# Instructions for the 2012 TSCA Chemical Data Reporting

U.S. Environmental Protection Agency Office of Pollution Prevention and Toxics

July 2011HIGHLIGHTS OF 2012 TSCA CHEM ICAL DATA REPORTING (CDR)

• The determination of the need to report is based on production volum e during calendar year 2011.

• Information on the reportable chemical subs tance 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 subs tances listed on the TSCA Inventory, both organic and inorganic, other than polymers, microorganisms, naturally occurring chemical substances, certain forms of natural ga s, and water (40 CFR 711.5 and 711.6) when manufacture (including import) of those chem ical substances meet s the other reporting requirements. Chemical substances that are the subject of any of certain listed TSCA actions may not be eligible for par tial or full exemptions (40 CFR 711.6).

• Manufacturers (including importers) are requir ed to report full ma nufacturing 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 requir ed to report processing and use data, for calendar year 2011, for all reportable chemi cal 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 re porting of processing and use information.

• Small manufacturers are exempt from CDR requirements unless they manufacture (including import) 25,000 lb or more of a chemi cal 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 claime d as confidential; however, such claims must be made at the time of submission and s ubstantiated 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 reasonabl y 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 Substa nce 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 TS CA Inventory? (Question B) ........................ 2-9 2.1.3 Is Your Chemical Substance Potentially Exempt from Reporting? (Question C) ................................................................................................... 2-1 2 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 W ho 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 Prin cipal 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 Substa nce Subject to Reporting Due to Its TSCA Regulatory St atus? (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) 100,00 0 lb or More of the Chemical Substance During the Principal Re porting Year? (Question I) ................................ 2-24 2.3.2 Is Your Chemical Substance Subject to Full Reporting due to Its TSCA Regulatory or Consent Agreemen t 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 Nu mber and Email Address (Blocks 1.C.3 and 1.C.4) ..................................................................................................... 4-8TABLE 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 Substanc e 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. Manuf acturing Information ............................................................. 4-15 4.7.1 Confidentiality of Company In formation (Block 2.B.1) ......................................... 4-15 4.7.2 Confidentiality of Site Info rmation (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 Au thorized 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 fo r Joint Subm itters ....................................................................... 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 Tertia ry 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 Po rtion of the TSCA Inventory ..................................... 7-1TABLE 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 Partia lly 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-1iv 

# LIST OF FIGURES

Figure 2-1. Decision Logic Diagra m for Evaluating Step I ......................................................... 2-2

Figure 2-2. Decision Logic Diagram for Ev aluating Whether a Byproduct Chemical Substance is Subject to the CDR Rule......................................................2-7 Figure 2-3. Decision Logic Diagra m for Evaluating Step II.........................................2-16

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

# LIST OF TABLES

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

Table 2-1. Chemical Substances Cove red by the Exemption for Certain Forms of Natural Gas ........................................................................................ ....... 2-13

Table 2-2. Examples of Evaluating Subs tances for the Naturally Occurring Exemption (40 CFR 711.6(a)(3)) ............................................................................. 2-11

Table 2-3. Production Volume Threshol d Examples .......................................................... 2-17

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

Table 2-5. Examples of Manufacturing/Im porting Activities Under Circumstances Which Do/Do Not Require Reporting ...................................................................... 2-21

Table 2-6. Examples of Reporting Requireme nts for Information Described in 40 CFR 711.15(b)(4).........................................................................2-21

Table 4-1. ID Code for Chemi cal Identifying Numbers ............................................................ 4-14

Table 4-2. Examples of Reporting Production Volu me for Part II – Manufacturing Information....................................................................................4-19

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

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

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

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

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

Table 4-8. Examples of Reporting Industria l 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 ..................................................................... 4-3 1

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 Chemicalvi Identity CBI Claims (from 40 CF R 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)) ........................................................ 5-4vii PREFACE

As part of the Inventory Update Reporting (IUR) Modifications final rule, EPA changed the identification of th e 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 he lp 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 requirem ents on the regulated community or on the U.S. Environmental Protection Agency (EPA).

Manufacturers (including importers) are requ ired by the CDR rule to report to EPA information concerning the manufacturing, proce ssing, and use of certain chemical substances listed on the TSCA Chemical Substance Inventor y. 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 actio n promulgated on August 16, 2011. Manufacturers (including importers) are subject to the revised reporting requir ements based on manufacturing (including importing) activities co nducted during the principal re porting 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 Ex change (CDX). e-CDRweb is a web-based reporting tool that allows ma nufacturers (including importers ) to file a paperless CDR submission and receive instant re ceipt confirmation of their subm issions. Electronic reporting is expected to significantly reduce erro rs in the reported data.

This guidance document contains th e following chapters and appendices:

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

• Chapter 2 - Reporting requirements to determine which chemical substances are reportable, who must report, and what in formation 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 docum ents 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 part ially 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 ru le, EPA changed the identification of the regulation from IUR to Chemical Data Reportin g (CDR). Throughout this document, EPA has retained the use of the term "IUR" to reflect historical te rminology and has used the term "CDR" to describe the revise d reporting requirements.

In 1977, the U.S. Environmental Protection Ag ency (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 Inventor y (TSCA Inventory). In 1986, EPA promulgated the Inventory Update Reporting (IUR) rule, also under TSCA section 8(a) , to facilitate the periodic updating of th e TSCA Inventory and to support activities associ ated with implementing TSCA. The IUR rule has been amended since198 6, most recently in 2011. At that time, EPA returned the frequency of repor ting to once every four years, modified reporting thresholds, updated definitions, revised industrial classi fications, modified situations in which confidentiality may be claimed, and began requir ing electronic submissi on 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 screens hots of the e-CDRweb tool are provided throughout this document to guide you th rough the completion of your Form U. These screen shots are not based on actual data, but are hy pothetical situations generated to assist submitters in completing Form U. Appendix A provides a glossa ry 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. Y ou should carefully review 40 CFR Part 711 to determine whether you are required to report in formation in response to CDR requirements.

To comply with the CDR rule, it is impor tant 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 fo r specific changes are available in the preambleChapter 1.0 Introduction

1-2 to the rule. Descriptions of th e 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 Ag ency’s overall information needs;

• Make data more available to the public; and

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

Additionally, EPA developed the electron ic 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 re quired 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 repor ting 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 identi ty 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-Manufact ure Notice (PMN) Number as part of a chemical identity.Chapter 1.0 Introduction

1-3Revisions 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 r ecycled, 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 w ith 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 co mmercial 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 obt ainable” reporting standard with the “known to or reasonably ascertainable by” repo rting standard (40 CFR 711.15 (b)(4)). Requirement for a U.S. address added for importers Adds the requirement of a U.S. ad dress 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 ascerta inable 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 in tervals thereafter. (40 CFR 711.20)Chapter 2.0 Reporting Requirements

2-1 

# 2.0 Reporting Requirements

This chapter explains the reporting requi rements for the 2012 CDR reporting cycle. CDR reporting requirements apply to manufacturers (inc luding 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 requireme nts of this rule (40 CFR Part 711). You must register with CDX to submit on line, and you must register the name of the company on whose behalf you are submitting a Form U. EPA will no l onger accept paper submissions or electronic media (diskette, CD-Rom, etc. ) for any CDR submission.

If you reported under the 2006 IUR, you shoul d review the reporting requirements carefully because they have changed. You ma y be required to report information on chemical substances that you did not need to repor t 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 CF R 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 pres ents a decision logic diagram to assist you in determin ing whether you manufacture a CDR reportable chemical substance. The following subsections explain each ques tion in greater detail. You should consider the following three steps to determine whet her you are required to report for each chemical substance that you domestic ally manufacture (including import) into the United States during the principal reporting year (i.e., calendar year 2011):

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

• Step II: Are you a manufacturer (includi ng 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 Diagr am 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 manufactur e or manufacturer. The follow ing 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 NoChapter 2.0 Reporting Requirements

2-3 combination of chemical substances. Wh en a chemical substance, manufactured other than by import, is:

(1) produced exclusively for another pers on 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 tec hnology 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 obtaini ng an immediate or eventual commercial advantage for the manufacturer, and includes among othe r 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, in cluding 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 manu facture, processing, use, or disposal of another chemical substance or mixt ure, 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 adva ntage 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 substan ce 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 to ll manufacturer and the contracting party would be considered the co -manufacturers of the ch emical substance.

For purposes of the CDR rule, a chemical substance is manufactured (including imported) only if it is manufact ured (including imported) for commercial purposes. See TSCA Section 8(f), TSCA Section 3( 7), and 40 CFR 704.3, which incl udes 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. Manufact ure for commercial purposes also applies to chemical substances that are produced coincidentally dur ing the manufacture, proce ssing, use, or disposal of another chemical substance or mixture, in cluding both byproducts th at 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 pe rson, 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 prev ious reporting cycles.

As specified in the definition for manufacture , manufacturing by contract is a situation where the contracted person manufactures or prod uces the chemical substance exclusively for the contracting person, and where the contracting person specifies th e identity of the chemical substance and controls the total am ount produced and the basic techno logy 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 mi xture(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 subj ect 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 th e 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 priv ate 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” (s ee 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 th e 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 th e following important points.

• Regarding 40 CFR 720.30(g)(1), note that where a byproduct is burned as a fu el, and is also being burned for other non-exempt commercial purposes (e.g., if the com bustion 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 th e manufacture of white liquor which is then returned to the pulping process. The exemption under 40 CFR 720.30(g)(1) would not appl y 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 pr operties 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 fert ilizer 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 provisi ons at 40 CFR 720.30(g) are inapplicable.

• Regarding 40 CFR 720.30(g)(3), individual co mponent chemical substances extracted from a byproduct are reportable substances if they are extracted for a commercial purpose, even if the manufacture of the bypr oduct 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 chem ical bonds or forming new chemical bonds to convert a chemical subs tance 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 chem ically reacted in orde r to facilitate the separation of a desired component chemical s ubstance, such that the component chemical substance itself is not chemi cally changed before being ex tracted, then the process does constitute an extraction of the unchang ed component chemical substance.

