818-69-2 5(a)(2) 

 135011-47-1 5(a)(2); 5(e) 

 135020-80-3 5(a)(2); 5(e) 

 135364-47-5 5(a)(2); 5(e) 

 136040-19-2 5(a)(2) 

 136504-87-5 5(a)(2) 

 136504-96-6 5(a)(2); 5(e) 

 137787-41-8 5(a)(2) 

 137873-52-0 5(a)(2); 5(e) 

 138495-42-8 5(a)(2) 

 138859-29-7 5(a)(2); 5(e) 

 141420-50-0 5(a)(2); 5(e) 

 141914-99-0 5(a)(2) 

 142828-65-7 5(a)(2) 

 144761-93-3 5(a)(2); 5(e) 

 145556-04-3 5(a)(2); 5(e) 

 145963-84-4 5(a)(2); 5(e) 

 147129-86-0 5(a)(2) 

 147170-38-5 5(a)(2) 

 147170-47-6 5(a)(2) 

 147732-58-9 5(a)(2); 5(e) 

 147783-69-5 5(a)(2) 

 148124-41-8 5(e) 

 148124-42-9 5(e) 

 148240-78-2 5(a)(2) 

 148240-80-6 5(a)(2) 

 148240-81-7 5(a)(2) 

 148240-82-8 5(a)(2) 

 148373-01-7 5(a)(2); 5(e) 

 148684-79-1 5(a)(2) 

 149303-87-7 5(a)(2); 5(e) 

 149564-65-8 5(a)(2) 

 149850-30-6 5(a)(2) 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-11

CAS Registry 

Number

TSCA 

ACTION

 151686-36-1 5(a)(2); 5(e) 

 151717-27-0 5(a)(2) 

 152007-82-4 5(a)(2) 

 153454-44-5 5(a)(2); 5(e) 

 153590-17-1 5(a)(2) 

 153699-23-1 5(a)(2); 5(e) 

 155613-93-7 5(a)(2); 5(e) 

 156294-54-1 5(a)(2); 5(e) 

 157627-99-1 5(a)(2) 

 157707-95-4 5(a)(2) 

 158948-13-1 5(e) 

 159574-72-8 5(a)(2) 

 160653-08-7 5(a)(2) 

 160901-25-7 5(a)(2) 

 161717-32-4 5(e) 

 163206-28-8 5(a)(2) 

 163206-29-9 5(a)(2); 5(e) 

 163206-32-4 5(e) 

 163292-61-3 5(a)(2) 

 163292-64-6 5(e) 

 163436-84-8 5(a)(2) 

 163520-33-0 5(a)(2) 

 163879-69-4 5(a)(2) 

 163961-26-0 5(a)(2) 

 163961-34-0 5(a)(2) 

 164383-18-0 5(a)(2) 

 166432-37-7 5(a)(2) 

 166432-57-1 5(e) 

 166432-58-2 5(a)(2) 

 166514-73-4 5(e) 

 167412-23-9 5(a)(2); 5(e) 

 168113-88-0 5(a)(2) 

 168811-65-2 5(a)(2) 

 170678-69-0 5(a)(2) 

 172343-36-1 5(a)(2) 

 173904-11-5 5(a)(2) 

 174254-18-3 5(a)(2) 

 174305-36-3 5(a)(2) 

 174333-80-3 5(a)(2) 

 174974-45-9 5(e) 

 175205-96-6 5(e) 

CAS Registry 

Number

TSCA 

ACTION

 176429-35-9 5(a)(2) 

 177528-09-5 5(e) 

 178094-69-4 5(a)(2) 

 178452-72-7 5(a)(2) 

 178535-22-3 5(a)(2) 

 179005-06-2 5(a)(2) 

 180031-79-2 5(a)(2) 

 180071-71-0 5(e) 

 180685-86-3 5(a)(2) 

 181828-07-9 5(a)(2); 5(e) 

 182238-09-1 5(a)(2) 

 182238-10-4 5(a)(2); 5(e) 

 182442-95-1 5(a)(2); 5(e) 

 182635-99-0 5(a)(2) 

 182970-05-4 5(e) 

 183562-46-1 5(a)(2) 

 183658-27-7 5(a)(2); 5(e) 

 184719-88-8 5(a)(2) 

 184785-38-4 5(a)(2) 

 186321-98-2 5(a)(2) 

 189120-62-5 5(a)(2); 5(e) 

 189120-63-6 5(a)(2); 5(e) 

 189354-73-2 5(a)(2) 

 190525-00-9 5(a)(2) 

 191044-59-4 5(a)(2) 

 191044-60-7 5(a)(2) 

 192439-46-6 5(a)(2) 

 192662-29-6 5(a)(2) 

 192726-23-1 5(a)(2); 5(e) 

 193635-72-2 5(a)(2); 5(e) 

 194673-87-5 5(e) 

 195008-77-6 5(a)(2) 

 196109-17-8 5(a)(2) 

 196521-82-1 5(e) 

 197527-19-8 5(a)(2) 

 199487-82-6 5(a)(2) 

 200443-94-3 5(e) 

 201167-69-3 5(a)(2); 5(e) 

 201687-57-2 5(e) 

 201687-58-3 5(e) 

 202483-48-5 5(a)(2) 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-12

CAS Registry 

Number

TSCA 

ACTION

 203809-20-5 5(a)(2) 

 204336-40-3 5(a)(2) 

 204401-83-2 5(a)(2) 

 205764-98-3 5(a)(2) 

 206009-82-7 5(a)(2) 

 206886-68-2 5(e) 

 208408-03-1 5(a)(2) 

 210181-71-8 5(a)(2) 

 211389-36-5 5(e) 

 211578-04-0 5(e) 

 211578-08-4 5(e) 

 212335-59-6 5(e) 

 212335-62-1 5(e) 

 215856-72-7 5(e) 

 216583-60-7 5(e) 

 216583-66-3 5(e) 

 216583-91-4 5(e) 

 216583-94-7 5(e) 

 216583-95-8 5(e) 

 216593-48-5 5(e) 

 216593-49-6 5(e) 

 216593-54-3 5(e) 

 216593-55-4 5(e) 

 216977-01-4 5(e) 

 218163-12-3 5(e) 

 220075-01-4 5(a)(2) 

 221279-59-0 5(a)(2) 

 222975-06-6 5(a)(2) 

 224646-44-0 5(a)(2); 5(e) 

 235083-88-2 5(a)(2) 

 235083-90-6 5(a)(2) 

 238420-68-3 5(a)(2) 

 247041-56-1 5(a)(2) 

 249297-16-3 5(a)(2) 

 251099-16-8 5(a)(2) 

 251553-55-6 5(e) 

 252254-51-6 5(e) 

 253685-23-3 5(e) 

 258839-39-3 5(a)(2); 5(e) 

 259795-03-4 5(a)(2) 

 259871-68-6 5(a)(2) 

CAS Registry 

Number

TSCA 

ACTION

 263244-54-8 5(a)(2) 

 284685-45-6 5(a)(2) 

 290364-23-7 5(a)(2) 

 290364-24-8 5(a)(2) 

 297175-71-4 5(a)(2) 

 300371-38-4 5(a)(2) 

 306973-46-6 5(a)(2) 

 306973-47-7 5(a)(2) 

 306974-19-6 5(a)(2) 

 306974-28-7 5(a)(2) 

 306974-45-8 5(a)(2) 

 306974-63-0 5(a)(2) 

 306975-56-4 5(a)(2) 

 306975-57-5 5(a)(2) 

 306975-62-2 5(a)(2) 

 306975-84-8 5(a)(2) 

 306975-85-9 5(a)(2) 

 306976-25-0 5(a)(2) 

 306976-55-6 5(a)(2) 

 306977-10-6 5(a)(2) 

 306977-58-2 5(a)(2) 

 306978-04-1 5(a)(2) 

 306978-65-4 5(a)(2) 

 306979-40-8 5(a)(2) 

 306980-27-8 5(a)(2) 

 319926-68-6 5(a)(2) 

 327177-98-0 5(a)(2) 

 328389-90-8 5(a)(2) 

 329928-84-9 5(a)(2); 5(e) 

 332350-90-0 5(e) 

 332350-93-3 5(e) 

 333784-10-4 5(a)(2) 

 333955-69-4 5(a)(2) 

 333955-70-7 5(a)(2) 

 333955-79-6 5(a)(2) 

 333955-80-9 5(a)(2) 

 346709-25-9 5(a)(2) 

 350820-95-0 5(a)(2); 5(e) 

 352661-91-7 5(a)(2); 5(e) 

 359427-90-0 5(a)(2); 5(e) 

 364059-77-8 5(a)(2) 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-13

CAS Registry 

Number

TSCA 

ACTION

 371113-62-1 5(e) 

 371113-63-2 5(e) 

 383905-85-9 5(a)(2) 

 391232-99-8 5(a)(2) 

 406207-51-0 5(e) 

 452082-53-0 5(a)(2) 

 474095-58-4 5(a)(2) 

 475678-78-5 5(e) 

 477725-72-7 5(e) 

 591773-92-1 5(a)(2) 

 595585-15-2 5(a)(2) 

 610787-76-3 5(a)(2) 

 610787-77-4 5(a)(2) 

 610787-78-5 5(a)(2) 

 642928-30-1 5(a)(2) 

 649574-37-8 5(a)(2) 

 671756-61-9 5(a)(2) 

 676143-36-5 5(a)(2) 

 691400-36-9 5(a)(2) 

 691400-76-7 5(a)(2) 

 691401-28-2 5(a)(2) 

 705265-31-2 5(a)(2) 

 833482-31-8 5(a)(2) 

 849101-58-2 5(a)(2) 

 849925-18-4 5(a)(2) 

 851544-20-2 5(a)(2) 

 851545-09-0 5(a)(2) 

 851545-17-0 5(a)(2) 

853030-17-8 5(e) 

 858944-25-9 5(a)(2) 

 863132-14-3 5(e) 

 864662-46-4 5(a)(2) 

 876065-86-0 5(e) 

 880647-20-1 5(e) 

 900169-60-0 5(a)(2) 

 903876-45-9 5(a)(2) 

 927818-78-8 5(a)(2) 

 936576-64-6 5(a)(2); 5(e) 

 956147-76-5 5(a)(2) 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-14

Appendix B

Table B-3. Chemical Substances That Are the Subject of Certain TSCA Actions

By Accession Number 

Accession 

Number 

TSCA 

Action 

15544 5(a)(2) 

30309 5(a)(2); 5(e) 

32178 5(a)(2); 5(e) 

41259 5(a)(2); 5(e) 

42741 5(a)(2); 5(e) 

43313 5(a)(2); 5(e) 

44292 5(a)(2); 5(e) 

45002 5(a)(2); 5(e) 

49435 5(a)(2) 

49457 5(a)(2) 

50567 5(a)(2); 5(e) 

52381 5(a)(2) 

53215 5(a)(2) 

53862 5(a)(2); 5(e) 

55904 5(a)(2) 

56236 5(a)(2); 5(e) 

58834 5(a)(2) 

59531 5(a)(2); 5(e) 

59622 5(a)(2); 5(e) 

60787 5(a)(2); 5(e) 

62625 5(a)(2); 5(e) 

62705 5(f),6 

64621 5(a)(2); 5(e) 

65328 5(a)(2); 5(e) 

65599 5(a)(2); 5(e) 

65851 5(a)(2) 

66503 5(a)(2); 5(e) 

66616 5(a)(2); 5(e) 

67993 5(a)(2); 5(e) 

68101 5(a)(2); 5(e) 

68474 5(a)(2); 5(e) 

69239 5(a)(2) 

71546 5(a)(2); 5(e) 

72414 5(a)(2); 5(e) 

73484 5(a)(2); 5(e) 

73906 5(a)(2); 5(e) 

75015 5(a)(2); 5(e) 

77511 5(a)(2); 5(e) 

Accession 

Number

TSCA 

Action

77668 5(a)(2); 5(e) 

77759 5(a)(2); 5(e) 

77873 5(a)(2); 5(e) 

78581 5(a)(2); 5(e) 

79164 5(a)(2); 5(e) 

80376 5(a)(2); 5(e) 

80912 5(a)(2); 5(e) 

81426 5(a)(2); 5(e) 

84801 5(a)(2); 5(e) 

87560 5(a)(2); 5(e) 

87968 5(a)(2); 5(e) 

88063 5(a)(2) 

88472 5(a)(2); 5(e) 

90212 5(a)(2); 5(e) 

91680 5(a)(2); 5(e) 

93835 5(a)(2); 5(e) 

97008 5(a)(2); 5(e) 

97291 5(a)(2); 5(e) 

97859 5(a)(2) 

101974 5(a)(2) 

102966 5(a)(2); 5(e) 

103378 5(a)(2); 5(e) 

103798 5(a)(2); 5(e) 

105090 5(a)(2); 5(e) 

105578 5(a)(2); 5(e) 

106720 5(a)(2); 5(e) 

106877 5(a)(2); 5(e) 

107450 5(a)(2); 5(e) 

108260 5(a)(2); 5(e) 

109525 5(a)(2); 5(e) 

112233 5(a)(2); 5(e) 

112380 5(a)(2); 5(e) 

113236 5(a)(2); 5(e) 

114024 5(a)(2); 5(e) 

115981 5(a)(2); 5(e) 

119585 5(a)(2); 5(e) 

120208 5(a)(2); 5(e) 

121585 5(a)(2) 

Accession 

Number

TSCA 

Action

121621 5(a)(2); 5(e) 

121972 5(a)(2); 5(e) 

122395 5(a)(2); 5(e) 

122704 5(a)(2); 5(e) 

122908 5(a)(2); 5(e) 

123116 5(a)(2); 5(e) 

123296 5(a)(2); 5(e) 

123401 5(a)(2); 5(e) 

123650 5(a)(2) 

123785 5(a)(2); 5(e) 

123898 5(a)(2); 5(e) 

124540 5(a)(2); 5(e) 

124595 5(a)(2); 5(e) 

125792 5(a)(2); 5(e) 

125883 5(a)(2) 

126002 5(a)(2); 5(e) 

126615 5(a)(2); 5(e) 

127992 5(a)(2) 

128111 5(a)(2) 

128155 5(a)(2); 5(e) 

128520 5(a)(2) 

129487 5(a)(2) 

129750 5(a)(2); 5(e) 

129829 5(a)(2); 5(e) 

130291 5(e) 

130348 5(a)(2) 

130360 5(a)(2) 

130428 5(a)(2); 5(e) 

130940 5(a)(2) 

131125 5(a)(2); 5(e) 

131830 5(a)(2) 

132311 5(a)(2) 

132355 5(a)(2) 

132537 5(a)(2) 

