Instructions for the 2012 TSCA Chemical Data Reporting

Instructions for the
2012 TSCA Chemical Data Reporting

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

July 2011

HIGHLIGHTS OF 2012 TSCA CHEMICAL DATA REPORTING (CDR)
• The determination of the need to report is based on production volume during calendar year
2011.
• Information on the reportable chemical substance must be reported during the 2012 CDR
submission period, February 1, 2012 to June 30, 2012 (40 CFR 711.20).
• All reporting companies must report CDR data electronically, using e-CDRweb, the CDR
web-based reporting tool, and EPA’s Central Data Exchange (CDX) system. Prior to
submitting data, submitters must register with CDX.
• Reporting is required for all chemical substances listed on the TSCA Inventory, both
organic and inorganic, other than polymers, microorganisms, naturally occurring chemical
substances, certain forms of natural gas, and water (40 CFR 711.5 and 711.6) when
manufacture (including import) of those chemical substances meets the other reporting
requirements. Chemical substances that are the subject of any of certain listed TSCA
actions may not be eligible for partial or full exemptions (40 CFR 711.6).
• Manufacturers (including importers) are required to report full manufacturing data, for
calendar year 2011, and production volume only, for calendar year 2010, for all reportable
chemical substances, when 2011 site-specific production volume equals or exceeds 25,000
lb (40 CFR 711.15(b)).
• Manufacturers (including importers) are required to report processing and use data, for
calendar year 2011, for all reportable chemical substances, when 2011 site-specific
production volume equals or exceeds 100,000 lb (40 CFR 711.15(b)). Inorganic chemical
substances are no longer exempt from the reporting of processing and use information.
• Small manufacturers are exempt from CDR requirements unless they manufacture
(including import) 25,000 lb or more of a chemical substance that is the subject of a rule
proposed or promulgated under sections 4, 5(b)(4), or 6 of TSCA, or is the subject of an
order in effect under section 5(e) of TSCA, or is the subject of relief that has been granted
under a civil action under sections 5 or 7 of TSCA (40 CFR 711.9) and (TSCA §
8(a)(3)(A)(ii)). See Appendix B for further information.
• Information submitted under CDR may be claimed as confidential; however, such claims
must be made at the time of submission and substantiated in accordance with the CDR rule.
Submitters must provide upfront substantiation of confidentiality claims for processing and
use information as well as for confidentiality claims for site or chemical identity. A blank
response or a response that is designated as “not known or reasonably ascertainable” may
not be claimed as confidential (40 CFR 711.30).
• Visit the CDR Web site (http://www.epa.gov/cdr or http://www.epa.gov/iur) for program
updates and announcements, other guidance materials for 2012 reporting, and contact
information for technical assistance.

TABLE OF CONTENTS
1.0 
1.1 
1.2 
2.0 
2.1 

2.2 

2.3 

3.0 
4.0 
4.1 
4.2 
4.3 

4.4 

4.5 

Page
Introduction .................................................................................................................... 1-1 
Background and Statutory Authority ............................................................................... 1-1 
Changes From 2006 IUR Requirements and Rationale for Changes .............................. 1-1 
Reporting Requirements ............................................................................................... 2-1 
Step I: Is Your Chemical Substance Subject to the CDR Rule? ...................................... 2-1 
2.1.1  Is Your Chemical Substance Manufactured for Commercial
Purposes? (Question A) 2-2 
2.1.2  Is Your Chemical Substance on the TSCA Inventory? (Question B)........................ 2-9 
2.1.3  Is Your Chemical Substance Potentially Exempt from
Reporting? (Question C) ................................................................................................... 2-12 
2.1.4  Is Your Chemical Substance Ineligible for an Exemption Due to Its
TSCA Regulatory or Enforceable Consent Agreement Status? (Question D) ................. 2-14 
Step II: Are You a Manufacturer Who Is Required to Report? ..................................... 2-15 
2.2.1  Did You Manufacture (Including Import) 25,000 lb or More of the Chemical
Substance at a Single Site During the Principal Reporting Year? (Question E) ..... 2-17 
2.2.2  Do You Qualify For a Small Manufacturer Exemption? (Question F) ................... 2-18 
2.2.3  Did You Manufacture a Chemical Substance Subject to Reporting Due
to Its TSCA Regulatory Status? (Question G) .................................................................. 2-19 
2.2.4  Do You Qualify for Any Other Reporting Exemptions? (Question H) ................... 2-20 
Step III: What Information Must You Report? .............................................................. 2-22 
2.3.1  Did You Manufacture (Including Import) 100,000 lb or More of the Chemical
Substance During the Principal Reporting Year? (Question I) ................................ 2-24 
2.3.2  Is Your Chemical Substance Subject to Full Reporting due to Its TSCA
Regulatory or Consent Agreement Status? (Question J) .................................................. 2-25 
2.3.3  Is Your Chemical Substance Listed as a Petroleum Process Stream?
(Question K)……………................................................................................................. 2-25
2.3.4  Is Your Chemical Substance Listed as a Chemical for Which There
is Low Current Interest in the CDR Processing and Use Information? (Question L) ..... 2-25 
When You Must Report ................................................................................................ 3-2 
Instructions for Completing CDR Form U .................................................................. 4-1 
Certification ..................................................................................................................... 4-1 
Reporting Standard .......................................................................................................... 4-1 
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 
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 
Part I - Section C. Technical Contact Information .......................................................... 4-7 
4.5.1  Technical Contact Name and Company Name (Blocks 1.C.1 and 1.C.2) ................. 4-8 
4.5.2  Technical Contact Telephone Number and Email Address
(Blocks 1.C.3 and 1.C.4)..................................................................................................... 4-8 
i

TABLE OF CONTENTS (Continued)
4.5.3  Technical Contact Mailing Address (Blocks 1.C.5 through 1.C.8) ........................... 4-8 
Part II - Section A. Chemical Substance Identification ................................................... 4-8 
4.6.1  Confidentiality of Chemical Substance Information (Block 2.A.1) ........................ 4-10 
4.6.2  Chemical Substance Identifying Number (Block 2.A.2) ......................................... 4-12 
4.6.3  ID Code (Block 2.A.3) ............................................................................................. 4-13 
4.6.4  Chemical Name (Block 2.A.4)................................................................................. 4-14 
4.6.5  Special Provisions for Importers and Joint Submitters ............................................ 4-14 
4.7 
Part II - Section B. Manufacturing Information............................................................. 4-15 
4.7.1  Confidentiality of Company Information (Block 2.B.1) ......................................... 4-15 
4.7.2  Confidentiality of Site Information (Block 2.B.2) ................................................... 4-15 
4.7.3  Confidentiality of Technical Contact Information (Block 2.B.3) ............................ 4-16 
4.7.4  Reporting Manufacturing Information for Calendar Year 2011 (Blocks 2.B.4.2.B.20)……………………………………………………………………………..4-16 
4.7.5  Reporting Production Volume (PV) for the Year 2010 (Block 2.B.20) .................. 4-23 
4.8 
Part III - Processing and Use Information ..................................................................... 4-23 
4.8.1  Part III - Section A. Industrial Processing and Use Data (Blocks 3.A.13.A.10……………………………………………………………………………...4-24 
4.8.2  Part III - Section B. Consumer and Commercial Use Data (Blocks 3.B.13.B.10)……………………………………………………………………………..4-32 
5.0 
How to Assert Confidentiality Claims.......................................................................... 5-1 
5.1 
Chemical Identity ............................................................................................................. 5-1 
5.2 
Site Identity ...................................................................................................................... 5-2 
5.3 
Processing and Use Information ...................................................................................... 5-3 
5.4 
CBI Claims for “NKRA” Responses ............................................................................... 5-4 
5.5 
Negative Responses for Products Intended for Use by Children ..................................... 5-4 
6.0 
How to Submit Your Form U to EPA .......................................................................... 6-1 
6.1 
The e-CDRweb Tool ........................................................................................................ 6-1 
6.2 
The Central Data Exchange (CDX) ................................................................................. 6-1 
6.3 
Registering with CDX...................................................................................................... 6-2 
6.3.1  Registering as a Primary Authorized Official ............................................................ 6-3 
6.3.2  Registering as a Primary Support Registrant ............................................................. 6-5 
6.4 
Creating a Passphrase ...................................................................................................... 6-7 
6.5 
Submitting Form U through CDX ................................................................................... 6-8 
6.6 
Accessing Your Site’s Data Before Submission ............................................................ 6-10 
6.7 
Special Instructions for Joint Submitters ....................................................................... 6-11 
6.7.1  Submitting as a Manufacturer (including Importer) ................................................ 6-12
6.7.2 Submitting as a Supplier…………………………………………………………...6-14
6.7.3  Reporting a Confidential Chemical Substance ........................................................ 6-18 
6.7.4  Submitting as a Tertiary Submitter .......................................................................... 6-19 
6.8 
Correcting or Updating 2012 CDR Submissions ........................................................... 6-22 
6.9 
Recordkeeping Requirements ........................................................................................ 6-22 
6.10  Requesting a Copy of Record ........................................................................................ 6-23 
7.0 
How to Obtain Copies of Documents Cited in This Guidance Document ................ 7-1 
7.1 
Obtaining Copies of the TSCA Rules .............................................................................. 7-1 
7.2 
Obtaining Copies of the Public Portion of the TSCA Inventory ..................................... 7-1
4.6 

ii

TABLE OF CONTENTS (Continued)
Appendices
Appendix A—Glossary………………………………………………………………………...A-1
Appendix B—Chemical Substances that are the Subject of Certain TSCA Orders,
Proposed or Final TSCA Rules, or Relief Granted under Civil Actions,
or Consent Agreements........................................................................................B-1
Appendix C—Chemical Substances Partially Exempt from Reporting in 2012……………….C-1
Appendix D—Descriptions for Codes for reporting Processing or Use Operations,
Industrial Sectors, Industrial Function Categories, and Consumer and
Commercial Product Categories………………………………………………..D-1

iii

LIST OF FIGURES
Figure 2-1. Decision Logic Diagram for Evaluating Step I ......................................................... 2-2
Figure 2-2. Decision Logic Diagram for Evaluating Whether a Byproduct Chemical
Substance is Subject to the CDR Rule……………………………………………...2167
Figure 2-3. Decision Logic Diagram for Evaluating Step II…………………………………..2-14

Figure 2-4. Decision Logic Diagram for Evaluating Step III..………………………………..Error! Bookmark n

iv

LIST OF TABLES
Table 1-1. Changes Made to the CDR Rule by the 2011 Amendments………………………1-2
Table 2-1. Chemical Substances Covered by the Exemption for Certain
Forms of Natural Gas ............................................................................................... 2-13
Table 2-2. Examples of Evaluating Substances for the Naturally Occurring
Exemption (40 CFR 711.6(a)(3)) ............................................................................. 2-11
Table 2-3. Production Volume Threshold Examples

.......................................................... 2-17

Table 2-4. Small Manufacturer Exemption Examples (40 CFR 711.8) .................................... 2-20
Table 2-5. Examples of Manufacturing/Importing Activities Under Circumstances
Which Do/Do Not Require Reporting ...................................................................... 2-21
Table 2-6. Examples of Reporting Requirements for Information Described in
40 CFR 711.15(b)(4)……………………………………………………………….2-21
Table 4-1. ID Code for Chemical Identifying Numbers ............................................................ 4-14
Table 4-2. Examples of Reporting Production Volume for Part II – Manufacturing
Information…………………………………………………………………………4-19
Table 4-3. Codes for Reporting Number of Workers Reasonably Likely to be Exposed ......... 4-20
Table 4-4. Codes for Reporting Maximum Concentration ........................................................ 4-21
Table 4-5. Codes Corresponding to Industrial Processing or Use Operations .......................... 4-26
Table 4-6. Industrial Sectors ...................................................................................................... 4-26
Table 4-7. Codes for Reporting Industrial Function Categories (IFCs) .................................... 4-28
Table 4-8. Examples of Reporting Industrial Processing and Use Information ........................ 4-30
Table 4-9. Codes for Reporting Numbers of Sites ..................................................................... 4-30
Table 4-10. Codes for Reporting Number of Workers Reasonably Likely to be
Exposed During Processing and Use ..................................................................... 4-31
Table 4-11. Product Category Codes ......................................................................................... 4-33
Table 4-12. Examples of Products Intended for Use by Children ............................................. 4-35
Table 5-1. Special Considerations for Asserting Confidentiality Claims .................................... 5-1
Table 5-2. Substantiation Questions To Be Answered When Making Chemical
v

Identity CBI Claims (from 40 CFR 711.30(b)(1)) ...................................................... 5-2
Table 5-3. Substantiation Questions To Be Answered When Making Plant
Site Identity CBI Claims (40 CFR 711.30(c)(1))........................................................ 5-3
Table 5-4. Substantiation Questions To Be Answered When Making Processing and Use
Information CBI Claims (40 CFR 711.30(d)(1)) ........................................................ 5-4

vi

PREFACE
As part of the Inventory Update Reporting (IUR) Modifications final rule, EPA changed
the identification of the regulation from IUR to Chemical Data Reporting (CDR). Throughout
this document, EPA has retained the use of the term "IUR" to reflect historical terminology and
has used the term "CDR" to describe the revised reporting requirements.
The primary goal of this document is to help the regulated community comply with the
requirements of the CDR rule. This document does not substitute for that rule, nor is it a rule
itself. It does not impose legally binding requirements on the regulated community or on the U.S.
Environmental Protection Agency (EPA).
Manufacturers (including importers) are required by the CDR rule to report to EPA
information concerning the manufacturing, processing, and use of certain chemical substances
listed on the TSCA Chemical Substance Inventory. The CDR requirements have changed since
the last collection, which occurred in 2006 and was based on 2005 production data. EPA
amended the IUR rule in a final action promulgated on August 16, 2011. Manufacturers
(including importers) are subject to the revised reporting requirements based on manufacturing
(including importing) activities conducted during the principal reporting year (calendar year
2011). The 2012 submissions are due by June 30, 2012, and must be submitted via the Internet
using e-CDRweb and EPA’s Central Data Exchange (CDX). e-CDRweb is a web-based
reporting tool that allows manufacturers (including importers) to file a paperless CDR
submission and receive instant receipt confirmation of their submissions. Electronic reporting is
expected to significantly reduce errors in the reported data.
This guidance document contains the following chapters and appendices:
• Chapter 1 - Introduction to the CDR and changes made since the 2006 reporting cycle.
• Chapter 2 - Reporting requirements to determine which chemical substances are reportable,
who must report, and what information must be reported.
• Chapter 3 - When you must report.
• Chapter 4 - Instructions for completing Form U.
• Chapter 5 - How to assert confidentiality claims.
• Chapter 6 - How to submit your Form U to EPA.
• Chapter 7 - How to obtain copies of documents cited in this guidance document.
• Appendix A - Glossary.
• Appendix B - Chemical substances that are the subject of certain TSCA orders, proposed or
final TSCA rules, relief granted under civil actions, or consent agreements.
vii

• Appendix C - Chemicals substances partially exempt from reporting in 2012.
• Appendix D - Descriptions of codes for reporting Processing or Use Operations, Industrial
Sectors, Industrial Function Categories, and Consumer and Commercial Product Categories.

viii

Chapter 1.0

Introduction

1.0 Introduction
1.1

Background and Statutory Authority

As part of the IUR Modifications final rule, EPA changed the identification of the
regulation from IUR to Chemical Data Reporting (CDR). Throughout this document, EPA has
retained the use of the term "IUR" to reflect historical terminology and has used the term "CDR"
to describe the revised reporting requirements.
In 1977, the U.S. Environmental Protection Agency (EPA) promulgated a rule under the
Toxic Substances Control Act (TSCA) section 8(a), 15 U.S.C. 2607(a), to compile and keep
current an inventory of chemical substances in commerce in the United States. This inventory is
called the TSCA Chemical Substance Inventory (TSCA Inventory). In 1986, EPA promulgated
the Inventory Update Reporting (IUR) rule, also under TSCA section 8(a), to facilitate the
periodic updating of the TSCA Inventory and to support activities associated with implementing
TSCA. The IUR rule has been amended since1986, most recently in 2011. At that time, EPA
returned the frequency of reporting to once every four years, modified reporting thresholds,
updated definitions, revised industrial classifications, modified situations in which
confidentiality may be claimed, and began requiring electronic submission of CDR data over the
Internet using the e-CDRweb reporting tool and EPA’s Central Data Exchange (CDX). EPA’s
CDX is the point of entry on the Environmental Information Exchange Network for
environmental data submissions to the Agency. It allows you to file a paperless CDR submission,
significantly reducing data errors, and receive instant receipt confirmation of your submission.
This document, which pertains to EPA CDR reporting during 2012, updates the previous
guidance issued for reporting in 2006 to incorporate instructions relevant to 2012 reporting. It
provides detailed information and examples to assist manufacturers (including importers) in
reporting under the CDR rule. Sample screenshots of the e-CDRweb tool are provided
throughout this document to guide you through the completion of your Form U. These screen
shots are not based on actual data, but are hypothetical situations generated to assist
submitters in completing Form U. Appendix A provides a glossary of CDR terms, which may
help you to understand the 2012 reporting requirements.
This document is not a substitute for the CDR rule in 40 CFR Part 711. To the extent
that any inconsistencies exist between the CDR rule and this document, the requirements as
promulgated in the rule should be followed. You should carefully review 40 CFR Part 711 to
determine whether you are required to report information in response to CDR requirements.
To comply with the CDR rule, it is important to have a thorough understanding of the
TSCA Inventory and the procedures available to determine whether a chemical substance is
listed on the TSCA Inventory. Chapter 7 of this guidance document explains how you can obtain
copies of TSCA rules, including the CDR rule, and access the non-confidential TSCA Inventory.

1.2

Changes From 2006 IUR Requirements and Rationale for Changes

In 2011, EPA changed the 2006 IUR requirements by promulgating the CDR
Modifications rule. Details on EPA’s rationale for specific changes are available in the preamble
1-1

Chapter 1.0

Introduction

to the rule (XX FR XXXXX) (FRL- 8872-9). Descriptions of the major changes are included in
Table 1-1. In summary, EPA amended the IUR rule to:
•
•
•
•
•

Clarify reporting requirements;
Improve the quality of data submitted and entered into the Agency’s database;
Better match data collected with the Agency’s overall information needs;
Make data more available to the public; and
Reduce, to the extent possible, the paperwork burden on both regulated entities and EPA.

Additionally, EPA developed the electronic CDR reporting tool, e-CDRweb, to
incorporate these changes.
Table 1-1. Changes Made to the IUR Rule by the 2011 Amendments
Change

Description

How to Report
CDX registration required

All submitters (including joint submitters) are required to register with
EPA’s Central Data Exchange (CDX) to submit their CDR reports
electronically. Paper submissions will no longer be accepted.

Use of electronic reporting tool, e- Requires electronic reporting of CDR data through the Internet, using
CDRweb, required
EPA’s CDX and the electronic reporting tool, e-CDRweb.
Who is Required to Report
Manufacturers (including
importers) of chemical substances
over 25,000 lb/site/yr

Requires reporting if the production volume of a chemical substance met or
exceeded the 25,000 lb threshold during the principal reporting year (i.e.,
calendar year 2011) (40 CFR 711.8(a)).

Manufacturers (including
importers) of chemical substances
that are potentially exempted
under 40 CFR 711.6

Provides that chemical-specific reporting exemptions do not apply to any
chemical substance that is the subject of an enforceable consent agreement
(ECA) (40 CFR 711.6).

What to Report
Revisions to company and
chemical identity reporting

Requires manufacturers (including importers) to report: (40 CFR
711.15(b)(2) and 711.15(b)(3)(i))
• The company name and mailing address belonging to the U.S.
parent company.
• The currently correct Chemical Abstracts (CA) Index Name, as
used to list the chemical substance on the TSCA Inventory, as part
of the chemical identity.
• The Chemical Abstracts Services (CAS) Registry Number or
TSCA Accession Number, as part of the chemical identity.
Submitters can no longer use the Pre-Manufacture Notice (PMN)
Number as part of a chemical identity.

1-2

Chapter 1.0

Introduction

Revisions to manufacturingrelated data elements

Requires manufacturers (including importers) to report: (40 CFR
711.15(b)(3)(iii)-(vi))
• The production volume for calendar year 2010.
• For the principal reporting year (i.e., 2011) only:
o The production volume of a manufactured (including
imported) chemical substance used at the reporting site.
o Whether an imported chemical substance is physically at
the reporting site.
o The volume of the chemical substance directly exported
and not domestically processed or used.
o Whether a manufactured chemical substance, such as a
byproduct, is being recycled, remanufactured,
reprocessed, or reused.

Reporting of processing and use
information required for chemical
substances manufactured at
100,000 lb or more (unless
exempted)

Replaces the 300,000 lb threshold with 100,000 lb. For the principal
reporting year only, requires reporting of processing and use information of
all reportable chemical substances manufactured at 100,000 lb or more,
unless otherwise exempted (40 CFR 711.15(b)(4)).

Revisions to industrial processing
and use-related data elements

Revises the list of industrial function categories. Replaces the reporting of
NAICS codes with Industrial Sector codes (40 CFR 711.15(b)(4)(i)(B)).