Note: Small businesses are generally not required to report information under CDR. See Section 2.2.2 for discussion of the sma ll 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 E valuating Whether a Byproduct Chemical Substance is Subject to the CDR Rule

You should note that your byproduct may have a separate commercia l purpose even if you do not intentionally commercialize it. Y ou may be sending the byproduct, which you consider a waste, to another pers on or site. If that other person or site uses your byproduct inChapter 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 comp osition, and as such can be identified as a single chemical substance that represents the pr ocess stream. Complex chemical substances are listed on the TSCA Inve ntory 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, in cluding naming byproducts, see the examples below, and the Q&A document: Recycling and the TSCA Chem ical Substance InventoryPremanufacture Notification and Chem ical 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 comm ercial purpose and, af ter manufacture, is used for a separate commercial purpose, ma y be excluded from re porting under CDR by 40 CFR 720.30(g)(2). 40 CFR 720.30(g)(2) stat es that if the byproduct’s on ly 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 bypro duct is exempt from be ing reported under CDR. Examples 2-2 and 2-3 describe manufacturers th at 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, stat e, 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 sulf ur recovery plant gene rates 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 ac tivity conducted for the commercial purpose of operating a power plant. If th e elemental sulfur is then used for a commercial purpose (other than those listed in 40 CFR 720.30(g)), the energy co mpany may incur reporti ng obligations under the CDR rule for the byproduct sulfur ox ides as well as for the sulfur.Chapter 2.0 Reporting Requirements

2-9 If your byproduct is manufactured (including im ported) for commerci al purposes, and it is subsequently put to use for a commercial pur pose other than those listed in 40 CFR 720.30(g), you may be required to report this chemical s ubstance and should evalua te Question B on Figure 2-1 (see also Section 2.1.2).

Impurities

An impurity is a chemical substance whic h is unintentionally present with another chemical substance (40 CFR 704.3). Although impur ities may be produced for the purpose of obtaining a commercial advantage because they ar e 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 comme rcial 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 im purity 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 inform ation 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, wh ich 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 haza rdous secondary material used to make zinc fertilizers). The zinc fertilizer that is produced meets the re quirements 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 re quirements of any exemption in 40 CFR 261.4. The manufacturer wishes to dis pose 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 A BC provides this byproduct to another person who then disposes of it as a waste by spreading it on la nd 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 substa nces reported to EPA for inclusion on the TSCA Inventory. Free access to the non- confidential portion of the TS CA Inventory file, commonly referred to as the “public TSCA Inventory,” is available at http://www.epa.gov/oppt/existingchemi cals/pubs/tscainventory/index.html . The public TSCA Inventory contains chemical subs tances 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 (CB I). The TSCA Inventory status of chemical substances can also be determined from EPA’s S ubstance Registry Services (SRS), available at http://www.epa.gov/srs . See Section 2.1.3 for information a bout chemical substances that may be potentially exempt from reporting.

2.1.2.2 How Do You Determine Whether a Chem ical Substance is Listed on the TSCA Chemical Substance Inventory?

The following methods may help you determ ine whether your chemical substance is listed on the TSCA Inventory:

• Locate the chemical substance on the public sect ion 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 Comme ncement of manufacture or import for a PMN substance that was submitted to EPA.

Several commercial databases have inco rporated the public section of the TSCA Inventory (which excludes chemical substances with confidential iden tities) and can indicate whether a given chemical substance is listed on that portion of the TSCA Inventory. Because these databases are not genera ted or reviewed by EPA, th e 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 mixt ure or a single UVCB chemical substance. A mixture is any combin ation 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 s ubstances, the chemical substances that make it up, are potentially subject to reporting, as describe d below. A UVCB substanc e 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 co mposition are not precisely or completely known. A UVCB combination of chemical s is subject to reporting under CDR and is considered a single chemical substance. Genera lly, 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 earl y in the CDR process. The following discussion is presented with this generality in mind.

• If you imported a mixture, you will need to re port the individual chemical components of the mixture to the extent that your total vol ume 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 ch emical 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 exempti ons. If a chemical reaction has not occurred, you have not manufactured any reportable chem ical substances in the production of the mixture. In such a case, the production of the mixture has no t triggered any CDR reporting requirement.

• Domestic manufacturers and importers should al so consider whether the combination of the chemicals they have dome stically manufactured or impor ted (respectively) should be chemically identified for TSCA purposes as a single UVCB chemical substance instead of a mixture.

EPA has developed two Inventor y nomenclature guidance docume nts related to the mixtureUVCB determination titled: (1) Toxic Substances Control Act Inventory Representation For Chemical Substances Of Unknown Or Variabl e 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 mi xture of magnesium sulfate and water. The nonhydrous portion of the magnesium sulfate he ptahydrate mixture, magnesium sulfate, constitutes 48,838 lb, which exceeds the 25,000 lb threshold. Theref ore, 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 de termine 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 ru le. 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 substan ces (except for chemical substances that are exempted because they are naturally occurring) b ecome 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 o ccurring chemical substa nce 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 substa nce marked with “XU” or identified as being “TSCA IUR Exempt” subsequently becomes the s ubject of any of certa in 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 guida nce 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 fi ve categories of chemical substances, it is a CDR reportable chemical s ubstance and you should review STEP II of the reporting requirements (Section 2.2, Figur e 2-3). If your chemical subs tance is in one of the five categories, you should revi ew 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 virtua lly 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 siloxane s and silicones, silses quioxanes, rubber, lignin, polysaccharides (such as starch and gums), pr oteins (such as gelati n and hemoglobin), and enzymes. However, for chemical substances th at 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 am ino acids that is the re sult of hydrolysis of a polypeptide), the chemical substances are not c onsidered 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 re porting. 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 ot herwise excluded (40 CFR 711.6(a)(2)).

2.1.3.3 Certain Forms of Natural Gas

Table 2-1 identifies certain forms of natura l 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 chemi cal 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 o il, 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 ot her than just as described in section 710.4(b), you are required to report it un less 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 “natura lly occurring” depends on the manner in which it is produced andChapter 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 Chemic al Substances for the Naturally Occurring Exemption (40 CFR 711.6(a)(3))

y Calcined clays formed by heating natu rally 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. Chemic al substances that are processed by this means are considered to be “n aturally occurring.”

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

y Ammonia and nitric acid are generally produced by chemical synthesis and are, therefore, generally not considered to be “n aturally occurring.”

2.1.3.5 Water

Water, including both naturally occurri ng water and manufactured water (CASRN 7732- 18-5), is exempt from CDR reporting. While natura lly occurring water has always been exempt, the exemption for manufactured wate r 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 chem ical substances, chemical substances must be reported if they are the subj ect of any of the following (even if the chemical substance is otherwise exempt):

• A rule proposed or promulgated under Secti ons 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 cons ent agreement (ECA) between EPA and Company A, in which Company A is performing additiona l 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 Chem ical 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 determini ng 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 (inclu ding 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 (inclu ding import) a CDR reportable chemical substance, Figure 2-3 presents a de cision logic diagram that may help you determine whether you are a manufacturer (including im porter) who must report. The following subsections explain each ques tion in greater detail.Chapter 2.0 Reporting Requirements

2-16 Figure 2-3. Decision Logic Diagr am 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 Impor t) 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 ma nufactured (including imported) a chemical substance in production volumes of 25,000 lb or greater at any singl e site you owned or controlled during the principal reporting year. Fo r 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 si te for calendar year 2011 to determine whether the amount of the chemi cal 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 Chem ical 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 Chemi cal 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 pr oduction 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 comp any 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 Ch emical Substances in Mixtures

In many cases, reportable chemical substan ces are components of a mixture. Although mixtures themselves are not reportable, the 25,000 lb threshold is applicable for each CDRChapter 2.0 Reporting Requirements

2-18 reportable chemical substance comprising a mixtur e; therefore, the chemical substances making up a mixture may individually be reportable. If you manuf acture chemical substances as part of a mixture, you would determine your CDR repor ting requirements by following Questions A-E (Sections 2.1.1 through 2.2.1) for each chemical s ubstance in the mixtur e. As described in section 2.1.2.2, hydrates are mixtur es of the corresponding non-hydrat ed 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 whol e 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 UV CB 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 reportabl e. To do so, you would determine whether the annual aggregated volume of a pa rticular reportable chemical s ubstance was 25,000 lb or more at the site that controls the importation. Th e 25,000 lb threshold is applicable for each CDR reportable chemical substance in a mixture. You can determine the pr oduction volume for each chemical substance in the mixture that you impor ted 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 vol ume 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 th e 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 importe d 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 manuf acturing 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 me et either of the follo wing criteria (40 CFR 704.3):

• Your total sales during 2011, combined with th ose 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 th ose of your parent company, domestic or foreign (if any), are less than $40 million and you r annual production volume of that chemical substance does not exceed 100,000 lb at any indi vidual 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 asChapter 2.0 Reporting Requirements

2-19 a small manufacturer with respect to some chemi cal substances and not ot hers or with respect to some sites and not others.

For purposes of the definition of a small manuf acturer, total annual sa les include all sales of the company, not just the total sale s of a given chemical substance.

If you have determined that you are a sma ll 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 Sec tion 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 be en 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 Exem ption 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 vo lume 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 productio n volume at Site 3 exceeded 100,000 lb. Compan y 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 sale s 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 Repo rting Exemptions? (Question H)

If you manufacture a reportable chemi cal substance solely under the following circumstances, you are not required to report fo r those chemical substances under the CDR rule:

• The chemical substance is manufactured sole ly in small quantities for research and development (40 CFR 711.10(a)).