132651 5(a)(2); 5(e) 

132811 5(a)(2); 5(e) 

132855 5(a)(2) 

133256 5(a)(2) 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-15

Accession 

Number

TSCA 

Action

133336 5(a)(2); 5(e) 

133370 5(a)(2) 

133438 5(a)(2) 

134077 5(a)(2) 

134306 5(a)(2) 

135149 5(a)(2) 

135649 5(a)(2) 

135672 5(a)(2) 

135945 5(a)(2) 

136335 5(a)(2) 

136482 5(a)(2) 

136722 5(a)(2) 

136880 5(a)(2) 

137361 5(a)(2); 5(e) 

137418 5(a)(2) 

137963 5(a)(2) 

138104 5(a)(2) 

138217 5(a)(2) 

138342 5(a)(2) 

138499 5(e) 

138557 5(a)(2) 

138751 5(a)(2) 

139674 5(a)(2); 5(e) 

139787 5(a)(2) 

140502 5(a)(2); 5(e) 

140591 5(e) 

141072 5(a)(2); 5(e) 

141629 5(a)(2) 

141925 5(a)(2); 5(e) 

142086 5(a)(2); 5(e) 

142360 5(a)(2) 

143034 5(a)(2) 

143410 5(a)(2); 5(e) 

143501 5(a)(2) 

143636 5(a)(2) 

143807 5(a)(2) 

143896 5(a)(2) 

144117 5(a)(2) 

144388 5(a)(2) 

144402 5(e) 

144719 5(a)(2) 

Accession 

Number

TSCA 

Action

144797 5(a)(2); 5(e) 

145563 5(e) 

145814 5(a)(2) 

146282 5(a)(2) 

146340 5(a)(2) 

146453 5(a)(2); 5(e) 

146588 5(a)(2); 5(e) 

146646 5(a)(2) 

146975 5(a)(2) 

147036 5(a)(2) 

147229 5(a)(2) 

147809 5(a)(2) 

147923 5(a)(2) 

148073 5(a)(2) 

148084 5(e) 

148164 5(a)(2); 5(e) 

148835 5(a)(2) 

149021 5(a)(2) 

150595 5(a)(2); 5(e) 

150711 5(a)(2); 5(e) 

151247 5(a)(2) 

151372 5(a)(2) 

152115 5(a)(2) 

152386 5(a)(2); 5(e) 

152853 5(a)(2) 

152897 5(a)(2) 

152955 5(a)(2) 

153174 5(e) 

153196 5(a)(2) 

153232 5(a)(2); 5(e) 

153312 5(a)(2) 

153889 5(a)(2) 

154473 5(a)(2); 5(e) 

154688 5(e) 

154724 5(a)(2) 

155750 5(a)(2); 5(e) 

156015 5(a)(2) 

156128 5(a)(2) 

156140 5(a)(2) 

156413 5(a)(2) 

156526 5(a)(2); 5(e) 

Accession 

Number

TSCA 

Action

157109 5(a)(2) 

157825 5(e) 

158226 5(a)(2) 

158511 5(a)(2) 

158635 5(a)(2) 

158715 5(a)(2) 

158726 5(a)(2) 

159229 5(a)(2) 

159570 5(a)(2) 

159650 5(e) 

160044 5(e) 

160180 5(a)(2) 

161070 5(a)(2) 

161887 5(a)(2) 

161898 5(a)(2) 

162222 5(a)(2); 5(e) 

162415 5(a)(2) 

162459 5(a)(2) 

163474 5(a)(2); 5(e) 

163929 5(a)(2); 5(e) 

163985 5(a)(2) 

165141 5(a)(2); 5(e) 

165505 5(a)(2) 

165516 5(a)(2) 

165538 5(a)(2) 

166519 5(a)(2) 

166597 5(e) 

167261 5(a)(2) 

167374 5(e) 

167512 5(a)(2) 

167830 5(a)(2) 

167910 5(a)(2) 

167943 5(a)(2) 

168162 5(e) 

168377 5(a)(2) 

168504 5(a)(2); 5(e) 

168935 5(a)(2) 

170059 5(a)(2); 5(e) 

171063 5(a)(2) 

171596 5(e) 

172088 5(a)(2) 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-16

Accession 

Number

TSCA 

Action

172351 5(a)(2) 

172691 5(a)(2); 5(e) 

172737 5(a)(2); 5(e) 

172793 5(a)(2) 

173014 5(a)(2) 

173296 5(a)(2); 5(e) 

173310 5(a)(2); 5(e) 

173343 5(a)(2); 5(e) 

173489 5(a)(2) 

173649 5(a)(2) 

173876 5(a)(2) 

174131 5(a)(2) 

174324 5(a)(2); 5(e) 

174368 5(a)(2) 

174722 5(a)(2) 

175032 5(a)(2); 5(e) 

176091 5(a)(2) 

176364 5(e) 

176853 5(e) 

176875 5(a)(2) 

176911 5(a)(2) 

176922 5(a)(2); 5(e) 

178097 5(a)(2) 

178495 5(a)(2); 5(e) 

179090 5(a)(2); 5(e) 

179329 5(a)(2) 

187929 5(a)(2) 

190762 5(a)(2); 5(e) 

211871 5(a)(2) 

230898 5(a)(2) 

230967 5(a)(2) 

231255 5(e) 

231664 5(a)(2) 

231722 5(a)(2) 

232112 5(a)(2) 

232258 5(a)(2) 

232532 5(a)(2) 

232918 5(e) 

233864 5(e) 

234152 5(e) 

234210 5(a)(2) 

Accession 

Number

TSCA 

Action

234243 5(a)(2) 

234378 5(a)(2) 

234469 5(e) 

234572 5(a)(2) 

234798 5(a)(2) 

234878 5(a)(2) 

235586 5(e) 

235724 5(e) 

235746 5(a)(2) 

236090 5(a)(2) 

236352 5(a)(2) 

236501 5(a)(2); 5(e) 

236670 5(a)(2); 5(e) 

236807 5(a)(2) 

237026 5(e) 

237071 5(e) 

237786 5(a)(2) 

238085 5(a)(2) 

238267 5(a)(2) 

238916 5(a)(2) 

239555 5(a)(2) 

240110 5(a)(2) 

240212 5(e) 

240245 5(a)(2) 

240392 5(e) 

240643 5(e) 

240881 5(e) 

240983 5(a)(2) 

241146 5(e) 

241340 5(a)(2) 

241919 5(a)(2) 

242036 5(a)(2) 

242207 5(a)(2) 

242218 5(a)(2) 

242412 5(a)(2) 

242467 5(e) 

242650 5(a)(2) 

242763 5(a)(2) 

242901 5(a)(2) 

242956 5(e) 

243017 5(e) 

Accession 

Number

TSCA 

Action

243313 5(a)(2); 5(e) 

243335 5(e) 

243799 5(a)(2) 

244407 5(a)(2) 

244429 5(a)(2) 

244485 5(a)(2) 

244872 5(a)(2) 

245193 5(a)(2) 

245397 5(e) 

245820 5(e) 

245831 5(e) 

245933 5(a)(2) 

246287 5(e) 

246469 5(a)(2) 

246743 5(a)(2) 

247495 5(a)(2) 

247826 5(e) 

248465 5(a)(2) 

248567 5(e) 

248705 5(a)(2) 

249399 5(e) 

249468 5(a)(2) 

249651 5(e) 

249720 5(e) 

250023 5(a)(2) 

250089 5(a)(2) 

250476 5(e) 

250965 5(a)(2) 

251300 5(e) 

251491 5(a)(2) 

251662 5(e) 

251708 5(a)(2) 

252187 5(a)(2) 

252290 5(e) 

253442 5(a)(2) 

253577 5(a)(2) 

253975 5(e) 

254003 5(a)(2) 

254183 5(a)(2) 

254401 5(a)(2) 

254456 5(e) 
Appendix B Chemical Substances that are the Subject of Certain TSCA Actions

B-17

Accession 

Number

TSCA 

Action

254489 5(e) 

254730 5(a)(2) 

254978 5(e) 

255517 5(a)(2) 

255620 5(a)(2) 

255686 5(a)(2) 

256214 5(e) 

256236 5(a)(2); 5(e) 

256394 5(e) 

256634 5(e) 

256645 5(e) 

257002 5(a)(2) 

257171 5(e) 

257455 5(a)(2) 

257853 5(e) 

257922 5(e) 

258049 5(a)(2) 

258094 5(a)(2) 

258174 5(a)(2) 

258356 5(e) 

258981 5(e) 

259188 5(a)(2) 

259213 5(a)(2) 

259360 5(e) 

259382 5(a)(2) 

259622 5(a)(2) 

259702 5(e) 

259780 5(e) 

260276 5(a)(2) 

260561 5(a)(2) 

260696 5(a)(2) 

260721 5(a)(2); 5(e) 

261348 5(a)(2) 

261462 5(e) 

261553 5(a)(2) 

261826 5(e) 

262589 5(e) 

262874 5(a)(2) 

262932 5(a)(2) 

262943 5(a)(2) 

Accession 

Number

TSCA 

Action

273100 5(a)(2) 

273495 5(a)(2) 

273735 5(a)(2) 

274067 5(a)(2) 

274136 5(e) 

274238 5(a)(2) 

274352 5(e) 

274498 5(a)(2) 

274589 5(a)(2) 

274658 5(e) 

274670 5(e) 

274943 5(a)(2) 

275219 5(a)(2) 

275253 5(a)(2) 

275468 5(a)(2) 

275651 5(a)(2); 5(e) 

275708 5(a)(2) 

276314 5(e) 

6507 5(a)(2) 

276530 5(a)(2) 

276632 5(a)(2) 

276698 5(a)(2) 

276825 5(a)(2) 

276836 5(a)(2) 

277055 5(e) 

277293 5(a)(2) 

277339 5(e) 

277737 5(a)(2) 

277895 5(a)(2) 

278105 5(e) 

278138 5(e) 

278616 5(e) 

278627 5(a)(2) 

278638 5(a)(2) 

279084 5(a)(2) 

279108 5(e) 

279506 5(a)(2) 

279744 5(e) 

279755 5(e) 

279960 5(e) 

Accession 

Number

TSCA 

Action

262965 5(a)(2) 

263208 5(e) 

263388 5(a)(2) 

263526 5(e) 

263855 5(a)(2) 

263935 5(a)(2) 

264165 5(e) 

264472 5(a)(2) 

264687 5(e) 

264745 5(e) 

264949 5(e) 

265146 5(e) 

265599 5(e) 

266218 5(e) 

266514 5(e) 

266707 5(e) 

266865 5(e) 

266956 5(a)(2) 

267084 5(e) 

267391 5(a)(2) 

268076 5(e) 

268576 5(a)(2) 

268883 5(e) 

269160 5(a)(2) 

269397 5(a)(2) 

269626 5(a)(2) 

269820 5(e) 

269875 5(a)(2) 

270236 5(a)(2) 

270338 5(a)(2) 

270565 5(a)(2); 5(e) 

270587 5(a)(2) 

270601 5(e) 

271046 5(a)(2) 

271477 5(a)(2) 

271706 5(e) 

271739 5(e) 

271875 5(e) 

272721 5(e) 

272812 5(e) 
Appendix B Chemical Substances that are the Subject of certain TSCA Actions 

B-18

Appendix B

Table B-4. Chemical Substances that are the Subject of a Enforceable Consent Agreement

by CAS Registry Number 

Listed below are the chemical substances that are the subject of an enforceable consent 

agreement adopted under 40 CFR part790 and the Federal Register citations providing public 

notice of such agreements. See 40 CFR 790 and 799.5000 for more details.

CAS 

Registry 

Number Chemical Name Testing FR Publication Date

67–64–1 Acetone Health effects January 23, 1995 

71–55–6 1,1,1-Trichloroethane Health effects August 23, 1989 

78–83–1 Isobutyl alcohol Health effects January 23, 1995 

79–10–7 Acrylic Acid Health effects March 4, 1992 

84–74–2 Di- n -butyl phthalate Environmental effects January 9, 1989 

84–75–3 Di- n -hexyl phthalate Environmental effects; 

Chemical fate 

January 9, 1989 

100–40–3 4-Vinylcyclohexene Health effects; Chemical fate September 23, 1991 

106–91–2 Glycidyl methacrylate Health effects January 26, 1995 

108–10–1 Methyl isobutyl ketone Health effects January 23, 1995 

109–99–9 Tetrahydrofuran Health effects January 23, 1995 

110–82–7 Cyclohexane Health Effects and 

Environmental Releases 

Report 

November 18, 1994 

112–35–6 Triethylene glycol monomethyl 

ether 

Health effects April 3, 1989 

112–50–5 Triethylene glycol monoethyl 

ether 

Health effects April 3, 1989 

117–81–7 Di-2-ethylhexyl phthalate Chemical fate January 9, 1989 

119–06–2 Ditridecyl phthalate Chemical fate January 9, 1989 

123–86–4 N -butyl acetate Health effects January 23, 1995 

131–11–3 Dimethly phthalate Environmental effects January 9, 1989 

141–78–6 Ethyl acetate Health effects January 23, 1995 
Appendix B Chemical Substances that are the Subject of certain TSCA Actions 

B-19

CAS 

Registry 

Number Chemical Name Testing FR Publication Date

141–79–7 Mesityl oxide Health effects September 5, 1991 

143–22–6 Triethylene glycol monobutyl 

ether 

Health effects January 9, 1989 

143–33–9 Sodium cyanide Chemical fate; Terrestrial 

effects 

December 17, 1991 

556–67–2 Octamethylcyclo-tetrasiloxane Chemical fate; Environmental 

effects 

January 10, 1989 

628–63–7 N -amyl acetate Health effects January 23, 1995 

872–50–4 N- methylpyrrolidone Health effects November 23, 1993 

994–05–8 Tertiary-amyl methyl ether Health effects March 21, 1995 

1634–04–4 Methyl tert-butyl ether Health effects March 31, 1988 

2461–18–9 Lauryl glycidyl ether1 Health effects June 11, 1996 

3618–72–2 C.I. Disperse Blue 79:1 

Acetamide, N -[5-[bis[2-

(acetyloxy) ethyl]amino]-2-[(2-

bromo-4, 6-dinitrophenyl) azo]-4-

methoxyphenyl]- 

Health effects; Environmental 

effects 

November 21, 1989 

3648–20–2 Diundecyl phthalate Environmental effects January 9, 1989 

4170–30–3 Crotonaldehyde Environmental effects; 

Chemical fate 

November 9, 1989 

4675–54–3 Bisphenol A diglycidyl ether Health effects 

Exposure evaluation 

August 1, 1994 

15965–99–8 Hexadecyl glycidyl ether1 Health effects June 11, 1996 

16245–97–9 n -Octadecyl glycidyl ether1 Health effects June 11, 1996 

26761–40–0 Diisodecyl phthalate Chemical fate January 9, 1989 

38954–75–5 Tetradecyl glycidyl ether1 Health effects June 11, 1996 

68081–84–5 Alkyl (C10-C16) glycidyl ether1 Health effects June 11, 1996 

68515–47–9 Ditridecyl phthalate (mixed 

isomers) 

Chemical fate January 9, 1989 
Appendix B Chemical Substances that are the Subject of certain TSCA Actions 

B-20

CAS Registry

Number Chemical Name Testing FR Publication Date

68515–49–1 Diisodecyl phthalate (mixed 

isomers) 

Chemical fate January 9, 1989 

68515–50–4 Dihexyl phthalate (mixed 

isomers) 

Environmental effects; 

Chemical fate 

January 9, 1989 

68609–97–2 Alkyl (C12-C14) glycidyl ether1 Health effects June 11, 1996 

84852–15–3 4-Nonylphenol, branched Environmental effects; 

Chemical fate 

February 21, 1990 

120547-52-6 Alkyl (C12-C13) glycidyl ether Health effects March 22, 1996 

142844–00–6 Refractory ceramic fibers Exposure monitoring May 14, 1993 

1

As represented by alkyl (C12-C13) glycidyl ether (CAS No. 120547–52–6) 
Appendix C Partially Exempt Chemicals 

C-1

Appendix C 

Chemical Substances Partially Exempt from Reporting in 2012

 Chemical substances that are partially exempt from reporting requirements under the 

CDR rule in 2012 are listed in 40 CFR 711.6(b)(1) and 711.6(b)(2); these lists are included 

below. Note that inorganic chemical substances are no longer partially exempt from reporting 

requirements in 2012, so submitters should report complete information on inorganic chemical 

substances, including processing and use information. 