Revisions to consumer and
commercial use-related data
elements

Revises the list of consumer and commercial product categories. In
addition, separates reporting of consumer or commercial codes and adds an
indication of the number of commercial workers on the reporting form (40
CFR 711.15(b)(4)(ii)).

“Readily obtainable” reporting
standard replaced

For the reporting of processing and use information required by 40 CFR
711.15(b)(4), replaces the “readily obtainable” reporting standard with the
“known to or reasonably ascertainable by” reporting standard (40 CFR
711.15 (b)(4)).

Requirement for a U.S. address
added for importers

Adds the requirement of a U.S. address for importers and clarifies
procedures for joint submissions between importers and their foreign
manufacturer counterparts (40 CFR 711.3 definition for site; 40 CFR
711.15(b)(3)(i)(A)).

Other Changes
Definitions

Reorganizes and consolidates existing definitions and adds new definitions
including manufacture, manufacturer, site, and definitions related to
electronic reporting and chemical processing and use (40 CFR 711.3).

Water fully exempted from
reporting

Eliminates the need to report water (both naturally occurring and
manufactured) under CDR; removes water from the petroleum streams
partial exemption (40 CFR 711.6).

New requirement for upfront
substantiation for claiming
confidential business information

Upfront substantiation is required for each processing and use data element
claimed as confidential business information (40 CFR 711.30 (d)).

Confidentiality claims for certain
information disallowed

Confidentiality claims for processing and use data elements identified as
“not known to or reasonably ascertainable by” are not allowed (40 CFR
711.15(b)(4)).

Reporting frequency changed

Reporting is required for information generated during calendar year 2011
and for calendar years at four-year intervals thereafter. (40 CFR 711.20)

1-3

Chapter 2.0

Reporting Requirements

2.0 Reporting Requirements
This chapter explains the reporting requirements for the 2012 CDR reporting cycle. CDR
reporting requirements apply to manufacturers (including importers) of chemical substances. The
term ‘chemical substance’ is defined in Appendix A.
For the 2012 submission period, manufacturers (including importers) are required to use
e-CDRweb, the CDR reporting tool, and EPA’s CDX to create an electronic version of Form U
to submit information in response to the requirements of this rule (40 CFR Part 711). You must
register with CDX to submit online, and you must register the name of the company on whose
behalf you are submitting a Form U. EPA will no longer accept paper submissions or electronic
media (diskette, CD-Rom, etc.) for any CDR submission.
If you reported under the 2006 IUR, you should review the reporting requirements
carefully because they have changed. You may be required to report information on chemical
substances that you did not need to report in previous IUR reporting cycles.
You should consider the following three steps to determine whether you are required to report
for each chemical substance that you domestically manufacture (including import) into the
United States during the principal reporting year (i.e., calendar year 2011):
• Step I: Is your chemical substance subject to the CDR rule?
• Step II: Are you a manufacturer (including importer) who is required to report?
• Step III: What information must you report?

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

2.1

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

Under the CDR rule, reporting for the 2012 CDR
reporting cycle is generally required for a chemical
substance that is manufactured (including imported), is on
the TSCA Inventory as of February 1, 2012, and is not
specifically exempted by 40 CFR 711.6(a). The term “CDR
reportable chemical substance” will be used throughout this
document to refer to a chemical substance that fulfills these
requirements. Figure 2-1 presents a decision logic diagram
to assist you in determining whether you manufacture a
CDR reportable chemical substance. The following
subsections explain each question in greater detail.

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).

2-1

Chapter 2.0

Reporting Requirements

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

A. Is your chemical
substance
manufactured for
commercial
purposes?

No

Yes

Yes

C. Is your chemical
substance
potentially exempt
from reporting? (40
CFR 711.6(a))

No

B. Is your chemical
substance on the
TSCA Inventory?
(40 CFR 711.5 and
711.20)

Yes

YOU DO
NOT
NEED TO
REPORT.

No

D. Is your chemical
substance ineligible
for an exemption due
to its TSCA
regulatory or consent
agreement status? (40
CFR711.6)

No

Yes

You are manufacturing a CDR reportable chemical.
EVALUATE STEP II.

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

2.1.1

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

The first step in determining your reporting requirements is to determine whether you
meet the definition of manufacture or manufacturer. The following manufacturing-related terms
are defined below:
•

Manufacture – To manufacture, produce, or import for commercial purposes.
Manufacture includes the extraction, for commercial purposes, of a component
chemical substance from a previously existing chemical substance or complex
2-2

Chapter 2.0

Reporting Requirements

combination of chemical substances. When a chemical substance, manufactured
other than by import, is:
(1) produced exclusively for another person who contracts for such production,
and
(2) that other person specifies the identity of the chemical substance and controls
the total amount produced and the basic technology for the plant process, then that
chemical substance is co-manufactured by the producing manufacturer and the
person contracting for such production (40 CFR 711.3).
•

Manufacture for commercial purposes – (1) To import, produce, or manufacture
with the purpose of obtaining an immediate or eventual commercial advantage for
the manufacturer, and includes among other things, such “manufacture” of any
amount of a chemical substance or mixture:
(i) For commercial distribution, including for test marketing.
(ii) For use by the manufacturer, including use for product research and
development, or as an intermediate.
(2) Manufacture for commercial purposes also applies to chemical substances that
are produced coincidentally during the manufacture, processing, use, or disposal
of another chemical substance or mixture, including both byproducts that are
separated from that other substance or mixture and impurities that remain in that
chemical substance or mixture. Such byproducts and impurities may, or may not,
in themselves have commercial value. They are nonetheless produced for the
purpose of obtaining a commercial advantage since they are part of the
manufacture of a chemical product for a commercial purpose (40 CFR 704.3).

•

Manufacturer – A person who manufactures a chemical substance (40 CFR
711.3).

Thus, the manufacture of a chemical substance by a toll manufacturer is considered
manufacturing, even in instances where another person is also considered to be manufacturing
that chemical substance by contract (see 2.1.1.1 below). Both the toll manufacturer and the
contracting party would be considered the co-manufacturers of the chemical substance.
For purposes of the CDR rule, a chemical substance is manufactured (including
imported) only if it is manufactured (including imported) for commercial purposes. See TSCA
Section 8(f), TSCA Section 3(7), and 40 CFR 704.3, which includes a parallel definition of
“Import for commercial purposes.” As identified above, the term manufacture for commercial
purposes means that the chemical substance is produced for the purpose of obtaining a
commercial advantage. Manufacture for commercial purposes also applies to chemical
substances that are produced coincidentally during the manufacture, processing, use, or disposal
of another chemical substance or mixture, including both byproducts that are separated and
impurities that remain in a chemical substance or mixture. (40 CFR 704.3)
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Reporting Requirements

Manufacturing by Contract

The person who contracts with another person, such as a toll manufacturer, to
manufacture a chemical substance is now considered to be the co-manufacturer, along with the
toll manufacturer of that chemical substance. This is a change from previous reporting cycles.
As specified in the definition for manufacture, manufacturing by contract is a situation
where the contracted person manufactures or produces the chemical substance exclusively for the
contracting person, and where the contracting person specifies the identity of the chemical
substance and controls the total amount produced and the basic technology of the plant process.
2.1.1.2

Byproducts and Impurities

Byproducts
Byproducts are chemical substances that are
produced without a separate commercial intent during
the manufacture, processing, use, or disposal of another
chemical substance(s) or mixture(s) (40 CFR 704.3). If
the byproduct is manufactured (including imported) in a
volume of 25,000 lb or more at a single site during the
principal reporting year, then its manufacture (including
import) is potentially subject to CDR requirements.

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
Byproducts may or may not, in themselves, have manufacturing an article. For
example, if your use or processing of
commercial value. They are nonetheless produced for
a chemical substance (chemical A)
the purpose of obtaining a commercial advantage
to manufacture an article
because they are part of the manufacture of a chemical
coincidentally produces a different
product for a commercial purpose. Thus, chemical
chemical substance (chemical B),
substances that are the byproducts of the manufacture,
apart from the article you intended to
processing, use, or disposal of another chemical
manufacture, then you have
substance or mixture, like any other manufactured
manufactured a byproduct chemical
chemical substance, are subject to CDR reporting if
substance. This situation may occur,
they are listed on the TSCA Inventory, are not
for example, when you are stripping
otherwise excluded from reporting, and their
manufacturers are not specifically exempted from CDR a chemical substance off of a part of
the article, and the stripping process
requirements.
results in the formation of a different
chemical substance (possibly
There are, however, conditions under which
byproducts are not required to be reported. If, after it is resulting in a “used” stripping
solution).
manufactured (including imported), your byproduct
chemical substance is not put to use for a separate
commercial purpose (see 40 CFR 711.10(c) and 40
CFR 720.30(h)), you do not need to report it. If your byproduct’s only separate commercial
purpose “is for use by public or private organizations that (1) burn it as a fuel, (2) dispose of it as
a waste, including in a landfill or for enriching soil, or (3) extract component chemical
substances from it for commercial purposes” (see 40 CFR 720.30(g)), then that byproduct is also
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excluded from CDR reporting. This exclusion applies only to the byproduct; it does not apply to
the component chemical substances extracted from the byproduct.
In interpreting section 40 CFR 720.30(g), one needs to consider the following important
points.
•

Regarding 40 CFR 720.30(g)(1), note that where
a byproduct is burned as a fuel, and is also being
burned for other non-exempt commercial
purposes (e.g., if the combustion residue is used
as a process input), then the exemption under 40
CFR 720.30(g)(1) would not apply. To provide a
specific example: in a paper pulping process
black liquor is burned to generate power, and it
then undergoes a chemical change to become
manufactured smelt. The smelt is then used as a
process inputs in the manufacture of white
liquor which is then returned to the pulping
process. The exemption under 40 CFR
720.30(g)(1) would not apply to the manufacture
of the black liquor because the black liquor’s
post-combustion commercial purposes include
non-exempt commercial purposes. If the black
liquor were instead burned solely to generate
power, the exemption under 40 CFR
720.30(g)(1) would have applied. If the black
liquor were instead incinerated solely for
destruction, the exemption under 40 CFR
720.30(h)(2) would have applied.

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.

•

Regarding 40 CFR 720.30(g)(2), although the manufacture of a byproduct is not
reportable if the byproduct is subsequently disposed of as a waste for purposes of
enriching the soil (e.g., to change the soil properties in a desirable way, such as by
serving as a filler to make the soil less dense or enhancing moisture retention), a
substance used as a fertilizer is not necessarily an excluded byproduct. For instance, if
the substance’s ordinary manner of use is as a fertilizer, then the substance is not a
byproduct in the first place, and the provisions at 40 CFR 720.30(g) are inapplicable.

•

Regarding 40 CFR 720.30(g)(3), individual component chemical substances extracted
from a byproduct are reportable substances if they are extracted for a commercial
purpose, even if the manufacture of the byproduct itself is not reportable pursuant to
720.30(g).
A “component chemical substance” means a chemical substance that already exists in the
byproduct. If the recycling process involves breaking chemical bonds or forming new
chemical bonds to convert a chemical substance in the byproduct into a different
chemical substance (which is then extracted), then the recycling process does not count as
extracting a component chemical substance of the byproduct. Note: In circumstances
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where other substances in the byproduct are chemically reacted in order to facilitate the
separation of a desired component chemical substance, such that the component chemical
substance itself is not chemically changed before being extracted, then the process does
constitute an extraction of the unchanged component chemical substance.
Note: Small businesses are generally not required to report information under CDR. See Section
2.2.2 for discussion of the small manufacturer exemption.
Figure 2-2 presents a decision logic diagram to assist you in determining whether your
byproduct chemical substance is subject to the CDR rule.

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Figure 2-2. Decision Logic Diagram for Evaluating Whether a Byproduct Chemical
Substance is Subject to the CDR Rule
You should note that your byproduct may have a separate commercial purpose even if
you do not intentionally commercialize it. You may be sending the byproduct, which you
consider a waste, to another person or site. If that other person or site uses your byproduct in
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such a manner that it has a commercial purpose, then you are potentially required to report the
byproduct for purposes of CDR (assuming you meet other reporting requirements such as
production volume and the chemical substance is not otherwise exempted from reporting).
It is important to properly identify your byproduct chemical substance. Such chemical
substances are often chemical combinations of variable or complex composition, and as such can
be identified as a single chemical substance that represents the process stream. Complex
chemical substances are listed on the TSCA Inventory as chemical substances of Unknown or
Variable composition, Complex reaction products and Biological materials (“UVCB” chemical
substances). In such cases, it is not necessary to determine the volumes of the individual
chemical substances that comprise the UVCB chemical substance; rather, the single UVCB
chemical substance name is proper. Further information on UVCB chemical substances is
available on the EPA website at http://www.epa.gov/oppt/newchems/pubs/uvcb.txt.
For more information on byproduct reporting, including naming byproducts, see the examples
below, and the Q&A document: Recycling and the TSCA Chemical Substance InventoryPremanufacture Notification and Chemical Data Reporting Requirements available in the docket
and also at http://www.epa.gov/cdr or http://www.epa.gov/iur.

Example 2-1. Efforts to comply with other Federal, state, or municipal rules, such as the use of
pollution control devices, may also result in the manufacture of reportable chemical substances.
For example, an energy company may operate a sulfur recovery plant as a pollution control
device to minimize sulfur oxides emissions. The sulfur recovery plant generates elemental sulfur,
a chemically different chemical substance from sulfur oxides. The sulfur therefore has been
manufactured for a commercial purpose because it is a chemical substance formed from the
byproduct sulfur oxides emissions, which is an activity conducted for the commercial purpose of
operating a power plant. If the elemental sulfur is then used for a commercial purpose (other than
those listed in 40 CFR 720.30(g)), the energy company may incur reporting obligations under the
CDR rule for the byproduct sulfur oxides as well as for the sulfur.

A byproduct that is manufactured for a commercial purpose and, after manufacture, is
used for a separate commercial purpose, may be excluded from reporting under CDR by 40 CFR
720.30(g)(2). 40 CFR 720.30(g)(2) states that if the byproduct’s only commercial purpose is for
use by public or private organizations that dispose of it as a waste, including in a landfill or for
enriching soil, the byproduct is exempt from being reported under CDR.
Examples 2-2 and 2-3 describe manufacturers that may be subject to RCRA requirements and
how the 720.30(g)(2) byproduct exemption applies in these circumstances.

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Example 2-2. Company ABC manufactures a byproduct. The byproduct does not qualify as a
RCRA hazardous waste and does not meet the requirements of any exemption in 40 CFR 261.4.
The manufacturer wishes to dispose of the byproduct, which can be used to enrich soil (e.g., to
change the soil properties in a desirable way like serving as a filler to make the soil less dense or
enhancing moisture retention). Company ABC provides this byproduct to another person who
then disposes of it as a waste by spreading it on land to enrich the soil. If this disposal of the
byproduct is the byproduct’s sole commercial use, the byproduct qualifies for the CDR reporting
exemption under 40 CFR 720.30(g)(2). Company ABC is not subject to reporting under the
CDR, respecting the manufacture of its byproduct.

Example 2-3. Company ABC manufactures Byproduct X, which is not considered a RCRA solid
waste because it serves as a feedstock to produce a zinc fertilizer and meets the requirements of
40 CFR 261.4(a)(20) (i.e., it is a hazardous secondary material used to make zinc fertilizers). The
zinc fertilizer that is produced meets the requirements of 40 CFR 261.4(a)(21). Byproduct X is
not being disposed of as a waste and therefore does not meet the CDR byproduct exemption at 40
CFR 720.30(g)(2). Company ABC is subject to reporting under the CDR, respecting the
manufacture of its byproduct.
If your byproduct is manufactured (including imported) for commercial purposes, and it
is subsequently put to use for a commercial purpose other than those listed in 40 CFR 720.30(g),
you may be required to report this chemical substance and should evaluate Question B on Figure
2-1 (see also Section 2.1.2).
Impurities
An impurity is a chemical substance which is unintentionally present with another
chemical substance (40 CFR 704.3). Although impurities may be produced for the purpose of
obtaining a commercial advantage because they are part of the manufacture of a chemical
product for a commercial purpose, they are not manufactured for distribution in commerce as
chemical substances per se and have no commercial purpose separate from the chemical
substance, mixture, or article of which they are a part. Thus a chemical substance that is
manufactured or imported solely as an impurity is not subject to the CDR reporting
requirements. See 40 CFR 720.30(h)(1).
2.1.2

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

The following subsections provide information to help you determine whether your
chemical substance is listed on the TSCA Inventory.
2.1.2.1

What is the TSCA Inventory?

Authorized by section 8(b) of TSCA, the TSCA Inventory is a list of chemical substances
manufactured (including imported) for commercial purposes in the United States. The TSCA
Inventory was compiled originally in the late 1970s; chemical substances have been added
continually through EPA’s New Chemicals Program. EPA keeps a Master Inventory File, which
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is the authoritative list of all the chemical substances reported to EPA for inclusion on the TSCA
Inventory. Free access to the non-confidential portion of the TSCA Inventory file, commonly
referred to as the “public TSCA Inventory,” is available at
http://www.epa.gov/oppt/existingchemicals/pubs/tscainventory/index.html. The public TSCA
Inventory contains chemical substances for which the identity is not considered confidential and
the generic identification of chemical substances for which the specific identity has been claimed
as TSCA confidential business information (CBI). The TSCA Inventory status of chemical
substances can also be determined from EPA’s Substance Registry Services (SRS), available at
http://www.epa.gov/srs. See Section 2.1.3 for information about chemical substances that may
be potentially exempt from reporting.
2.1.2.2

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

The following methods may help you determine whether your chemical substance is
listed on the TSCA Inventory:
• Locate the chemical substance on the public section of the TSCA Inventory (see Chapter 7 for
information on obtaining the TSCA Inventory);
• Search SRS for information on the TSCA Inventory listing status;
• Search company records to determine whether the chemical substance was previously
reported to EPA under CDR;
• Search company records for a commenced PMN or other communication with EPA that
confirmed the chemical substance was on the TSCA Inventory; and
• Search company records for a Notice of Commencement of manufacture or import for a PMN
substance that was submitted to EPA.
Several commercial databases have incorporated the public section of the TSCA
Inventory (which excludes chemical substances with confidential identities) and can indicate
whether a given chemical substance is listed on that portion of the TSCA Inventory. Because
these databases are not generated or reviewed by EPA, the Agency cannot guarantee the
accuracy of the information. If you use a commercial database that fails to include all reportable
chemical substances and, as a result, you fail to
report information for these chemical substances,
Hydrates are mixtures of the
you may be in violation of TSCA (40 CFR
corresponding non-hydrated chemical
711.1(c)).
substance and water and, therefore, are
The CDR reporting related to mixtures and not listed on the TSCA Inventory. Note
that you may be required to report the
UVCB substances (chemical substances that are
corresponding non-hydrated component
of Unknown or Variable composition, Complex
chemical substance. Adjust the reported
reaction products, or Biological materials)
production volume to exclude water.
requires careful consideration by submitters.
Whenever a submitter has manufactured or
imported a combination of several chemicals, the
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submitter must first determine whether for TSCA purposes it is a mixture or a single UVCB
chemical substance. A mixture is any combination of chemicals that meets the statutory
definition of “mixture” at TSCA section 3(8). (See Appendix A). Mixtures are not reported to
CDR – rather the mixture's component chemical substances, the chemical substances that make it
up, are potentially subject to reporting, as described below. A UVCB substance is an indefinite
combination of chemicals, that does not meet the statutory definition of “mixture” at TSCA
section 3(8), whose number and individual identities and/or composition are not precisely or
completely known. A UVCB combination of chemicals is subject to reporting under CDR and is
considered a single chemical substance. Generally, the determination of whether a combination
of chemicals is a mixture or a UVCB substance is made by the time that substance has been
commercialized and, as such, would be clear early in the CDR process. The following discussion
is presented with this generality in mind.
•

If you imported a mixture, you will need to report the individual chemical components of
the mixture to the extent that your total volume for the individual chemical substance
triggers reporting (i.e., generally, to the extent that such volume reaches the 25,000 lb
threshold).

•

If you domestically manufactured a mixture, you will need to determine whether any
chemical substances were formed from a chemical reaction that occurred as part of
manufacturing the mixture. If a chemical reaction has occurred, a chemical substance
formed from the chemical reaction may be subject to reporting, based on its production
volume or the applicability of other exemptions. If a chemical reaction has not occurred,
you have not manufactured any reportable chemical substances in the production of the
mixture. In such a case, the production of the mixture has not triggered any CDR
reporting requirement.

•

Domestic manufacturers and importers should also consider whether the combination of
the chemicals they have domestically manufactured or imported (respectively) should be
chemically identified for TSCA purposes as a single UVCB chemical substance instead
of a mixture.

EPA has developed two Inventory nomenclature guidance documents related to the mixtureUVCB determination titled: (1) Toxic Substances Control Act Inventory Representation For
Chemical Substances Of Unknown Or Variable Composition, Complex Reaction Products And
Biological Materials: UVCB Substances. Available on-line at:
http://www.epa.gov/oppt/newchems/pubs/uvcb.txt; (2) Toxic Substances Control Act Inventory
Representation For Combinations Of Two Or More Substances: Complex Reaction Products.
Available on-line at: http://www.epa.gov/oppt/newchems/pubs/rxnprods.txt.