• The chemical substance is imported as pa rt 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) whic h has end-use function(s) depe ndent 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 ch anges resulting in co mposition which have no commercial purpose separate from that of the arti cle, and that result from a chemical reaction that occurs upon end use of other chemical substa nces, mixtures, or articles; except that fluids and particles are not considered articles regardless of sh ape 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 maintain ed 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 ma terials as articles, even if, for example, subsequent to import they are rolled or dr awn thinner, cut, printed, laminated, orChapter 2.0 Reporting Requirements

2-21 thermoformed, provided they meet the above defi nition. Chemical substances that are part of such articles are not subject to reporting under th e CDR rule. If the shape of an item does not serve a function with respect to the item’s end us e (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 consider ed 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 se ction 8(a) of TSCA (such as the Preliminary Assessment Informa tion Reporting (PAIR) ru le at 40 CFR Part 717, Subpart B), you are not require d 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/Importi ng 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 l eaves 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 pe llets. 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 ex emptions, you should evaluate Step III,Chapter 2.0 Reporting Requirements

2-22 described in the following section, to determ ine 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 compa ny and site identification information is required by 40 CFR 711.15(b)(1) and (b)(2). Ch emical identification and in formation 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 inform ation 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 diag ram to assist you in determining the CDR information you must report. The following subsectio ns explain each question in greater detail.Chapter 2.0 Reporting Requirements

2-23 Figure 2-4. Decision Logic Diagr am 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 NoChapter 2.0 Reporting Requirements

2-24 2.3.1 Did You Manufacture (Including Impor t) 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 cal endar year 2011, you must also repor t 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 manuf acturing 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. Manufacturer s (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 manu facturing information described in 40 CFR 711.15(b)(2) and (3 ) for those chemical substances.

Table 2-6. Examples of Repo rting 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 re port 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 producti on 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 ormore 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 cr iteria. If you manuf acture (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 de scribed further in the following sections to determine whether your ch emical 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 st reams, regardless of the production volume, do not need to complete Part III of Form U for these chemical substances. The chemical substances termed “p etroleum 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 info rmation. The specific chemical substances listed at 40 CFR 711.6(b)(2)(iv ) are also listed in Appendix C.

If your CDR reportable chemical substa nce manufactured (including imported) in quantities of 100,000 lb or more is partially exempt , you are required to repor t 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 dete rmine 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 require d 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 prio r 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 ar e 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 th rough 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 Fo rm 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 submi ssion, 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, i ndicating that your submitted information has been completed in compliance with the CDR requi rements and that any c onfidentiality claims are true and correct. To certif y, 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 res ponsibility for the person (or pers ons) completing the form. You must include the printed name, title, and email a ddress for the person signing the certification. See Section 6.3.1 for how to complete an electronic signature agreement.

This certification statement a pplies to all the information supplied on the form and should be signed only after the form has been comp leted. Note that knowi ngly providing false or misleading information or concealing required information may be punishable by fine or imprisonment or both unde r 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 ascerta inable 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 t echnical publications. For purposes of CDR, the known to or reasonably ascertainab le 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 pe rson similarly situated might be e xpected to possess, control, or know include:

• Files maintained by the submitter, such as ma rketing studies, sales reports, or customer
surveys;

• Information contained in standard references, su ch as MSDSs, that contain use information or concentrations of chemical substances in mixtures; and

• Information from the Chemical Abstracts Serv ice (CAS) and from Dun & Bradstreet D-U-NS®.

The following hypothetical examples illustrate the anticipated applic ation of the “known to or reasonably ascertainable standard,” in the specific contex t of the collection of processing and use data under the CDR. Because the standa rd applies on a case-by-case basis, however, these examples cannot substitute for a comple te analysis of a submitter’s particular circumstances:

Company XYZ discovers that it has no know ledge of how a particular reportable chemical substance (chemical substance #1) is processed or used by its customers. Company XYZ usually maintains marketing data documenting cu stomers’ use of its chemicals, in line with the reasonable business practices typical of comparable manufact urers, but it irrevocably lost these data for chemical substance #1 due to an inadvertent comput er malfunction. Company XYZ has many customers, but it expects that it could substantially r econstruct this missing information by briefly contacting its largest cust omer and asking that customer what chemical substance #1 is generally used for. Company XY Z 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 standar d. Company XYZ would not have fulfilled its duties under the reportin g standard if it had not endeavored to supplement the information it already knew.

Company XYZ has never maintained inform ation on how a particular reportable chemical substance (chemical substance #2) is pr ocessed 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 customer s but it expects that it could substantiallyChapter 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 re porting 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 substa nce #3). Comparable manufacturers typically only maintain such data on an annual basis, in lin e 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 c ould substantially reconstruct the missing summer marketing data by contacting its largest customer and asking the customer what it used or processed chemical substance #3 fo r in the past summer. Nevertheless, instead of attempting to reconstruct the summer data in th is manner, Company ABC reports on the basis of the processing and use data that it already know s (regarding the winter, spring, and fall of the year). Company ABC has likely fulfilled its duties under the reporting st andard. Company ABC would not have fulfilled its duties under the reporti ng 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 inform ation on how a particular reportable chemical substance (chemical substance #4) is pro cessed or used by its customers. However, it is typical for comparable manufactur ers to collect such informati on 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 unw illing 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. Comp any ABC reports that the information is “not known or reasonably ascertainable” to it. Compa ny ABC has likely fulfill ed its duties under the reporting standard.



### 4.3 Part I - Section A. Parent Company Information 2

You must provide information about your U. S. parent company. For purposes of CDR, your U.S. parent company is the highest leve l company, located in the United States, which directly owns at least 50 percen t of the voting stock of the ma nufacturer. This definition is limited to this context, is distinct from the more geographically broa d definition of "parent company" used in 40 CFR 704.3, and does not appl y to the determination of whether a person meets the small manufacturer exem ption. 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 compa ny of either the site ope rator or the owner with the largest ownership interest in the site.

2 See Sec 4.7.1 for information concerning CB I 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 ac curate. 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, lo cated 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 begi n 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 Bloc k 1.A.1. The number may be obtained from the treasurer or financial o fficer of the company.

D&B assigns separate numbers to subsidiari es 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 ag ent of the business. D&B recommends knowing basic information such as when the business orig inated, 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 fo r this service and you are not required to disclose sensitive financial information to get a number. For mo re 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. pare nt company name entered in Block 1.A.1, including the appropriate county or parish, using standard addr essing techniques as established by the U.S. Postal Service. Post office box numbe rs should be accompanied by a street address. If a post office box is liste d, it should be listed af ter the street address.



### 4.4 Part I - Section B. Site Information 3

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 nu mber, street address, city, county (or parish), state, and zip code.

Note: Information provided during CDX registrat ion 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 incomp lete, the authorized official should make the n ecessary changes in CDX.

3 See Sec 4.7.2 for information concerning CBI claims for Site Information.Chapter 2.0 When You Must Report

4-6 4.4.1 Special Provisions for Importers

The site where you import a chemical substan ce is considered the site of the operating unit within your organiza tion that is directly responsible for importing the chemical substance and that controls the import transaction (e.g., th e company’s U.S. headquarters). For CDR, all importers must provide a U.S. address for the co ntrolling site; this site may be your company’s headquarters in the United States. If there is no such operating unit or h eadquarters 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 ha ve 500,000 lb of Chemical X im ported from Japan to the Old Town plant site. The headquarters site in New To wn controls the import transaction and is the site reported on Form U.Chapter 2.0 When You Must Report

4-7 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 Numb er 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 (B locks 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 accomp anied by a street address. If a Post Office box is listed, it should be liste d after the street address.



### 4.5 Part I - Section C. Techni cal Contact Information 4

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 subs tance(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 cont act or multiple technical contacts, as provided by the new e-CDRweb tool. Submitters should consider, in selecting the techni cal contact, that EPA may have follow-up questions about a CDR submi ssion, one or more years after the submission date. The technical contact need not be the person who signed th e 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 technica l contact information provided during CDX registration will populate Section C. Please double check this information to ensure all required fields are co mplete and accurate. If any information is incorrect or incomple te, the authorized offici al should make the neces sary changes in CDX.

4 See Sec 4.7.3 for information concerning CB I 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 purchase s 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 deliv ered to Site 3. The headquarters in New Town controls the import transaction for all three sites, and therefore is respons ible for reporting all 500,000 lb of Chemical X. The site reported on Form U is New Town.Chapter 2.0 When You Must Report

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

Enter the name of the pers on whom EPA may contact for cl arification of information submitted on Form U. Enter the name of the company employing the technical contact.

4.5.2 Technical Contact Telephone Number and Em ail Address (Blocks 1.C.3 and 1.C.4)

Enter the technical contact’ s telephone number, including th e area code, and the contact’s email address.

4.5.3 Technical Contact Mailing Addre ss (Blocks 1.C.5 through 1.C.8)

Enter the technical contact’s full mailing addres s, using standard addr essing techniques as established by the U.S. Postal Service. Po st 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 Po st Office box number in Block 1.C.6.



### 4.6 Part II - Section A. Chemic al Substance Identification

You must use the Agency’s Substance Registry Services (SRS) to report the chemical substance identification informati on consisting of the currently correct Chemical Abstracts (CA) Index Name and the correct corre sponding Chemical Abstracts Se rvice (CAS) Registry Number (CASRN), as described in Sections 4.6.2 a nd 4.6.4. The SRS is EPA’s central system for information about chemical substances that are tr acked or regulated by EPA or other sources. ItChapter 2.0 When You Must Report

4-9 is the authoritative resource for basic informati on 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 mu st be reported separately for each CDR reportable chemical substance at yo ur 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 generi c name corresponding to the Accession Number will automatically be incorporated into your fo rm). See Section 4.6.1 for details on how to report confidential chemical substances.