 IMPORTANT: This document is intended to be an information resource. While EPA has 

tried to provide an accurate list of chemical substances, the list may contain errors and 

omissions. This list should not be relied upon in lieu of the Code of Federal Rules. In the event 

of a conflict between this list and the Code of Federal Rules, this list will not be considered 

controlling. 

Partially Exempt Chemical Substances Termed “Petroleum Process Streams” Under 40 

CFR 711.6(b)(1)

CAS Registry Number Product

8002–05–9 Petroleum 

8002–74–2 Paraffin waxes and hydrocarbon waxes 

8006–20–0 Fuel gases, low and medium B.T.U. 

8008–20–6 Kerosine (petroleum) 

8009–03–8 Petrolatum 

8012–95–1 Paraffin oils 

8030–30–6 Naphtha 

8032–32–4 Ligroine 

8042–47–5 White mineral oil (petroleum) 

8052–41–3 Stoddard solvent 

8052–42–4 Asphalt 

61789-60-4 Pitch 

63231–60–7 Paraffin waxes and hydrocarbon waxes, microcryst. 

64741–41–9 Naphtha (petroleum), heavy straight-run 

64741–42–0 Naphtha (petroleum), full-range straight-run 

64741–43–1 Gas oils (petroleum), straight-run 

64741–44–2 Distillates (petroleum), straight-run middle 

64741–45–3 Residues (petroleum), atm. Tower 

64741–46–4 Naphtha (petroleum), light straight-run 

64741–47–5 Natural gas condensates (petroleum) 

64741–49–7 Condensates (petroleum), vacuum tower 
Appendix C Partially Exempt Chemicals 

C-2

CAS Registry Number Product

64741–50–0 Distillates (petroleum), light paraffinic 

64741–51–1 Distillates (petroleum), heavy paraffinic 

64741–52–2 Distillates (petroleum), light naphthenic 

64741–53–3 Distillates (petroleum), heavy naphthenic 

64741–54–4 Naphtha (petroleum), heavy catalytic cracked 

64741–55–5 Naphtha (petroleum), light catalytic cracked 

64741–56–6 Residues (petroleum), vacuum 

64741–57–7 Gas oils (petroleum), heavy vacuum 

64741–58–8 Gas oils (petroleum), light vacuum 

64741–59–9 Distillates (petroleum), light catalytic cracked 

64741–60–2 Distillates (petroleum), intermediate catalytic cracked 

64741–61–3 Distillates (petroleum), heavy catalytic cracked 

64741–62–4 Clarified oils (petroleum), catalytic cracked 

64741–63–5 Naphtha (petroleum), light catalytic reformed 

64741–64–6 Naphtha (petroleum), full-range alkylate 

64741–65–7 Naphtha (petroleum), heavy alkylate 

64741–66–8 Naphtha (petroleum), light alkylate 

64741–67–9 Residues (petroleum), catalytic reformer fractionator 

64741–68–0 Naphtha (petroleum), heavy catalytic reformed 

64741–69–1 Naphtha (petroleum), light hydrocracked 

64741–70–4 Naphtha (petroleum), isomerization 

64741–73–7 Distillates (petroleum), alkylate 

64741–74–8 Naphtha (petroleum), light thermal cracked 

64741–75–9 Residues (petroleum), hydrocracked 

64741–76–0 Distillates (petroleum), heavy hydrocracked 

64741–77–1 Distillates (petroleum), light hydrocracked 

64741–78–2 Naphtha (petroleum), heavy hydrocracked 

64741–79–3 Coke (petroleum) 

64741–80–6 Residues (petroleum), thermal cracked 

64741–81–7 Distillates (petroleum), heavy thermal cracked 

64741–82–8 Distillates (petroleum), light thermal cracked 

64741–83–9 Naphtha (petroleum), heavy thermal cracked 

64741–84–0 Naphtha (petroleum), solvent-refined light 

64741–85–1 Raffinates (petroleum), sorption process 

64741–86–2 Distillates (petroleum), sweetened middle 

64741–87–3 Naphtha (petroleum), sweetened 

64741–88–4 Distillates (petroleum), solvent-refined heavy paraffinic 
Appendix C Partially Exempt Chemicals 

C-3

CAS Registry Number Product

64741–89–5 Distillates (petroleum), solvent-refined light paraffinic 

64741–90–8 Gas oils (petroleum), solvent-refined 

64741–91–9 Distillates (petroleum), solvent-refined middle 

64741–92–0 Naphtha (petroleum), solvent-refined heavy 

64741–95–3 Residual oils (petroleum), solvent deasphalted 

64741–96–4 Distillates (petroleum), solvent-refined heavy naphthenic 

64741–97–5 Distillates (petroleum), solvent-refined light naphthenic 

64741–98–6 Extracts (petroleum), heavy naphtha solvent 

64741–99–7 Extracts (petroleum), light naphtha solvent 

64742–01–4 Residual oils (petroleum), solvent-refined 

64742–03–6 Extracts (petroleum), light naphthenic distillate solvent 

64742–04–7 Extracts (petroleum), heavy paraffinic distillate solvent 

64742–05–8 Extracts (petroleum), light paraffinic distillate solvent 

64742–06–9 Extracts (petroleum), middle distillate solvent 

64742–07–0 Raffinates (petroleum), residual oil decarbonization 

64742–08–1 Raffinates (petroleum), heavy naphthenic distillate decarbonization 

64742–09–2 Raffinates (petroleum), heavy paraffinic distillate decarbonization 

64742–10–5 Extracts (petroleum), residual oil solvent 

64742–11–6 Extracts (petroleum), heavy naphthenic distillate solvent 

64742–12–7 Gas oils (petroleum), acid-treated 

64742–13–8 Distillates (petroleum), acid-treated middle 

64742–14–9 Distillates (petroleum), acid-treated light 

64742–15–0 Naphtha (petroleum), acid-treated 

64742–16–1 Petroleum resins 

64742–18–3 Distillates (petroleum), acid-treated heavy naphthenic 

64742–19–4 Distillates (petroleum), acid-treated light naphthenic 

64742–20–7 Distillates (petroleum), acid-treated heavy paraffinic 

64742–21–8 Distillates (petroleum), acid-treated light paraffinic 

64742–22–9 Naphtha (petroleum), chemically neutralized heavy 

64742–23–0 Naphtha (petroleum), chemically neutralized light 

64742–24–1 Sludges (petroleum), acid 

64742–25–2 Lubricating oils (petroleum), acid-treated spent 

64742–26–3 Hydrocarbon waxes (petroleum), acid-treated 

64742–27–4 Distillates (petroleum), chemically neutralized heavy paraffinic 

64742–28–5 Distillates (petroleum), chemically neutralized light paraffinic 

64742–29–6 Gas oils (petroleum), chemically neutralized 

64742–30–9 Distillates (petroleum), chemically neutralized middle 
Appendix C Partially Exempt Chemicals 

C-4

CAS Registry Number Product

64742–31–0 Distillates (petroleum), chemically neutralized light 

64742–32–1 Lubricating oils (petroleum), chemically neutralized spent 

64742–33–2 Hydrocarbon waxes (petroleum), chemically neutralized 

64742–34–3 Distillates (petroleum), chemically neutralized heavy naphthenic 

64742–35–4 Distillates (petroleum), chemically neutralized light naphthenic 

64742–36–5 Distillates (petroleum), clay-treated heavy paraffinic 

64742–37–6 Distillates (petroleum), clay-treated light paraffinic 

64742–38–7 Distillates (petroleum), clay-treated middle 

64742–39–8 Neutralizing agents (petroleum), spent sodium carbonate 

64742–40–1 Neutralizing agents (petroleum), spent sodium hydroxide 

64742–41–2 Residual oils (petroleum), clay-treated 

64742–42–3 Hydrocarbon waxes (petroleum), clay-treated microcryst. 

64742–43–4 Paraffin waxes (petroleum), clay-treated 

64742–44–5 Distillates (petroleum), clay-treated heavy naphthenic 

64742–45–6 Distillates (petroleum), clay-treated light naphthenic 

64742–46–7 Distillates (petroleum), hydrotreated middle 

64742–47–8 Distillates (petroleum), hydrotreated light 

64742–48–9 Naphtha (petroleum), hydrotreated heavy 

64742–49–0 Naphtha (petroleum), hydrotreated light 

64742–50–3 Lubricating oils (petroleum), clay-treated spent 

64742–51–4 Paraffin waxes (petroleum), hydrotreated 

64742–52–5 Distillates (petroleum), hydrotreated heavy naphthenic 

64742–53–6 Distillates (petroleum), hydrotreated light naphthenic 

64742–54–7 Distillates (petroleum), hydrotreated heavy paraffinic 

64742–55–8 Distillates (petroleum), hydrotreated light paraffinic 

64742–56–9 Distillates (petroleum), solvent-dewaxed light paraffinic 

64742–57–0 Residual oils (petroleum), hydrotreated 

64742–58–1 Lubricating oils (petroleum), hydrotreated spent 

64742–59–2 Gas oils (petroleum), hydrotreated vacuum 

64742–60–5 Hydrocarbon waxes (petroleum), hydrotreated microcryst. 

64742–61–6 Slack wax (petroleum) 

64742–62–7 Residual oils (petroleum), solvent-dewaxed 

64742–63–8 Distillates (petroleum), solvent-dewaxed heavy naphthenic 

64742–64–9 Distillates (petroleum), solvent-dewaxed light naphthenic 

64742–65–0 Distillates (petroleum), solvent-dewaxed heavy paraffinic 

64742–67–2 Foots oil (petroleum) 

64742–68–3 Naphthenic oils (petroleum), catalytic dewaxed heavy 
Appendix C Partially Exempt Chemicals 

C-5

CAS Registry Number Product

64742–69–4 Naphthenic oils (petroleum), catalytic dewaxed light 

64742–70–7 Paraffin oils (petroleum), catalytic dewaxed heavy 

64742–71–8 Paraffin oils (petroleum), catalytic dewaxed light 

64742–72–9 Distillates (petroleum), catalytic dewaxed middle 

64742–73–0 Naphtha (petroleum), hydrodesulfurized light 

64742–75–2 Naphthenic oils (petroleum), complex dewaxed heavy 

64742–76–3 Naphthenic oils (petroleum), complex dewaxed light 

64742–78–5 Residues (petroleum), hydrodesulfurized atmospheric tower 

64742–79–6 Gas oils (petroleum), hydrodesulfurized 

64742–80–9 Distillates (petroleum), hydrodesulfurized middle 

64742–81–0 Kerosine (petroleum), hydrodesulfurized 

64742–82–1 Naphtha (petroleum), hydrodesulfurized heavy 

64742–83–2 Naphtha (petroleum), light steam-cracked 

64742–85–4 Residues (petroleum), hydrodesulfurized vacuum 

64742–86–5 Gas oils (petroleum), hydrodesulfurized heavy vacuum 

64742–87–6 Gas oils (petroleum), hydrodesulfurized light vacuum 

64742–88–7 Solvent naphtha (petroleum), medium aliph. 

64742–89–8 Solvent naphtha (petroleum), light aliph. 

64742–90–1 Residues (petroleum), steam-cracked 

64742–91–2 Distillates (petroleum), steam-cracked 

64742–92–3 Petroleum resins, oxidized 

64742–93–4 Asphalt, oxidized 

64742–94–5 Solvent naphtha (petroleum), heavy arom. 

64742–95–6 Solvent naphtha (petroleum), light arom. 

64742–96–7 Solvent naphtha (petroleum), heavy aliph. 

64742–97–8 Distillates (petroleum), oxidized heavy 

64742–98–9 Distillates (petroleum), oxidized light 

64742–99–0 Residual oils (petroleum), oxidized 

64743–00–6 Hydrocarbon waxes (petroleum), oxidized 

64743–01–7 Petrolatum (petroleum), oxidized 

64743–02–8 Alkenes, C>10 .alpha.- 

64743–03–9 Phenols (petroleum) 

64743–04–0 Coke (petroleum), recovery 

64743–05–1 Coke (petroleum), calcined 

64743–06–2 Extracts (petroleum), gas oil solvent 

64743–07–3 Sludges (petroleum), chemically neutralized 

64754–89–8 Naphthenic acids (petroleum), crude 
Appendix C Partially Exempt Chemicals 

C-6

CAS Registry Number Product

64771–71–7 Paraffins (petroleum), normal C>10 

64771–72–8 Paraffins (petroleum), normal C5-20 

67254-74-4 Naphthenic oils 

67674–12–8 Residual oils (petroleum), oxidized, compounds with triethanolamine 

67674–13–9 Petrolatum (petroleum), oxidized, partially deacidified 

67674–15–1 Petrolatum (petroleum), oxidized, Me ester 

67674–16–2 Hydrocarbon waxes (petroleum), oxidized, partially deacidified 

67674–17–3 Distillates (petroleum), oxidized light, compounds with triethanolamine 

67674–18–4 Distillates (petroleum), oxidized light, Bu esters 

67891–79–6 Distillates (petroleum), heavy arom. 