Example 2-4. Company X manufactures 100,000 lb of magnesium sulfate heptahydrate,
which is considered under TSCA to be a mixture of magnesium sulfate and water. The nonhydrous portion of the magnesium sulfate heptahydrate mixture, magnesium sulfate,
constitutes 48,838 lb, which exceeds the 25,000 lb threshold. Therefore, Company X is
required to report 48,838 lb of magnesium sulfate under the CDR rule.
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In the event that you are not able to find your chemical substance on the TSCA
Inventory, contact the TSCA Hotline at (202) 554-1404 for assistance to determine whether
reporting is required. If your chemical substance is on the TSCA Inventory, you should review
Question C on Figure 2-1 (Section 2.1.3) to determine whether you qualify for any other
reporting exemptions.
2.1.3

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

Five groups or categories of chemical substances, though included on the TSCA
Inventory, are largely exempt from reporting under the CDR rule. These groups are polymers,
microorganisms, certain forms of natural gas, naturally occurring chemical substances, and
water. Sections 2.1.3.1 through 2.1.3.5 provide more details for each group of chemical
substances. You may also refer to 40 CFR 711.6(a) for precise definitions of these groups. Note,
however, that these exempted chemical substances (except for chemical substances that are
exempted because they are naturally occurring) become subject to reporting again if they are the
subject of any of certain TSCA actions. Section 2.1.4 provides details for when the exemption
does not apply. Note that the act of importing does not change the identity of a chemical
substance or group. For example, a naturally occurring chemical substance remains naturally
occurring when it is imported.
To help identify chemical substances Polymers, microorganisms, certain
forms of natural gas, and water are not
that are exempt from reporting under the
exempted from reporting when they are
CDR rule, EPA has labeled most of these
chemical substances on the TSCA Inventory the subject of any of certain TSCA
with the letters “XU.” In the SRS, most of
actions. See Section 2.1.4 for more
these chemical substances are identified as
details.
being “TSCA IUR Exempt” under the
Statutes/Regulations heading. Note that you
are advised to use both these indicators only as a guide; submitters are responsible for verifying
exemptions. Also note that if a chemical substance marked with “XU” or identified as being
“TSCA IUR Exempt” subsequently becomes the subject of any of certain TSCA actions, the
chemical substance is subject to the reporting requirements notwithstanding the “XU” or “TSCA
IUR Exempt” indicator. If a chemical substance is not marked “XU” or “TSCA IUR Exempt,”
and 40 CFR 711.6 does not provide sufficient guidance to determine whether the chemical
substance is exempt, contact the TSCA Hotline at (202) 554-1404 for assistance. Due to the
change from IUR to CDR, EPA anticipates that the “TSCA IUR Exempt” identification flag will
change to “TSCA CDR Exempt.”
If your chemical substance is not in one of the following five categories of chemical
substances, it is a CDR reportable chemical substance and you should review STEP II of the
reporting requirements (Section 2.2, Figure 2-3). If your chemical substance is in one of the five
categories, you should review Question D (Section 2.1.4).
2.1.3.1

Polymers

Polymers are typically exempt from CDR reporting. The CDR definition of polymer is
sufficiently broad to include virtually all those chemical substances that are generally considered
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polymers. The definition also includes siloxanes and silicones, silsesquioxanes, rubber, lignin,
polysaccharides (such as starch and gums), proteins (such as gelatin and hemoglobin), and
enzymes. However, for chemical substances that result from hydrolysis, depolymerization, or
chemical modification of polymers, regardless of the extent of these processes, if the final
products are no longer polymeric (e.g., a mixture of amino acids that is the result of hydrolysis of
a polypeptide), the chemical substances are not considered to be polymers and must be reported
if not otherwise excluded (40 CFR 711.6(a)(1)). See Appendix A or 40 CFR 711.6(a)(1) for the
specific definition of polymers for purposes of the CDR rule.
2.1.3.2

Microorganisms

Microorganisms are exempt from CDR reporting. A microorganism is any combination
of chemical substances that is a living organism and that meets the definition of
“microorganism” at 40 CFR 725.3. Any chemical substance produced from a living
microorganism is reportable unless otherwise excluded (40 CFR 711.6(a)(2)).
2.1.3.3

Certain Forms of Natural Gas

Table 2-1 identifies certain forms of natural gas that are exempt from CDR reporting (see
40 CFR 711.6(a)(4)).
Table 2-1. Chemical Substances Covered by the Exemption for Certain Forms of Natural
Gas
Form of Natural Gas

CAS Registry Number

Natural gas (petroleum), raw liquid mix

64741-48-6

Natural gas condensates

68919-39-1

Gasoline natural

8006-61-9

Gasoline (natural gas), natural

68425-31-0

Natural gas

8006-14-2

Natural gas, dried

68410-63-9

2.1.3.4

Naturally Occurring Substances

Chemical substances that are described in 40 CFR 710.4(b) of the TSCA Inventory
Reporting Regulations are considered “naturally occurring.” Such chemical substances are not
reportable under CDR if the chemical substance is produced solely by means described in section
710.4(b). Examples of chemical substances that are typically naturally occurring materials are
raw agricultural commodities, water, air, crude oil, rocks, ores, and minerals. However, because
the section 710.4(b) exemption is process-specific rather than chemical-specific, if you
manufacture any chemical substance in a manner other than just as described in section 710.4(b),
you are required to report it unless it is otherwise exempted (40 CFR 711.6(a)(3)). For this
reason, minerals and certain agricultural products are sometimes considered not to be naturally
occurring because of the means by which they are produced or isolated. Whether a chemical
substance is considered “naturally occurring” depends on the manner in which it is produced and
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isolated. Table 2-2 presents some examples of evaluating chemical substances for the naturally
occurring chemical substance exemption.
Table 2-2. Examples of Evaluating Chemical Substances for the Naturally Occurring
Exemption (40 CFR 711.6(a)(3))
y Calcined clays formed by heating naturally occurring clay typically must be reported because such heating is
generally not done solely to remove water; a chemical change is primarily intended.
y Chemical substances that are removed/isolated from nature by physical or natural means are typically
considered to be “naturally occurring.” Using water to extract a chemical substance from a naturally occurring
chemical substance is considered a natural means of removal. However, using any other solvent is not
considered a natural means of removal and would result in the extracted chemical substance being potentially
subject to reporting.
y In an electrostatic separation, small particles are removed from a liquid or gas stream. The process is
essentially analogous to gravitational separation. Chemical substances that are processed by this means are
considered to be “naturally occurring.”
y Mined coal is typically included in the naturally occurring chemical substances category.
y Ammonia and nitric acid are generally produced by chemical synthesis and are, therefore, generally not
considered to be “naturally occurring.”

2.1.3.5

Water

Water, including both naturally occurring water and manufactured water (CASRN 773218-5), is exempt from CDR reporting. While naturally occurring water has always been exempt,
the exemption for manufactured water is in effect for 2012 reporting.
2.1.4

Is Your Chemical Substance Ineligible for an Exemption Due to Its TSCA
Regulatory or Enforceable Consent Agreement Status? (Question D)

With the exception of naturally occurring chemical substances, chemical substances must
be reported if they are the subject of any of the following (even if the chemical substance is
otherwise exempt):
• A rule proposed or promulgated under Sections 4, 5(a)(2),5(b)(4), or 6 of TSCA;
• An order issued under TSCA Sections 5(e) or 5(f);
• Relief that has been granted under a civil action under TSCA Sections 5 or 7; or
• An enforceable consent agreement (ECA) under 40 CFR Part 790.
(40 CFR 711.6)
Example 2-5. Company A manufactured 35,000 lb of Chemical X, a polymer, in 2010.
Chemical X is part of an enforceable consent agreement (ECA) between EPA and Company
A, in which Company A is performing additional testing on Chemical X. Although Chemical
X is a polymer that normally would be exempt from CDR reporting, it is part of an ECA and,
thus, Company A is required to report Chemical X for the 2012 CDR. Additionally, Company
B manufactures 40,000 lb of Chemical X in 2011. Although Company B is not a party to the
ECA, Company B is also required to report Chemical X for the 2012 CDR.
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Appendix B provides assistance in determining which chemical substances are included
in these groups. However, if you are unable to determine whether the specific chemical
substance you manufacture (including import) is listed in Appendix B, you can contact the
TSCA Hotline at (202) 554-1404 or [email protected]. If you have determined that your
chemical substance is a CDR reportable chemical substance, evaluate Step II on Figure 2-3 to
determine whether you are a manufacturer (including importer) who is required to report.

2.2

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

If you determined from Step I that you manufacture (including import) a CDR reportable
chemical substance, Figure 2-3 presents a decision logic diagram that may help you determine
whether you are a manufacturer (including importer) who must report. The following
subsections explain each question in greater detail.

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STEP II:
Are you a manufacturer who is required to report?

E. Did you
manufacture (including
import) 25,000 lb or
more of the chemical
substance at a single
site during the principal
reporting year?

No

Yes

F. Do you qualify
for a small
manufacturer
exemption?
(40 CFR 711.9)

No

Yes

G. Did you
manufacture a
chemical substance
subject to reporting
due to its TSCA
regulatory status?
(40 CFR 711.9)

No

YOU DO
NOT
NEED TO
REPORT.

Yes

H. Do you qualify
for any other
reporting
exemptions? (see
Section 2.2.4)

Yes

No

YOU MUST REPORT.
Evaluate STEP III.

Figure 2-3. Decision Logic Diagram for Evaluating Step II
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Did You Manufacture (Including Import) 25,000 lb or More of the Chemical
Substance at a Single Site During the Principal Reporting Year? (Question E)

You are subject to CDR reporting if you manufactured (including imported) a chemical
substance in production volumes of 25,000 lb or greater at any single site you owned or
controlled during the principal reporting year. For the 2012 CDR, the principal reporting year is
2011. If you both domestically manufacture and import the same chemical substance, add the
domestically manufactured and imported volumes at each site for calendar year 2011 to
determine whether the amount of the chemical substance meets or exceeds the 25,000 lb
threshold. Do not subtract the volume of chemical substance directly exported. The site at which
a chemical substance is imported is described in 40 CFR 711.3 and 4.4.1 of this document.
Table 2-3 provides examples of how the production volume reporting requirement
applies.
Table 2-3. Production Volume Threshold Examples

Description

2011 Reporting Requirement

Company A, which has only one manufacturing site,
manufactured 26,000 lb of Chemical X, which is not exempt
from reporting, at its site in 2011.

Company A must report for Chemical X because it
manufactured 25,000 lb or more of Chemical X at
its sole manufacturing site in 2011.

Company B, which has only one manufacturing site,
manufactured 26,000 lb of Chemical X at its site in 2009 and
20,000 lb of Chemical X in 2011.

Company B is not required to report for Chemical X
because it manufactured less than 25,000 lb of
Chemical X in 2011.

Company C has two manufacturing sites for Chemical X. In
2011, Site 1 manufactured 13,000 lb of Chemical X and Site
2 manufactured 15,000 lb of Chemical X.

Company C is not required to report for Chemical X
at either site because 2011 production was less than
25,000 lb at each site.

Company D has two manufacturing sites for Chemical X. In
2011, Site 1 manufactured 10,000 lb of Chemical X and Site
2 manufactured 150,000 lb of Chemical X.

Company D must report for Chemical X at Site 2
because at this location production was 25,000 lb or
more in 2011. Company D is not required to report
for Chemical X for Site 1 because 2011 production
was less than 25,000 lb.

Company E has one site where it imports and manufactures
Chemical X. Company E manufactured 21,000 lb of
Chemical X and imported 5,000 lb of Chemical X in 2011.

Company E must report for Chemical X because the
aggregate volume produced at and imported by its
site in 2011 was 25,000 lb or more.

Company F has one site where it manufactured 30,000 lb of
Chemical X in 2011. The company directly exported 25,000
lb of Chemical X and sold the remaining 5,000 lb in the
United States.

Company F must report for Chemical X because it
manufactured over 25,000 lb in 2011. The amount
directly exported does not affect the determination
of the need to report.

Meeting the 25,000 lb Threshold for Chemical Substances in Mixtures
In many cases, reportable chemical substances are components of a mixture. Although
mixtures themselves are not reportable, the 25,000 lb threshold is applicable for each CDR
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reportable chemical substance comprising a mixture; therefore, the chemical substances making
up a mixture may individually be reportable. If you manufacture chemical substances as part of a
mixture, you would determine your CDR reporting requirements by following Questions A-E
(Sections 2.1.1 through 2.2.1) for each chemical substance in the mixture. As described in
section 2.1.2.2, hydrates are mixtures of the corresponding non-hydrated chemical substance and
water.
UVCB Chemical Substances: Note that, under TSCA, a complex combination of
chemical substances is in most cases considered to be a single UVCB chemical substance. In
such cases, reporting is triggered based on the volume of the UVCB chemical substance
manufactured (that is, the whole entity), and not based on the volume of individual chemical
components which may be present in the UVCB chemical substance. See Section 2.1.1.2 for
further discussion of UVCB chemical substances.
Imported Mixtures: As an importer (see 40 CFR 704.3) of a mixture of chemical
substances listed on the TSCA Inventory, you must determine whether the individual component
chemical substances of a mixture are reportable. To do so, you would determine whether the
annual aggregated volume of a particular reportable chemical substance was 25,000 lb or more at
the site that controls the importation. The 25,000 lb threshold is applicable for each CDR
reportable chemical substance in a mixture. You can determine the production volume for each
chemical substance in the mixture that you imported during a particular calendar year by using
the weight and percent composition of the chemical substance in the mixture. For each imported
chemical substance, you would aggregate the volume of the chemical substance in all annual
imports associated with the reporting site as defined in 40 CFR 711.3 and add the amount of the
chemical substance domestically manufactured at the same site, if any, to determine whether the
total volume of the chemical manufactured (including imported) meets the 25,000 lb threshold.
Note that a chemical substance that is imported solely in small quantities for research and
development, as an impurity, or as part of an article or in a manner described in 40 CFR
720.30(g) and (h) is not subject to the CDR reporting requirements (40 CFR 711.10).
If you have determined that you are manufacturing a CDR reportable chemical substance
and meet the reporting threshold of 25,000 lb, evaluate Question F to determine whether you
qualify for a small manufacturer exemption.
2.2.2

Do You Qualify For a Small Manufacturer Exemption? (Question F)
You qualify as a small manufacturer if you meet either of the following criteria (40 CFR

704.3):
• Your total sales during 2011, combined with those of your parent company, domestic or
foreign (if any), are less than $4 million regardless of annual production volume.
• Your total sales during 2011, combined with those of your parent company, domestic or
foreign (if any), are less than $40 million and your annual production volume of that chemical
substance does not exceed 100,000 lb at any individual plant site. If the annual production
volume of the chemical substance at any of your sites is more than 100,000 lb, you are
required to report only for those sites. Note that under this criterion, it is possible to qualify as
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a small manufacturer with respect to some chemical substances and not others or with respect
to some sites and not others.
For purposes of the definition of a small manufacturer, total annual sales include all sales
of the company, not just the total sales of a given chemical substance.
If you have determined that you are a small manufacturer of a CDR reportable chemical
substance, evaluate Question G (described in the next section) to determine whether you are
exempt from any reporting.
If you do not qualify for a small manufacturer exemption, evaluate Question H in Figure
2-3 (further described in Section 2.2.4) to determine whether you qualify for any other reporting
exemptions.
2.2.3

Did You Manufacture a Chemical Substance Subject to Reporting Due to Its TSCA
Regulatory Status? (Question G)

Small manufacturers are exempt from CDR requirements unless they manufacture
(including import) a chemical substance that is the subject of a rule proposed or promulgated
under sections 4, 5(b)(4), or 6 of TSCA, or is the subject of an order in effect under section 5(e)
of TSCA, or is the subject of relief that has been granted under a civil action under sections 5 or
7 of TSCA (40 CFR 711.9) and (TSCA § 8(a)(3)(A)(ii)). Appendix B provides assistance with
determining which chemical substances fall into these groups.
Table 2-4 provides examples of how the small manufacturing exemption applies.

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

2012 Reporting Requirement

Site 1, which is one of several sites owned by Company A,
had a production volume of 120,000 lb of Chemical X in
2011. The total annual sales of Company A (all sites
combined) were $1.25 million in 2011.

Site 1 is not required to report for Chemical X
because combined sales in 2011 did not exceed $4
million.

Site 2, which is one of several sites owned by Company B,
had a production volume of 90,000 lb of Chemical X in
2011. The total annual sales of Company B (all sites
combined) were $20 million in 2011. None of the other sites
produce Chemical X.

Site 2 is not required to report for Chemical X
because annual production volume of that chemical
substance did not exceed 100,000 lb at any of
Company B’s sites, and Company B had total
annual sales of less than $40 million.

Site 3, which is one of several sites owned by Company C,
had a production volume of 200,000 lb of Chemical X in
2011. Site 4, another site owned by Company C, had a
production volume of 75,000 lb of Chemical X in 2011. The
total annual sales of Company C (all sites combined) were
$30 million in 2011.

Company C must report for Chemical X at Site 3
because annual production volume at Site 3
exceeded 100,000 lb. Company C is not required to
report for Chemical X at Site 4 because annual
production volume at site 4 did not exceed 100,000
lb and total annual sales was less than $40 million.

Site 5, which is one of several sites owned by Company D,
had a production volume of 50,000 lb of Chemical X in
2011. The total annual sales of Company D (all sites
combined) were $100 million in 2011.

Company D must report for Chemical X at Site 5
because total annual sales in 2011 exceeded $40
million and the production volume of Chemical X
at Site 5 exceeded 25,000 lb.

Site 6, which is one of several sites owned by Company E,
had a production volume of 120,000 lb of Chemical X in
2011. The total annual sales of Company E (all sites
combined) were $1.25 million in 2011. Chemical X is
subject to a section 4 test rule.

Site 6 is required to report for Chemical X. Even
though combined sales are less than $4 million, this
chemical substance is subject to a test rule and
therefore must be reported.

2.2.4

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

If you manufacture a reportable chemical substance solely under the following
circumstances, you are not required to report for those chemical substances under the CDR rule:
• The chemical substance is manufactured solely in small quantities for research and
development (40 CFR 711.10(a)).
• The chemical substance is imported as part of an article (40 CFR 711.10(b)). An article is
defined in 40 CFR 704.3 as “a manufactured item (1) which is formed to a specific shape or
design during manufacture, (2) which has end-use function(s) dependent in whole or in part
upon its shape or design during end use, and (3) which has either no change of chemical
composition during its end use or only those changes resulting in composition which have no
commercial purpose separate from that of the article, and that result from a chemical reaction
that occurs upon end use of other chemical substances, mixtures, or articles; except that fluids
and particles are not considered articles regardless of shape or design.” EPA considers
imported items articles if they are manufactured in a specific shape or design for a particular
end-use application and this design is maintained as an essential feature in the finished
product. Thus, EPA views materials such as metal or plastic sheets, wire, coated fabric, rolled
carpet, sheets of plywood, and other similar materials as articles, even if, for example,
subsequent to import they are rolled or drawn thinner, cut, printed, laminated, or
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thermoformed, provided they meet the above definition. Chemical substances that are part of
such articles are not subject to reporting under the CDR rule. If the shape of an item does not
serve a function with respect to the item’s end use (e.g., it is imported in a particular shape for
the sake of shipping convenience) then it would not be considered an article. Thus, chemical
substances that are part of items not considered by EPA as articles, such as metal ingots,
billets, and blooms are subject to reporting under the CDR rule.
• The chemical substance is manufactured as an impurity, a non-isolated intermediate, or under
any of the other circumstances identified in 40 CFR 720.30(g) and (h). (40 CFR 711.10(c))
• If between February 1, 2011, and January 31, 2012, you submitted all of the information
required by the CDR rule in response to another rule promulgated under section 8(a) of TSCA
(such as the Preliminary Assessment Information Reporting (PAIR) rule at 40 CFR Part 717,
Subpart B), you are not required to report the same information under CDR for the same
chemical substance during 2012 (40 CFR 711.22(a)).
Table 2-5 presents examples of these circumstances.
Table 2-5. Examples of Manufacturing/Importing Activities Under Circumstances Which
Do/Do Not Require Reporting
Description

2012 Reporting Requirement

Company A manufactures 400,000 lb of a chemical
intermediate called Chemical X during the production of a
polymer. Chemical X is manufactured in Reactor 1 and is
subsequently entirely consumed when reacted with other
chemicals. Chemical X never leaves Reactor 1, except for
sampling purposes.

Company A does not need to report Chemical X
because it is considered to be a non-isolated
intermediate and is therefore fully exempt.

Company B manufactures 400,000 lb of a chemical
intermediate called Chemical Y during the production of a
polymer. Chemical Y is manufactured in Reactor 1 and
transferred to a storage tank until needed. Chemical Y is
then transferred to Reactor 2 where it is mixed with other
reactants to form the desired polymer, at which point
Chemical Y is destroyed. Chemical Y never leaves this
production site.