You will be able to connect di rectly 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 Number s and generic chemical names will be listed for chemical substances on the confidential porti on of the TSCA Inventory. The use of the SRS to obtain the identities for all CDR reportable chem ical 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.Chapter 2.0 When You Must Report

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

If you wish to report a chemical substance li sted on the confidentia l 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 ch emical substances listed on the public version of the TSCA Inventory are alr eady publicly known. Therefore, claims for confidential treatment of the iden tity 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.Chapter 2.0 When You Must Report

4-11 CBI claims for chemical identity will be accepted only when accompanied by a separate written substantiation for the chemical substanc es claimed as CBI. Clicking “Click here” in the warning statement automatically triggers the subs tantiation questions. If you fail to substantiate the claim for confidentiality of the chemical identity in accordan ce with applicable rules, EPA may make the information available to the pub lic 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 sp ecific 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 confid ential 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.Chapter 2.0 When You Must Report

4-12 4.6.2 Chemical Substance Identi fying 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 ma y enter either a CASRN (Block 2.A.2) or the specific name of the chemical substa nce (Block 2.A.4) to select the appropriate CASRN/Chemical Abstracts (CA) Index Name combination from the SRS database.

EPA is requiring that you re port only the CASRN as a chemical identifying number, except in the case of confidential chemical subs tances. In the case of confidential chemical substances, EPA is requiring that you report on ly the TSCA Accession Number as a chemical identifying number. If, in the past, you reporte d using the PMN case numb er 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 cr oss-reference list that displays the Accession Number, generic chemical name, and the PMN cas e number (or for an initial TSCA Inventory substance, the TSCA Inventory re porting form number) for any c onfidential chemical substance Report the correct CASRN for your chemicalsubstance 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 chemicalidentity be confidential, report the EPAdesignated TSCA Accession Number. Each TSCA Inventory chemical substance has at least one of these types of numbers.Chapter 2.0 When You Must Report

4-13 listed on the TSCA Inventory. You can then select from the SRS the correct Accession Number corresponding to the confid ential chemical substance intended to be reported (the generic name corresponding to the Accession Number will automati cally be incorporated into your report).

There are certain circumstances where you occa sionally may not be sure of the particular PMN case number and Accession Number the Agen cy has assigned to on e of its confidential chemical substances, such that you would not be ab le 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 happe n if a certain PMN re presented 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 th e 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 No tice 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 th e responsibility of the submitter to contact the Agency for such informa tion in sufficient time to allow for the Agency to respond.

Please send requests for a TSCA Acce ssion 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 identif ying number you selected in the SRS will be entered in Block 2.A.1. See codes in Table 4-1.Chapter 2.0 When You Must Report

4-14 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 spec ific name of the chemical subs tance (Block 2.A.4) to select the appropriate CASRN/Chemical Abstracts (C A) Index Name combination from the SRS database.

In cases where a chemical substance is lis ted on the confidential portion of the TSCA Inventory, you are to report the chemical subs tance’s Accession Number which is listed on the non-confidential portion of the TS CA Inventory and is included in the SRS (the generic name corresponding to the Accession Number will automati cally be incorporated into your report). In order to continue to protect th e 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 w ill waive any CBI claim to the chemical identity and w ill result in the transfer of the chemical substance from the confidential portion of th e TSCA Inventory to the non-confid ential, publicly releasable, portion of the TSCA Inventory.

4.6.5 Special Provisions for Impo rters and Joint Submitters

You may report an alternate chemical name, and in the case of importe rs, a trade name, in those instances where your supplier will not disc lose 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 trad e name or other design ation 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 informati on for the supplier, a trade name or other designation for the chemical substa nce 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 th at you as a manufacturer comp leting a Form U cannot provide the complete chemical identity because you manu facture the reportable ch emical substance usingChapter 2.0 When You Must Report

4-15 a reactant having a specific chem ical identity claimed as conf idential 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 inform ation. 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 r eactant in a joint submi ssion. Such request must include instructions for submitting chemical iden tity information electronically using e-CDRweb and CDX (see 40 CFR 711.35), and for clearly referenc ing your submission. Contact information for the supplier, a trade name or ot her designation for the chem ical substance, and a copy of the request to the supplier must be included with your subm ission referencing the chemical substance.

In both cases, if the secondary submitter c hooses to respond to the primary submitter’s request, the secondary submitter would use e-CDRw eb to identify the chemical substance in question and the percent composition of each com ponent 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 cl early reference the Form U submission to which they refer. See Chapter 6.7 for more info rmation 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 confiden tial. In the event that you actually know the chemical identity of a chemical substance s ubject 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 ma nufacturing 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 fo r 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 conn ection 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 cl aim 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 automati cally triggers the subs tantiation questions. See Section 5.2 for information on completing the substa ntiation questions. If you fail to substantiate the site CBI claim in accordance with the appl icable rules, EPA may make the information available to the public wit hout further notice to you.Chapter 2.0 When You Must Report

4-16 You may claim the connection between chemical substance and site as confidential for some chemical substances for which you are re porting, 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 a ssociated with a different chemical substance.

EPA also has observed that submitters sometim es claim only their company identity, but not their site identity, as confidential. EPA w ill 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 fo r the link between the chemical substance and the techni cal contact information reported in Part I, Section C of Form U. You may claim this connecti on as confidential for some chemical substances for which you are reporting, while not making the claim for ot hers (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 manu facturing data elements that should be reported for your CDR reportable chemical subs tance for the calendar year 2011, the principalChapter 2.0 When You Must Report

4-17 reporting year for the 2012 submission period. If any information is not known or reasonably ascertainable by you (including your company), en ter or select “NKRA” for “not known or reasonably ascertainable” in the box corresponding to that data el ement. 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” designatio n as confidential.

4.7.4.1 Activity (Domestically Manufactu re and/or Import) (Block 2.B.4)

Check the box(es) that describe whethe r 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 substa nce domestically manufactured at your site during calendar year 2011, in pounds. Report the qua ntity 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).Chapter 2.0 When You Must Report

4-18 4.7.4.3 Imported Production Volume (Block 2.B.6)

Report the volume of chemical substa nce 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 nu meric format as described for Block 2.B.5, domestically manufactured produc tion volume. Imported and domestically manufactured production volumes are reported se parately for each chemical substance at each site.

Note that if you import various mixtures containing reportable ch emical substances, you should add all import volumes asso ciated with each chemical s ubstance. 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 ne ver physically at the re porting site (e.g., if you ship the chemical substance from a forei gn country directly to another location such as a warehouse, a processing or us e 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 domestic ally 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 accu rate to the extent known to or reasonably ascertainable by you. You should use the same nu meric 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 exporte d 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 + Bloc k 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.Chapter 2.0 When You Must Report

4-19 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. S ite 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 cale ndar year 2011 (40 CFR 711.15(b)(3)(vii)). For Block 2.B.10, use the drop down box to select the code co rresponding to the appr opriate range for the number of workers reasonably likely to be e xposed to a reportable chemical substance during manufacture. Table 4-3 shows the codes a nd ranges which appear in the drop down box.Chapter 2.0 When You Must Report

4-20 Table 4-3. Codes for Reporting Number of Wor kers 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, distributi on in commerce, or use of the chemical substance, is more likely to occur th an not to occur. Such exposures would normally include, but would not be limited to, activities such as chargi ng reactor vessels, drumming, bulk loading, cleaning equipment, maintenance opera tions, materials handling and transfers, and analytical operations. Covered exposures in clude exposures through any route of entry (inhalation, ingestion, skin contac t, absorption, etc.), but exclud es 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 substan ces are manufactured, processed, or used (e.g., production workers an d 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 s ubstance during loading or unloading. For example, workers engaged in the connection or disengage ment of hoses used to load or unload the chemical substance should be included. Howeve r, workers involved solely with transporting chemical substances in sealed containers that ar e totally enclosed with no potential for exposure should not be included.

In addition, when a site employs temporar y, 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 substan ce if they work in areas where the chemical substance is manufactured. The term does not include those employees whose jobs are not associated with poten tial exposures to a chemical substance or mixture (e.g., administrative staff who never enter areas wher e 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 equipmen t or for engineering controls that reduce but do not preclude exposure to a chemical substanc e; 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 expo sed to the chemical substance.

When there is no potential exposure to a ch emical 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 containe rs and resold without re packaging or is shipped from a foreign source directly to a customer.Chapter 2.0 When You Must Report

4-21 4.7.4.8 Maximum Concentration (Block 2.B.11)

Report the maximum concentration, measur ed 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 711.1 5(b)(3)(viii)).The concentration must be accurate to the extent that informati on is known to or reasonably ascertainable by you. In your determination of the maximum concentr ation, do not include concentrations of the product sent off-site for non-commer cial purposes (40 CFR 710.1(a)).

For each chemical substance, from the dr op 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 app ear 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. Repor t the code that corresponds to the appropriate range. Report the maximum concentration regardless of the va rious physical forms in which the chemical substance may be sent off-site or reacted on-s ite 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 as certainable by you whet her the manufactured chemical substance, such as a byproduct, is to be recycled, remanufactured, reprocessed, or reused.

By selecting “Yes,” you indicate that the manuf actured chemical substa nce, which otherwise would be disposed of as a waste, is being rem oved from the waste stream and is being used or reused for a commercial purpose.Chapter 2.0 When You Must Report

4-22 4.7.4.10 Physical Form and Percentage of Pro duction Volume (Blocks 2.B.13 through 2.B.19)

Report all physical forms of the chemical subs tance at the time it is re acted 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 re port as many physical forms as applicable by selecting the appropriate bloc ks which correspond to the fo llowing 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 th e 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 se nt off-site in more than one physical form, report all the physical forms in which it is sent o ff-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 liquo rs. During papermaking, wood pulping using the white liquor generates a black pulping liquor waste product, which is typi cally 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 pul ping process. The pulping liquors generated by the pulping cycle are CDR reportabl e chemical substances that are considered recycled, remanufactured, reprocessed, or reus ed. Block 2.B.12 should be selected for these chemical substances.Chapter 2.0 When You Must Report

4-23 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 subs tance manufactured at your site (includes domestically manufactured and imported volumes) during th e 2010 calendar year in pounds. Report the production volume to at least two si gnificant 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 volume s 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. S ee 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 comp lete Part III for the chemical substances at that site; instead, check the N/A box. Report indu strial processing and use information for each chemical substance manufactured (including impor ted) 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 shoul d report the processing and us e 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. Determinin g Percenta g e of Production Volume Company A domestically manuf actures 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 (2 4,000 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%Chapter 2.0 When You Must Report

4-24 The processing or use information should be repo rted 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 th erefore prepare its repo rt 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 manuf acturer (including importer) may have in their possession or control, plus all in formation that a reasonable pers on similarly situated might be expected to possess, control, or know. The inqui ry would be as extensiv e as a reasonable person, similarly situated, might be expected to perfor m within the organizati on. Information derived from customer surveys or other customer cont acts, like any other information, would be “known to” the submitter if it is availa ble after a reasonable inquiry with in the organization. The standard does not necessarily require th at 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 comp rehensive 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 as certainable” to the submitter for purposes of the CDR. However, to the extent th at 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 proce ssing and use information that is reported, the information is generally “known to or reasonably ascertainable.” Secti on 4.2 contains additional information on the “known to or reasonabl y ascertainable by” reporting standard.