67891–80–9 Distillates (petroleum), light arom. 

67891-81-0 Distillates (petroleum), oxidized light, potassium salts 

67891–82–1 Hydrocarbon waxes (petroleum), oxidized, compounds with ethanolamine 

67891–83–2 Hydrocarbon waxes (petroleum), oxidized, compounds with isopropanolamine 

67891–85–4 Hydrocarbon waxes (petroleum), oxidized, compounds with triisopropanolamine 

67891-86-5 Hydrocarbon waxes (petroleum), oxidized, compounds with diisopropanolamine 

68131–05–5 Hydrocarbon oils, process blends 

68131–49–7 Aromatic hydrocarbons, C6-10, acid-treated, neutralized 

68131–75–9 Gases (petroleum), C3-4 

68153–22–0 Paraffin waxes and Hydrocarbon waxes, oxidized 

68187–57–5 Pitch, coal tar-petroleum 

68187–58–6 Pitch, petroleum, arom. 

68187–60–0 Hydrocarbons, C4, ethane-propane-cracked 

68307–98–2 Tail gas (petroleum), catalytic cracked distillate and catalytic cracked naphtha fractionation 

absorber 

68307–99–3 Tail gas (petroleum), catalytic polymn. naphtha fractionation stabilizer 

68308–00–9 Tail gas (petroleum), catalytic reformed naphtha fractionation stabilizer, hydrogen sulfidefree 

68308–01–0 Tail gas (petroleum), cracked distillate hydrotreater stripper 

68308–02–1 Tail gas (petroleum), distn., hydrogen sulfide-free 

68308–03–2 Tail gas (petroleum), gas oil catalytic cracking absorber 

68308–04–3 Tail gas (petroleum), gas recovery plant 

68308–05–4 Tail gas (petroleum), gas recovery plant deethanizer 

68308–06–5 Tail gas (petroleum), hydrodesulfurized distillate and hydrodesulfurized naphtha fractionator, 

acid-free 

68308–07–6 Tail gas (petroleum), hydrodesulfurized vacuum gas oil stripper, hydrogen sulfide-free 

68308–08–7 Tail gas (petroleum), isomerized naphtha fractionation stabilizer 

68308–09–8 Tail gas (petroleum), light straight-run naphtha stabilizer, hydrogen sulfide-free 
Appendix C Partially Exempt Chemicals 

C-7

CAS Registry Number Product

68308–10–1 Tail gas (petroleum), straight-run distillate hydrodesulfurizer, hydrogen sulfide-free 

68308–11–2 Tail gas (petroleum), propane-propylene alkylation feed prep deethanizer 

68308–12–3 Tail gas (petroleum), vacuum gas oil hydrodesulfurizer, hydrogen sulfide-free 

68308–27–0 Fuel gases, refinery 

68333–22–2 Residues (petroleum), atmospheric 

68333–23–3 Naphtha (petroleum), heavy coker 

68333–24–4 Hydrocarbon waxes (petroleum), oxidized, compds. with triethanolamine 

68333–25–5 Distillates (petroleum), hydrodesulfurized light catalytic cracked 

68333–26–6 Clarified oils (petroleum), hydrodesulfurized catalytic cracked 

68333–27–7 Distillates (petroleum), hydrodesulfurized intermediate catalytic cracked 

68333–28–8 Distillates (petroleum), hydrodesulfurized heavy catalytic cracked 

68333–29–9 Residues (petroleum), light naphtha solvent extracts 

68333–30–2 Distillates (petroleum), oxidized heavy thermal cracked 

68333–81–3 Alkanes, C4-12 

68333–88–0 Aromatic hydrocarbons, C9-17 

68334–30–5 Fuels, diesel 

68409–99–4 Gases (petroleum), catalytic cracked overheads 

68410–00–4 Distillates (petroleum), crude oil 

68410–05–9 Distillates (petroleum), straight-run light 

68410–12–8 Distillates (petroleum), steam-cracked, C5-10 fraction, high-temp. stripping products with 

light steamcracked petroleum naphtha C5 fraction polymers 

68410–71–9 Raffinates (petroleum), catalytic reformer ethylene glycol-water countercurrent exts. 

68410–96–8 Distillates (petroleum), hydrotreated middle, intermediate boiling 

68410–97–9 Distillates (petroleum), light distillate hydrotreating process, low-boiling 

68410–98–0 Distillates (petroleum), hydrotreated heavy naphtha, deisohexanizer overheads 

68411–00–7 Alkenes, C>8 

68425–29–6 Distillates (petroleum), naphtha-raffinate pyrolyzate-derived, gasoline-blending 

68425–33–2 Petrolatum (petroleum), oxidized, barium salt 

68425–34–3 Petrolatum (petroleum), oxidized, calcium salt 

68425–35–4 Raffinates (petroleum), reformer, Lurgi unit-sepd. 

68425–39–8 Alkenes, C>10 .alpha.-, oxidized 

68441–09–8 Hydrocarbon waxes (petroleum), clay-treated microcryst., contg. polyethylene, oxidized 

68459–78–9 Alkenes, C18-24 .alpha.-, dimers 

68475–57–0 Alkanes, C1-2 

68475–58–1 Alkanes, C2-3 

68475–59–2 Alkanes, C3-4 

68475–60–5 Alkanes, C4-5 
Appendix C Partially Exempt Chemicals 

C-8

CAS Registry Number Product

68475–61–6 Alkenes, C5, naphtha-raffinate pyrolyzate-derived 

68475–70–7 Aromatic hydrocarbons, C6-8, naphtha-raffinate pyrolyzate-derived 

68475–79–6 Distillates (petroleum), catalytic reformed depentanizer 

68475–80–9 Distillates (petroleum), light steam-cracked naphtha 

68476–26–6 Fuel gases 

68476-27-7 Fuel gases, amine system residues 

68476–28–8 Fuel gases, C6-8 catalytic reformer 

68476–29–9 Fuel gases, crude oil distillates 

68476–30–2 Fuel oil, no. 2 

68476–31–3 Fuel oil, no. 4 

68476–32–4 Fuel oil, residues-straight-run gas oils, high-sulfur 

68476–33–5 Fuel oil, residual 

68476–34–6 Fuels, diesel, no. 2 

68476–39–1 Hydrocarbons, aliph.-arom.-C4-5-olefinic 

68476–40–4 Hydrocarbons, C3-4 

68476–42–6 Hydrocarbons, C4-5 

68476–43–7 Hydrocarbons, C4-6, C5-rich 

68476–44–8 Hydrocarbons, C>3 

68476–45–9 Hydrocarbons, C5-10 arom. conc., ethylene-manuf.-by-product 

68476–46–0 Hydrocarbons, C3-11, catalytic cracker distillates 

68476–47–1 Hydrocarbons, C2-6, C6-8 catalytic reformer 

68476–49–3 Hydrocarbons, C2-4, C3-rich 

68476–50–6 Hydrocarbons, C>5, C5-6-rich 

68476–52–8 Hydrocarbons, C4, ethylene-manuf.-by-product 

68476–53–9 Hydrocarbons, C>20, petroleum wastes 

68476–54–0 Hydrocarbons, C3-5, polymn. unit feed 

68476–55–1 Hydrocarbons, C5-rich 

68476–56–2 Hydrocarbons, cyclic C5 and C6 

68476–77–7 Lubricating oils, refined used 

68476–81–3 Paraffin waxes and Hydrocarbon waxes, oxidized, calcium salts 

68476–84–6 Petroleum products, gases, inorg. 

68476–85–7 Petroleum gases, liquefied 

68476–86–8 Petroleum gases, liquefied, sweetened 

68477–25–8 Waste gases, vent gas, C1-6 

68477–26–9 Wastes, petroleum 

68477–29–2 Distillates (petroleum), catalytic reformer fractionator residue, high-boiling 

68477–30–5 Distillates (petroleum), catalytic reformer fractionator residue, intermediate-boiling 
Appendix C Partially Exempt Chemicals 

C-9

CAS Registry Number Product

68477–31–6 Distillates (petroleum), catalytic reformer fractionator residue, low-boiling 

68477–33–8 Gases (petroleum), C3-4, isobutane-rich 

68477–34–9 Distillates (petroleum), C3-5, 2-methyl-2-butene-rich 

68477–35–0 Distillates (petroleum), C3-6, piperylene-rich 

68477–36–1 Distillates (petroleum), cracked steam-cracked, C5-18 fraction 

68477–38–3 Distillates (petroleum), cracked steam-cracked petroleum distillates 

68477–39–4 Distillates (petroleum), cracked stripped steam-cracked petroleum distillates, C8-10 fraction 

68477–40–7 Distillates (petroleum), cracked stripped steam-cracked petroleum distillates, C10-12 fraction

68477–41–8 Gases (petroleum), extractive, C3-5, butadiene-butene-rich 

68477–42–9 Gases (petroleum), extractive, C3-5, butene-isobutylene-rich 

68477–44–1 Distillates (petroleum), heavy naphthenic, mixed with steam-cracked petroleum distillates 

C5-12 fraction 

68477–47–4 Distillates (petroleum), mixed heavy olefin vacuum, heart-cut 

68477–48–5 Distillates (petroleum), mixed heavy olefin vacuum, low-boiling 

68477–53–2 Distillates (petroleum), steam-cracked, C5-12 fraction 

68477–54–3 Distillates (petroleum), steam-cracked, C8-12 fraction 

68477–55–4 Distillates (petroleum), steam-cracked, C5-10 fraction, mixed with light steam-cracked 

petroleum naphtha C5 fraction 

68477–58–7 Distillates (petroleum), steam-cracked petroleum distillates, C5-18 fraction 

68477–59–8 Distillates (petroleum), steam-cracked petroleum distillates cyclopentadiene conc. 

68477–60–1 Extracts (petroleum), cold-acid 

68477–61–2 Extracts (petroleum), cold-acid, C4-6 

68477–62–3 Extracts (petroleum), cold-acid, C3-5, butene-rich 

68477–63–4 Extracts (petroleum), reformer recycle 

68477–64–5 Gases (petroleum), acetylene manuf. off 

68477–65–6 Gases (petroleum), amine system feed 

68477–66–7 Gases (petroleum), benzene unit hydrodesulfurizer off 

68477–67–8 Gases (petroleum), benzene unit recycle, hydrogen-rich 

68477–68–9 Gases (petroleum), blend oil, hydrogen-nitrogen-rich 

68477–69–0 Gases (petroleum), butane splitter overheads 

68477–70–3 Gases (petroleum), C2-3 

68477–71–4 Gases (petroleum), catalytic-cracked gas oil depropanizer bottoms, C4-rich acid-free 

68477–72–5 Gases (petroleum), catalytic-cracked naphtha debutanizer bottoms, C3-5-rich 

68477–73–6 Gases (petroleum), catalytic cracked naphtha depropanizer overhead, C3-rich acid-free 

68477–74–7 Gases (petroleum), catalytic cracker 

68477–75–8 Gases (petroleum), catalytic cracker, C1-5-rich 

68477–76–9 Gases (petroleum), catalytic polymd. naphtha stabilizer overhead, C2-4-rich 

68477–77–0 Gases (petroleum), catalytic reformed naphtha stripper overheads 
Appendix C Partially Exempt Chemicals 

C-10

CAS Registry Number Product

68477–79–2 Gases (petroleum), catalytic reformer, C1-4-rich 

68477–80–5 Gases (petroleum), C6-8 catalytic reformer recycle 

68477–81–6 Gases (petroleum), C6-8 catalytic reformer 

68477–82–7 Gases (petroleum), C6-8 catalytic reformer recycle, hydrogen-rich 

68477–83–8 Gases (petroleum), C3-5 olefinic-paraffinic alkylation feed 

68477–84–9 Gases (petroleum), C2-return stream 

68477–85–0 Gases (petroleum), C4-rich 

68477–86–1 Gases (petroleum), deethanizer overheads 

68477–87–2 Gases (petroleum), deisobutanizer tower overheads 

68477–88–3 Gases (petroleum), deethanizer overheads, C3-rich 

68477–89–4 Distillates (petroleum), depentanizer overheads 

68477–90–7 Gases (petroleum), depropanizer dry, propene-rich 

68477–91–8 Gases (petroleum), depropanizer overheads 

68477–92–9 Gases (petroleum), dry sour, gas-concn.-unit-off 

68477–93–0 Gases (petroleum), gas concn. reabsorber distn. 

68477–94–1 Gases (petroleum), gas recovery plant depropanizer overheads 

68477–95–2 Gases (petroleum), Girbatol unit feed 

68477–96–3 Gases (petroleum), hydrogen absorber off 

68477–97–4 Gases (petroleum), hydrogen-rich 

68477–98–5 Gases (petroleum), hydrotreater blend oil recycle, hydrogen-nitrogen rich 

68477–99–6 Gases (petroleum), isomerized naphtha fractionater, C4-rich, hydrogen sulfide-free 

68478–00–2 Gases (petroleum), recycle, hydrogen-rich 

68478–01–3 Gases (petroleum), reformer make-up, hydrogen-rich 

68478–02–4 Gases (petroleum), reforming hydrotreater 

68478–03–5 Gases (petroleum), reforming hydrotreater, hydrogen-methane-rich 

68478–04–6 Gases (petroleum), reforming hydrotreater make-up, hydrogen-rich 

68478–05–7 Gases (petroleum), thermal cracking distn. 

68478–08–0 Naphtha (petroleum), light steam-cracked, C5-fraction, oligomer conc. 

68478–10–4 Naphtha (petroleum), light steam-cracked, debenzenized, C8-16-cycloalkadiene conc. 

68478–12–6 Residues (petroleum), butane splitter bottoms 

68478–13–7 Residues (petroleum), catalytic reformer fractionator residue distn. 