Company B is required to report Chemical Y.
When Chemical Y was transferred to the storage
tank, it was isolated, and, thus, does not meet the
definition for “non-isolated intermediate.”

Company C imports 10 million lb of Chemical Z in the form Company C is not required to report Chemical Z
of thin sheets. Company C cuts these sheets into the desired because it is considered to be an article and
size and shape, which are sold to consumers.
therefore exempt from reporting.
Company D imports 10 million lb of Chemical W in the
form of pellets. Company D subsequently melts and molds
Chemical W into the desired shape, which is sold directly to
consumers.

Company D is required to report Chemical W
because it imported pellets whose shape or design
when imported was not related to their end use.

Company D domestically manufactures 10 million lb of
Chemical W. Company D subsequently sells Chemical W to
Company E in the form of pellets. Company E melts and
molds the pellets.

Company D is required to report as the
manufacturer of Chemical W. Company E is not
required to report because it is neither
manufacturing nor importing Chemical W.

If you manufacture a CDR reportable chemical substance in quantities greater than
25,000 lb and do not qualify for any reporting exemptions, you should evaluate Step III,
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described in the following section, to determine what information you must report for your
chemical substance.

2.3

Step III: What Information Must You Report?

Once you determine from Steps I and II that you are a manufacturer (including importer)
of a CDR reportable chemical substance and are required to report, this section will help you
determine what information you must report.
You are required to report the information described in 40 CFR 711.15(b)(1), (b)(2), and
(b)(3) in Parts I and II of Form U. Basic company and site identification information is required
by 40 CFR 711.15(b)(1) and (b)(2). Chemical identification and information pertaining to the
manufacture (including import) of chemical substances is required by 40 CFR 710.15(b)(3).
Note that the basic company and site information is reported once per site while the
manufacturing information is reported separately for each reportable chemical substance at the
site.
Figure 2-4 presents a decision logic diagram to assist you in determining the CDR
information you must report. The following subsections explain each question in greater detail.

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STEP III:
What information must you report?

Yes

J. Is your chemical
substance subject
to full reporting
due to its TSCA
regulatory or
consent agreement
status? (40 CFR
711.6)

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)

No

No

K. Is your
chemical substance
listed as a
petroleum process
stream? (40 CFR

Yes

711.6(b)(1))

Complete
Parts I and
II only.

No
Yes

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))

Yes

No

Complete Parts I, II, and III of Form U

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

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Reporting Requirements

Did You Manufacture (Including Import) 100,000 lb or More of the Chemical
Substance During the Principal Reporting Year? (Question I)

If you manufacture (including import) 100,000 lb or more of a reportable chemical
substance at a single site in calendar year 2011, you must also report the information described in
40 CFR 711.15(b)(4) in Part III of Form U for that chemical substance. This information
describes the industrial processing and use, and consumer and commercial uses of the chemical
substance. Table 2-6 provides some examples of when industrial processing and use information
and commercial and consumer use information must be reported.
If you have determined that you are manufacturing a CDR reportable chemical substance
that meets the reporting threshold of 100,000 lb, evaluate Question J to determine whether you
qualify for any partial exemptions. Manufacturers (including importers) of partially exempt
chemical substances listed in 40 CFR 711.6(b) are not required to report processing and use
information described in 40 CFR 711.15(b)(4) for those chemical substances, but are otherwise
required to report the information requested on basic identity and manufacturing information
described in 40 CFR 711.15(b)(2) and (3) for those chemical substances.
Table 2-6. Examples of Reporting Requirements for Information Described in 40 CFR
711.15(b)(4)
Description

2012 Reporting Requirement

Company A, which has only one manufacturing
site, manufactured 100,000 lb of Chemical X,
which is not exempt from reporting, at its site in
2011.

Company A must complete Parts I, II, and III for Chemical X
because it manufactured 100,000 lb or more of Chemical X
in 2011.

Company B, which has only one manufacturing
site, manufactured 100,000 lb of Chemical X at its
site in 2010 and 50,000 pounds of Chemical X in
2011.

Company B is not required to complete Part III for Chemical
X because it manufactured less than 100,000 lb of Chemical
X in 2011. Company B must complete Parts I and II for
Chemical X.

Company C has two manufacturing sites for
Chemical X. In 2011, Site 1 manufactured 40,000
lb of Chemical X and Site 2 manufactured 60,000
pounds of Chemical X.

Company C is not required to complete Part III for Chemical
X at either site because 2011 production was less than
100,000 lb at each site. Company C should complete Parts I
and II for Chemical X at each site.

Company D has three manufacturing sites for
Chemical X. In 2011, Site 1 manufactured 10,000
lb of Chemical X, Site 2 manufactured 30,000 lb
of Chemical X, and Site 3 manufactured 350,000
lb of Chemical X.

Company D is not required to report for Chemical X for Site
1 because 2011 production was less than 25,000 lb. Company
D must complete Parts I and II for Chemical X at Site 2
because at this location production was 25,000 lb or more in
2011. Company D must complete Parts I, II, and III for
Chemical X at Site 3 because 2011 production was 100,000
lb or more at this location.

Company E has one site where it imports and
manufactures Chemical X. Company E
manufactured 70,000 lb of Chemical X and
imported 400,000 lb of Chemical X in 2011.

Company E must complete Parts I, II, and III for Chemical X
because the combined amount manufactured and imported in
2011 was 100,000 lb or more.

In 2011, Company F manufactured 300,000 lb of
Company F must complete Parts I, II, and III for Chemical X,
a liquid that contains Chemical X at 50% by
because it manufactured 100,000 or more lb (i.e. 150,000 lb)
weight. Company F manufactured Chemical X via of Chemical X in 2011.
a chemical reaction; it did not combine existing
chemicals to form a mixture.

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2.3.2

Reporting Requirements

Is Your Chemical Substance Subject to Full Reporting due to Its TSCA Regulatory
or Consent Agreement Status? (Question J)

Chemical substances that are the subject of proposed or promulgated TSCA rules and/or
orders or chemical substances that are part of certain enforceable consent agreements are not
afforded a partial exemption (40 CFR 711.6). See Section 2.1.4 for a description of the chemical
substances that meet these criteria. If you manufacture (including import) these chemical
substances at quantities of 100,000 lb or more, you must report all CDR information (i.e.,
manufacturing, processing, and use information) regardless of any exemptions for which the
chemical substance would otherwise qualify. See Appendix B for additional information about
these chemical substances.
If your chemical substance is not part of a regulatory action or consent agreement,
continue to evaluate Questions K and L as seen on Figure 2-4 and also described further in the
following sections to determine whether your chemical substance is partially exempt.
2.3.3

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

Manufacturers (including importers) of certain petroleum process streams, regardless of
the production volume, do not need to complete Part III of Form U for these chemical
substances. The chemical substances termed “petroleum process streams” for purposes of CDR
that are partially exempt from CDR requirements are those listed by CAS Registry Number at 40
CFR 711.6(b)(1). Appendix C lists the exempt petroleum process streams.
2.3.4

Is Your Chemical Substance Listed as a Chemical for Which There is Low Current
Interest in the CDR Processing and Use Information? (Question L)

EPA created a partial exemption for certain chemical substances for which EPA has
identified a low current interest in their processing and use information. The specific chemical
substances listed at 40 CFR 711.6(b)(2)(iv) are also listed in Appendix C.
If your CDR reportable chemical substance manufactured (including imported) in
quantities of 100,000 lb or more is partially exempt, you are required to report only Parts I and II
of the reporting form. Otherwise, you are required to report Parts I, II, and III of the reporting
form, covering manufacturing, processing, and use information for your CDR reportable
chemical substance. Chapter 3 will help you determine when you must report this information to
EPA.

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3.0 When You Must Report
For the 2012 reporting cycle, you are required to report information (pertaining to
calendar year 2011 and 2010) during the 2012 submission period. The 2012 submission period
begins February 1, 2012 and ends June 30, 2012 (40 CFR 711.20).
Your submissions for the 2012 reporting cycle must be submitted to EPA via the Internet
and through EPA’s Central Data Exchange (CDX) no later than June 30, 2012. You should note
that registration with CDX is required prior to accessing e-CDRweb to submit your CDR
information (40 CFR 711.35). (See Chapter 6 for more information on how to report your data
using e-CDRweb and CDX). If you are required to report, failure to file your report during this
period is a violation of TSCA sections 8(a) and 15 and may subject you to penalties (40 CFR
711.1(c)).

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4.0 Instructions for Completing CDR Form U
This chapter will help you complete the CDR Form U. Section 4.1 describes how to
certify your submission. Section 4.2 discusses the reporting standard – the effort required to
comply with the CDR rule. Sections 4.3 through 4.8 provide guidance to help you complete
each required section of Form U.
You are required to use the CDR reporting tool, e-CDRweb, to submit information for
each CDR reportable chemical substance. If you are reporting information for more than one
chemical substance at your site, you must report information for all reportable chemical
substances on one Form U. However, you must submit a separate Form U for each site for which
you are required to report.
The certification statement and Part I of Form U are completed once per reporting site.
Parts II and III are completed for each reportable chemical substance at the site. Part IV is
reserved for the special case of a joint submission, and is completed by the secondary submitter.
Note: Items such as the validation page and the SRS search page will appear in separate
windows. Ensure that your pop-up blocker is disabled before you begin to complete Form U.

4.1

Certification

Your CDR submission must be certified, indicating that your submitted information has
been completed in compliance with the CDR requirements and that any confidentiality claims
are true and correct. To certify, the certification statement must be electronically signed and
dated by an authorized official at your company. The authorized official typically is a senior
official with management responsibility for the person (or persons) completing the form. You
must include the printed name, title, and email address for the person signing the certification.
See Section 6.3.1 for how to complete an electronic signature agreement.
This certification statement applies to all the information supplied on the form and should
be signed only after the form has been completed. Note that knowingly providing false or
misleading information or concealing required information may be punishable by fine or
imprisonment or both under TSCA section 16(b).

4.2

Reporting Standard

Submitters are required to exercise certain levels of due diligence in gathering the
information required by the CDR rule. You must report your information to the extent that the
information is known to or reasonably ascertainable by you and your company. The term
“known to or reasonably ascertainable by” is defined in 40 CFR 704.3 and discussed more fully
below.1

1

Note that, for the 2006 IUR only, EPA had a different reporting standard (readily obtainable) for processing and
use data.

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Known to or reasonably ascertainable by means all information in a person’s
possession or control, plus all information that a reasonable person similarly situated
might be expected to possess, control, or know.
Under TSCA section 8(a), EPA may collect information associated with chemical
substances to the extent that it is known to or reasonably ascertainable by the submitter. This
includes, but is not limited to, information that may be possessed by employees or other agents
of the company reporting under the CDR rule, including persons involved in the research,
development, manufacturing, or marketing of a chemical substance and includes knowledge
gained through discussions, symposia, and technical publications. For purposes of CDR, the
known to or reasonably ascertainable by standard applies to all the information required by the
rule.
Examples of types of information that are considered to be in a person’s possession or
control, or that a reasonable person similarly situated might be expected to possess, control, or
know include:
• Files maintained by the submitter, such as marketing studies, sales reports, or customer
surveys;
• Information contained in standard references, such as MSDSs, that contain use information or
concentrations of chemical substances in mixtures; and
• Information from the Chemical Abstracts Service (CAS) and from Dun & Bradstreet D-U-NS®.
The following hypothetical examples illustrate the anticipated application of the “known
to or reasonably ascertainable standard,” in the specific context of the collection of processing
and use data under the CDR. Because the standard applies on a case-by-case basis, however,
these examples cannot substitute for a complete analysis of a submitter’s particular
circumstances:
Company XYZ discovers that it has no knowledge of how a particular reportable
chemical substance (chemical substance #1) is processed or used by its customers. Company
XYZ usually maintains marketing data documenting customers’ use of its chemicals, in line with
the reasonable business practices typical of comparable manufacturers, but it irrevocably lost
these data for chemical substance #1 due to an inadvertent computer malfunction. Company
XYZ has many customers, but it expects that it could substantially reconstruct this missing
information by briefly contacting its largest customer and asking that customer what chemical
substance #1 is generally used for. Company XYZ contacts this customer, reports on the basis of
the processing and use data that the customer was willing to provide. Company XYZ has likely
fulfilled its duties under the reporting standard. Company XYZ would not have fulfilled its
duties under the reporting standard if it had not endeavored to supplement the information it
already knew.
Company XYZ has never maintained information on how a particular reportable
chemical substance (chemical substance #2) is processed or used by its customers. However, it
is typical for comparable manufacturers to collect such information as part of their reasonable
business practices. Company XYZ has many customers but it expects that it could substantially
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fill this data gap by reviewing the public web site of its largest customer. Company XYZ reviews
this web site, and reports on the basis of the information contained in the web site. Company
XYZ has likely fulfilled its duties under the reporting standard. Company XYZ would not have
fulfilled its duties under the reporting standard if it had not endeavored to supplement the
information it already knew.
Company ABC maintains seasonal marketing data on changes in use patterns for a
particular chemical substance (chemical substance #3). Comparable manufacturers typically only
maintain such data on an annual basis, in line with reasonable business practices. Company
ABC irrevocably loses its summer marketing data for chemical substance #3, due to an
inadvertent computer malfunction. Company ABC expects that it could substantially reconstruct
the missing summer marketing data by contacting its largest customer and asking the customer
what it used or processed chemical substance #3 for in the past summer. Nevertheless, instead of
attempting to reconstruct the summer data in this manner, Company ABC reports on the basis of
the processing and use data that it already knows (regarding the winter, spring, and fall of the
year). Company ABC has likely fulfilled its duties under the reporting standard. Company ABC
would not have fulfilled its duties under the reporting standard if it designated the information as
“not known or reasonably ascertainable” simply because one of the seasonal marketing reports
was missing.
Company ABC has never maintained information on how a particular reportable
chemical substance (chemical substance #4) is processed or used by its customers. However, it is
typical for comparable manufacturers to collect such information as part of their reasonable
business practices. Company ABC has one major customer and ten minor customers. Company
ABC asks its major customer to supply information about how chemical substance #4 is
processed and used, but that customer is unwilling to supply this information. Company ABC
reasonably expects that the only remaining way to substantially fill this data gap would be to
send a survey to its ten minor customers. Company ABC reports that the information is “not
known or reasonably ascertainable” to it. Company ABC has likely fulfilled its duties under the
reporting standard.

4.3

Part I - Section A. Parent Company Information2

You must provide information about your U.S. parent company. For purposes of CDR,
your U.S. parent company is the highest level company, located in the United States, which
directly owns at least 50 percent of the voting stock of the manufacturer. This definition is
limited to this context, is distinct from the more geographically broad definition of "parent
company" used in 40 CFR 704.3, and does not apply to the determination of whether a person
meets the small manufacturer exemption. Corporate names should be treated as U.S. parent
company names for companies with multiple sites. When a site is owned by more than one
company and none of the site owners directly owns at least 50 percent of its voting stock, the site
should provide the name of the U.S. parent company of either the site operator or the owner with
the largest ownership interest in the site.

2

See Sec 4.7.1 for information concerning CBI claims for Parent Company Information.

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Example 4-1. Bestchem Corporation is not owned or controlled by any other corporation but
has sites throughout the country whose names begin with Bestchem. In this case, Bestchem
Corporation should be listed as the U.S. parent company.

Note: Information provided during CDX registration will populate your U.S. parent
company identification information in Section A. Please double check this information to
ensure all required fields are complete and accurate. If any information is incorrect or
incomplete, the authorized official should make the necessary changes in CDX.

4.3.1

Parent Company Name (Block 1.A.1)

Enter the full name of the U.S. parent company, if applicable. The U.S. parent company
name is the name of the highest level company, located in the United States, which directly owns
at least 50 percent of the voting stock of the manufacturer. You should include any additional
identifying terms such as Inc., Ltd., L.L.C., etc.

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4.3.2

When You Must Report

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

Enter the 9-digit Dun & Bradstreet D-U-N-S® number (D&B number) associated with
the parent company name entered in Block 1.A.1. The number may be obtained from the
treasurer or financial officer of the company.
D&B assigns separate numbers to subsidiaries and parent companies; you should make
sure that the number you provide EPA belongs to your U.S. parent company. To verify the
accuracy of your site and U.S. parent company D&B number and name, go to
https://www.dnb.com/product/dlw/form_cc4.htm or call 1-800-234-3867. Callers to the toll free
phone number should understand that the D&B support representatives will need to verify that
callers requesting the D&B number are an agent of the business. D&B recommends knowing
basic information such as when the business originated, officer names, and the name, address,
and phone number for the facility.
You must obtain a D&B number for the U.S. parent company, if none exists. If your
U.S. parent company does not have a D&B number, you can request one from your local office
of D&B. There is no charge for this service and you are not required to disclose sensitive
financial information to get a number. For more information on obtaining a D&B number, see
https://www.dnb.com. If you are already listed with D&B, but do not know your number, you can
call 1-800-234-3867 for assistance.
4.3.3

Parent Company Address (Blocks 1.A.3 through 1.A.8)

Enter the mailing address of the U.S. parent company name entered in Block 1.A.1,
including the appropriate county or parish, using standard addressing techniques as established
by the U.S. Postal Service. Post office box numbers should be accompanied by a street address.
If a post office box is listed, it should be listed after the street address.

4.4

Part I - Section B. Site Information3

EPA requires the following information to be reported for each plant site at which a
reportable chemical substance is manufactured: the site name, site D&B number, street address,
city, county (or parish), state, and zip code.
Note: Information provided during CDX registration will populate your site identification
information in Section B. Please double check this information to ensure all required fields
are complete and accurate. If any information is incorrect or incomplete, the authorized
official should make the necessary changes in CDX.

3

See Sec 4.7.2 for information concerning CBI claims for Site Information.

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4.4.1

When You Must Report

Special Provisions for Importers

The site where you import a chemical substance is considered the site of the operating
unit within your organization that is directly responsible for importing the chemical substance
and that controls the import transaction (e.g., the company’s U.S. headquarters). For CDR, all
importers must provide a U.S. address for the controlling site; this site may be your company’s
headquarters in the United States. If there is no such operating unit or headquarters in the United
States, the site address for the importer is the U.S. address of an agent acting on the importer’s
behalf who is authorized to accept service of process for the importer (40 CFR 711.3). In the
event that more than one person may meet the definition of “importer” (40 CFR 704.3), only one
person should report. See 40 CFR 711.22(b).
Example 4-2. The headquarters of your company is located in New Town. Your company
owns a plant site located in Old Town, which is in a different state. A headquarters employee
purchases and arranges to have 500,000 lb of Chemical X imported from Japan to the Old
Town plant site. The headquarters site in New Town controls the import transaction and is the
site reported on Form U.

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Example 4-3. The headquarters of your company is located in New Town. Your company
owns three manufacturing sites, Sites 1, 2, and 3, all located in different states. An employee
based at headquarters purchases and arranges to have 500,000 lb of Chemical X imported
from Japan. The chemical is distributed as follows: 20,000 lb is delivered to Site 1; 180,000
lb is delivered to Site 2; and 300,000 lb is delivered to Site 3. The headquarters in New Town
controls the import transaction for all three sites, and therefore is responsible for reporting all
500,000 lb of Chemical X. The site reported on Form U is New Town.
4.4.2

Site Name (Block 1.B.1)

Enter the full name of the site. You should include any additional identifying terms such
as Inc., Ltd., L.L.C., etc.
4.4.3

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

D&B assigns separate numbers to subsidiaries and parent companies; make sure that the
number you provide EPA in block 1.B.2 belongs to the individual site for which you are
reporting. You must obtain a D&B number for the site , if none exists. If the site does not have a
D&B number, you can request one from your local office of D&B. Please refer to Section 4.3.2
for information on obtaining a D&B number.
4.4.4

Site Street Address (Blocks 1.B.3 through 1.B.8)

Enter your site mailing address, including the appropriate county or parish (or other
jurisdictional indicator), using standard addressing techniques as established by the U.S. Postal
Service. Post Office box numbers should be accompanied by a street address. If a Post Office
box is listed, it should be listed after the street address.

4.5

Part I - Section C. Technical Contact Information4

This section requests information about the person whom EPA may contact for
clarification of the information in your CDR submission. The technical contact should be a
person who can answer questions about the reported chemical substance(s). Typically, a person
located at the manufacturing site is best able to answer such questions. However, companies may
use their discretion in selecting a technical contact or multiple technical contacts, as provided by
the new e-CDRweb tool. Submitters should consider, in selecting the technical contact, that EPA
may have follow-up questions about a CDR submission, one or more years after the submission
date. The technical contact need not be the person who signed the certification statement. You
can select your technical contact from the drop down list of support registrants or enter
information for a new technical contact.
Note: If you select from the list of support registrants, the technical contact information
provided during CDX registration will populate Section C. Please double check this
information to ensure all required fields are complete and accurate. If any information is
incorrect or incomplete, the authorized official should make the necessary changes in CDX.

4

See Sec 4.7.3 for information concerning CBI claims for Technical Contact Information.