If any information is not known or reas onably 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 th e 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 manufactur ed (including imported) in an amount of 100,000 lb or more, report up to ten unique combin ations of the following data elements: the Type of Process or Use Operation (TPU) (describ ed 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 comb ination of these three data elements defines a potential exposure scenario for risk-screening and priority -setting purposes. For ea ch 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 workersChapter 2.0 When You Must Report

4-25 (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 repr esent 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 re asonably ascertainable by you, use the drop down box to select the code which corresponds to the appropriate Type of Pro cessing or Use Operation (TPU) for the particular combina tion 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 th e 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 in formation to be reported for that particular type of processing or use ope ration under 40 CFR 711.15(b)(4). A pr ocessing or use code may be reported more than once if more than one IS an d/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.Chapter 2.0 When You Must Report

4-26 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) fo r all sites that receive a reportable chemical substance from you either directly or indirectly (includi ng through a broker/distributor, from a customer of yours, etc.) and that process and use of the reportable chemical s ubstance 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 combina tions of IFC and TPU codes.

Note that for the 2006 IUR, you were requi red to report five-digit North American Industrial Classification System (NAICS) codes. Beginning w ith the 2012 reporting, EPA is replacing the NAICS codes with IS codes. A listing identifying th e 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 de scription 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 manufacturingChapter 2.0 When You Must Report

4-27 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 electr onic product manufacturing IS42 Electrical equipment, applian ce, 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 th at corresponds to the appropriate Industrial Function Category (IFC) for each particular combin ation of TPU and IS that you report (40 CFR 711.15(b)(4)(i)(C)). Table 4-7 show s the codes and IFCs that appear in the drop down box. Descriptions for each IFC are provided in Appe ndix D. If you select U099 (Other), provide a description of the industr ial function of the chemical substan ce. Note that EPA revised the IFC descriptions and codes for the 2012 reporting.Chapter 2.0 When You Must Report

4-28 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 Bleachin g 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 produc tion volume that is attributable to each unique combination of TPU, IS, and IFC. The per centage should be accurate to the extent that it is known to or reasonably ascertainable by you. Round your estimates to the nearest 10 percentChapter 2.0 When You Must Report

4-29 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 combinati on that accounts for less than five percent of the total production vo lume to zero percent if the pr oduction 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 th at 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 asce rtain information about how all of your production volume is processed or used;

• More than 10 combinations of codes are ap plicable to your chemi cal substance; or

• You export a portion of the production volume.

Table 4-8 provides examples of reporti ng industrial processing and use data. How to determine your percent production volume:

1. Determine the production vol ume 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.Chapter 2.0 When You Must Report

4-30 Table 4-8. Examples of Reporting Indus trial 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 produc tion 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 ra nge for the total number of industrial sites, including those not under your contro l, that process or use each reported chemical substance to the extent that such information is know n or reasonable ascerta inable by you (40 CFR 711.15(b)(4)(i)(E)). In the event you both manufacture (including im port) and process or use the same reportable chemical substance at the repor ting plant site, your site would be counted as both a manufacturing site in Part II of Form U and a processing or us e site reported in Part III of Form U (40 CFR 711.15(b)(4)). Table 4-9 shows th e 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 Pro cess or Use Operation, Industrial Sector, and Industrial Function Category, estimate the total number of workers that are reasonably likely toChapter 2.0 When You Must Report

4-31 be exposed to the chemical substance at sites th at 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 chem ical substance, select from the drop down box the code that corresponds to the estimated range of the number of workers reasona bly 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 rang es which appear in the drop down box.

Table 4-10. Codes for Reporting Number of Wor kers 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, activit ies such as charging reactor vessels, drumming, bulk loading, cleaning equipment, maintenance operations, materials handling and transfers, and anal ytical operations. Covered expos ures include exposures through any route of entry (inhalation, inge stion, skin contact, absorption, et c.), 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 substan ces are manufactured, processed, or used (e.g., production workers an d foremen, process engineers, and plant managers). Workers employed to drive vehicles th at transport the chemical substances should be included in the number of worker s reasonably likely to be exposed to the chemical substance if they come into contact with the chemical subs tance during loading or unloading. For example, workers engaged in the connection or disengage ment of hoses used to load or unload the chemical substance should be included. Howeve r, 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 temporar y, 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 substan ce if they work in areas where the chemical substance is manufactured. The term does not include those employees whose jobs are unassociated with potent ial exposures to a chemical substance or mixture (e.g., administrative staff who never enter areas wher e 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 equipmen t or for engineering controls that reduce butChapter 2.0 When You Must Report

4-32 do not preclude exposure to a chemical substanc e; 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 expo sed 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 us e 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 ei ther directly or indire ctly (including through a broker/distributor, from a custom er, etc.) distributed the reporta ble chemical substance (40 CFR 711.15(b)(4)).

4.8.2.1 Product Category

You must designate up to ten product categorie s 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 repor ting tool will allow you toChapter 2.0 When You Must Report

4-33 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. Desc riptions 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 represen t 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)Chapter 2.0 When You Must Report

4-34 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 Pa rt 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 im ported) 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 conc entration 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 inte nded 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 questi ons about the product in to 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 cl eaning products, automotive supplies, and lubricants, typically are not inte nded to be used by children age 14 or younger. As such, if you determine that your chemical substance or mi xture is used in automotive care products and lubricants, for example, you would report “no” fo r children’s use for cat egories 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 El ectronic 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 specifica lly intended for use by children age 14
or younger

4.8.2.4 Percentage of Production VolumeChapter 2.0 When You Must Report

4-36 Estimate the percentage of your producti on 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 car ried out at sites under your control, as well as at sites that receive a reportable chemical subs tance 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 ascerta inable 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 specifi c 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 volum e of a reportable chemical subs tance 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 su ch cases, you must report the percentage of production volume attributable to that consumer and commercial product category to the n earest 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 pe rcent. Rounding to the nearest ten percent can result in summed percentages either above or below 100 percent. Additionally, the total pe rcentage of production volume may add up to le ss than 100 percent if, for example:

• You do not know or cannot reasonably as certain 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 substa nce 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 cons umer product, select from the drop down box the code that corresponds to the a ppropriate concentration range. Table 4-4 shows the codes and concentration ranges which a ppear in the drop down box.

4.8.2.6 Number of Commercial Workers Code

Report the total number of commercial work ers, including those at sites not under your control that are reasonably likely to be exposed while using the reportabl e chemical substance, with respect to each commercial use (40 CFR 71 1.15(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, se lect code which correspon ds 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 c onfidential business information (CBI) by checking the CBI box associated with selected data elements, responding to a series of substantiation questions for selected data elem ents, and ensuring that the signature of your authorized official accompanies any substantiati on. 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 an d confidentiality is no longer needed. CBI claims will not be accepted or honored if they are not assert ed 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 determini ng confidentiality found within 40 CFR 2.208. EPA’s procedures for proce ssing 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 car efully to ensure that the info rmation in question falls under the protection of TSCA Section 14 and fully meets the substantive questions with in the Part 2 rules. If you assert that any of the information contai ned in the answers to these questions itself contains CBI, you must clearly iden tify the information that is claimed confidential by marking the specific information on each page with a labe l 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 asse rt a confidentiality claim for the TSCA Accession Number corresponding to the co nfidential 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 an d 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 I II, 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 th e 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 chem ical substance is not on the public portion of the TSCA Inventory) (40 CFR 711.30(b)). If you report a previ ously confidential chemicalChapter 5.0 How to Assert Confidentiality Claims

5-2 substance as nonconfidential, that chemical substance subsequen tly will be listed on the TSCA Inventory as nonconfidential.

To assert a claim for the confidential ch emical identity associated with the TSCA Accession Number ,you must check the appr opriate 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 substa nce in question. If you answer “Yes” to question 11, write the file name in the text box and el ectronically 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, ha ve 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 be ing manufactured (including imported) for a commercial purpose available to the public, for example, in technical jo urnals, libraries, or State, local, or Federal agency public files? 6. What measures have you taken to prevent undesired di sclosure 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 iden tified 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 co urt made any pertinent confidentiality determinations regarding this chemical substance? If so, pl ease attach copies of such determinations.