68478–15–9 Residues (petroleum), C6-8 catalytic reformer 

68478–16–0 Residual oils (petroleum), deisobutanizer tower 

68478–17–1 Residues (petroleum), heavy coker gas oil and vacuum gas oil 

68478–18–2 Residues (petroleum), heavy olefin vacuum 

68478–19–3 Residual oils (petroleum), propene purifn. splitter 
Appendix C Partially Exempt Chemicals 

C-11

CAS Registry Number Product

68478–20–6 Residues (petroleum), steam-cracked petroleum distillates cyclopentadiene conc., C4-

cyclopentadienefree 

68478–22–8 Tail gas (petroleum), catalytic cracked naphtha stabilization absorber 

68478–24–0 Tail gas (petroleum), catalytic cracker, catalytic reformer and hydrodesulfurizer combined 

fractionater 

68478–25–1 Tail gas (petroleum), catalytic cracker refractionation absorber 

68478–26–2 Tail gas (petroleum), catalytic reformed naphtha fractionation stabilizer 

68478–27–3 Tail gas (petroleum), catalytic reformed naphtha separator 

68478–28–4 Tail gas (petroleum), catalytic reformed naphtha stabilizer 

68478–29–5 Tail gas (petroleum), cracked distillate hydrotreater separator 

68478–30–8 Tail gas (petroleum), hydrodesulfurized straight-run naphtha separator 

68478-31-9 Tail gas (petroleum), isomerized naphtha fractionates, hydrogen sulfide-free 

68478–32–0 Tail gas (petroleum), saturate gas plant mixed stream, C4-rich 

68478–33–1 Tail gas (petroleum), saturate gas recovery plant, C1-2-rich 

68478–34–2 Tail gas (petroleum), vacuum residues thermal cracker 

68512–61–8 Residues (petroleum), heavy coker and light vacuum 

68512–62–9 Residues (petroleum), light vacuum 

68512–78–7 Solvent naphtha (petroleum), light arom., hydrotreated 

68512–91–4 Hydrocarbons, C3-4-rich, petroleum distillates 

68513–02–0 Naphtha (petroleum), full-range coker 

68513–03–1 Naphtha (petroleum), light catalytic reformed, aromatic-free 

68513–11–1 Fuel gases, hydrotreater fractionation, scrubbed 

68513–12–2 Fuel gases, saturate gas unit fractionater-absorber overheads 

68513–13–3 Fuel gases, thermal cracked catalytic cracking residue 

68513–14–4 Gases (petroleum), catalytic reformed straight-run naphtha stabilizer overheads 

68513–15–5 Gases (petroleum), full-range straight-run naphtha dehexanizer off 

68513–16–6 Gases (petroleum), hydrocracking depropanizer off, hydrocarbon-rich 

68513–17–7 Gases (petroleum), light straight-run naphtha stabilizer off 

68513–18–8 Gases (petroleum), reformer effluent high-pressure flash drum off 

68513–19–9 Gases (petroleum), reformer effluent low-pressure flash drum off 

68513–62–2 Disulfides, C5-12-alkyl 

68513–63–3 Distillates (petroleum), catalytic reformed straight-run naphtha overheads 

68513–65–5 Butane, branched and linear 

68513–66–6 Residues (petroleum), alkylation splitter, C4-rich 

68513–67–7 Residues (petroleum), cyclooctadiene bottoms 

68513–68–8 Residues (petroleum), deethanizer tower 

68513–69–9 Residues (petroleum), steam-cracked light 

68513–74–6 Waste gases, ethylene oxide absorber-reactor 
Appendix C Partially Exempt Chemicals 

C-12

CAS Registry Number Product

68514–15–8 Gasoline, vapor-recovery 

68514–29–4 Hydrocarbons, amylene feed debutanizer overheads nonextractable raffinates 

68514–31–8 Hydrocarbons, C1-4 

68514–32–9 Hydrocarbons, C10 and C12, olefin-rich 

68514–33–0 Hydrocarbons, C12 and C14, olefin-rich 

68514–34–1 Hydrocarbons, C9-14, ethylene-manuf.-by-product 

68514–35–2 Hydrocarbons, C14-30, olefin-rich 

68514–36–3 Hydrocarbons, C1-4, sweetened 

68514–37–4 Hydrocarbons, C4-5-unsatd. 

68514–38–5 Hydrocarbons, C4-10-unsatd. 

68514-39-6 Naphtha (petroleum), light steam-cracked, isoprene-rich 

68514–79–4 Petroleum products, hydrofiner-powerformer reformates 

68515–25–3 Benzene, C1-9-alkyl derivs. 

68515–26–4 Benzene, di-C12-14-alkyl derivs. 

68515–27–5 Benzene, di-C10-14-alkyl derivs., fractionation overheads, heavy ends 

68515–28–6 Benzene, di-C10-14-alkyl derivs., fractionation overheads, light ends 

68515–29–7 Benzene, di-C10-14-alkyl derivs., fractionation overheads, middle cut 

68515–30–0 Benzene, mono-C20-48-alkyl derivs. 

68515–32–2 Benzene, mono-C12-14-alkyl derivs., fractionation bottoms 

68515–33–3 Benzene, mono-C10-12-alkyl derivs., fractionation bottoms, heavy ends 

68515–34–4 Benzene, mono-C12-14-alkyl derivs., fractionation bottoms, heavy ends 

68515–35–5 Benzene, mono-C10-12-alkyl derivs., fractionation bottoms, light ends 

68515–36–6 Benzene, mono-C12-14-alkyl derivs., fractionation bottoms, light ends 

68516–20–1 Naphtha (petroleum), steam-cracked middle arom. 

68526–52–3 Alkenes, C6 

68526–53–4 Alkenes, C6-8, C7-rich 

68526–54–5 Alkenes, C7-9, C8-rich 

68526–55–6 Alkenes, C8-10, C9-rich 

68526–56–7 Alkenes, C9-11, C10-rich 

68526–57–8 Alkenes, C10-12, C11-rich 

68526–58–9 Alkenes, C11-13, C12-rich 

68526–77–2 Aromatic hydrocarbons, ethane cracking scrubber effluent and flare drum 

68526–99–8 Alkenes, C6-9 .alpha.- 

68527–00–4 Alkenes, C8-9 .alpha.- 

68527–11–7 Alkenes, C5 

68527–13–9 Gases (petroleum), acid, ethanolamine scrubber 

68527–14–0 Gases (petroleum), methane-rich off 
Appendix C Partially Exempt Chemicals 

C-13

CAS Registry Number Product

68527–15–1 Gases (petroleum), oil refinery gas distn. off 

68527–16–2 Hydrocarbons, C1-3 

68527–18–4 Gas oils (petroleum), steam-cracked 

68527–19–5 Hydrocarbons, C1-4, debutanizer fraction 

68527–21–9 Naphtha (petroleum), clay-treated full-range straight-run 

68527–22–0 Naphtha (petroleum), clay-treated light straight-run 

68527–23–1 Naphtha (petroleum), light steam-cracked arom. 

68527–26–4 Naphtha (petroleum), light steam-cracked, debenzenized 

68527–27–5 Naphtha (petroleum), full-range alkylate, butane-contg. 

68553–00–4 Fuel oil, no. 6 

68553–14–0 Hydrocarbons, C8-11 

68602–79–9 Distillates (petroleum), benzene unit hydrotreater dipentanizer overheads 

68602–81–3 Distillates, hydrocarbon resin prodn. higher boiling 

68602–82–4 Gases (petroleum), benzene unit hydrotreater depentenizer overheads 

68602–83–5 Gases (petroleum), C1-5, wet 

68602–84–6 Gases (petroleum), secondary absorber off, fluidized catalytic cracker overheads fractionater 

68602–96–0 Distillates (petroleum), oxidized light, strong acid components, compds. with diethanolamine

68602–97–1 Distillates (petroleum), oxidized light, strong acid components, sodium salts 

68602–98–2 Distillates (petroleum), oxidized light, strong acid components 

68602–99–3 Distillates (petroleum), oxidized light, strong acid-free 

68603–00–9 Distillates (petroleum), thermal cracked naphtha and gas oil 

68603–01–0 Distillates (petroleum), thermal cracked naphtha and gas oil, C5-dimer-contg. 

68603–02–1 Distillates (petroleum), thermal cracked naphtha and gas oil, dimerized 

68603–03–2 Distillates (petroleum), thermal cracked naphtha and gas oil, extractive 

68603–08–7 Naphtha (petroleum), arom.-contg. 

68603–09–8 Hydrocarbon waxes (petroleum), oxidized, calcium salts 

68603–10–1 Hydrocarbon waxes (petroleum), oxidized, Me esters, barium salts 

68603–11–2 Hydrocarbon waxes (petroleum), oxidized, Me esters, calcium salts 

68603–12–3 Hydrocarbon waxes (petroleum), oxidized, Me esters, sodium salts 

68603–13–4 Petrolatum (petroleum), oxidized, ester with sorbitol 

68603–14–5 Residual oils (petroleum), oxidized, calcium salts 

68603–31–6 Alkenes, C10, tert-amylene concentrator by-product 

68603–32–7 Alkenes, C15-20 .alpha.-, isomerized 

68606–09–7 Fuel gases, expander off 

68606–10–0 Gasoline, pyrolysis, debutanizer bottoms 

68606–11–1 Gasoline, straight–run, topping-plant 

68606–24–6 Hydrocarbons, C4, butene concentrator by-product 
Appendix C Partially Exempt Chemicals 

C-14

CAS Registry Number Product

68606–25–7 Hydrocarbons, C2-4 

68606–26–8 Hydrocarbons, C3 

68606–27–9 Gases (petroleum), alkylation feed 

68606–28–0 Hydrocarbons, C5 and C10-aliph. and C6-8-arom. 

68606–31–5 Hydrocarbons, C3-5, butadiene purifn. by-product 

68606–34–8 Gases (petroleum), depropanizer bottoms fractionation off 

68606–36–0 Hydrocarbons, C5-unsatd. rich, isoprene purifn. by-product 

68607–11–4 Petroleum products, refinery gases 

68607–30–7 Residues (petroleum), topping plant, low-sulfur 

68608–56–0 Waste gases, from carbon black manuf. 

68647-60–9 Hydrocarbons, C>4 

68647–61–0 Hydrocarbons, C4-5, tert-amylene concentrator by-product 

68647–62–1 Hydrocarbons, C4-5, butene concentrator by-product, sour 

68650–36–2 Aromatic hydrocarbons, C8, o-xylene-lean 

68650–37–3 Paraffin waxes (petroleum), oxidized, sodium salts 

68782–97–8 Distillates (petroleum), hydrofined lubricating-oil 

68782–98–9 Extracts (petroleum), clarified oil solvent, condensed-ring-arom.-contg. 

68782–99–0 Extracts (petroleum), heavy clarified oil solvent, condensed-ring-arom.-contg. 

68783–00–6 Extracts (petroleum), heavy naphthenic distillate solvent, arom. conc. 

68783–01–7 Extracts (petroleum), heavy naphthenic distillate solvent, paraffinic conc. 

68783–02–8 Extracts (petroleum), intermediate clarified oil solvent, condensed-ring-arom.-contg. 

68783–04–0 Extracts (petroleum), solvent-refined heavy paraffinic distillate solvent 

68783–05–1 Gases (petroleum), ammonia-hydrogen sulfide, water-satd. 

68783–06–2 Gases (petroleum), hydrocracking low-pressure separator 

68783–07–3 Gases (petroleum), refinery blend 

68783–08–4 Gas oils (petroleum), heavy atmospheric 

68783–09–5 Naphtha (petroleum), catalytic cracked light distd. 

68783–12–0 Naphtha (petroleum), unsweetened 

68783–13–1 Residues (petroleum), coker scrubber, condensed-ring-arom.-contg. 

68783–15–3 Alkenes, C6-7 .alpha.- 

68783–61–9 Fuel gases, refinery, sweetened 

68783–62–0 Fuel gases, refinery, unsweetened 

68783–64–2 Gases (petroleum), catalytic cracking 

68783–65–3 Gases (petroleum), C2-4, sweetened 

68783–66–4 Naphtha (petroleum), light, sweetened 

68814–47–1 Waste gases, refinery vent 

68814–67–5 Gases (petroleum), refinery 
Appendix C Partially Exempt Chemicals 

C-15

CAS Registry Number Product

68814–89–1 Extracts (petroleum), heavy paraffinic distillates, solvent-deasphalted 

68814–87–9 Distillates (petroleum), full-range straight-run middle 

68814–90–4 Gases (petroleum), platformer products separator off 

68814–91–5 Alkenes, C5-9 .alpha.- 

68855–57–2 Alkenes, C6-12 .alpha.- 

68855–58–3 Alkenes, C10-16 .alpha.- 

68855–59–4 Alkenes, C14-18 .alpha.- 

68855–60–7 Alkenes, C14-20 .alpha.- 

68911–58–0 Gases (petroleum), hydrotreated sour kerosine depentanizer stabilizer off 

68911–59–1 Gases (petroleum), hydrotreated sour kerosine flash drum 

68915–96–8 Distillates (petroleum), heavy straight-run 

68915–97–9 Gas oils (petroleum), straight-run, high-boiling 

68918–69–4 Petrolatum (petroleum), oxidized, zinc salt 

68918–73–0 Residues (petroleum), clay-treating filter wash 

68918–93–4 Paraffin waxes and Hydrocarbon waxes, oxidized, alkali metal salts 

68918–98–9 Fuel gases, refinery, hydrogen sulfide-free 

68918–99–0 Gases (petroleum), crude oil fractionation off 

68919–00–6 Gases (petroleum), dehexanizer off 

68919–01–7 Gases (petroleum), distillate unifiner desulfurization stripper off 

68919–02–8 Gases (petroleum), fluidized catalytic cracker fractionation off 

68919–03–9 Gases (petroleum), fluidized catalytic cracker scrubbing secondary absorber off 

68919–04–0 Gases (petroleum), heavy distillate hydrotreater desulfurization stripper off 

68919–05–1 Gases (petroleum), light straight run gasoline fractionation stabilizer off 

68919–06–2 Gases (petroleum), naphtha unifiner desulfurization stripper off 

68919–07–3 Gases (petroleum), platformer stabilizer off, light ends fractionation 

68919–08–4 Gases (petroleum), preflash tower off, crude distn. 

68919–09–5 Gases (petroleum), straight-run naphtha catalytic reforming off 

68919–10–8 Gases (petroleum), straight-run stabilizer off 

68919–11–9 Gases (petroleum), tar stripper off 

68919–12–0 Gases (petroleum), unifiner stripper off 

68919–15–3 Hydrocarbons, C6-12, benzene-recovery 

68919-16-4 Hydrocarbons, catalytic alkylation, by-products, C3-6 

68919–17–5 Hydrocarbons, C12-20, catalytic alkylation by-products 

68919–19–7 Gases (petroleum), fluidized catalytic cracker splitter residues 

68919–20–0 Gases (petroleum), fluidized catalytic cracker splitter overheads 

68919–37–9 Naphtha (petroleum), full-range reformed 

68920–06–9 Hydrocarbons, C7-9 
Appendix C Partially Exempt Chemicals 

C-16

CAS Registry Number Product

68920–07–0 Hydrocarbons, C<10-linear 

68920–64–9 Disulfides, di-C1-2-alkyl 

68921–07–3 Distillates (petroleum), hydrotreated light catalytic cracked 

68921–09–5 Distillates (petroleum), naphtha unifiner stripper 

68921–08–4 Distillates (petroleum), light straight-run gasoline fractionation stabilizer overheads 

68921–67–5 Hydrocarbons, ethylene-manuf.-by-product distn. residues 

68952–76–1 Gases (petroleum), catalytic cracked naphtha debutanizer 

68952–77–2 Tail gas (petroleum), catalytic cracked distillate and naphtha stabilizer 

68952–78–3 Tail gas (petroleum), catalytic hydrodesulfurized distillate fractionation stabilizer, hydrogen 

sulfide-free 

68952–79–4 Tail gas (petroleum), catalytic hydrodesulfurized naphtha separator 

68952–80–7 Tail gas (petroleum), straight-run naphtha hydrodesulfurizer 

68952–81–8 Tail gas (petroleum), thermal-cracked distillate, gas oil and naphtha absorber 

68952–82–9 Tail gas (petroleum), thermal cracked hydrocarbon fractionation stabilizer, petroleum coking

68953–80–0 Benzene, mixed with toluene, dealkylation product 

68955–27–1 Distillates (petroleum), petroleum residues vacuum 

68955–28–2 Gases (petroleum), light steam-cracked, butadiene conc. 