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4.5.1

When You Must Report

Technical Contact Name and Company Name (Blocks 1.C.1 and 1.C.2)

Enter the name of the person whom EPA may contact for clarification of information
submitted on Form U. Enter the name of the company employing the technical contact.
4.5.2

Technical Contact Telephone Number and Email Address (Blocks 1.C.3 and 1.C.4)

Enter the technical contact’s telephone number, including the area code, and the contact’s
email address.
4.5.3

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

Enter the technical contact’s full mailing address, using standard addressing techniques as
established by the U.S. Postal Service. Post Office box numbers should be accompanied by a
street address. If a Post Office box is used as a mailing address, the street address should be
given in Block 1.C.5 followed by the Post Office box number in Block 1.C.6.

4.6

Part II - Section A. Chemical Substance Identification

You must use the Agency’s Substance Registry Services (SRS) to report the chemical
substance identification information consisting of the currently correct Chemical Abstracts (CA)
Index Name and the correct corresponding Chemical Abstracts Service (CAS) Registry Number
(CASRN), as described in Sections 4.6.2 and 4.6.4. The SRS is EPA’s central system for
information about chemical substances that are tracked or regulated by EPA or other sources. It
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is the authoritative resource for basic information about chemicals, biological organisms, and
other chemical substances of interest to EPA and its state and tribal partners.
The correct CA Index Name and CASRN must be reported separately for each CDR
reportable chemical substance at your site. If you wish to report a chemical substance listed on
the confidential portion of the TSCA Inventory, you will need to report the chemical substance
using a TSCA Accession Number (the generic name corresponding to the Accession Number
will automatically be incorporated into your form). See Section 4.6.1 for details on how to report
confidential chemical substances.

You will be able to connect directly to the SRS database from the reporting tool to report
the correct CA Index Names and CASRNs for all of your non-confidential chemical substances
on the TSCA Inventory. TSCA Accession Numbers and generic chemical names will be listed
for chemical substances on the confidential portion of the TSCA Inventory. The use of the SRS
to obtain the identities for all CDR reportable chemical substances is a convenient way to meet
the chemical nomenclature requirement and will help to prevent errors in the reporting of
chemical identification information for the CDR.

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4.6.1

When You Must Report

Confidentiality of Chemical Substance Information (Block 2.A.1)

If you wish to report a chemical substance listed on the confidential portion of the TSCA
Inventory, you will need to report the chemical substance using a TSCA Accession Number.
The generic chemical name corresponding to the TSCA Accession Number will also be
automatically incorporated into your form.
You may claim as confidential the identity of a chemical substance that is already listed
as confidential on the TSCA Inventory (40 CFR 711.30(b)). To do so, you must check the
appropriate CBI box in Part II, Section A and submit detailed written answers to the
substantiation questions listed in Table 5-2. The identities of chemical substances listed on the
public version of the TSCA Inventory are already publicly known. Therefore, claims for
confidential treatment of the identity of a chemical substance which is listed on the public
section of the TSCA Inventory are not valid and will not be allowed using the reporting tool. The
Agency limits chemical identity CBI claims to only those chemical substances listed on the
confidential portion of the Master Inventory File.

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You have selected a chemical substance that is listed on the confidential portion of the TSCA
Inventory. You may claim as confidential the identity of a chemical substance that is already listed as
confidential on the TSCA Inventory. To do so, check the CBI box and submit detailed written
answers to the substantiation questions. Click here to respond to the substantiation questions. This
will navigate you to the CBI Substantiation Summary screen. If you do not wish to claim the chemical
identity confidential, uncheck the CBI box.

CBI claims for chemical identity will be accepted only when accompanied by a separate
written substantiation for the chemical substances claimed as CBI. Clicking “Click here” in the
warning statement automatically triggers the substantiation questions. If you fail to substantiate
the claim for confidentiality of the chemical identity in accordance with applicable rules, EPA
may make the information available to the public without further notice to you. Note that
checking this box does not protect the link between your company and the chemical substance; it
only asserts a CBI claim for the specific identity of the chemical substance. See Section 5.1 for
more details about substantiating CBI claims for the identity of a chemical substance.

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4.6.2

When You Must Report

Chemical Substance Identifying Number (Block 2.A.2)

Every chemical substance reported in
accordance with CDR must be accompanied
by its correct CASRN, corresponding to the
chemical substance’s specific chemical
name as described in 4.6.4. (40 CFR
711.15(b)(3)(i)). You may enter either a
CASRN (Block 2.A.2) or the specific name
of the chemical substance (Block 2.A.4) to
select the appropriate CASRN/Chemical
Abstracts (CA) Index Name combination
from the SRS database.

Report the correct CASRN for your chemical
substance if it is listed on the nonconfidential portion of the TSCA Inventory.
If your chemical substance is listed on the
confidential portion of the TSCA Inventory
and you wish to continue having the chemical
identity be confidential, report the EPAdesignated TSCA Accession Number. Each
TSCA Inventory chemical substance has at
least one of these types of numbers.

EPA is requiring that you report only the CASRN as a chemical identifying number,
except in the case of confidential chemical substances. In the case of confidential chemical
substances, EPA is requiring that you report only the TSCA Accession Number as a chemical
identifying number. If, in the past, you reported using the PMN case number of a confidential
substance, you can use the PMN case number to search the SRS to populate the pertinent
chemical identification information for the confidential chemical substance listed on the TSCA
Inventory. In the SRS, you can readily find a cross-reference list that displays the Accession
Number, generic chemical name, and the PMN case number (or for an initial TSCA Inventory
substance, the TSCA Inventory reporting form number) for any confidential chemical substance
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listed on the TSCA Inventory. You can then select from the SRS the correct Accession Number
corresponding to the confidential chemical substance intended to be reported (the generic name
corresponding to the Accession Number will automatically be incorporated into your report).
There are certain circumstances where you occasionally may not be sure of the particular
PMN case number and Accession Number the Agency has assigned to one of its confidential
chemical substances, such that you would not be able to definitely determine this solely from
searching the SRS. This could happen, for example, if the chemical substance were originally
reported as part of a consolidated PMN and you did not learn from EPA which particular case
number in the consolidated PMN number sequence corresponds to which of the several reported
confidential chemical substances. This could also happen if a certain PMN represented a mixture
of two or more confidential chemical substances, such that multiple Accession Numbers were
assigned to the different chemical substances reported in that single PMN, and you didn't already
request the particular Accession Numbers from EPA for the individual chemical substances
comprising that multi-component type of PMN. In such circumstances, you should contact EPA
well before initiating CDR reporting to obtain the required Accession Numbers from the Agency.
Submitters who are not able to identify the Accession Number by searching the SRS
should contact EPA, in writing or via fax on company letterhead, well before initiating CDR
reporting to obtain the Accession Number assigned when the Notice of Commencement (NOC)
was submitted to the Agency. Individuals are urged to submit a complete and accurate TSCA
Inventory Correspondence via fax or by U.S. mail at least one month before the submission
deadline. Note that incomplete and/or inaccurate requests may be rejected. The Agency will
respond to such inquiries in as timely a manner as possible. It is the responsibility of the
submitter to contact the Agency for such information in sufficient time to allow for the Agency
to respond.
Please send requests for a TSCA Accession Number as soon as possible to:
By Fax: 202-564-9538

4.6.3

By U.S. Postal Service:

By Hand Delivery or Courier:

U.S. Environmental Protection Agency
Office of Pollution Prevention and Toxics
Document Control Office (7407M)
1200 Pennsylvania Ave, NW
Washington, DC 20460

U.S. Environmental Protection Agency
Office of Pollution Prevention and Toxics
Confidential Business Information Center
EPA East Building, Room 6428
1201 Constitution Ave, NW
Washington, DC 20004
202-564-8930; 202-564-8940

ID Code (Block 2.A.3)

The code corresponding to the type of identifying number you selected in the SRS will be
entered in Block 2.A.1. See codes in Table 4-1.

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Table 4-1. ID Code for Chemical Identifying Numbers
If the Number You are Reporting is a(n)

This Code Will be Entered

Accession Number

A

CAS Registry Number

C

4.6.4

Chemical Name (Block 2.A.4)

EPA is requiring the reporting of the CA Index Name currently used to list the chemical
substance on the TSCA Inventory as the chemical name reported for CDR. You may enter either
a CASRN (Block 2.A.2) or the specific name of the chemical substance (Block 2.A.4) to select
the appropriate CASRN/Chemical Abstracts (CA) Index Name combination from the SRS
database.
In cases where a chemical substance is listed on the confidential portion of the TSCA
Inventory, you are to report the chemical substance’s Accession Number which is listed on the
non-confidential portion of the TSCA Inventory and is included in the SRS (the generic name
corresponding to the Accession Number will automatically be incorporated into your report). In
order to continue to protect the confidentiality of the underlying specific chemical identification
information (i.e., the CASRN and specific chemical name), you must claim the chemical identity
as CBI and complete the upfront substantiation. Doing so will maintain the confidentiality of the
underlying specific chemical name and CASRN of the confidential chemical substance. The
Accession Number and generic chemical name will remain non-confidential. Failure to identify
the chemical identity as CBI and complete the upfront substantiation will waive any CBI claim
to the chemical identity and will result in the transfer of the chemical substance from the
confidential portion of the TSCA Inventory to the non-confidential, publicly releasable, portion
of the TSCA Inventory.
4.6.5

Special Provisions for Importers and Joint Submitters

You may report an alternate chemical name, and in the case of importers, a trade name, in
those instances where your supplier will not disclose to you the specific chemical name of the
imported TSCA Inventory chemical substance or a reactant used to manufacture the TSCA
Inventory chemical substance because the name is claimed confidential. In these cases, you and
the supplier may report the information required in a joint submission. If you as the importer
cannot provide the chemical name, supply a trade name or other designation to identify the
proprietary chemical substance and provide the supplier’s (secondary submitter’s) company
information. Complete as much of the Form U as you can. In addition, you must use e-CDRweb
to ask the supplier (secondary submitter) of the confidential chemical substance to directly
provide EPA with the correct chemical identity (as described in 4.6.2), in a joint submission with
you. Your request to the supplier must include instructions for submitting chemical identity
information electronically, using e-CDRweb and CDX (see 40 CFR 711.35), and for clearly
referencing your submission. Contact information for the supplier, a trade name or other
designation for the chemical substance or mixture, and a copy of the request to the supplier must
be included with your submission for the chemical substance.
Similarly, in the event that you as a manufacturer completing a Form U cannot provide
the complete chemical identity because you manufacture the reportable chemical substance using
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a reactant having a specific chemical identity claimed as confidential by its supplier, supply a
trade name or other designation to identify the proprietary chemical substance and provide the
supplier’s (secondary submitter’s) company information. Complete as much of the Form U as
you can. In addition, you must use e-CDRweb to ask the supplier to directly provide to EPA the
correct chemical identity of the confidential reactant in a joint submission. Such request must
include instructions for submitting chemical identity information electronically using e-CDRweb
and CDX (see 40 CFR 711.35), and for clearly referencing your submission. Contact
information for the supplier, a trade name or other designation for the chemical substance, and a
copy of the request to the supplier must be included with your submission referencing the
chemical substance.
In both cases, if the secondary submitter chooses to respond to the primary submitter’s
request, the secondary submitter would use e-CDRweb to identify the chemical substance in
question and the percent composition of each component chemical substance of the trade name
product or mixture.
EPA will only accept joint submissions that are submitted electronically using eCDRweb and CDX (see 40 CFR 711.35) and that clearly reference the Form U submission to
which they refer. See Chapter 6.7 for more information on how to submit joint reports. These
special provisions only apply in cases where the supplier will not reveal the pertinent chemical
identity to you because it is claimed confidential. In the event that you actually know the
chemical identity of a chemical substance subject to CDR reporting, you must provide that
information irrespective of a supplier’s confidentiality claims.

4.7

Part II - Section B. Manufacturing Information

The following subsections describe the manufacturing information required to be
reported for each chemical substance.
4.7.1

Confidentiality of Company Information (Block 2.B.1)

Check the CBI box in this block to assert a confidentiality claim for the link between the
chemical substance and the company information reported in Part I, Section A. Checking other
CBI boxes on the form will not protect this link. You may claim this connection as confidential
for some chemical substances for which you are reporting, while not making the claim for others
(each chemical substance manufactured at a site is reported in separate sections of Form U).
EPA will not impute the existence of a CBI claim for company identity from a CBI claim
associated with a different chemical substance.
4.7.2

Confidentiality of Site Information (Block 2.B.2)

Check the CBI box in this block and complete the substantiation questions to assert a
confidentiality claim for the link between the chemical substance and the site identity reported in
Part I, Section B. Checking the CBI box automatically triggers the substantiation questions. See
Section 5.2 for information on completing the substantiation questions. If you fail to substantiate
the site CBI claim in accordance with the applicable rules, EPA may make the information
available to the public without further notice to you.

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You may claim the connection between chemical substance and site as confidential for
some chemical substances for which you are reporting, while not making the claim for others
(each chemical substance is reported separately in Form U). EPA will not impute the existence of
a CBI claim for site identity from a CBI claim associated with a different chemical substance.
EPA also has observed that submitters sometimes claim only their company identity, but
not their site identity, as confidential. EPA will not impute the existence of a CBI claim for site
identity from a CBI claim for company identity, even if the company name appears within the
site identity information.

4.7.3

Confidentiality of Technical Contact Information (Block 2.B.3)

Check the CBI box in this block to assert a confidentiality claim for the link between the
chemical substance and the technical contact information reported in Part I, Section C of Form
U. You may claim this connection as confidential for some chemical substances for which you
are reporting, while not making the claim for others (each chemical substance is reported
separately in Form U). EPA will not impute the existence of a CBI claim for technical contact
information from a CBI claim associated with a different chemical substance.
4.7.4

Reporting Manufacturing Information for Calendar Year 2011 (Blocks 2.B.4.2.B.20)

This section of the CDR describes the manufacturing data elements that should be
reported for your CDR reportable chemical substance for the calendar year 2011, the principal
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reporting year for the 2012 submission period. If any information is not known or reasonably
ascertainable by you (including your company), enter or select “NKRA” for “not known or
reasonably ascertainable” in the box corresponding to that data element. You may also check the
CBI box next to each data element to claim data as confidential. However, keep in mind that you
can not claim a “NKRA” designation as confidential.

4.7.4.1

Activity (Domestically Manufacture and/or Import) (Block 2.B.4)

Check the box(es) that describe whether you domestically manufacture or import the
chemical substance. If you both domestically manufacture and import the same chemical
substance, check both boxes.
4.7.4.2

Domestically Manufactured Production Volume (Block 2.B.5)

Report the volume of the chemical substance domestically manufactured at your site
during calendar year 2011, in pounds. Report the quantity to at least two significant figures; it
should be accurate to the extent known to or reasonably ascertainable by you. Production
volumes should be reported in numeric format, without commas (e.g., 6352000). For example,
“2 million” or “2 E6" are not acceptable, nor are production volumes with decimals or
abbreviations such as M (e.g., 12,000,000 = 12M) or K (e.g., 50,000 = 50K).

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4.7.4.3

When You Must Report

Imported Production Volume (Block 2.B.6)

Report the volume of chemical substance imported by your site in 2011, in pounds.
Report the quantity to at least two significant figures; it should be accurate to the extent known
to or reasonably ascertainable by you. You should use the same numeric format as described for
Block 2.B.5, domestically manufactured production volume. Imported and domestically
manufactured production volumes are reported separately for each chemical substance at each
site.
Note that if you import various mixtures containing reportable chemical substances, you
should add all import volumes associated with each chemical substance. For instance, if you
import three mixtures and each mixture contains Chemical A, then you would determine the
volume of Chemical A in each mixture and report the aggregated amount.
4.7.4.4

For Imported Chemical Substances, Is the Chemical Never Physically at
Site? (Block 2.B.7)
Use the drop down box to select one of the following choices:
Y = Yes, the imported chemical substance is never physically at the reporting site (e.g., if
you ship the chemical substance from a foreign country directly to another location such
as a warehouse, a processing or use site, or a customer’s site),
N = No, the imported chemical substance is actually physically present at the site.
NKRA = It is not known to or reasonably ascertainable by you whether the imported
chemical substance is physically present at the site.

4.7.4.5

Production Volume Used On-Site (Block 2.B.8)

Report the total volume of the domestically manufactured and imported chemical
substance used at the reporting site, in pounds. The number represents the volume of the
chemical substance that does not leave the manufacturing site. The production volume used onsite should not exceed the sum of the domestically manufactured and imported volumes minus
the volume exported (i.e., (Block 2.B.5 + Block 2.B.6) –Block 2.B.9). Report the quantity to at
least two significant figures; it should be accurate to the extent known to or reasonably
ascertainable by you. You should use the same numeric format as described for Block 2.B.5,
domestically manufactured production volume.
4.7.4.6

Production Volume Exported (Block 2.B.9)

Report the production volume directly exported and not domestically processed or used,
in pounds. The volume exported should not exceed the sum of the domestically manufactured
and imported volumes (i.e., (Block 2.B.5 + Block 2.B.6). Report the quantity to at least two
significant figures; it should be accurate to the extent known to or reasonably ascertainable by
you. You should use the same numeric format as described for Block 2.B.5, domestically
manufactured production volume.

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

Information
Description

2012 Reporting Requirement

Site 1 domestically manufactures 30,000 lb of Chemical X.

Site 1 should report 30,000 lb as domestically
manufactured for Chemical X. The total
production volume (i.e., the domestically
manufactured volume) should be used to report the
remaining CDR information.

Site 2 domestically manufactures 15,000 lb of Chemical X
and directly imports 15,000 lb of Chemical X.

Site 2 should report 15,000 lb as domestically
manufactured. Because Site 2 controls the import
transaction, Site 2 should also report 15,000 lb as
imported for Chemical X. The total production
volume (i.e., sum of the domestically manufactured
and import volumes) should be used to report the
remaining CDR information.

Site 3 domestically manufactures 30,000 lb of Chemical X.
Of the 30,000 lb manufactured, Site 3 directly exports
10,000 lb to a foreign customer.

Site 3 should report 30,000 lb as domestically
manufactured and 10,000 lb as exported for
Chemical X. The production volume not directly
exported should be used to report the remaining
CDR information.

Site 4 domestically manufactures 70,000 lb and imports
30,000 lb of Chemical X. Site 4 uses 20,000 lb of Chemical
X on site.

Site 4 should report 70,000 lb as domestically
manufactured, 30,000 lb as imported and 20,000 lb
as used on site. The total production volume (i.e.,
sum of the domestically manufactured and import
volumes) should be used to report the remaining
CDR information.

In 2011, Company B coordinates the import of 100,000 lb
of Chemical X, which is imported directly to three different
sites owned by Company B. Site 5 receives 40,000 lb and
Sites 6 and 7 each receive 30,000 lb of Chemical X.

Company B should report 100,000 lb as imported
for Chemical X. The total production volume (i.e.,
the imported volume) should be used to report the
remaining CDR information. Because the three
sites controlled by Company B did not control the
import transaction, the sites are not required to
report the imported volumes.

4.7.4.7

Number of Workers (Block 2.B.10)

Report the total number of workers reasonably likely to be exposed to each reportable
chemical substance at each site during calendar year 2011 (40 CFR 711.15(b)(3)(vii)). For Block
2.B.10, use the drop down box to select the code corresponding to the appropriate range for the
number of workers reasonably likely to be exposed to a reportable chemical substance during
manufacture. Table 4-3 shows the codes and ranges which appear in the drop down box.