### 5.2 Site Identity

You may assert a claim of c onfidentiality 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, zi p code, and Dun & Bradstreet nu mber. Note that claiming site identity confidential does not protect the link between the chemical identity and the companyChapter 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 appr opriate CBI box in Part II, Section B and substantiate your claim with detailed wr itten answers to the two questions (see Table 5-3) at 40 CFR 711.30(c)(1). Checking the CBI box for site id entity automatically triggers the substantiation questions. Note that conf identiality claims for both site and company information are to be made in conjunction wi th a specific chemical substance and cannot be made generically for a whole submission. For inst ance, 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 substan ce 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 comp any identity, even if the company name appears within the site iden tity 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 conf identiality for data associated with the processing and use information reported in Part III of Form U if yo u have reason to believe that release of the information would reveal trade secrets or confid ential 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 informa tion during the last repo rting cycle (2006), EPA now requires upfront substantiati on of CBI claims for these da ta. To assert a claim of confidentiality for data associat ed 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 tri ggers the substantiation questions. The answers must be complete and specific as to the chem ical substance and data element in question.Chapter 5.0 How to Assert Confidentiality Claims

5-4 Table 5-4. Substantiation Questions To Be An swered 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 subs tance that was not claimed as confidential? 2. What harmful effect, if any, to your competitive po sition 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 ascertain able 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 mo re 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-frie ndly, 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 Regist ry 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 ma king sure all the required fields are completed, allow you to create and save the subm ission for your records, and encrypt your file for submission through CDX.

Authorized officials and all suppo rt registrants must register to use the e-CDRweb tool at https://cdx.epa.gov . This registration requi res the completion of an electronic signature agreement (ESA) form. You can either submit the form electr onically 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 s ubmit an ESA electronically. If you are already registered with CDX for another TSCA program (e.g., th e New Chemicals program), as either an Authorized Official or S upport Registrant, you do not need to regi ster 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 reporti ng 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 availabl e 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 electr onically submit data to EPA. Registering your name, contact information, and informati on 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 electro nically to EPA; and • Copy of Record Download – allows you to do wnload 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 C DX 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 Offi cial (AO) who is the person responsible for signing the form and is responsibl e for the data). A site may also have one or more Support Registrants (SR) who complete Form U on behalf of the au thorized official. For purposes of CDX registration, the roles and access rights of an Au thorized Official and a Support Registrant are as follows:

 Primary Authorized Official --The Primary Authorized Of ficial 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, a nd 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 in dicates 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 th e 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 author ized official and sites. Benefits of Submitting Forms through CDX:

■ Reduces time and expense of mailing paper

■ Improves security using digital encryption

■ Eliminates errors associat ed with manual processing

■ Automates and expedite s validation and receipt acknowledgement

■ Minimizes follow-up phone calls for clarification and correctionChapter 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 si gn and submit a Form U. The Secondary AO, typically, is a senior offi cial for the secondary comp any, 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 author ized official for more than one plant site; therefore, there is a one-to-ma ny relationship between an author ized official and sites.

 Primary Support Registrant -- The Primary Support Regist rant 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 techni cal contact, a paid employee of the company, an outside consultant for the company, or an authorized repres entative agent for the company. Support registrants are not allowe d to create a new Form U or sign the certification statement required for the ini tial CDR submission, but they may enter or modify data for the site for which they are au thorized. 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 corporat e on-site contact, a technical contact, a paid employee of the company, an outside consultant for the company, or an authorized representative ag ent 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 th e registration process.

d. Accept the Terms and Conditions regi stration 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 asteri sk. 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 regi stration form for CDX and helps ensure that all electronic signature holders ar e responsible parties. If you represent multiple sites, you will be able to genera te 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. C lick “Finished” to complete your online registration as a submitter for the 2012 CD R. 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 Questionna ire.” Each time you enter CDX, thereafter, you will be prompted with one randomly select ed 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 Cu rrent 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 yourChapter 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. Sear ch 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 Chemi cal Submission System homepage. Choose “Chemical Data Reporting (CDR)” as your submission type and click “Ok.”

Step 8: Begin usin g the e-CDRweb tool

Complete Parts I-III of Form U for all you r reportable chemical substances as described in Section 4 of this document. Y ou 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 th at 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 hype rlink 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” li nk to start the registration process.

d. Accept the Terms and Conditions regi stration agreement. You will be directed to the Registration page.

e. Complete all required information noted with a red asteri sk. 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 w ill trigger the electronic signature agreement process.

Step 2: Enter the Authorized Official’s CDX User IDChapter 6.0 How to Submit Your Form U to EPA

6-6 Enter the CDX user ID of the Author ized Official for whom you will be submitting information. If you enter the Author ized Official’s user ID correctly the system will ask for further verification. Afte r 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 ente red during CDX registration along with terms of agreement for use of the electronic si gnature, and your signa ture. This form is the main registration form for CDX and helps ensure that all electr onic signature holders are responsible parties. Complete and elec tronically 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. C lick “Finished” to complete your online registration as a Support Regist rant. You will be taken to th e 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 Questionna ire.” Each time you enter CDX, thereafter, you will be prompted with one randomly select ed 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 Cu rrent 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. Sear ch results will be returned displaying: EPA Registry ID, Facility Name, and Address.

Step 8: Click the “OPPT Chemical Submission System” linkChapter 6.0 How to Submit Your Form U to EPA

6-7 You will be taken to the OPPT Chemi cal Submission System homepage. Choose “Chemical Data Reporting (CDR)” as your submission type and click “Ok.”

Step 9: Begin usin g the e-CDRweb tool

Complete Parts I-III of Form U for all you r reportable chemical substances as described in Section 4 of this document. Y ou 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 th at 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., +, ?, a nd *). You can create and use the same passphrase for all your reporting sites.

A passphrase can only be created by an Aut horized Official fo r 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 re sponsible for remembering your passphrase and distributing it to only authorized Support Regi strants for your site.Chapter 6.0 How to Submit Your Form U to EPA

6-8 

### ***NOTE: If you lose or forget your pass phrase, 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 passphr ase for the reportable chemical substance(s) at your site . For security reasons, th e system administrator will not have access to your passphrase and will no t be able to retriev e it or reset it to a new one.

6.5 Submitting Form U through CDX

Follow these instructions to submit Form U. Pleas e 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 th e reportable chemical substa nces at your site, click the “Submit” button at the bottom of the scree n. Note that only an Authorized Official can sign and submit a Form U.Chapter 6.0 How to Submit Your Form U to EPA

6-9 Step 2. Please correct all errors and review all warnings on the valida tion page to ensure the information is complete and correct.

Step 3. Print or save a courtesy copy of your Fo rm U submission. This document is for your personal records only. DO NO T 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 woul d like to make changes to your Form U submission.

Step 7. Check the status of your submission through CDX.Chapter 6.0 How to Submit Your Form U to EPA

6-10 After the file is processed and the signature validated, messages will be sent to the registered email address and the associated C DX inbox. These messages will confirm receipt of the CDR submission and valid ation of the signature.

To maintain the confidentiality of inform ation submitted to EPA, e-CDRweb encrypts submissions using a Federal Information Proc essing Standards (FIPS) certified encryption module. The submission is encrypted by the re porting tool and rema ins encrypted during transmission to CDX, while stored and archived in CDX, and during tr ansmission 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 pos sesses 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 se ssion. The tool will save all data entered on a page once you navigate away from the pa ge (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.Chapter 6.0 How to Submit Your Form U to EPA

6-11 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 no t be able to edit any information. However, multiple people can edit di fferent 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 re veal the chemical identity of a confidential component of the mixture. In this case, the im porter 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 th e 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 ma nufacturer cannot provide the entire chemical identity of a chemical substan ce it manufactures because the chem ical substance is manufactured using a reactant having a specific chemical iden tity that the reactant supplier claims as confidential and will not reveal to the manufactur er. 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 iden tity. Furthermore, the manufacturer must also ask the reactant supplier to di rectly provide to EPA the corr ect chemical identity of the confidential reactant in a joint subm ission (see 40 CFR 711.15(b)(3)(i)(B)).

A Primary AO or a Primary SR can identif y, 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-CDRw eb 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 cas e that the ID number refe rs to a mixture. In that situation, the Secondary AO will be identifyi ng the chemical substances that comprise the mixture.

Because signatures are required by each pa rty of a joint submission, they must each register with CDX, and complete their own sec tions 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 th e 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 in formation that the Secondary AO reports to EPA. This way, the confidentiality of informa tion 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 (inc luding importer) actually knows or can reasonably ascertain the chemical identity (e .g., the CASRN or Accession Number) of a chemical substance subject to CDR reportin g, the manufacturer (incl uding importer) mustChapter 6.0 How to Submit Your Form U to EPA

6-12 provide that information irrespective of a su pplier’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 substa ntiation 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 Manufactu rer (including Importer)

If you are a manufacturer (including importer), as primary submitter, you should:

1. Register with CDX as a Prim ary Authorized Official orPrimary Support Registrant. See section 6.3 for instructions on registering with CDX.

2. Complete Parts II and III of Form U for a ll your reportable chemical substances as described in Section 4 of this documen t. 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 – Chemi cal 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 in formation about the trade name product (e.g., chemical substances that you know are components of the trade name product) in Block 2.A.6.Chapter 6.0 How to Submit Your Form U to EPA

6-13 Follow the instructions in the box la beled “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 secondarysubmitter 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 registeri ng with CDX and completing Part IV of Form U. You can indicate whether you woul d like the tool to send a copy of your email to EPA, thereby provi ding 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 th e 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.Chapter 6.0 How to Submit Your Form U to EPA

6-14 3. Submit the form to EPA via CDX. Please ve rify 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 EP A. 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 subm itter decides to provide you directly with the required trade name product inform ation, you should change your submission type and submit a single submission.

6.7.2 Submitting as a Supplier

If you are a supplier, as s econdary submitter, you should:

1. Register with CDX as a “Secondary Aut horized Official” or “Secondary Support Registrant.” See section 6.3 fo r 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 subm it the ESA electronically. Please allow adequate time for the mailing and processing of the form, wh ich 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 ag ain. 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 populat e 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.Chapter 6.0 How to Submit Your Form U to EPA

6-15 b. Section B: Secondary Technical Contact Information (Blocks 4.B.1 through 4.B.10)

You are responsible for designating a techni cal contact for your company. Select the contact from the drop down list of Support Re gistrants or enter information for a new technical contact. If you select from the list of Support Regist rants, the technical contact information (name, phone number, mailing address, etc.) will populate Section B. Please double check this inform ation 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 w ho 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 an swer such questions. The technical contact need not be the person who signs the certification statement.Chapter 6.0 How to Submit Your Form U to EPA

6-16 c. Section C: Primary Company Information

Enter the Unique Identifier for Joint Su bmissions number provided to you by the manufacturer (including importer). Click the “Populate” but ton to generate the trade product name provided by the manufact urer (including importer). Verify the information and click the “Next” button to enter the information to identify the chemical substance.Chapter 6.0 How to Submit Your Form U to EPA

6-17 d. Section D: Trade Product Id entification Information

In this section of the Form U, ente r 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 I ndex Name and CASRN for the chemical substance from the SRS.