68955–31–7 Gases (petroleum), butadiene process, inorg. 

68955–32–8 Natural gas, substitute, steam-reformed desulfurized naphtha 

68955–33–9 Gases (petroleum), sponge absorber off, fluidized catalytic cracker and gas oil desulfurizer 

overhead fractionation 

68955–34–0 Gases (petroleum), straight-run naphtha catalytic reformer stabilizer overhead 

68955–35–1 Naphtha (petroleum), catalytic reformed 

68955–36–2 Residues (petroleum), steam-cracked, resinous 

68955–76–0 Aromatic hydrocarbons, C9-16, biphenyl deriv.-rich 

68955–96–4 Disulfides, dialkyl and di-Ph, naphtha sweetening 

68956–47–8 Fuel oil, isoprene reject absorption 

68956–48–9 Fuel oil, residual, wastewater skimmings 

68956–52–5 Hydrocarbons, C4-8 

68956–54–7 Hydrocarbons, C4-unsatd. 

68956–55–8 Hydrocarbons, C5-unsatd. 

68956–70–7 Petroleum products, C5-12, reclaimed, wastewater treatment 

68988–79–4 Benzene, C10-12-alkyl derivs., distn. residues 

68988–99–8 Phenols, sodium salts, mixed with sulfur compounds, gasoline alk. scrubber residues 

68989–88–8 Gases (petroleum), crude distn. and catalytic cracking 

68990–35–2 Distillates (petroleum), arom., hydrotreated, dicyclopentadiene-rich 

68991–49–1 Alkanes, C10-13, arom.-free desulfurized 

68991–50–4 Alkanes, C14-17, arom.-free desulfurized 
Appendix C Partially Exempt Chemicals 

C-17

CAS Registry Number Product

68991–51–5 Alkanes, C10-13, desulfurized 

68991–52–6 Alkenes, C10-16 

69013–21–4 Fuel oil, pyrolysis 

69029–75–0 Oils, reclaimed 

69430–33–7 Hydrocarbons, C6-30 

70024–88–3 Ethene, thermal cracking products 

70528–71–1 Distillates (petroleum), heavy distillate solvent ext. heart-cut 

70528–72–2 Distillates (petroleum), heavy distillate solvent ext. vacuum overheads 

70528–73–3 Residues (petroleum), heavy distillate solvent ext. vacuum 

70592–76–6 Distillates (petroleum), intermediate vacuum 

70592–77–7 Distillates (petroleum), light vacuum 

70592–78–8 Distillates (petroleum), vacuum 

70592–79–9 Residues (petroleum), atm. tower, light 

70693–00–4 Hydrocarbon waxes (petroleum), oxidized, sodium salts 

70693–06–0 Aromatic hydrocarbons, C9-11 

70913–85–8 Residues (petroleum), solvent-extd. vacuum distilled atm. residuum 

70913–86–9 Alkanes, C18-70 

70955–08–7 Alkanes, C4-6 

70955–09–8 Alkenes, C13-14 .alpha.- 

70955–10–1 Alkenes, C15-18 .alpha.- 

70955–17–8 Aromatic hydrocarbons, C12-20 

71243–66–8 Hydrocarbon waxes (petroleum), clay-treated, microcryst., oxidized, potassium salts 

71302–82–4 Hydrocarbons, C5-8, Houdry butadiene manuf. by-product 

71329–37–8 Residues (petroleum), catalytic cracking depropanizer, C4-rich 

71808–30–5 Tail gas (petroleum), thermal cracking absorber 

72230–71–8 Distillates (petroleum), cracked steam-cracked, C5-17 fraction 

72623–83–7 Lubricating oils (petroleum), C>25, hydrotreated bright stock-based 

72623–84–8 Lubricating oils (petroleum), C15-30, hydrotreated neutral oil-based, contg. solvent 

deasphalted residual oil 

72623–85–9 Lubricating oils (petroleum), C20-50, hydrotreated neutral oil-based, high-viscosity 

72623–86–0 Lubricating oils (petroleum), C15-30, hydrotreated neutral oil-based 

72623–87–1 Lubricating oils (petroleum), C20-50, hydrotreated neutral oil-based 

73138-65-5 Hydrocarbon waxes (petroleum), oxidized, magnesium salts 

92045-43-7 Lubricating oils (petroleum) hydrocracked nonaromatic solvent deparaffined 

92045-58-4 Naphtha (petroleum), isomerization, C6-fration 

92062-09-4 Slack wax (petroleum), hydrotreated 

93762–80–2 Alkenes, C15-18 
Appendix C Partially Exempt Chemicals 

C-18

CAS Registry Number Product

98859-55-3 Distillates (petroleum), oxidized heavy, compounds with diethanolamine 

98859-56-4 Distillates (petroleum), oxidized heavy, sodium salts 

101316-73-8 Lubricating oils (petroleum), used, noncatalytically refined 

164907-78-2 Extracts (petroleum), asphaltene-low vacuum residue solvent 

164907-79-3 Residues (petroleum), vacuum, asphaltene-low 

178603-63-9 Gas oils (petroleum), vacuum, hydrocracked, hydroisomerized, hydrogenated, C10-25 

178603-64-0 Gas oils (petroleum), vacuum, hydrocracked, hydroisomerized, hydrogenated, C15-30, 

branched and cyclic 

178603-65-1 Gas oils (petroleum), vacuum, hydrocracked, hydroisomerized, hydrogenated, C20-40, 

branched and cyclic 

178603-66-2 Gas oils (petroleum), vacuum, hydrocracked, hydroisomerized, hydrogenated, C25-55, 

branched and cyclic 

212210-93-0 Solvent naphtha (petroleum), heavy aromatic, distillation residues 

221120-39-4 Distillates (petroleum), cracked steam-cracked, C5-12 fraction 

445411-73-4 Gas oils (petroleum), vacuum, hydrocracked, hydroisomerized, hydrogenated, C10-25, 

branched and cyclic 
Appendix C Partially Exempt Chemicals 

 C-19 

Partially Exempt Chemical Substances Under 40 CFR 711.6(b)(2)

CAS Registry Number Chemical Name

50-70-4 D-Glucitol 

50-81-7 L-Ascorbic acid 

50-99-7 D-Glucose 

56-87-1 L-Lysine 

56-81-5 1,2,3-Propanetriol 

57-50-1 .alpha.-D-Glucopyranoside, .beta.-D-fructofuranosyl 

58-95-7 2H-1-Benzopyran-6-ol, 3,4-dihydro-2,5,7,8-tetramethyl-2-[(4R,8R)-4,8,12-

trimethyltridecyl]-,acetate, (2R)- 

59-02-9 2H-1-Benzopyran-6-ol, 3,4-dihydro-2,5,7,8-tetramethyl-2-[(4R,8R)-4,8,12-

trimethyltridecyl]-, (2R)- 

59-51-8 Methionine 

69-65-8 D-Mannitol 

87-79-6 L-Sorbose 

87-99-0 Xylitol 

96-10-6 Aluminum, chlorodiethyl97-93-8 Aluminum, triethyl100-99-2 Aluminum, tris(2-methylpropyl)- 

123-94-4 Octadecanoic acid, 2,3-dihydroxypropyl ester 

124-38-9 Carbon dioxide 

137-08-6 .beta.-Alanine, N-[(2R)-2,4-dihydroxy-3,3-dimethyl-1-oxobutyl]-, calcium alt (2:1) 

142-47-2 L-Glutamic acid, monosodium salt 

150-30-1 Phenylalanine 

563-43-9 Aluminum, dichloroethyl1070-00-4 Aluminium, trioctyl 

1116-70-7 Aluminum, tributyl1116-73-0 Aluminum, trihexyl1191-15-7 Aluminum, hydrobis (2-methylpropyl)- 

1317-65-3 Limestone 

1333-74-0 Hydrogen 

1592-23-0 Octadecanoic acid, calcium salt 

7440-37-1 Argon 

7440-44-0 Carbon 

7727-37-9 Nitrogen 

7782-42-5 Graphite 

7782-44-7 Oxygen 

8001-21-6 Sunflower oil 

8001-22-7 Soybean oil 

8001-23-8 Safflower oil 

8001-26-1 Linseed oil 

8001-29-4 Cottonseed oil 

8001-30-7 Corn oil 
Appendix C Partially Exempt Chemicals 

Partially Exempt Chemical Substances Under 40 CFR 711.6(b)(2) (Continued)

C-20

CAS Registry Number Chemical Name

8001-31-8 Coconut oil 

8001-78-3 Caster oil, hydrogenated 

8001-79-4 Castor oil 

8002-03-7 Peanut oil 

8002-13-9 Rape oil 

8002-43-5 Lecithins 

8002-75-3 Palm oil 

8006-54-0 Lanolin 

8016-28-2 Lard, oil 

8016-70-4 Soybean oil, hydrogenated 

8021-99-6 Charcoal, bone 

8029-43-4 Syrups, hydrolyzed starch 

11103-57-4 Vitamin A 

12075-68-2 Aluminum, di-.mu.-chlorochlorotriethyldi12542-85-7 Aluminum, trichlorotrimethyldi16291-96-6 Charcoal 

26836-47-5 D-Glucitol, monooctadecanoate 

61789-44-4 Fatty acids, castor-oil 

61789-97-7 Tallow 

61789-99-9 Lard 

64147-40-6 Castor oil, dehydrated 

64755-01-7 Fatty acids, tallow, calcium salts 

65996-63-6 Starch, acid-hydrolyzed 

65996-64-7 Starch, enzyme-hydrolyzed 

67701-01-3 Fatty acids, C12-18 

68002-85-7 Fatty acids, C14-22 and C16-22-unsatd. 

68131-37-3 Syrups, hydrolyzed starch, dehydrated 

68188-81-8 Grease, poultry 

68308-36-1 Soybean meal 

68308-54-3 Glycerides, tallow mono-, di- and tri-, hydrogenated 

68334-00-9 Cottonseed oil, hydrogenated 

68334-28-1 Fats and Glyceridic oils, vegetable, hydrogenated 

68409-76-7 Bone meal, steamed 

68424-45-3 Fatty acids, linseed-oil 

68424-61-3 Glycerides, C16-18 and C18-unsatd. mono- and di68425-17-2 Syrups, hydrolized starch, hydrogenated 

68439-86-1 Bone, ash 

68442-69-3 Benzene, mono-C10-14-alkyl derivs. 

68476-78-8 Molasses 

68514-27-2 Grease, catch basin 
Appendix C Partially Exempt Chemicals 

Partially Exempt Chemical Substances Under 40 CFR 711.6(b)(2) (Continued)

C-21

CAS Registry Number Chemical Name

68514-74-9 Palm oil, hydrogenated 

68525-87-1 Corn oil, hydrogenated 

68648-87-3 Benzene, C10-16-alkyl derivs. 

68918-42-3 Soaps, stocks, soya 

68952-94-3 Soaps, stocks, vegetable-oil 

68956-68-3 Fats and glyceridic oils, vegetable 

68989-98-0 Fats and Glyceridic oils, vegetable, residues 

73138-67-7 Lard, hydrogenated 

120962-03-0 Canola oil 

129813-58-7 Benzene, mono-C10-13-alkyl derivs. 

129813-59-8 Benzene, mono-C12-14-alkyl derivs. 

129813-60-1 Benzene, mono-C14-16-alkyl derivs. 
Appendix D Descriptions of Processing and Use Codes 

D-1

Appendix D 

Descriptions of Codes for Reporting Processing or Use Operations, 

Industrial Sectors, Industrial Function Categories, and Consumer and 

Commercial Product Categories

 The following descriptions were developed by EPA to assist persons submitting 

information in response to 40 CFR 711.15(b)(4) and reported in Part III of CDR Form U. For 

more information, see EPA’s document, “Inventory Update Rule (IUR) Amendment Technical 

Support Document: Exposure-Related Data Useful for Chemical Risk Screening” and “Inventory 

Update Rule (IUR) Technical Support Document: Selection of Consumer and Commercial 

Product Categories” located in the rulemaking record (EPA-HQ-OPPT-2004-0054). 

Table D-1: Processing or Use Operation Descriptions 

Code Operation Description

PC Processing as a reactant Chemical substance is used in chemical reactions for the 

manufacturing of another chemical substance or product. 

PF Processing—incorporation into 

formulation, mixture, or reaction product 

Chemical substance is added to a product (or product 

mixture) prior to further distribution of the product. 

PA Processing—incorporation into article Chemical substance becomes an integral component of an 

article distributed for industrial, trade, or consumer use. 

PK Processing—repackaging Preparation of a chemical substance for distribution in 

commerce in a different form, state, or quantity. This includes 

transferring the chemical substance from a bulk container into 

smaller containers. This definition does not apply to sites that 

only relabel or redistribute the reportable chemical substance 

without removing the chemical substance from the container 

in which it is received or purchased. 