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

Range of Workers Reasonably Likely to be Exposed

W1

Fewer than 10 workers

W2

At least 10 but fewer than 25 workers

W3

At least 25 but fewer than 50 workers

W4

At least 50 but fewer than 100 workers

W5

At least 100 but fewer than 500 workers

W6

At least 500 but fewer than 1,000 workers

W7

At least 1,000 but fewer than 10,000 workers

W8

At least 10,000 workers

“Reasonably likely to be exposed” means “an exposure to a chemical substance which,
under foreseeable conditions of manufacture, processing, distribution in commerce, or use of the
chemical substance, is more likely to occur than not to occur. Such exposures would normally
include, but would not be limited to, activities such as charging reactor vessels, drumming, bulk
loading, cleaning equipment, maintenance operations, materials handling and transfers, and
analytical operations. Covered exposures include exposures through any route of entry
(inhalation, ingestion, skin contact, absorption, etc.), but excludes accidental or theoretical
exposures” (40 CFR 711.3).
Persons reasonably likely to be exposed to a chemical substance include workers whose
employment requires them to pass through areas where chemical substances are manufactured,
processed, or used (e.g., production workers and foremen, process engineers, and plant
managers). Workers employed to drive vehicles which transport the chemical substance should
be included in the number of workers reasonably likely to be exposed to the chemical substance
if they come into contact with the chemical substance during loading or unloading. For example,
workers engaged in the connection or disengagement of hoses used to load or unload the
chemical substance should be included. However, workers involved solely with transporting
chemical substances in sealed containers that are totally enclosed with no potential for exposure
should not be included.
In addition, when a site employs temporary, seasonal, or contract workers in the
manufacture of a reportable chemical substance, these workers should be included in the number
of workers reasonably likely to be exposed to a chemical substance if they work in areas where
the chemical substance is manufactured. The term does not include those employees whose jobs
are not associated with potential exposures to a chemical substance or mixture (e.g.,
administrative staff who never enter areas where the chemical substance is manufactured) and
who are unlikely to be exposed to a chemical substance for even a brief period of time. No
allowance is made for personal protective equipment or for engineering controls that reduce but
do not preclude exposure to a chemical substance; however, if contact between a worker and a
chemical substance is highly improbable, the worker should not be included among those
persons reasonably likely to be exposed to the chemical substance.
When there is no potential exposure to a chemical substance, the code W1 corresponding
to fewer than 10 workers would be reported. This would be the case, for instance, when a
chemical substance is imported in sealed containers and resold without repackaging or is shipped
from a foreign source directly to a customer.
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When You Must Report

Maximum Concentration (Block 2.B.11)

Report the maximum concentration, measured by percentage of weight, of your
reportable chemical substance at the time it is reacted on-site to produce a different chemical
substance (site-limited) or as it leaves the site (40 CFR 711.15(b)(3)(viii)).The concentration
must be accurate to the extent that information is known to or reasonably ascertainable by you.
In your determination of the maximum concentration, do not include concentrations of the
product sent off-site for non-commercial purposes (40 CFR 710.1(a)).
For each chemical substance, from the drop down box select the code which corresponds
to the appropriate maximum concentration range of the chemical substance. Table 4-4 shows the
codes and concentration ranges which appear in the drop down box. If the maximum
concentration falls between two ranges, round your estimate to the nearest one percent using
standard rounding procedures. Report the code that corresponds to the appropriate range. Report
the maximum concentration regardless of the various physical forms in which the chemical
substance may be sent off-site or reacted on-site to produce a different chemical substance.
Table 4-4. Codes for Reporting Maximum Concentration
Code

4.7.4.9

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

Is Chemical Substance Being Recycled, Remanufactured, Reprocessed, or
Reused ? (Block 2.B.12)
Use the drop down box to select one of the following choices
Y = Yes, the manufactured chemical substance, such as a byproduct, is to be recycled,
remanufactured, reprocessed, or reused.
N = No, the manufactured chemical substance, such as a byproduct, is not to be recycled,
remanufactured, reprocessed, or reused.
NKRA = It is not known to or reasonably ascertainable by you whether the manufactured
chemical substance, such as a byproduct, is to be recycled, remanufactured, reprocessed,
or reused.

By selecting “Yes,” you indicate that the manufactured chemical substance, which otherwise
would be disposed of as a waste, is being removed from the waste stream and is being used or
reused for a commercial purpose.

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Example 4-4. The papermaking process involves the pulping of wood and several processing
steps which generate white (CASRN 68131-33-9), black (CASRN 66071-92-9), and green
(CASRN 68131-30-6) pulping liquors. During papermaking, wood pulping using the white liquor
generates a black pulping liquor waste product, which is typically burned, resulting in the
production of energy and an inorganic smelt that becomes green liquor. Green liquor is further
processed to generate white liquor, which is used in the wood pulping process. The pulping liquors
generated by the pulping cycle are CDR reportable chemical substances that are considered
recycled, remanufactured, reprocessed, or reused. Block 2.B.12 should be selected for these
chemical substances.

4.7.4.10

Physical Form and Percentage of Production Volume (Blocks 2.B.13 through
2.B.19)

Report all physical forms of the chemical substance at the time it is reacted or as it leaves
your site and the percentage of production volume (including both domestically manufactured
and imported volumes) for each physical form (40 CFR 711.15(b)(3)(viii)). For each chemical
substance at each site, the submitter must report as many physical forms as applicable by
selecting the appropriate blocks which correspond to the following six physical forms:
•
•
•
•
•
•

Dry Powder
Pellets or Large Crystals
Water- or Solvent-Wet Solid
Other Solid
Gas or Vapor
Liquid

Select “Unknown”, if the physical form of the chemical substance is not known to or
reasonably ascertainable by you.
Report the percentage of the total production volume of the chemical substance for each
physical form reacted onsite or sent off-site rounded off to the closest 10 percent (40 CFR
711.15(b)(3)(ix)). If the chemical substance is sent off-site in more than one physical form,
report all the physical forms in which it is sent off-site. These percentages may total more or less
than 100% due to rounding.

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Example 4-5. Determining Percentage of Production Volume
Company A domestically manufactures 75,000 lb and imports 25,000 lb of Chemical X, for a
total production volume of 100,000 lb. Forty-eight percent (48,000 lb) of the production
volume is produced as dry powder, 24 percent (24,000 lb) is produced as a pellets, 24 percent
(24,000 lb) as a liquid solution, and 4 percent (4,000 lb) as a water-wet solid. Company A
would report the following:
Dry Powder
Pellets or Large Crystals
Water- or Solvent-Wet Solid
Other Solid
Gas or Vapor
Liquid

4.7.5

50%
20%
0%
0%
0%
20%

Reporting Production Volume (PV) for the Year 2010 (Block 2.B.20)

Report the total volume of the chemical substance manufactured at your site (includes
domestically manufactured and imported volumes) during the 2010 calendar year in pounds.
Report the production volume to at least two significant figures; it should be accurate to the
extent known to or reasonably ascertainable by you. Production volumes should be reported in
numeric format, with or without commas (i.e., 58,000 or 6352000). For example, “2 million” or
“2 E6" are not acceptable, nor are production volumes with decimals or abbreviations such as M
(e.g., 12,000,000 = 12M) or K (e.g., 50,000 = 50K).

4.8

Part III - Processing and Use Information

In addition to completing Parts I and II, you Information regarding processing or use
activities must be reported to the extent
must complete Part III of Form U for reportable
that it is known to or reasonably
chemical substances manufactured (including
imported) for commercial purposes in an amount of ascertainable by the submitter (40 CFR
711.15(b)(4)).
100,000 pounds or more at any one site during
calendar year 2011 (40 CFR 711.15(b)), unless the
chemical substance is partially exempt. See Sections 2.3.3 and 2.3.4 to determine whether you
qualify for a partial exemption. If you manufacture the chemical substance in an amount less
than 100,000 pounds at a site, you do not need to complete Part III for the chemical substances at
that site; instead, check the N/A box. Report industrial processing and use information for each
chemical substance manufactured (including imported) in an amount of 100,000 lb or more at
sites under your control and at domestic sites that receive a reportable chemical substance from
you directly or indirectly (including through a broker/distributor, from a customer of yours, etc.)
(40 CFR 711.15(b)(4)). You should report the processing and use activities for the total 2011
production volume reported (both domestically manufactured (Block 2.B.5.) and imported
(Block 2.B.6.)) in Part II.

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The processing or use information should be reported to the extent that it is known to or
reasonably ascertainable by you (40 CFR 711.15). Under the “known to or reasonably
ascertainable by” standard, a submitter would therefore prepare its report about the processing
and use of a chemical substance it manufactures (including imports), without confining its
inquiry solely to what is known to managerial and supervisory employees, but would also be
expected to review information which the manufacturer (including importer) may have in their
possession or control, plus all information that a reasonable person similarly situated might be
expected to possess, control, or know. The inquiry would be as extensive as a reasonable person,
similarly situated, might be expected to perform within the organization. Information derived
from customer surveys or other customer contacts, like any other information, would be “known
to” the submitter if it is available after a reasonable inquiry within the organization. The standard
does not necessarily require that the manufacturer conduct an exhaustive survey of all
employees.
EPA would like to furthermore clarify that submitters are not required to conduct a new
or additional customer survey (i.e., to pose a comprehensive set of identical questions to multiple
customers) under this standard. If particular information cannot be derived or reasonably
estimated from the information available to the company without conducting further customer
surveys, it is not “known to or reasonably ascertainable” to the submitter for purposes of the
CDR. However, to the extent that customer surveys are already in the submitter’s possession or
control, and to the extent that reasonable efforts to analyze or derive information from alreadyavailable customer surveys may inform processing and use information that is reported, the
information is generally “known to or reasonably ascertainable.” Section 4.2 contains additional
information on the “known to or reasonably ascertainable by” reporting standard.
If any information is not known or reasonably ascertainable by you (including your
company), enter or select “NKRA” for “not known or reasonably ascertainable” in the box
corresponding to that data element.
You may check the CBI box next to each data element to claim data as confidential.
However, keep in mind that you cannot claim a “NKRA” designation as confidential. Checking
a CBI box associated with a specific processing and use data element automatically triggers
substantiation questions. See Section 5.3 for information on completing the substantiation
questions. Additional guidance on reporting processing and use information is available in the
documents Questions and Answers for the 2012 TSCA Chemical Data Reporting and Summary
of EPA’s Responses to Comments Submitted for the Proposed TSCA Inventory Update Reporting
Modifications Rule available on the Resources page at http://www.epa.gov/cdr or
http://www.epa.gov/iur.
4.8.1

Part III - Section A. Industrial Processing and Use Data (Blocks 3.A.1 through
3.A.10)

For each IUR chemical substance manufactured (including imported) in an amount of
100,000 lb or more, report up to ten unique combinations of the following data elements: the
Type of Process or Use Operation (TPU) (described in Section 4.8.1.1), the Industrial Sector (IS)
(described in Section 4.8.1.2), and the Industrial Function Category (IFC) (described in Section
4.8.1.3) (40 CFR 711.15(b)(4)(i)). A combination of these three data elements defines a potential
exposure scenario for risk-screening and priority-setting purposes. For each of these unique
combinations, you are also required to report the percentage of production volume (described in
Section 4.8.1.4), the number of sites (described in Section 4.8.1.5), and the number of workers
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(described in Section 4.8.1.6) (40 CFR 711.15(b)(4)(i)). If more than ten unique combinations
apply to a chemical substance, you need only report the ten combinations for the chemical
substance that cumulatively represent the largest percentage of production volume, measured by
weight (40 CFR 711.15(b)(4)(i)(C)). The reporting tool will allow you to enter more than ten
combinations if you choose to do so.

4.8.1.1

Type of Processing or Use Operation

To the extent that it is known to or reasonably ascertainable by you, use the drop down
box to select the code which corresponds to the appropriate Type of Processing or Use Operation
(TPU) for the particular combination of IS and IFC codes. Table 4-5 shows the codes and TPUs
which appear in the drop down box. Note that if a chemical substance is fully reacted (i.e.,
reporting “PC” for the processing code), then the chemical substance is consumed and further
processing and use information for that chemical substance will not exist. In such a situation,
there is no further downstream processing and use information to be reported for that particular
type of processing or use operation under 40 CFR 711.15(b)(4). A processing or use code may be
reported more than once if more than one IS and/or IFC code applies to the same processing or
use operation. Definitions for each code are provided in Appendix D, which may assist you in
determining which code to report.

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Table 4-5. Codes for Reporting Type of Industrial Processing or Use Operations
Code

Operation

PC

Processing as a reactant

PF

Processing—incorporation into formulation, mixture, or reaction product

PA

Processing—incorporation into article

PK

Processing—repackaging

U

Use—non-incorporative activities

4.8.1.2

Industrial Sectors

You must select from the drop down box the code which corresponds to the appropriate
Industrial Sector (IS) for all sites that receive a reportable chemical substance from you either
directly or indirectly (including through a broker/distributor, from a customer of yours, etc.) and
that process and use of the reportable chemical substance to the extent that this information is
known to or reasonably ascertainable by you (40 CFR 711.15(b)(4)(i)(B)). Table 4-6 shows the
codes and sectors which appear in the drop down box. Because an industrial sector may apply to
more than one processing and use scenario for a chemical substance, the same IS code may be
reported with different combinations of IFC and TPU codes.
Note that for the 2006 IUR, you were required to report five-digit North American
Industrial Classification System (NAICS) codes. Beginning with the 2012 reporting, EPA is
replacing the NAICS codes with IS codes. A listing identifying the correspondence between
NAICS codes and IS codes is provided in Table D-2 in Appendix D. Submitters who know the
NAICS code can easily identify the IS code from Table D-2. Submitters who do not know a
specific NAICS code may be able to identify a more general category.
When you chose the IS “Other,” you also need to provide a written description of the use
of the chemical substance. Your description may include the NAICS code.
Table 4-6. Industrial Sectors (IS)
IS Code
IS1
IS2
IS3
IS4
IS5
IS6
IS7
IS8
IS9
IS10
IS11
IS12
IS13

IS Title
Agriculture, forestry, fishing and hunting
Oil and gas drilling, extraction, and support activities
Mining (except oil and gas)
Utilities
Construction
Food, beverage, and tobacco product manufacturing
Textiles, apparel, and leather manufacturing
Wood product manufacturing
Paper manufacturing
Printing and related support activities
Petroleum and coal products manufacturing
Asphalt paving, roofing, and coating materials manufacturing
Petroleum lubricating oil and grease manufacturing

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IS Code
IS14
IS15
IS16
IS17
IS18
IS19
IS20
IS21
IS22
IS23
IS24
IS25
IS26
IS27
IS28
IS29
IS30
IS31
IS32
IS33
IS34
IS35
IS36
IS37
IS38
IS39
IS40
IS41
IS42
IS43
IS44
IS45
IS46
IS47
IS48

4.8.1.3

IS Title
All other petroleum and coal products manufacturing
Petrochemical manufacturing
Industrial gas manufacturing
Synthetic dye and pigment manufacturing
Carbon black manufacturing
All other basic inorganic chemical manufacturing
Cyclic crude and intermediate manufacturing
All other basic organic chemical manufacturing
Plastic material and resin manufacturing
Synthetic rubber manufacturing
Organic fiber manufacturing
Pesticide, fertilizer, and other agricultural chemical manufacturing
Pharmaceutical and medicine manufacturing
Paint and coating manufacturing
Adhesive manufacturing
Soap, cleaning compound, and toilet preparation manufacturing
Printing ink manufacturing
Explosives manufacturing
Custom compounding of purchased resin
Photographic film paper, plate, and chemical manufacturing
All other chemical product and preparation manufacturing
Plastics product manufacturing
Rubber product manufacturing
Nonmetallic mineral product manufacturing (includes clay, glass, cement, concrete,
lime, gypsum, and other nonmetallic mineral product manufacturing.
Primary metal manufacturing
Fabricated metal product manufacturing
Machinery manufacturing
Computer and electronic product manufacturing
Electrical equipment, appliance, and component manufacturing
Transportation equipment manufacturing
Furniture and related product manufacturing
Miscellaneous manufacturing
Wholesale and retail trade
Services
Other (requires additional information)

Industrial Function Category

Select from the drop down box the code that corresponds to the appropriate Industrial
Function Category (IFC) for each particular combination of TPU and IS that you report (40 CFR
711.15(b)(4)(i)(C)). Table 4-7 shows the codes and IFCs that appear in the drop down box.
Descriptions for each IFC are provided in Appendix D. If you select U099 (Other), provide a
description of the industrial function of the chemical substance. Note that EPA revised the IFC
descriptions and codes for the 2012 reporting.
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Table 4-7. Codes for Reporting Industrial Function Categories (IFCs)
IFC Code

4.8.1.4

IFC Title

U001

Abrasives

U002

Adhesives, binders, and sealants

U003

Adsorbents and absorbents

U004

Agricultural chemicals (non-pesticidal)

U005

Anti-adhesive agents

U006

Bleaching agents

U007

Corrosion inhibitors and anti-scaling agents

U008

Dyes

U009

Fillers

U010

Finishing agents

U011

Flame retardants

U012

Fuels and fuel additives

U013

Functional fluids (closed systems)

U014

Functional fluids (open systems)

U015

Intermediates

U016

Ion exchange agents

U017

Lubricants and lubricant additives

U018

Odor agents

U019

Oxidizing/reducing agents

U020

Photosensitive chemicals

U021

Pigments

U022

Plasticizers

U023

Plating agents and surface treating agents

U024

Process regulators

U025

Processing aids, not otherwise listed

U026

Processing aids, specific to petroleum production

U027

Propellants and blowing agents

U028

Solids separation agents

U029

Solvents (for cleaning and degreasing)

U030

Solvents (which become part of product formulation or mixture)

U031

Surface active agents

U032

Viscosity adjustors

U033

Laboratory chemicals

U034

Paint additives and coating additives not described by other codes

U099

Other (specify)

Percentage of Production Volume

Estimate the percentage of total 2011 production volume that is attributable to each
unique combination of TPU, IS, and IFC. The percentage should be accurate to the extent that it
is known to or reasonably ascertainable by you. Round your estimates to the nearest 10 percent
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of production volume (40 CFR 711.15(b)(4)(i)(D)). If you would like to provide more specific
percentages, please do so. Do not round a particular combination that accounts for less than five
percent of the total production volume to zero percent if the production volume attributable to
that combination is greater than or equal to 25,000 lb. In such cases, you must report the
percentage of production volume attributable to that combination to the nearest one percent of
production volume (40 CFR 711.15(b)(4)(i)(D)).
The total percentage of
production volumes associated
with the TPU, IS, and IFC
combinations may add up to more
than 100 percent, given that you
are reporting on distribution of a
chemical substance to sites in
your control as well as
downstream sites, some of which
are not immediate purchasers
from your original manufacturing
site. Additionally, the total
percentage of production volume
may add up to less than 100
percent if, for example:
•
•
•

How to determine your percent production volume:
1. Determine the production volume that is attributable
to each unique combination of TPU, IS, and IFC.
2. Determine your total production volume for 2011.
a. Add together the volume domestically
manufactured and the volume imported.
b. DO NOT subtract the volume used on-site or
the volume exported
3. Divide the volume determined in step 1 by the volume
determined in step 2 and multiply by 100.

You do not know or cannot reasonably ascertain information about how all of your
production volume is processed or used;
More than 10 combinations of codes are applicable to your chemical substance; or
You export a portion of the production volume.

Table 4-8 provides examples of reporting industrial processing and use data.

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

2012 Reporting Requirement

Site 1 manufactures 500,000 lb of Chemical X for
processing for incorporation into a mixture. All of the
production is for use in industrial sector IS17 (Synthetic
Dye and Pigment Manufacturing). Of the production
volume, 67% (335,000 lb) is used as a dye and 33%
(165,000 lb) is used as a pigment.

On line 3.A.1 of Form U, enter PF for type of
process or use, IS17 for industrial sector, U008 for
IFC, and 70% for production volume. On line
3.A.2 of Form U, enter PF for type of process or
use, IS17 for industrial sector, U021 for IFC, and
30% for production volume.

Site 1 manufactures 500,000 lb of Chemical X for
processing for incorporation into a mixture. All of the
production is for use under industrial sector IS17 (Synthetic
Dye and Pigment Manufacturing). Of the production
volume, 97% (485,000 lb) is used as a coloring agent for
dyes and 3% (15,000 lb) is used as a coloring agent for
pigments.

On line 3.A.1 of Form U, enter PF for type of
process or use, IS17 for industrial sector, U008 for
IFC, and 100% for production volume. On line
3.A.2 of Form U, enter PF for type of process or
use, IS14 for industrial sector, and U021 for IFC.
Because less than 100,000 lb is used for pigments,
enter 0% for production volume.

Site 1 manufactures 12,000,000 lb of Chemical X for
processing for incorporation into a mixture. All of the
production is for use under industrial sector IS17 (Synthetic
Dye and Pigment Manufacturing). Of the production
volume, 97% (11,640,000 lb) is used as a coloring agent for
dyes and 3% (360,000 lb) is used as a coloring agent for
pigments.

On line 3.A.1 of Form U, enter PF for type of
process or use, IS17 for industrial sector, U008 for
IFC, and 100% for production volume. Because the
use in pigments, IFC U021, accounts for 100,000
lb or more, on line 3.A.2 of Form U, enter PF for
type of process or use, IS17 for industrial sector,
U021 for IFC, and 3% for production volume.