The reporting tool is directly linked to the nonconfidential po rtion of the TSCA Inventory through the SRS database, which lists all chemical substances on the TSCA Inventory. Most chemical substa nces are identified by CA Index Name and CASRN. Chemical substances listed on the confidential portion of the TSCA Inventory are identified in SRS usi ng a TSCA Accession Number and generic name. In the case of a chemical substa nce listed on the confid ential 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 ch emical identity associated with the Accession Number is subject to a confid entiality claim when it is reported by aChapter 6.0 How to Submit Your Form U to EPA

6-18 secondary submitter. See Section 6.7.3 for more information on reporting a chemical substance listed on the confiden tial portion of the TSCA Inventory. In addition, EPA will presume that the inform ation 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 s ubject 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 informati on associated with the chemical substance in Block 4.D.3.

e. Submit the file to EPA via CDX. Please ve rify that all fields are correct on the preview screen.

6.7.3 Reporting a Confidential Chemical Substance

In the case of confidential chemical subs tances, report the TSCA Accession Number (the generic name corresponding to the Accession Numb er 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 thatChapter 6.0 How to Submit Your Form U to EPA

6-19 displays the Accession Number, generic chemi cal 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 substan ce and may be used to represent multiple specific chemical identities. The TS CA 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 No tice 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 th e responsibility of the submitter to contact the Agency for such informa tion in sufficient time to allow for the Agency to respond.

Please send requests for a TSCA Accessi on 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 Pollu tion 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 s upplier 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 co mpany 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 wi th CDX and use the Unique Identifier for Joint Submissions, sent to the forei gn supplier by the manufacturer (inc luding 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 confid entiality 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 Aut horized Official” or “Secondary Support Registrant.” See Section 6.3 for inst ructions on registering with CDX.Chapter 6.0 How to Submit Your Form U to EPA

6-20 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 populat e 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 t echnical contact for your company. Select the contact from the drop down list of Suppor t Registrants or enter information for a new technical contact. If you se lect from the list of Support Registrants, the technical contact information (name, phone number, mailing address, etc.) will populate Section B. Please double check this inform ation 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 w ho can answer specific questions about the reported chemical substance(s) in your CDR Form U submission. Typically, a person located at the manufacturing si te 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 Identifie r 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 Id entification Information

In this section of the Form U, ente r 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 I ndex Name and CASRN for the chemical substance from the SRS.

The reporting tool is directly linked to the nonconfidential po rtion of the TSCA Inventory through the SRS database, which lists all chemical substances on theChapter 6.0 How to Submit Your Form U to EPA

6-21 TSCA Inventory. Most chemical substa nces are identified by CA Index Name and CASRN. Chemical substances listed on the confidential portion of the TSCA Inventory are identified in SRS usi ng a TSCA Accession Number and generic name. In the case of a chemical substa nce listed on the confid ential portion of the TSCA Inventory, a tertiary submitter doe s not need to claim the underlying chemical identity CBI or provide upfront substantiation. For such a chemical substance, EPA will presume that the ch emical 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 mo re information on reporting a chemical substance listed on the conf idential 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 s ubject 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 informati on associated with the chemical substance in Block 4.D.3.

e. Submit the file to EPA via CDX. Please ve rify that all fields are correct on the preview screen.Chapter 6.0 How to Submit Your Form U to EPA

6-22 

### 6.8 Correcting or Updating 2012 CDR Submissions

If you wish to make a correction or additi on 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 S upport 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 Offici al 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 wi ll be sent to EPA by CDX. The act of correcting errors in Form U submissions under the CDR does not grant the pers on making the correction immunity from enforcement action for a ny possible violations of the CDR rule.

If the reporting period is comi ng 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 Registra nt(s). They will be notified that the Form U submission must be signed and submitted to EP A 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 year s 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 stat us 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 doc ument your reasons for not filing Form U.

If you qualify as an exempt small manufactur er, you need to keep records only for those chemical substances that you are required to re port; however, in claiming an exemption, you bear the burden of documenting that you qualify for the exemption.Chapter 6.0 How to Submit Your Form U to EPA

6-23 

### 6.10 Requesting a Copy of Record

You may obtain a copy of record of your Fo rm U, in accordance with the Cross-Media Electronic Reporting Rule (CROME RR). 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 availabl e shortly after the submission is completed. If a Form U is printed prior to submission, it will contain a waterm ark 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 Do cuments Cited in These Instructions

7-1 

# 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 th e 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/existingche micals/pubs/tscainventory/index.html . To search the non-confidential portion of the TSCA Inventory, companie s and individuals can download a Microsoft Access file or Comma Se parated Value (CSV) text file.Chapter 6.0 How to Obtain Copies of Do cuments Cited in These Instructions

A-1 

# Appendix A

Glossary

The definitions and descriptions of term s 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 articl e, and that result from a chemic al reaction that occurs upon end use of other chemical substances, mixtures, or ar ticles; except that flui ds 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 anothe r 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 in structions for registering to submit electronic documents.

Chemical substance means any organic or inorganic s ubstance 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 mate rial, 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 subj ect 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 Do cuments Cited in These Instructions

A-2 processed, or distributed in commerce for us e 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 articl e) in a commercial enterprise providing saleable goods or services.

Consumer use means the use of a chemical substan ce 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, in cludes only the States, the District of Columb ia, 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 c ontaining a substance or mixture mean to sell, or the sale of, the substanc e, 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 hol ding of, the substance, mixture, or article after its intr oduction 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 terr itory of the United States, and includes: (i) the person primarily liable for the payment of any duties on th e merchandise, or (ii) an authorized agent acting on hi s/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 custom s territory of the United States consists of the 50 States, Puerto Rico, and the Di strict of Columbia. (40 CFR 704.3)

Impurity means a chemical substance which is unintentionally pres ent with another chemical substance. (40 CFR 704.3)Chapter 6.0 How to Obtain Copies of Do cuments Cited in These Instructions

A-3 Industrial function means the intended physical or ch emical characteristic for which a chemical substance or mixture is consumed as a reactant; incorporated into a formulation, mixture, reaction product, or ar ticle; 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 stat e 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 marketi ng 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 ma nufacture of other chemical substances or mixtures, or that is intentionall y present for the purpose of alte ring 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 in formation that a reasonable pers on similarly situated might be expected to possess, contro l, or know. (40 CFR 704.3)

Manufacture means to manufacture, produce, or import for commercial purposes. Manufacture includes the extraction, for commer cial purposes, of a component chemical substance from a previously existing chemical s ubstance 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, a nd (2) that other person specifies the identity of the chemical substance and controls the total am ount produced and the basic technology for the plant process, th en that chemical substance is co-manufactured by the producing manufacturer and the person c ontracting 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, su ch “manufacture” of any amount of a chemical substance or mixture: (i) For commercial distribution, including for test marketing. (ii) For use by the manufacturer, incl uding 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 manufact ure, processing, use, or dis posal of another substance orChapter 6.0 How to Obtain Copies of Do cuments Cited in These Instructions

A-4 mixture, including both byproducts that are separated from that other substance or mixture and impurities that remain in that substance or mi xture. Such byproducts and impurities may, or may not, in themselves have commercial value. Th ey are nonetheless produced for the purpose of obtaining a commercial advantage si nce they are part of the manu facture 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 Substan ces Inventory compiled under section 8(b) of the Act. It includes substances reported under Part 710 of this chapte r 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 ch apter.

Microorganism means any combination of chemical s ubstances that is a living organism and that meets the definition of microorgani sm at 40 CFR 725.3. Any chemical substance produced from a living microorganism is reporta ble 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 whic h occurs, in whole or in part, as a result of a chemical reaction if none of the chemical s ubstances comprising the combination is a new chemical substance and if the combination co uld have been manufact ured 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) pro cessed only by manual, mechanical, or gravitational means, by dissolution in water, by fl otation, 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 manufacture d, including the reaction ve ssel in which it is manufactured, equipment which is ancillary to the reaction ve ssel, and any equipment through which the substance passes during a continuous fl ow process, but not in cluding tanks or other vessels in which the substance is stored after its manufact ure. (40 CFR 704.3)

Person means any individual, firm, company, cor poration, joint venture, partnership, sole proprietorship, association, or any other busines s entity; any State or political subdivision thereof, or any municipality; any interstate body; and any departme nt, 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 Abstract s (CA) Index Name in the Master Inventory File, where the asterisk (*) in th e 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) a nd silicone(s), silsesquioxane(s), a protein (albumin, casein, gelatin, gluten, hemo globin), an enzyme, a polysaccharide (starch, cellulose, or gum), rubber, or lignin. The pol ymer exclusion does not apply to a polymericChapter 6.0 How to Obtain Copies of Do cuments Cited in These Instructions

A-5 substance that has been hydrolyze d, depolymerized, or otherwise ch emically modified, except in cases where the intended product of this reac tion 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 fo r 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 commerci al purposes, then the impurities also are processed for commercial purposes. (40 CFR 704.3)

Processor means any person who processes a chem ical 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, activit ies such as charging reactor vessels, drumming, bulk loading, cleaning equipment, maintenance operations, materials handling and transfers, and anal ytical operations. Covered expos ures include exposures through any route of entry (inhalation, inge stion, skin contact, absorption, et c.), but excludes accidental or theoretical exposures.