U Use—non-incorporative activities Chemical substance is otherwise used (e.g., as a chemical 

processing or manufacturing aid). 
Appendix D Descriptions of Processing and Use Codes 

D-2

Table D-2: Industrial Sector (IS) Code Descriptions 

NAICS IS Code IS Title 

11 IS1 Agriculture, Forestry, Fishing and Hunting 

211 IS2 Oil and Gas Drilling, Extraction, and Support Activities 213 

212 IS3 Mining (except Oil and Gas) 

22 IS4 Utilities 

23 IS5 Construction 

311 IS6 Food, beverage, and tobacco product manufacturing 312 

313 

IS7 Textiles, apparel, and leather manufacturing 314 

315 

316 

321 IS8 Wood Product Manufacturing 

322 IS9 Paper Manufacturing 

323 IS10 Printing and Related Support Activities 

32411 IS11 Petroleum Refineries 

32412 IS12 Asphalt Paving, Roofing, and Coating Materials Manufacturing 

324191 IS13 Petroleum Lubricating Oil and Grease Manufacturing 

324199 IS14 All Other Petroleum and Coal Products Manufacturing 

32511 IS15 Petrochemical Manufacturing 

32512 IS16 Industrial Gas Manufacturing 

32513 IS17 Synthetic Dye and Pigment Manufacturing 

325182 IS18 Carbon Black Manufacturing 

32518 IS19 All Other Basic Inorganic Chemical Manufacturing 

325192 IS20 Cyclic Crude and Intermediate Manufacturing 

32519 IS21 All Other Basic Organic Chemical Manufacturing 

325211 IS22 Plastic Material and Resin Manufacturing 

325212 IS23 Synthetic Rubber Manufacturing 

32522 IS24 Organic Fiber Manufacturing 

3253 IS25 Pesticide, Fertilizer, and Other Agricultural Chemical Manufacturing 

3254 IS26 Pharmaceutical and Medicine Manufacturing 

32551 IS27 Paint and Coating Manufacturing 

32552 IS28 Adhesive Manufacturing 

3256 IS29 Soap, Cleaning Compound, and Toilet Preparation Manufacturing 

32591 IS30 Printing Ink Manufacturing 

32592 IS31 Explosives Manufacturing 

325991 IS32 Custom Compounding of Purchased Resin 

325992 IS33 Photographic Film Paper, Plate, and Chemical Manufacturing 

325998 IS34 All Other Chemical Product and Preparation Manufacturing 

3261 IS35 Plastics Product Manufacturing 

3262 IS36 Rubber Product Manufacturing 

327 IS37 

Nonmetallic Mineral Product Manufacturing (includes clay, glass, cement, concrete, 

lime, gypsum, and other nonmetallic mineral product manufacturing. 
Appendix D Descriptions of Processing and Use Codes 

D-3

NAICS IS Code IS Title 

331 IS38 Primary Metal Manufacturing 

332 IS39 Fabricated Metal Product Manufacturing 

333 IS40 Machinery Manufacturing 

334 IS41 Computer and Electronic Product Manufacturing 

335 IS42 Electrical Equipment, Appliance, and Component Manufacturing 

336 IS43 Transportation Equipment Manufacturing 

337 IS44 Furniture and Related Product Manufacturing 

339 IS45 Miscellaneous Manufacturing 

42 

IS46 Wholesale and Retail Trade 

44 

45 

48 

49 

51 

IS47 Services 

52 

53 

54 

55 

56 

61 

62 

71 

72 

81 

92 

 IS48 Other (requires additional information) 
Appendix D Descriptions of Processing and Use Codes 

D-4

Table D-3: Industrial Function Category Descriptions 

Code Industrial Function Categories Description

U001 

Abrasives 

Chemical substances used to wear down or polish surfaces by rubbing 

against the surface. Examples include sandstones, pumice, silex, 

quartz, silicates, aluminum oxides, and glass. 

U002 

Adhesives and sealant chemicals 

Chemical substances used to promote bonding between other 

substances, promote adhesion of surfaces, or prevent seepage of 

moisture or air. Examples include epoxides, isocyanates, acrylamides, 

phenol, urea, melamine, and formaldehyde. 

U003 

Adsorbents and absorbents 

Chemical substances used to retain other substances by accumulation 

on their surface or by assimilation. Examples of adsorbents include 

silica gel, activated alumina, and activated carbon. Examples of 

absorbents include straw oil, alkaline solutions, and kerosene. 

U004 

Agricultural chemicals (nonpesticidal) 

Chemical substances used to increase the productivity and quality of 

farm crops. Examples include phosphates, lime, nitrates, potash 

compounds, alum, ammonia and ammonium salts, urea, and mineral 

supplements. 

U005 

Anti-adhesive agents 

Chemical substances used to prevent bonding between other 

substances by discouraging surface attachment. Examples include 

anti-adherents, antiblock agents, detackifiers, dusting agents, mould 

release agents, and parting agents. 

U006 

Bleaching agents 

Chemical substances used to lighten or whiten a substrate through 

chemical reaction, usually an oxidative process which degrades the 

color system. Examples generally fall into one of two groups: chlorine 

containing bleaching agents (e.g. chlorine, hypochlorites, N-chloro 

compounds and chlorine dioxide); and, peroxygen bleaching agents 

(e.g. hydrogen peroxide, potassium permanganate, and sodium 

perborate). 

U007 Corrosion inhibitors and 

antiscaling agents 

Chemical substances used to prevent or retard corrosion or the 

formation of scale. Examples include phenylenediamine, chromates, 

nitrates, phosphates, and hydrazine. 

U008 

Dyes 

Chemical substances used to impart color to other materials or 

mixtures (i.e. substrates) by penetrating into the surface of the 

substrate. Examples types include azo, anthraquinone, amino azo, 

aniline, eosin, stilbene, acid, basic or cationic, reactive, dispersive, and 

natural dyes. 

U009 

Fillers 

Chemical substances used to provide bulk, increase strength, increase 

hardness, or improve resistance to impact. Fillers incorporated in a 

matrix reduce production costs by minimizing the amount of more 

expensive substances used in the production of articles. Examples 

include calcium carbonate, barium sulfate, silicates, clays, zinc oxide 

and aluminum oxide. 

U010 

Finishing agents 

Chemical substances used to impart such functions as softening, staticproofing, wrinkle resistance, and water repellence. Substances may be 

applied to textiles, paper, and leather. Examples include quaternary 

ammonium compounds, ethoxylated amines, and silicone compounds. 

U011 

Flame retardants 

Chemical substances used on the surface of or incorporated into 

combustible materials to reduce or eliminate their tendency to ignite 

when exposed to heat or a flame for a short period of time. Examples 

include inorganic salts, chlorinated or brominated organic compounds, 

and organic phosphates/phosphonates. 
Appendix D Descriptions of Processing and Use Codes 

D-5

Code Industrial Function Categories Description

U012 

Fuels and fuel additives 

Chemical substances used to create mechanical or thermal energy 

through chemical reactions, or which are added to a fuel for the 

purpose of controlling the rate of reaction or limiting the production of 

undesirable combustion products, or which provide other benefits such 

as corrosion inhibition, lubrication, or detergency. Examples of fuels 

include coal, oil, gasoline, and various grades of diesel fuel. Examples 

of fuel additives include oxygenated compound such as ethers and 

alcohols, antioxidants such as phenylenediamines and hindered 

phenols, corrosion inhibitors such as carboxylic acids, amines, and 

amine salts, and blending agents such as ethanol. 

U013 

Functional fluids (closed 

systems) 

Liquid or gaseous chemical substances used for one or more 

operational properties in a closed system. Examples include: heat 

transfer agents (e.g., coolants and refrigerants) such as polyalkylene 

glycols, silicone oils, liquified propane, and carbon dioxide; 

hydraulic/transmission fluids such as mineral oils, organophosphate 

esters, silicone, and propylene glycol; and dielectric fluids such as 

mineral insulating oil and high flash point kerosene. This code does 

not include fluids used as lubricants. 

U014 

Functional fluids (open systems) 

Liquid or gaseous chemical substances used for one or more 

operational properties in an open system. Examples include 

antifreezes and de-icing fluids such as ethylene and propylene glycol, 

sodium formate, potassium acetate, and, sodium acetate. This code 

also includes substances incorporated into metal working fluids. 

U015 

Intermediates 

Chemical substances consumed in a reaction to produce other chemical 

substances for commercial advantage. A residual of the intermediate 

chemical substance which has no separate function may remain in the 

reaction product. 

U016 

Ion exchange agents 

Chemical substances, usually in the form of a solid matrix, that are 

used to selectively remove targeted ions from a solution. Examples 

generally consist of an inert hydrophobic matrix such as styrenedivinylbenzene or phenol-formaldehyde, cross-linking polymer such as 

divinylbenzene, and ionic functional groups including sulfonic, 

carboxylic or phosphonic acids. This code also includes 

aluminosilicate zeolites. 

U017 

Lubricants and lubricant 

additives 

Chemical substances used to reduce friction, heat, or wear between 

moving parts or adjacent solid surfaces, or that enhance the lubricity of 

other substances. Examples of lubricants include mineral oils, silicate 

and phosphate esters, silicone oil, greases, and solid film lubricants 

such as graphite and PTFE. Examples of lubricant additives include 

molybdenum disulphide and tungsten disulphide. 

U018 

Odor agents 

Chemical substances used to control odors, remove odors, mask odors, 

or impart odors. Examples include benzenoids, terpenes and 

terpenoids, musk chemicals, aliphatic aldehydes, aliphatic cyanides, 

and mercaptans. 

U019 

Oxidizing/reducing agents 

Chemical substances used to alter the valence state of another 

substance by donating or accepting electrons or by the addition or 

removal of hydrogen to a substance. Examples of oxidizing agents 

include nitric acid, perchlorates, hexavalent chromium compounds, and 

peroxydisulfuric acid salts. Examples of reducing agents include 

hydrazine, sodium thiosulfate, and coke produced from coal. 
Appendix D Descriptions of Processing and Use Codes 

D-6

Code Industrial Function Categories Description

U020 

Photosensitive chemicals 

Chemical substances used for their ability to alter their physical or 

chemical structure through absorption of light, resulting in the 

emission of light, dissociation, discoloration, or other chemical 

reaction. Examples include sensitizers, fluorescents, photovoltaic 

agents, ultraviolet absorbers, and ultraviolet stabilizers. 

U021 

Pigments 

Chemical substances used to impart color to other materials or 

mixtures (i.e. substrates) by attaching themselves to the surface of the 

substrate through binding or adhesion. This code includes fluorescent 

agents, luminescent agents, whitening agents, pearlizing agents, and 

opacifiers. Examples include metallic oxides of iron, titanium, zinc, 

cobalt, and chromium; metal powder suspensions; lead chromates; 

vegetable and animal products; and synthetic organic pigments. 

U022 

Plasticizers 

Chemical substances used in plastics, cement, concrete, wallboard, 

clay bodies, or other materials to increase their plasticity or fluidity. 

Examples include phthalates, trimellitates, adipates, maleates, and 

lignosulphonates. 

U023 

Plating agents and surface 

treating agents 

Chemical substances applied to metal, plastic, or other surfaces to alter 

physical or chemical properties of the surface. Examples include metal 

surface treating agents, strippers, etchants, rust and tarnish removers, 

and descaling agents. 

U024 

Process regulators 

Chemical substances used to change the rate of a chemical reaction, 

start or stop the reaction, or otherwise influence the course of the 

reaction. Process regulators may be consumed or become part of the 

reaction product. 

U025 

Processing aids, not otherwise 

listed 

Chemical substances used to improve the processing characteristics or 

the operation of process equipment or to alter or buffer the pH of the 

substance or mixture, when added to a process or to a substance or 

mixture to be processed. Processing agents do not become a part of the 

reaction product and are not intended to affect the function of a 

substance or article created. Examples include buffers, dehumidifiers, 

dehydrating agents, sequestering agents, and chelators. 

U026 

Processing aids, specific to 

petroleum production 

Chemical substances added to water-, oil-, or synthetic drilling muds or 

other petroleum production fluids to control viscosity, foaming, 

corrosion, alkalinity and pH, microbiological growth, hydrate 

formation, etc., during the production of oil, gas, and other products 

from beneath the earth's surface. 

U027 

Propellants and blowing agents 

Chemical substances used to dissolve or suspend other substances and 

either to expel those substances from a container in the form of an 

aerosol or to impart a cellular structure to plastics, rubber, or thermo 

set resins. Examples include compressed gasses and liquids and 

substances which release ammonia, carbon dioxide, or nitrogen. 

U028 

Solids separation agents 

Chemical substances used to promote the separation of suspended 

solids from a liquid. Examples include flotation aids, flocculants, 

coagulants, dewatering aids, and drainage aids. 

U029 

Solvents (for cleaning or 

degreasing) 

 Chemical substances used to dissolve oils, greases and similar 

materials from textiles, glassware, metal surfaces, and other articles. 

Examples include trichloroethylene, perchloroethylene, methylene 

chloride, liquid carbon dioxide, and n-propyl bromide. 
Appendix D Descriptions of Processing and Use Codes 

D-7

Code Industrial Function Categories Description

U030 

Solvents (which become part of 

product formulation or mixture) 

Chemical substances used to dissolve another substance (solute) to 

form a uniformly dispersed mixture (solution) at the molecular level. 

Examples include diluents used to reduce the concentration of an 

active material to achieve a specified effect and low gravity materials 

added to reduce cost. 

U031 

Surface active agents 

Chemical substances used to modify surface tension when dissolved in 

water or water solutions, or reduce interfacial tension between two 

liquids or between a liquid and a solid or between liquid and air. 

Examples include carboxylates, sulfonates, phosphates, carboxylic 

acid, esters, and quaternary ammonium salts. 

U032 

Viscosity adjustors 

Chemical substances used to alter the viscosity of another substance. 

Examples include viscosity index (VI) improvers, pour point 

depressants, and thickeners. 

U033 

Laboratory chemicals 

Chemical substances used, often in small quantities, in a laboratory for 

chemical analysis, chemical synthesis, extracting and purifying other 

chemicals, dissolving other substances, and similar activities. 

Examples of laboratory chemicals include substances that change color 

to indicate pH, redox potential or other endpoints, halogenated and 

non-halogenated solvents, chemicals used in titrations and 

chromatography, Grignard reagents used in organic synthesis, 

laboratory reagents, and inorganic acids and bases. 

U034 

Paint additives and coating 

additives not described by other 

codes 

Chemical substances used in a paint or coating formulation to enhance 

properties such as water repellence, increased gloss, improved fade 

resistance, ease of application, foam prevention, etc. Examples of paint 

additives and coating additives include polyols, amines, vinyl acetate 

ethylene emulsions, and aliphatic polyisocyanates. 

U999 Other (specify) 
Appendix D Descriptions of Processing and Use Codes 

D-8

Table D-4: Consumer and Commercial Product Category Descriptions 

Code Product Category Description

Chemical Substances in Furnishing, Cleaning, Treatment/Care Products 

C101 Floor coverings Chemical substances contained in floor coverings that are intended for 

consumer or commercial or use should be reported under this code. 

Examples of floor coverings include carpet, rugs, vinyl, linoleum, laminate, 

tile, and stone products. This code does not include wood and pressed wood 

flooring products included in Building/Construction Materials – Wood and 

Engineered Wood Products code. 