4.8.1.5

Number of Sites Code

For each unique combination of TPU, IS, and IFC, select from the drop down box the
code which corresponds to the appropriate number range for the total number of industrial sites,
including those not under your control, that process or use each reported chemical substance to
the extent that such information is known or reasonable ascertainable by you (40 CFR
711.15(b)(4)(i)(E)). In the event you both manufacture (including import) and process or use the
same reportable chemical substance at the reporting plant site, your site would be counted as
both a manufacturing site in Part II of Form U and a processing or use site reported in Part III of
Form U (40 CFR 711.15(b)(4)). Table 4-9 shows the codes and site number ranges which appear
in the drop down box.
Table 4-9. Codes for Reporting Numbers of Sites
Codes

4.8.1.6

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

Number of Workers Code

For each unique combination of Type of Process or Use Operation, Industrial Sector, and
Industrial Function Category, estimate the total number of workers that are reasonably likely to
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be exposed to the chemical substance at sites that process or use the chemical substance (40 CFR
711.15(b)(4)(i)(F)). Include workers at sites which are not under your control as well as those
sites you control. For each chemical substance, select from the drop down box the code that
corresponds to the estimated range of the number of workers reasonably likely to be exposed. To
claim this information as confidential, check the box adjacent to the reported information. Table
4-10 shows the codes and worker ranges which appear in the drop down box.
Table 4-10. Codes for Reporting Number of Workers Reasonably Likely to be Exposed
During Processing and Use
Code

Range of Workers Reasonably Likely to be Exposed

W1

Fewer than 10 workers

W2

At least 10 but fewer than 25 workers

W3

At least 25 but fewer than 50 workers

W4

At least 50 but fewer than 100 workers

W5

At least 100 but fewer than 500 workers

W6

At least 500 but fewer than 1,000 workers

W7

At least 1,000 but fewer than 10,000 workers

W8

At least 10,000 workers

“Reasonably likely to be exposed” means “an exposure to a chemical substance which,
under foreseeable conditions of manufacture (including import), processing, distribution in
commerce, or use of the chemical substance, is more likely to occur than not to occur. Such
exposures would normally include, but would not be limited to, activities such as charging
reactor vessels, drumming, bulk loading, cleaning equipment, maintenance operations, materials
handling and transfers, and analytical operations. Covered exposures include exposures through
any route of entry (inhalation, ingestion, skin contact, absorption, etc.), but excludes accidental
or theoretical exposures” (40 CFR 711.3).
Persons reasonably likely to be exposed to a chemical substance include workers whose
employment requires them to pass through areas where chemical substances are manufactured,
processed, or used (e.g., production workers and foremen, process engineers, and plant
managers). Workers employed to drive vehicles that transport the chemical substances should be
included in the number of workers reasonably likely to be exposed to the chemical substance if
they come into contact with the chemical substance during loading or unloading. For example,
workers engaged in the connection or disengagement of hoses used to load or unload the
chemical substance should be included. However, workers involved solely with transporting
chemical substances in sealed (totally enclosed with no potential for exposure) containers should
not be included.
In addition, when a site employs temporary, seasonal, or contract workers in the
manufacture of a reportable chemical substance, these workers should be included in the number
of workers reasonably likely to be exposed to a chemical substance if they work in areas where
the chemical substance is manufactured. The term does not include those employees whose jobs
are unassociated with potential exposures to a chemical substance or mixture (e.g.,
administrative staff who never enter areas where the chemical substance is manufactured) and
who are unlikely to be exposed to a chemical substance for even a brief period of time. No
allowance is made for personal protective equipment or for engineering controls that reduce but
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do not preclude exposure to a chemical substance; however, if contact between a worker and a
chemical substance is highly improbable, the worker should not be included among those
persons reasonably likely to be exposed to the chemical substance.
4.8.2

Part III - Section B. Consumer and Commercial Use Data (Blocks 3.B.1 through
3.B.10)

For purposes of CDR reporting, a commercial use means the use of a chemical substance
or a mixture (including as part of an article) in a commercial enterprise providing saleable goods
or a service (40 CFR 711.3). A consumer use, on the other hand, means the use of a chemical
substance or a mixture (including as part of an article) when sold to or made available to
consumers for their use (40 CFR 711.3).
You are required to report information that is known to or reasonably ascertainable by
you concerning the consumer and commercial end uses of each chemical substance
manufactured (including imported) in an amount of 100,000 lb or more at sites you control and
at sites controlled by people to whom you have either directly or indirectly (including through a
broker/distributor, from a customer, etc.) distributed the reportable chemical substance (40 CFR
711.15(b)(4)).

4.8.2.1

Product Category

You must designate up to ten product categories which correspond to the actual use of the
chemical substance by selecting from the drop down box the codes which corresponds to the
appropriate product categories (40 CFR 711.15(b)(4)(ii)(A)). The reporting tool will allow you to
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enter more than ten categories if you choose to do so. Table 4-11 shows the codes and product
categories which appear in the drop down box.
Note that EPA revised the list of product category codes. Descriptions of these categories
are provided in Appendix D. If you select C999 (Other), you must provide a description of the
product category. If more than ten codes apply, you need report only the ten codes for the
chemical substance that cumulatively represent the largest percentage of production volume,
measured by weight (40 CFR 711.15(b)(4)(ii)(A)).
Table 4-11. Product Category Codes
Code

Description

Chemical Substances in Furnishing, Cleaning, Treatment/Care Products
C101

Floor coverings

C102

Foam seating and bedding products

C103

Furniture and furnishings not covered elsewhere

C104

Fabric, textile, and leather products not covered elsewhere

C105

Cleaning and furnishing care products

C106

Laundry and dishwashing products

C107

Water treatment products

C108

Personal care products

C109

Air care products

C110

Apparel and footwear care products

Chemical Substances in Construction, Paint, Electrical, and Metal Products
C201
Adhesives and sealants
C202

Paints and coatings

C203

Building/construction materials - wood and engineered wood products

C204

Building/construction materials not covered elsewhere

C205

Electrical and electronic products

C206

Metal products not covered elsewhere

C207

Batteries

Chemical Substances in Packaging, Paper, Plastic, Hobby Products
C301
Food packaging
C302

Paper products

C303

Plastic and rubber products not covered elsewhere

C304

Toys, playground, and sporting equipment

C305

Arts, crafts, and hobby materials

C306

Ink, toner, and colorant products

C307

Photographic supplies, film, and photochemicals

Chemical Substances in Automotive, Fuel, Agriculture, Outdoor Use Products
C401
Automotive care products
C402

Lubricants and greases

C403

Anti-freeze and de-icing products

C404

Fuels and related products

C405

Explosive materials

C406

Agricultural products (non-pesticidal)

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Chapter 2.0
Code
C407

When You Must Report
Description
Lawn and garden care products

Chemical Substances in Products not Described by Other Codes
C980
Non-TSCA use
C999

4.8.2.2

Other (specify)

Consumer and/or Commercial Use

For each Product Category reported, select from the drop down box in the “Consumer
and/or Commercial” column in Part III.B of Form U the options to indicate whether the use is a
consumer use or a commercial use (40 CFR 711.15b)(4)(ii)(B). If the product has both consumer
and commercial uses, select both options.
4.8.2.3

Use in Product(s) Intended for Use by Children

Within each consumer product category reported, you must determine whether any
amount of each reportable chemical substance manufactured (including imported) in an amount
of 100,000 lb or more by you is present in or on any consumer product(s) intended for use by
children age 14 or younger, regardless of the concentration of the chemical substance remaining
in or on the product (40 CFR 711.15(b)(4)(ii)(C)). If you determine that your chemical substance
or mixture is used in a consumer product intended for use by children, select “Yes” from the
drop down box in the “Used in Product(s) Intended for Children” column in Part III.B of Form
U. If you determine that your chemical substance or mixture is not used in a consumer product
intended for use by children, select “No” from the drop down box. If information as to whether
the chemical substance is used in or on any consumer products intended for use by children is
not known to or reasonably ascertainable by you, select “NKRA” from the drop down box.
EPA defines “intended for use by children” to mean the chemical substance or mixture is
used in or on a product that is specifically intended for use by children age 14 or younger (40
CFR 711.3). Your chemical substance or mixture is intended for use by children if you answer
“yes” to at least one of the following questions about the product into which your chemical
substance or mixture is incorporated:
• Is the product commonly recognized (i.e., by a reasonable person) as being intended for
use by children age 14 or younger?
• Does the manufacturer of the product state through product labeling or other written
materials that the product is intended or will be used by children age 14 or younger?
• Is the advertising, promotion, or marketing of the product aimed at children age 14 or
younger?
Table 4-12 illustrates some examples of “Use in Product(s) Intended for Use by
Children.” For example, certain products (e.g., crayons, coloring books, diapers, and toy cars)
are typically used by children age 14 or younger. If you determine that your chemical substance
or mixture is used in crayons, for example, you would report “Y” for children’s use for C305.

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When You Must Report

Certain products, such as household cleaning products, automotive supplies, and
lubricants, typically are not intended to be used by children age 14 or younger. As such, if you
determine that your chemical substance or mixture is used in automotive care products and
lubricants, for example, you would report “no” for children’s use for categories C401 and C402.
Table 4-12. Examples of Products Intended for Use by Children
Codes

Category

Examples

Chemical Substances in Furnishings, Cleaning, Treatment/Care Products
C102

Foam seating and bedding products

Child’s car seat, children’s sheets

C103

Furniture and furnishings not covered
elsewhere

Baby cribs, changing tables

C104

Fabrics, textile, and leather products
not covered elsewhere

Children’s clothing

C108

Personal care products

Baby shampoo, children’s bubble bath

Chemical Substances in Construction, Paint, Electrical and Metal Products
C201

Adhesives and sealants

Craft glue, model glue

C202

Paints and coatings

Finger paints, water colors intended for use by children

C205

Electrical and electronic products

Electronic games, remote control cars

Chemical Substances in Packaging, Paper, Plastic, Hobby Products
C302

Paper products

Diapers, baby wipes, coloring books

C303

Plastic and rubber products not
covered elsewhere

Pacifiers

C304

Toys, playground, and sporting
equipment

Toy trucks, dolls, toy cars, wagons, action figures, balls,
swing sets, slides, skates, baseball gloves

C305

Arts, Crafts, and Hobby Materials

Chemicals used as colorants in crayons, coloring inks,
markers

Chemical Substances in Automotive, Fuel, Agriculture, Outdoor Use Products
C407

Lawn and garden products

Lawn and gardening tools designed specifically for children
(e.g., kids rake)

C999

Other (specify)

Other items specifically intended for use by children age 14
or younger

4.8.2.4

Percentage of Production Volume

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When You Must Report

Estimate the percentage of your production volume for each chemical substance
manufactured (including imported) in an amount of 100,000 lb or more that is attributable to
each specific consumer and commercial end use carried out at sites under your control, as well as
at sites that receive a reportable chemical substance from you either directly or indirectly
(including through a broker/distributor, from a customer, etc.), to the extent that such
information is known to or reasonably ascertainable to you (40 CFR 711.15(b)(4)(ii)(D)). You
should round estimates to the nearest ten percent of production volume (40 CFR
711.15(b)(4)(ii)(D)). If you would like to provide more specific percentages, please do so. You
may not round a consumer and commercial product category that accounts for five percent or
less of the total production volume of a reportable chemical substance to zero percent if the
production volume attributable to that consumer
How to determine your percent
and commercial product category is greater than
production volume:
or equal to 25,000 lb. (40 CFR
711.15(b)(4)(ii)(D)). In such cases, you must
1. Determine the production volume that is
report the percentage of production volume
attributable to each consumer and
attributable to that consumer and commercial
commercial end use.
product category to the nearest one percent of
2. Determine your total production volume
the production volume (40 CFR
for 2011.
711.15(b)(4)(ii)(D)).
a. Add together the volume
Note that the total percentage of
production volumes reported may add up to
more or less than 100 percent. Rounding to the
nearest ten percent can result in summed
percentages either above or below 100 percent.
Additionally, the total percentage of production
volume may add up to less than 100 percent if,
for example:

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.

• You do not know or cannot reasonably ascertain information about how all your
production volume is used in consumer and commercial products;
• More than ten commercial or consumer product categories are applicable to your
chemical substance; or
• A portion of your production is consumed in industrial uses or exported.
4.8.2.5

Maximum Concentration Code

When the chemical substance you manufacture (including import) is used in commercial
or consumer products, you are required to report the estimated typical maximum concentration
(measured by weight) of each chemical substance in each commercial or consumer product
category reported in Part III of Form U (40 CFR 711.15(b)(4)(ii)(E)). For each chemical
substance used in a reported commercial or consumer product, select from the drop down box the
code that corresponds to the appropriate concentration range. Table 4-4 shows the codes and
concentration ranges which appear in the drop down box.
4.8.2.6

Number of Commercial Workers Code

Report the total number of commercial workers, including those at sites not under your
control that are reasonably likely to be exposed while using the reportable chemical substance,
with respect to each commercial use (40 CFR 711.15(B)(4)(II)(F)). For each chemical substance
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with a commercial use reported in Part III, select code which corresponds to the appropriate
range of commercial workers reasonably likely to be exposed. Table 4-10 shows the code and
worker ranges which appear in the drop down box.

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Chapter 5.0

How to Assert Confidentiality Claims

5.0 How to Assert Confidentiality Claims
You can designate your CDR data as confidential business information (CBI) by
checking the CBI box associated with selected data elements, responding to a series of
substantiation questions for selected data elements, and ensuring that the signature of your
authorized official accompanies any substantiation. You are encouraged to limit claims for CBI
only to situations in which they are absolutely necessary. You are also encouraged not to assert
confidentiality claims if your circumstances have changed and confidentiality is no longer
needed. CBI claims will not be accepted or honored if they are not asserted as required at the
time information is submitted to EPA or if they are submitted in a manner inconsistent with the
CDR rule.
CBI claims must be warranted under the criteria for determining confidentiality found
within 40 CFR 2.208. EPA’s procedures for processing and reviewing confidentiality claims are
set forth at 40 CFR Part 2, Subpart B and 40 CFR 711.30. EPA strongly encourages you to
review confidentiality claims carefully to ensure that the information in question falls under the
protection of TSCA Section 14 and fully meets the substantive questions within the Part 2 rules.
If you assert that any of the information contained in the answers to these questions itself
contains CBI, you must clearly identify the information that is claimed confidential by marking
the specific information on each page with a label such as “confidential business information,”
“proprietary,” or “trade secret” (40 CFR 711.30(b)(2)). If you fail to follow these instructions,
EPA may release the information to the public without further notice to you.
Specific procedures to claim the identity of the reported chemical substance, the identity
of the site, and processing and use data as CBI are addressed in the following subsections. Table
5-1 summarizes the special considerations for these data elements.
Table 5-1. Special Considerations for Asserting Confidentiality Claims
Data Element
Chemical Identity

Asserting a Confidentiality Claim
The chemical identities listed on the public version of the TSCA Inventory are
already publicly known; therefore submitters cannot claim such chemical identities
as CBI. The Agency has in the past, and will continue to do so, limited chemical
identity claims to only those chemical substances listed on the confidential portion
of the Master Inventory File. To assert a confidentiality claim for the TSCA
Accession Number corresponding to the confidential chemical substance intended
to be reported, check CBI box in Part II Section A and submit written answers to
questions in 40 CFR 711.30(b)(1). (The questions are reproduced in Table 5-2.)

Site Identity

Check CBI box in Part II Block 2.B.2 and submit written answers to the questions
in 40 CFR 711.30(c)(1). (The questions are reproduced in Table 5-3.)

Processing and Use Data

Check the appropriate CBI box in Part III, and submit written answers to questions
in 40 CFR 711.30(d)(1) for each CBI box checked. (The questions are reproduced
in Table 5-4.)

5.1

Chemical Identity

You may assert a confidentiality claim for the specific identity of a chemical substance
only if EPA treats the identity of that chemical substance as confidential on the TSCA Inventory
at the time your report is submitted (i.e., the chemical substance is not on the public portion of
the TSCA Inventory) (40 CFR 711.30(b)). If you report a previously confidential chemical
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Chapter 5.0

How to Assert Confidentiality Claims

substance as nonconfidential, that chemical substance subsequently will be listed on the TSCA
Inventory as nonconfidential.
To assert a claim for the confidential chemical identity associated with the TSCA
Accession Number ,you must check the appropriate CBI box in Part II, Section A and submit
detailed written answers to the substantiation questions listed in Table 5-2. Checking the CBI
box for chemical identity automatically triggers the substantiation questions. The answers must
be complete and specific to the chemical substance in question. If you answer “Yes” to question
11, write the file name in the text box and electronically attach the relevant document.
Table 5-2. Substantiation Questions To Be Answered When Asserting Chemical
Identity CBI Claims (40 CFR 711.30(b)(1))
No.

Question

1.

What harmful effects to your competitive position, if any, or to your supplier’s competitive position, do
you think would result from the identity of the chemical substance being disclosed in connection with
reporting under the CDR? How could a competitor use such information? Would the effects of disclosure
be substantial? What is the causal relationship between the disclosure and the harmful effects?

2.

For how long should confidential treatment be given? Until a specific date, the occurrence of a specific
event, or permanently? Why?

3.

Has the chemical substance been patented? If so, have you granted licenses to others with respect to the
patent as it applies to the chemical substance? If the chemical substance has been patented, and therefore
disclosed through the patent, why should it be treated as confidential?

4.

Has the identity of the chemical substance been kept confidential to the extent that your competitors do
not know it is being manufactured or imported for a commercial purpose by anyone?

5.

Is the fact that the chemical substance is being manufactured (including imported) for a commercial
purpose available to the public, for example, in technical journals, libraries, or State, local, or Federal
agency public files?

6.

What measures have you taken to prevent undesired disclosure of the fact that the chemical substance is
being manufactured (including imported) for a commercial purpose?

7.

To what extent has the fact that this chemical substance is manufactured (including imported) for
commercial purposes been revealed to others? What precautions have been taken regarding these
disclosures? Have there been public disclosures or disclosures to competitors?

8.

Does this particular chemical substance leave the site of manufacture (including import) in any form (e.g.,
as product, effluent, emission)? If so, what measures have been taken to guard against the discovery of its
identity?

9.

If the chemical substance leaves the site in a product that is available to the public or your competitors,
can the chemical substance be identified by analysis of the product?

10.

For what purpose do you manufacture (including import) the chemical substance?

11.

Has EPA, another Federal agency, or any Federal court made any pertinent confidentiality determinations
regarding this chemical substance? If so, please attach copies of such determinations.

5.2

Site Identity

You may assert a claim of confidentiality for the identity of the manufacturing (including
importing) site if the linkage of the site with a reportable chemical substance is confidential and
not publicly available (40 CFR 711.30(c). Claiming site identity as confidential protects the
release of site name (i.e., where the chemical substance was manufactured (including imported))
address, city, county, state, zip code, and Dun & Bradstreet number. Note that claiming site
identity confidential does not protect the link between the chemical identity and the company
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How to Assert Confidentiality Claims

name. To protect the link between the chemical identity and the company name, you need to
check the CBI box associated with the company name.
To assert a claim of confidentiality for site identity, check the appropriate CBI box in Part
II, Section B and substantiate your claim with detailed written answers to the two questions (see
Table 5-3) at 40 CFR 711.30(c)(1). Checking the CBI box for site identity automatically triggers
the substantiation questions. Note that confidentiality claims for both site and company
information are to be made in conjunction with a specific chemical substance and cannot be
made generically for a whole submission. For instance, if you report four chemical substances
manufactured (including imported) at a given site on Form U, you are able to claim the site
identity as confidential for one chemical substance while releasing this information for the other
three. If the site identity for a particular chemical substance is not claimed as CBI, or is claimed
but not substantiated pursuant to 40 CFR 711.30(c), EPA may make that information available to
the public without further notice to the submitter. EPA will not impute the existence of a CBI
claim for site identity from a CBI claim for company identity, even if the company name appears
within the site identity information.
Table 5-3. Substantiation Questions To Be Answered When Asserting Plant
Site Identity CBI Claims (40 CFR 711.30(c)(1))
No.

Question

1.

Has site information been linked with a chemical identity in any other Federal, state, or local reporting
scheme? For example, is the chemical identity linked to a facility in a filing under the EPCRA section 311,
namely through a Material Safety Data Sheet (MSDS)? If so, identify all such schemes. Was the linkage
claimed as confidential in any of these instances?

2.

What harmful effect, if any, to your competitive position do you think would result from disclosure of the
identity of the site and the chemical substance? How could a competitor use such information? Would the
effects of disclosure be substantial? What is the causal relationship between the disclosure and the harmful
effects?

5.3

Processing and Use Information

You may assert a claim of confidentiality for data associated with the processing and use
information reported in Part III of Form U if you have reason to believe that release of the
information would reveal trade secrets or confidential commercial or financial information, as
provided by section 14 of TSCA and 40 CFR Part 2. While submitters were not required to
provide upfront substantiation for this information during the last reporting cycle (2006), EPA
now requires upfront substantiation of CBI claims for these data. To assert a claim of
confidentiality for data associated with processing and use information, check the appropriate
CBI box(es) in Part III of Form U and, for each box checked, substantiate your claim with
detailed written answers to the questions in Table 5-4 (40 CFR 711.30(d)(1)). Checking a CBI
box for a specific data element automatically triggers the substantiation questions. The answers
must be complete and specific as to the chemical substance and data element in question.

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Table 5-4. Substantiation Questions To Be Answered When Asserting Processing and Use
Information CBI Claims (40 CFR 711.30(d)(1))
No.

Question

1.

Is the identified use of this chemical substance publicly known? For example, is information on the use
available in advertisements or other marketing materials, professional journals or other similar materials, or
in non-confidential mandatory or voluntary government filings or publications? Has your company ever
provided use information on the chemical substance that was not claimed as confidential?

2.

What harmful effect, if any, to your competitive position or to your customer’s competitive position do you
think would result from disclosure of the processing and use data and the chemical substance? How could a
competitor use such information? Would the effects of disclosure be substantial? What is the causal
relationship between the disclosure and the harmful effects?

5.4

CBI Claims for “NKRA” Responses

If you designate information as “not known to or reasonably ascertainable by” (i.e., if you
make a “NKRA” response), you can not claim the “NKRA” response as confidential.