Repackaging means the physical transfer of a chemical substance or mixture, as is, from one container to another containe r 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. Propert y divided only by a public right-of-way shall be considered one site. More than one plant may be locate d 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 physical ly 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 author ized to accept servic e of process for the importer.Chapter 6.0 How to Obtain Copies of Do cuments Cited in These Instructions

A-6 (c) For portable manufacturing units sent out to different lo cations from a single distribution center, the di stribution center shall be considered the site.

Site-limited means a chemical substance is manuf actured and processed only within a site and is not distributed for commercial purposes as a substan ce 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 commer cial purposes outside th e site at which it is manufactured and processed, the substance is considered to have b een manufactured and processed for commercial purposes.

Small quantities solely fo r research and development (or “small quantities solely for purposes of scientific experimenta tion or analysis or chemical rese arch on, or analysis of, such substance or another substance, including such research or analysis fo r the development of a product”) means quantities of a chemical substance manufactur ed, imported, or processed or proposed to be manufactured, im ported, or processed solely for research and development that are no greater than reasonably necess ary for such purposes. (40 CFR 704.3)

State means any State of the United States, th e 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 th e United States. (TSCA 3(13))

Submission period means the period in which manu facturing, 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 substa nce, by a manufacturer or proce ssor, to no more than a defined number of potential customers to explore mark et capability in a comp etitive situation during a predetermined testing period prio r 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 compa ny, located in the United States, that directly owns at l east 50 percent of the voting stock of the manufacturer.

Use means any utilization of a chemical subs tance or mixture that is not otherwise covered by the terms manufacture or process . Relabeling or redistri buting a container holding a chemical substance or mixture where no repack aging of the chemical substance or mixture occurs does not constitute use or processing of the chemical substance or mixture.Appendix B Ch emical Substances that are the Subject of Certain TSCA Actions

B-1 

# Appendix B

Chemical Substances that are th e Subject of Cert ain 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 s ubstances) of chemical substances that are the subject of a rule, proposed or pr omulgated 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 gr anted under a civil action un der 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 descripti on 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 prop osed 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 secti on 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 propo sed 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 §711.8Appendix B Ch emical 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 re lied 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 th ey are the subject of ce rtain TSCA actions as noted above. The exemptions for polymers, inor ganic chemical substances, or microorganisms do not apply for chemical substances on these lis ts. The exemption for small businesses does not apply to some of the chemical substances on th ese 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 Ch emical 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 4Appendix B Ch emical 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 4Appendix B Ch emical 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 4Appendix B Ch emical 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 Ch emical 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 Ch emical 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 Ch emical 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 Ch emical 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 Ch emical 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 Ch emical 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 Ch emical 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 Ch emical 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 Ch emical 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 Ch emical 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 Ch emical 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 Fe deral 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 Environm ental effects January 9, 1989

84–75–3 Di- n -hexyl phthalate Environmental effects; Chemical fate January 9, 1989

100–40–3 4-Vinylcyclohexene Health effect s; Chemical fate September 23, 1991
106–91–2 Glycidyl methacrylate H ealth 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 Environm ental effects January 9, 1989
141–78–6 Ethyl acetate Health effects January 23, 1995Appendix 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 ether 1 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 Environm ental 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 ether 1 Health effects June 11, 1996

16245–97–9 n -Octadecyl glycidyl ether 1 Health effects June 11, 1996
26761–40–0 Diisodecyl phthalate Chemical fate January 9, 1989
38954–75–5 Tetradecyl glycidyl ether 1 Health effects June 11, 1996
68081–84–5 Alkyl (C 10 -C 16 ) glycidyl ether 1 Health effects June 11, 1996
68515–47–9 Ditridecyl phthalate (mixed isomers) Chemical fate January 9, 1989Appendix B Chemical Substances that are the Subject of certain TSCA Actions

B-20 CAS Re g istr y 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 (C 12 -C 14 ) glycidyl ether 1 Health effects June 11, 1996
84852–15–3 4-Nonylphenol, branched Environmental effects; Chemical fate February 21, 1990

120547-52-6 Alkyl (C 12 -C 13 ) glycidyl ether Health effects March 22, 1996
142844–00–6 Refractory ceramic fibers Exposure monitoring May 14, 1993

1 As represented by alkyl (C 12 -C 13 ) 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); thes e lists are included below. Note that inorganic ch emical 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 Term ed “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 towerAppendix 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 paraffinicAppendix 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 (petro leum), heavy naphthenic distillate decarbonization 64742–09–2 Raffinates (petrole um), 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 middleAppendix 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 (pet roleum), 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 heavyAppendix 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), crudeAppendix 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 waxe s (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 distilla te 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-r un naphtha stabilizer, hydrogen sulfide-freeAppendix C Partially Exempt Chemicals

C-7 CAS Registry Number Product 68308–10–1 Tail gas (petroleum), straight-run dis tillate 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), hydrod esulfurized light catalytic cracked 68333–26–6 Clarified oils (petroleum), hydrodesulfurized catalytic cracked 68333–27–7 Distillates (petroleum), hydrodesul furized intermediate catalytic cracked 68333–28–8 Distillates (petroleum), hydrod esulfurized 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-cr acked, 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), hydrotreat ed 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, C4-5Appendix 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 reform er fractionator residue, intermediate-boilingAppendix 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 st eam-cracked petroleum distillates, C8-10 fraction 68477–40–7 Distillates (petroleum), cracked stripped st eam-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, C5-1 0 fraction, mixed with light steam-cracked petroleum naphtha C5 fraction 68477–58–7 Distillates (petroleum), steam-crac ked 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 polym d. naphtha stabilizer overhead, C2-4-rich 68477–77–0 Gases (petroleum), catalytic reformed naphtha stripper overheadsAppendix 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. splitterAppendix 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, cataly tic 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 Naphth a (petroleum), light cataly tic 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, ethyle ne oxide absorber-reactorAppendix 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 offAppendix 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 crack ed 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-productAppendix 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), refineryAppendix 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 so ur 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), fluidize d catalytic cracker splitter residues 68919–20–0 Gases (petroleum), fluidize d catalytic cracker splitter overheads 68919–37–9 Naphtha (petroleum), full-range reformed 68920–06–9 Hydrocarbons, C7-9Appendix 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 h ydrocarbon 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, fluidi zed catalytic cracker an d gas oil desulfurizer overhead fractionation 68955–34–0 Gases (petroleum), straight-run na phtha 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 sulf ur compounds, gasoline al k. 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 desulfurizedAppendix 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, C15-18Appendix 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 cyclicAppendix 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 Xylitol96-10-6 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 Phenylalanine563-43-9 Aluminum, dichloroethyl1070-00-4 Aluminium, trioctyl1116-70-7 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 oilAppendix 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 A12075-68-2 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-oil68424-61-3 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 basinAppendix 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 devel oped by EPA to assist persons submitting information in response to 40 CFR 711.15(b)(4) a nd reported in Part III of CDR Form U. For more information, see EPA’s document, “Invento ry Update Rule (IUR) Amendment Technical Support Document: Exposure-Related Data Useful for Chemical Risk Screening” and “Inventory Update Rule (IUR) Technical Support Docume nt: Selection of Consumer and Commercial Product Categories” located in the ru lemaking record (EPA-HQ-OPPT-2004-0054).

Table D-1: Processing or Use Operation Descriptions

Code Operation Description

PC Processing as a reactant Chemical substa nce is used in chemi cal 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 substa nce 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 substa nce 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 Pharmaceutic al 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 Func tion 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 p hosphates, 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 surf ace 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 oxi dative 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 in clude 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 prov ide 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 sulf ate, silicates, clays, zinc oxide and aluminum oxide. U010 Finishing agents Chemical substances used to impart such functions as softening, staticproofing, wrinkle resistance, and wa ter 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 creat e mechanical or thermal energy through chemical reactio ns, or which are added to a fuel for the purpose of controlling the rate of r eaction 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 variou s 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 sy stem. 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. Examplesgenerally 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 sensiti zers, 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 attach ing 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, trime llitates, 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, et chants, 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 othe rwise 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. Exam ples 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 struct ure 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 synthe sis, extracting and purifying other chemicals, dissolving other substances, and similar activities. Examples of laboratory chemicals in clude 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 ad ditives 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 propertie s such as water/soil/stain repellence, wrinkle resistance, or flame resistan ce 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 clot h 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, pr otect, 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, ge l, 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 co mmercial use should be reported under this code. Examples of air care products includ e 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 fo r 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 elect rical and electronic products that are intended for consumer or commercial use should be reported under this code. Examples of electrical and electronic products in clude 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
p roducts 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 includ e 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 ar e 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 popco rn 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 product s Chemical substances contained in rubber and plastic products not covered elsewhere that are intended for cons umer or commercial use should be reported under this code. Examples of plastic and rubber products not covered elsewhere include tires, showercurtains, non-metal cookware (nonelectric), non-food specific containers (b ags, 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 im age 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 prod ucts 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, polishe s, cleaners, and sealers; car wash solutions; vinyl/rubber/plastic protectants; automotive carpet and upholstery cleaners; wheel and tire care products; ex terior trim protectants; and touch-up paint products. This code does not in clude antifreeze, de-icing products, or lubricants.
C402 Lubricants and greases Chemical substances contai ned 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, es pecially water, to reduce the freezing point of the mixture, or applied to surf aces to melt or prevent build up of ice that are intended for consumer or comm ercial use should be reported under this code. Examples of products in clude antifreeze liquids, windshield deicers, aircraft de-icers, lock release ag ents, 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, in crease 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 an d 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 ag ents, 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 (def oamers 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 (a ny 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 am endments, 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 inte nded for use in the diagnosis, cure, mitigation, treatment, or prevention of disease in hu mans or animals; substances intended to be applied to the human body other than soap; any radioactive source material, special nuclear material, or b yproduct material; pistols, revolvers, fire arms, or ammunition; and tobacco or tobacco products.
C999 Other (specify)