C102 Foam seating and bedding 

products 

Chemical substances contained in foam mattresses, pillows, cushions, and 

similar foam seating, furniture and furnishings that are intended for consumer 

or commercial use should be reported under this code. Examples of foam 

seating and bedding products include sofas and chairs for residential/office 

use, automobile and truck seats, airplane seats, and mattress pads. 

C103 Furniture and furnishings 

not covered elsewhere 

Chemical substances contained in furniture and furnishings made from metal, 

wood, leather, plastic or other materials that are intended for consumer or 

commercial use should be reported under this code. Examples of products 

include movable and installed furniture such as tables, chairs, benches, desks, 

cabinets, shelving, stools, television stands, display cases, book cases, and 

storage units. This code does not include foam seating and bedding products. 

C104 Fabric, textile, and leather 

products not covered 

elsewhere 

Chemical substances contained in fabric, textile and leather products to 

impart color and other desirable properties such as water/soil/stain repellence, 

wrinkle resistance, or flame resistance that are intended for consumer or 

commercial use should be reported under this code. Examples of products 

include apparel (outerwear, sportswear, and sleepwear), footwear (sandals 

and athletic shoes), window treatments (curtains and blinds), table linens 

(table coverings, place mats, and cloth napkins), bed linens (sheets, pillow 

cases/coverings, and blankets/bed coverings), bath linens (towels, wash 

cloths, and bath mats) and fabric, textile and leather products that are not 

covered elsewhere. 

C105 Cleaning and Furniture Care 

Products 

Chemical substances contained in products that are used to remove dirt, 

grease, stains, and foreign matter from furniture and furnishings, or to 

cleanse, sanitize, bleach, scour, polish, protect, or improve the appearance of 

surfaces and intended for consumer or commercial use should be reported 

under this code. Examples of cleaning and furnishing care products include 

cleaners used on glass, floors, tub and tile, ovens and drains; scouring 

powders; dusting products; waxes; polishes; and stain repellent sprays. This 

code does not include laundry and dish washing products. 

C106 Laundry and dishwashing 

products 

Chemical substances contained in laundry and dishwashing products and aids 

formulated as liquid, granular, powder, gel, cakes, and flakes that are intended 

for consumer or commercial use should be reported under this code. 

Examples of laundry and dishwashing products include detergents, fabric 

softeners, pre-soaks and prewashes to remove soil and stains, dryer sheets, 

bleach, rinse aids, and film, lime and rust removers. 
Appendix D Descriptions of Processing and Use Codes 

D-9

Code Product Category Description

C107 Water treatment products Chemical substances contained in water treatment products that are designed 

to disinfect, reduce contaminants or other undesirable constituents, and 

condition and/or improve aesthetics of water and intended for consumer or 

commercial use should be reported under this code. Examples of water 

treatment products include pH adjusters, filter media, water treatment 

tablets/drops, and point of use/point of entry ion exchangers. 

U.S. ONLY: Excludes any substance that is manufactured, processed, or 

distributed in commerce for use as a pesticide as defined in the Federal 

Insecticide, Fungicide, and Rodenticide Act. 

CANADA ONLY: Excludes any substance contained in pest control 

products as defined under the Pest Control Products Act. 

C108 Personal care products Chemical substances contained in personal care products that are used for 

cleansing/grooming/improving or altering skin/hair/or teeth, and intended for 

consumer or commercial use should be reported under this code. Examples of 

personal care products include bath and shower products; make-up products; 

hair, nail, oral and skin care products; sunscreen and suntan products; 

deodorants; and perfumes. 

U.S. ONLY: Excludes any cosmetic, drug or device as such terms are defined 

in section 201 of the Federal Food, Drug, and Cosmetic Act. 

C109 Air care products Chemical substances contained in products that are used to odorize or deodorize indoor air in homes, offices, motor vehicles, and other enclosed 

spaces and intended for consumer or commercial use should be reported 

under this code. Examples of air care products include aerosol sprays, 

liquid/solid/gel diffusers, air fresheners, scented candles and incense. 

C110 Apparel and footwear care 

products 

Chemical substances contained in apparel and footwear care products 

intended for consumer and commercial use and that are applied post-market 

should be reported under this code. Examples of apparel and footwear care 

products include footwear polishes/waxes, garment waterproofing sprays, and 

stain repellents. 

Chemical Substances in Construction, Paint, Electrical, and Metal Products 

C201 Adhesives and sealants Chemical substances contained in adhesive and sealant products used to 

fasten other materials together or prevent the passage of liquid or gas that are 

intended for consumer or commercial use should be reported under this code. 

Examples of adhesive and sealant products include glues, binders, adhesives, 

pastes, sealants, fillers, putties, and caulking compounds. 

C202 Paints and coatings Chemical substances contained in paints or coatings that are intended for 

consumer or commercial use should be reported under this code. Examples 

of paint and coating products include interior and exterior architectural and 

marine paints, bridge/iron coatings, varnishes, lacquers, paint thinners, 

removers, wood stains and shellac. 

C203 Building/construction 

materials – wood and 

engineered wood products 

Chemical substances contained in building and construction materials made 

of wood and pressed/engineered wood products that are intended for 

commercial or consumer use should be reported under this code. Examples 

of products include lumber, posts and timbers, exterior siding, moulding, mill 

work, cabinetry, paneling, veneer, flooring, stair parts, plywood and 

sheathing, railings and decking. 
Appendix D Descriptions of Processing and Use Codes 

D-10

Code Product Category Description

C204 Building/construction 

materials not covered 

elsewhere 

Chemical substances contained in building and construction materials not 

covered elsewhere that are intended for consumer or commercial use should 

be reported under this code. Examples of products include insulation 

materials such as foams and fibers, roofing and gutters, ceiling products, 

exterior siding, drywall, concrete, masonry and cement, building hardware, 

fencing, decking, hardware and fasteners (nuts, bolts, screws, nails, and 

tacks), plumbing, duct work, abrasive and sanding products, sheet metal, 

plaster, weather stripping, wire or wiring systems, and bricks. 

C205 Electrical and electronic 

products 

Chemical substances contained in electrical and electronic products that are 

intended for consumer or commercial use should be reported under this code. 

Examples of electrical and electronic products include computers, office 

equipment, appliances, electric lighting, electrical wire and cables, radios, 

televisions and monitors, telephones, multi-media devices, digital cameras, 

adapters, alarms (burglar, fire, smoke), and communication equipment. 

C206 Metal products not covered 

elsewhere 

Chemical substances contained in metal products not covered elsewhere that 

are intended for consumer or commercial use should be reported under this 

code. Examples of metal products not covered elsewhere include metal 

products produced by forging, stamping, plating, turning, and other processes; 

hand tools; metal tubing/pipes/duct work; wire fencing; tableware; and small 

appliances and cookware (frying pan, waffle iron, electric kettle). 

C207 Batteries Chemical substances contained in non-rechargeable and rechargeable 

batteries including dry and wet cell units that store energy that are intended 

for consumer or commercial use should be reported under this code. 

Examples of battery products include zinc carbon, alkaline, lead-acid, 

lithium-ion, nickel-metal hydride, and other batteries used in electrical and 

electronic products, cell phones, computers, remote controls, toys, and cars. 

Chemical Substances in Packaging, Paper, Plastic, Hobby Products 

C301 Food packaging Chemical substances contained in single or multi-layered packaging 

consisting of paper, plastic, metal/foil or other materials which have or may 

have direct contact with food and are intended for consumer or commercial 

use should be reported under this code. Examples of food packaging include 

container and wrappings products such as food storage containers, plastic 

cling wrap, bags (microwavable popcorn bags, boil-in-bags, and freezer 

storage bags) and other food packaging items (bottles, cans, boxes and trays). 

C302 Paper products Chemical substances contained in paper products intended for consumer or 

commercial use should be reported under this code. Examples of paper 

products include newsprint coated and uncoated papers for writing, printing 

and photocopying; facial and toilet tissue, paper napkins, paper 

tablets/notepads, paper forms, envelopes, texts and published materials 

(books and magazines); file folders; wrapping papers; and specialty papers. 

This code does not include paper used in food packaging. 

C303 Plastic and rubber products Chemical substances contained in rubber and plastic products not covered 

elsewhere that are intended for consumer or commercial use should be 

reported under this code. Examples of plastic and rubber products not 

covered elsewhere include tires, shower curtains, non-metal cookware (nonelectric), non-food specific containers (bags, bottles, and jars), rubber bands, 

and waders. 
Appendix D Descriptions of Processing and Use Codes 

D-11

Code Product Category Description

C304 Toys, Playground, and 

Sporting Equipment 

Chemical substances contained in toys, playground, and sporting equipment 

made of wood, metal, plastic or fabric that are intended for consumer or 

commercial use should be reported under this code. Examples of products 

include toys (dolls, cars, puzzles, and games), playground equipment (gym 

sets, playhouses and structures, swing sets) and sporting equipment (bicycles, 

skates, balls, team sports equipment) intended for indoor or outdoor use, and 

playground surfaces (rubber, mulch). 

C305 Arts, crafts, and hobby 

materials 

Chemical substances contained in arts, crafts, and hobby materials that are 

intended for consumer or commercial use should be reported under this code. 

Examples of arts, crafts, and hobby materials include art/hobby paints, 

markers and other writing and drawing materials; natural and synthetic clays 

used in pottery, ceramics and sculpture; jewellery-making supplies including 

glass, stone and lapidary materials; stained-glass making supplies; picture 

framing supplies; and, building and science hobby kits. 

C306 Ink, toner, and colorant 

products 

Chemical substances contained in ink, toners and colorants 

used for writing, printing, creating an image on paper and other substrates, or 

applied to substrates to change their color or hide images that are intended for 

consumer or commercial use should be reported under this code. Examples 

of products include black or colored powders used in copy machines and 

printers to produce xerographic images; pigmented liquids contained in 

cartridges, bottles, or other dispensers used for writing or printing; and, 

correction fluids and tapes. This code does not include pigments or colorants 

added to paints and coatings which should be reported under the paints and 

coatings code. 

C307 Photographic supplies Chemical substances contained in photographic supplies, film, photoprocessing chemicals, and photographic paper that are intended for consumer 

or commercial use should be reported under this code. Examples of products 

include processing solutions (for developing, stopping, and fixing photos), 

slide and negative film, and, glossy and matte photographic paper. 

Chemical Substances in Automotive, Fuel, Agriculture, Outdoor Use Products 

C401 Automotive care products Chemical substances contained in products used in automotive cleaning and 

care of exterior and interior vehicle surfaces that are intended for consumer or 

commercial use should be reported under this code. Examples of automotive 

care products include car waxes, polishes, cleaners, and sealers; car wash 

solutions; vinyl/rubber/plastic protectants; automotive carpet and upholstery 

cleaners; wheel and tire care products; exterior trim protectants; and touch-up 

paint products. This code does not include antifreeze, de-icing products, or 

lubricants.

C402 Lubricants and greases Chemical substances contained in products to reduce friction, heat generation 

and wear between solid surfaces that are intended for consumer or 

commercial use should be reported under this code. Examples of lubricants 

and greases include engine oils; transmission, brake and hydraulic fluids; gear 

oils; and, calcium, sodium, lithium, and silicone-based greases. 

C403 Anti-freeze and de-icing 

products 

Chemical substances added to fluids, especially water, to reduce the freezing 

point of the mixture, or applied to surfaces to melt or prevent build up of ice 

that are intended for consumer or commercial use should be reported under 

this code. Examples of products include antifreeze liquids, windshield deicers, aircraft de-icers, lock release agents, ice melting crystals, and rock salt. 
Appendix D Descriptions of Processing and Use Codes 

D-12

Code Product Category Description

C404 Fuels and related products Chemical substances burned to produce heat, light or power, or added to 

inhibit corrosion, provide lubrication, increase efficiency of use, or decrease 

production of undesirable by-products that are intended for consumer or 

commercial use should be reported under this code. Examples of fuels and 

related products include gasoline, diesel fuels, propane, butane, kerosene, 

lamp oils, white gas (naphtha), natural gas, stabilizers, anti-knock agents, 

corrosion inhibitors, detergents, fuel dyes, oxygenates, antioxidants, odor 

agents, non-scented candles, lighter fluids, and, matches. 

C405 Explosive materials Chemical substances capable producing a sudden expansion usually 

accompanied by the production of heat and large changes in pressure upon 

initiation, that are intended for consumer or commercial use should be 

reported under this code. Examples of products include pyrotechnics, high 

explosives and propellants, igniter, primer, initiatory, illuminants, smoke and 

decoy flares, and, incendiaries. 

C406 Agricultural products (nonpesticidal) 

Chemical substances used to increase the productivity and quality of plant, 

animal and forestry crops produced on a commercial scale should be reported 

under this code. Examples of agricultural products (non-pesticidal) include 

fertilizers, additives (time release agents, adjuvants and surfactants which 

promote even distribution of herbicides and pesticides but are added 

separately), colorants (used to mark fields and improve the appearance of 

Christmas tress), application aids (defoamers and foamers), pH adjusters, 

moisture retention agents, soil conditioners, and, seed coatings. 

U.S. ONLY: Excludes any substance that is manufactured, processed, or 

distributed in commerce for use as a pesticide as defined in the Federal 

Insecticide, Fungicide, and Rodenticide Act. 

CANADA ONLY: Includes animal feed (any substance or mixture of 

substances for consumption by livestock, providing the nutritional 

requirements of livestock, or the purpose of preventing or correcting 

nutritional disorders of livestock, as defined in the Feeds Act and 

Regulations). 

C407 Lawn and garden products Chemical substances contained in lawn, garden, outdoor or potted plant, and 

tree care products that are intended for consumer or commercial use should be 

reported under this code. Examples of lawn and garden care products include 

fertilizers and nutrient mixtures, soil amendments, mulches, pH adjustors, 

water retention beads, vermiculite, and perlite. 

U.S. ONLY: Excludes any substance that is manufactured, processed, or 

distributed in commerce for use as a pesticide as defined in the Federal 

Insecticide, Fungicide, and Rodenticide Act. 

CANADA ONLY: Excludes any substance contained in pest control products 

as defined under the Pest Control Products Act. 

Chemical Substances in Products Not Described by Other Codes 

C980 Non-TSCA Use Chemical substances contained in products intended for consumer or 

commercial use that are not regulated by TSCA should be reported under this 

code. Examples of products with non-TSCA uses include pesticide, 

insecticide, rodenticide and fungicide formulations; food or drink for humans 

or animals; articles intended for use in the diagnosis, cure, mitigation, 

treatment, or prevention of disease in humans or animals; substances intended 

to be applied to the human body other than soap; any radioactive source 

material, special nuclear material, or byproduct material; pistols, revolvers, 

fire arms, or ammunition; and tobacco or tobacco products. 

C999 Other (specify)