5.5

Negative Responses for Products Intended for Use by Children

If your chemical substance is not used in products intended for use by children (i.e., you
answered ‘No’ in Part III.B), you are encouraged not to claim the information as confidential.
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Chapter 6.0

How to Submit Your Form U to EPA

6.0 How to Submit Your Form U to EPA
For the 2012 submission period, manufacturers (including importers) are required to use
e-CDRweb, the CDR reporting tool, and EPA’s Central Data Exchange (CDX) to create an
electronic version of Form U to submit information in response to the requirements of this rule
(40 CFR Part 711). EPA will no longer accept paper forms or electronic media (diskette, CDRom, etc.) for any CDR submission. A separate Form U is required for each plant site (40 CFR
711.15(a)). If you need to report information for more than one reportable chemical substance at
your site, submit the information for all the chemical substances on one Form U.

6.1

The e-CDRweb Tool

The reporting tool, e-CDRweb, is a user-friendly, web-based tool that allows you to
submit Form U electronically over the Internet. The tool includes embedded help files to help
guide you through the CDR submission process and integrates with the Agency’s Substance
Registry Services (SRS) and Facility Registry System (FRS) to improve data quality and
facilitate data entry. It can be accessed anywhere you have a connection to the Internet and
requires no downloads or tool installs. Once you complete the relevant data entry, the tool will
validate the form by performing basic error checks and making sure all the required fields are
completed, allow you to create and save the submission for your records, and encrypt your file
for submission through CDX.
Authorized officials and all support registrants must register to use the e-CDRweb tool at
https://cdx.epa.gov. This registration requires the completion of an electronic signature
agreement (ESA) form. You can either submit the form electronically or mail the form to EPA.
If you choose to mail the ESA form, please allow adequate time for the mailing and
processing of the form, which is estimated to take a minimum of five (5) business days. Note
that a foreign supplier cannot submit an ESA electronically. If you are already registered
with CDX for another TSCA program (e.g., the New Chemicals program), as either an
Authorized Official or Support Registrant, you do not need to register again. In this case, log into
CDX with your current user ID and password, and add the CDR as a new program.
For sites with their own data collection processes, e-CDRweb allows direct data transfers
of Extensible Markup Language (XML) files into the reporting tool. By selecting “Upload
XML,” you can directly enter data for more than one chemical substance in Form U. You will be
able to make adjustments to the uploaded information. The schema is available from the CDR
web site at http://www.epa.gov/cdr or http://www.epa.gov/iur.
For more information on accessing e-IURweb, please visit http://www.epa.gov/cdr or
http://www.epa.gov/iur. Additional assistance is available from the TSCA Hotline by telephone
at (202) 554-1404 or by email at http://[email protected]. The TSCA hotline operates
Monday through Friday, from 8:30 a.m. to 5:00 p.m. (EST).

6.2

The Central Data Exchange (CDX)

CDX is a service which enables you to electronically submit data to EPA. Registering
your name, contact information, and information of the company on whose behalf you are
submitting a Form U is required.
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The following tasks can be performed through CDX:
• Retrieval of the company identity for which you are registered to submit documents;
• Cryptographic key pair generation;
• File encryption;
• File decryption;
• Document Submission – allows you to submit your CDR Form U electronically to EPA; and
• Copy of Record Download – allows you to download the official submitted document and the
XML associated with that document.

Benefits of Submitting Forms through CDX:
■ Reduces time and expense of mailing paper
■ Improves security using digital encryption
■ Eliminates errors associated with manual processing
■ Automates and expedites validation and receipt
acknowledgement
■ Minimizes follow-up phone calls for clarification and
correction
For questions or additional information about CDX, please visit http://www.epa.gov/cdx.
Additional assistance can be obtained from the CDX help desk at [email protected] or CDX
technical support staff at 888-890-1995 (8:00 a.m. to 6:00 p.m. (EST) Monday through Friday).

6.3

Registering with CDX

CDX registration is required only for persons who will be submitting a Form U to EPA on
behalf of a site, or for persons who are authorized to enter CDR data for a site. Each site that
submits CDR information is required to have an Authorized Official (AO) who is the person
responsible for signing the form and is responsible for the data). A site may also have one or
more Support Registrants (SR) who complete Form U on behalf of the authorized official. For
purposes of CDX registration, the roles and access rights of an Authorized Official and a Support
Registrant are as follows:
ƒ

Primary Authorized Official --The Primary Authorized Official is the person legally
responsible for the site’s CDR submission. The AO is the only person who can create a
new Form U, reopen a completed Form U, and electronically sign and submit a Form U.
The AO, typically, is a senior official for the reporting company, often with management
responsibility for the person (or persons) completing the form. A company may have
more than one person register as an AO; however, each AO will be given a separate CDX
user ID and will need to know the passphrase of a specific Form U to access the form.
For CDR purposes, the “primary” designation indicates the AO for a U.S. site. In the
event that the CDR submission is part of a joint submission, the Primary AO is
responsible for initiating the joint submission. EPA assumes that this person may be the
authorized official for more than one plant site; therefore, there is a one-to-many
relationship between an authorized official and sites.
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ƒ

Secondary Authorized Official -- The Secondary Authorized Official is the person
legally responsible for the secondary portion of a joint CDR submission. As with the
Primary AO, the Secondary AO is the only person who can create a new Form U, reopen
a completed Form U, and electronically sign and submit a Form U. The Secondary AO,
typically, is a senior official for the secondary company, often with management
responsibility for the person (or persons) completing the form. A company may have
more than one person register as an AO; however, each AO will be given a separate CDX
user ID and will need to know the passphrase of a specific Form U to access the form.
EPA assumes that this person may be the authorized official for more than one plant site;
therefore, there is a one-to-many relationship between an authorized official and sites.

ƒ

Primary Support Registrant -- The Primary Support Registrant is a person designated
by an authorized official to provide supporting information on behalf of a site. The SR
may be a corporate on-site contact, a technical contact, a paid employee of the company,
an outside consultant for the company, or an authorized representative agent for the
company. Support registrants are not allowed to create a new Form U or sign the
certification statement required for the initial CDR submission, but they may enter or
modify data for the site for which they are authorized. EPA assumes that this individual
may be associated with more than one site, and even more than one company. SRs must
register with CDX before they can be associated with a site.

ƒ

Secondary Support Registrant --The Secondary Support Registrant is a person
designated by a Secondary AO to provide supporting information on behalf of the
secondary company in a joint submission. The SR may be a corporate on-site contact, a
technical contact, a paid employee of the company, an outside consultant for the
company, or an authorized representative agent for the company. SRs are not allowed to
create a new submission or sign the certification statement required for the initial CDR
submission, but they may enter or modify data for the site for which they are authorized.
SRs must register with CDX before they can be associated with a site.

6.3.1

Registering as a Primary Authorized Official

CDX registration is a multi-part process. Follow these instructions to register at the CDX
web site and add the e-CDRweb tool to your new CDX account.
Step 1: Complete the basic registration information
a.

Go to http://cdx.epa.gov to create your CDX account.

b.

On the CDX Home page, click the hyperlink next to “If you are new to CDX
and wish to register, please click here.”A warning and privacy notice will be
displayed.

c.

Click the “Click here to continue” link to start the registration process.

d.

Accept the Terms and Conditions registration agreement. You will be
directed to the Registration page.

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e.

Complete all required information noted with a red asterisk. After entering a
user name, password, and secret question, you will be asked to enter your
organization’s information.

f.

On the Program Selection page, select the Chemical Safety and Pollution
Prevention option and click “Next.”

g.

On the Add Program ID page, change the “Program ID Type” dropdown to
“Primary Authorized Official.” This will trigger the electronic signature
agreement process.

Step 2: Sign the Electronic Signature Agreement (ESA)
The ESA form contains information entered during CDX registration along
with terms of agreement for use of the electronic signature, and your
signature. This form is the main registration form for CDX and helps ensure
that all electronic signature holders are responsible parties. If you represent
multiple sites, you will be able to generate a single ESA for all the sites you
represent. Complete and electronically submit the ESA form. If you prefer,
you can print and mail the form to EPA.
Step 3: Complete Online Registration
After completing and submitting the ESA form, the “successfully registered”
confirmation page will be displayed. Click “Finished” to complete your online
registration as a submitter for the 2012 CDR. You will be taken to the MyCDX home
page. At this point, you have only created an online account and signed up for a role.
Your registration application will be reviewed and if your credentials are confirmed, you
will be notified via e-mail that your account has been activated.
Step 4: Activate your account
Once your account has been activated, the system will send you a registration
status change notification email, requesting that you log into the system and continue
with the user setup process.
Step 5: Complete the 20-5-1 Questionnaire
After logging back into CDX, you will be asked to provide answers to five
security questions from the “20-5-1 Questionnaire.” Each time you enter CDX, thereafter,
you will be prompted with one randomly selected question of the five you answered to
confirm your identity.
The “successfully registered” confirmation page will be displayed. Click
“Continue” to complete your registration. You will be taken to the MyCDX home page.
Step 6: Click the “Edit Current Account Profiles” link
You will be taken to the “Edit Organization Profiles” screen. Once on the page,
click the “Add/Edit Facilities” link and follow the prompts to select the name of your
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reporting site from EPA’s Facility Registry System (FRS) Facility Selector. The FRS
Facility Selector will appear in a separate pop-up window. Search results will be returned
displaying: EPA Registry ID, Facility Name, and Address.
Step 7: Click the “OPPT Chemical Submission System” link
You will be taken to the OPPT Chemical Submission System homepage. Choose
“Chemical Data Reporting (CDR)” as your submission type and click “Ok.”
Step 8: Begin using the e-CDRweb tool
Complete Parts I-III of Form U for all your reportable chemical substances as
described in Section 4 of this document. You will need to create a passphrase before you
can start to complete Form U. See Section 6.4 for instructions on creating a passphrase.
Note: Items such as the validation page and the SRS search page will appear in
separate windows. Ensure that your pop-up blocker is disabled before you begin to
complete Form U.
6.3.2

Registering as a Primary Support Registrant

CDX registration is a multi-part process. Follow these instructions to register at the CDX
web site and add the e-CDRweb tool to your CDX account.
Step 1: Complete the basic registration information
a. Go to http://cdx.epa.gov to create your CDX account.
b. On the CDX Home page, click the hyperlink next to “If you are new to CDX
and wish to register, please click here.” A warning and privacy notice will be
displayed.
c.

Click the “Click here to continue” link to start the registration process.

d.

Accept the Terms and Conditions registration agreement. You will be
directed to the Registration page.

e. Complete all required information noted with a red asterisk. After entering a
user name, password, and secret question, you will be asked to enter your
organization’s information.
f.

On the Program Selection page, select the “ Chemical Safety and Pollution
Prevention” option button and click “Next.”

g.

On the Add Program ID page, change the “Program ID Type” dropdown to
“Primary Support Registrant.” This will trigger the electronic signature
agreement process.

Step 2: Enter the Authorized Official’s CDX User ID
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Enter the CDX user ID of the Authorized Official for whom you will be
submitting information. If you enter the Authorized Official’s user ID correctly the
system will ask for further verification. After viewing the information of the Authorized
Official whose ID was entered, click the “Next” button to complete the electronic
signature agreement form.
Step 3: Sign the Electronic Signature Agreement (ESA)
The ESA form contains information entered during CDX registration along with
terms of agreement for use of the electronic signature, and your signature. This form is
the main registration form for CDX and helps ensure that all electronic signature holders
are responsible parties. Complete and electronically submit the ESA form. If you prefer,
you can print and mail the form to EPA.
Step 4: Complete Online Registration
After completing and submitting the ESA form, the “successfully registered”
confirmation page will be displayed. Click “Finished” to complete your online
registration as a Support Registrant. You will be taken to the MyCDX home page. At this
point, you have only created an online account and signed up for a role. Your registration
application will be reviewed and if your credentials are confirmed, you will be notified
via e-mail that your account has been activated.
Step 5: Activate your account
Once your account has been activated, the system will send you a registration
status change notification email, requesting that you log into the system and continue
with the user setup process.
Step 6: Complete the 20-5-1 Questionnaire
After logging back into CDX, you will be asked to provide answers to five
security questions from the “20-5-1 Questionnaire.” Each time you enter CDX, thereafter,
you will be prompted with one randomly selected question of the five you answered to
confirm your identity.
The “successfully registered” confirmation page will be displayed. Click
“Continue” to complete your registration. You will be taken to the MyCDX home page.
Step 7: Click the “Edit Current Account Profiles” link
You will be taken to the “Edit Organization Profiles” screen. Once on the page,
click the “Add/Edit Facilities” link and follow the prompts to select the name of your
reporting site from EPA’s Facility Registry System (FRS) Facility Selector. The FRS
Facility Selector will appear in a separate pop-up window. Search results will be returned
displaying: EPA Registry ID, Facility Name, and Address.
Step 8: Click the “OPPT Chemical Submission System” link

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You will be taken to the OPPT Chemical Submission System homepage. Choose
“Chemical Data Reporting (CDR)” as your submission type and click “Ok.”
Step 9: Begin using the e-CDRweb tool
Complete Parts I-III of Form U for all your reportable chemical substances as
described in Section 4 of this document. You will need to create a passphrase before you
can start to complete Form U. See Section 6.4 for instructions on creating a passphrase.
Note: Items such as the validation page and the SRS search page will appear in
separate windows. Ensure that your pop-up blocker is disabled before you begin to
complete Form U.

6.4

Creating a Passphrase

In order to begin completing your Form U, you will need to create a passphrase that is 820 characters in length. To better protect your account, your passphrase should contain a
combination of letters and numbers. Your passphrase may include spaces, but should not contain
special characters (e.g., +, ?, and *). You can create and use the same passphrase for all your
reporting sites.
A passphrase can only be created by an Authorized Official for a reporting site. Your
passphrase will be used as an encryption key to protect the contents of your data. As an
Authorized Official, you are responsible for remembering your passphrase and distributing it to
only authorized Support Registrants for your site.

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***NOTE: If you lose or forget your passphrase, you will not be able to access
your Form U to print, submit, or make changes. You will need to complete a
new Form U and create a new passphrase for the reportable chemical
substance(s) at your site. For security reasons, the system administrator will
not have access to your passphrase and will not be able to retrieve it or reset it
to a new one.
6.5

Submitting Form U through CDX

Follow these instructions to submit Form U. Please note that EPA will not be able to
access a site’s Form U until it is submitted through CDX.
Step 1. After you enter data for all the reportable chemical substances at your site, click
the “Submit” button at the bottom of the screen. Note that only an Authorized Official
can sign and submit a Form U.

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Step 2. Please correct all errors and review all warnings on the validation page to ensure
the information is complete and correct.
Step 3. Print or save a courtesy copy of your Form U submission. This document is for
your personal records only. DO NOT SUBMIT THE FORM TO EPA.
Step 4. Follow the prompts that will lead you to CDX, re-enter your passphrase, and
complete the CROMERR 20-5-1 questions.
Step 5. Click “Confirm” to submit your Form U to EPA.
Step 6. Please verify that all fields are correct on the preview screen. Once you submit
Form U, you will need to log into CDX to access the original Form U and make changes
to the data. See Section 6.8 if you would like to make changes to your Form U
submission.
Step 7. Check the status of your submission through CDX.

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After the file is processed and the signature validated, messages will be sent to the
registered email address and the associated CDX inbox. These messages will confirm receipt of
the CDR submission and validation of the signature.
To maintain the confidentiality of information submitted to EPA, e-CDRweb encrypts
submissions using a Federal Information Processing Standards (FIPS) certified encryption
module. The submission is encrypted by the reporting tool and remains encrypted during
transmission to CDX, while stored and archived in CDX, and during transmission from CDX to
EPA’s operational data repository. The file can only be decrypted with EPA’s private key when
it reaches its final destination. EPA is the only party that possesses the private key, which
converts the encrypted text back into readable text. EPA recognizes that securing CBI data is of
utmost and critical importance to the success of CDX in the CDR submission process. For that
reason, only CBI-cleared, EPA employees and contractors will be permitted access to CDR
submissions.

6.6

Accessing Your Site’s Data Before Submission

Form U can be completed in more than one session. The tool will save all data entered
on a page once you navigate away from the page (i.e., you click “Next” or “Previous”).
However, please click the “Save” button before logging out of the tool. You can pick up where
you left off at any time.

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Note that if a user accesses a page that is being edited by another individual, he or she
will be able to view the most updated version of the form, but will not be able to edit any
information. However, multiple people can edit different pages of the form at the same time.

6.7

Special Instructions for Joint Submitters

Joint submissions are allowed only in those instances where a supplier will not disclose to
the manufacturer (including importer) the specific chemical name of the imported chemical
substance or of a reactant used to manufacture a chemical substance, because the supplier claims
the specific chemical name is confidential.
This may happen, for instance, when a company is importing a mixture under a trade
name, and the foreign manufacturer refuses to reveal the chemical identity of a confidential
component of the mixture. In this case, the importer and the supplier can jointly report the
information through a joint submission. The importer must ask the supplier of the confidential
chemical substance to directly provide EPA with the correct chemical identity in Part IV of Form
U (see 40 CFR 711.15(b)(3)(i)(A)).
This may also happen in the event a manufacturer cannot provide the entire chemical
identity of a chemical substance it manufactures because the chemical substance is manufactured
using a reactant having a specific chemical identity that the reactant supplier claims as
confidential and will not reveal to the manufacturer. In this case, the manufacturer and the
supplier of the reactant can jointly report the information through a joint submission. The
manufacturer must submit a report directly to EPA containing all information he or she knows or
can reasonably ascertain about the chemical identity. Furthermore, the manufacturer must also
ask the reactant supplier to directly provide to EPA the correct chemical identity of the
confidential reactant in a joint submission (see 40 CFR 711.15(b)(3)(i)(B)).
A Primary AO or a Primary SR can identify, on a chemical-by-chemical basis, the
Secondary AO for a chemical substance. A site may have different Secondary AOs for different
chemical substances in its submission. The e-CDRweb tool will generate a unique ID number for
each chemical substance (identified by a trade name). Therefore, a Secondary AO may receive
multiple ID numbers from a Primary AO or SR. A Secondary AO may also report multiple
chemical substances under one ID number in the case that the ID number refers to a mixture. In
that situation, the Secondary AO will be identifying the chemical substances that comprise the
mixture.
Because signatures are required by each party of a joint submission, they must each
register with CDX, and complete their own sections of the same Form U report. The reporting
tool will match both submissions based upon the unique ID number sent by the manufacturer
(including importer) to notify the supplier of the partial CDR submission. Secondary AOs and
SRs do not have access to any of the information submitted to EPA by the Primary AO.
Likewise, Primary AOs and SRs cannot see the information that the Secondary AO reports to
EPA. This way, the confidentiality of information for both the primary and secondary submitters
is protected. The information provided by both submitters will be combined and processed as
one joint submission once they are received by EPA.
NOTE: In the event that a manufacturer (including importer) actually knows or can
reasonably ascertain the chemical identity (e.g., the CASRN or Accession Number) of a
chemical substance subject to CDR reporting, the manufacturer (including importer) must
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provide that information irrespective of a supplier’s confidentiality claims. If such a
primary submitter wishes to claim the chemical identity as confidential, to do so it must
check the CBI box and provide upfront substantiation as described in Section 4.6.1.
Different CBI procedures, described below, apply to submissions made directly by
suppliers (i.e., by secondary and tertiary submitters).
6.7.1

Submitting as a Manufacturer (including Importer)
If you are a manufacturer (including importer), as primary submitter, you should:
1. Register with CDX as a Primary Authorized Official or Primary Support Registrant.
See section 6.3 for instructions on registering with CDX.
2. Complete Parts II and III of Form U for all your reportable chemical substances as
described in Section 4 of this document. If you would like to create a joint
submission, click the “Add Joint Submission” button to complete the required
information for each reportable chemical substance supplied to you. Use the “Add
Chemical” tab to include information for additional chemical substances supplied by
the same company or another company.
a. Part II- Section A: Joint Submission Information (Blocks 2.A.5 through
2.A.12)
Click the “Add Joint Submission” button on the Navigation bar. Under the “Joint
Submission Report” folder, click the “Chemical Identification (2.A)” link. The
screen will display “Section 2.A – Chemical Identification (Joint Submissions
Information).” Enter the trade name or another name to identify the proprietary
mixture, and your secondary submitter's company name and complete mailing
address. You may provide additional information about the trade name product
(e.g., chemical substances that you know are components of the trade name
product) in Block 2.A.6.

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Follow the instructions in the box labeled “Unique Identifier for Joint
Submission” to communicate with the secondary submitter via email. The tool
will generate an email with a unique ID number and language that you can use to
notify your secondary submitter of the partial CDR submission containing
information for the trade name product. The ID number will be used to link the
joint reports in an internal database. The email will request that the secondary
submitter report the correct chemical identity information to EPA using eCDRweb and refer them to the CDR web site (http://www.epa.gov/cdr or
http://www.epa.gov/iur) for guidance on registering with CDX and completing
Part IV of Form U. You can indicate whether you would like the tool to send a
copy of your email to EPA, thereby providing a record of the request to the
secondary submitter.
b. Part II-Section B: Manufacturing Information (Blocks 2.B.1 through 2.B.20)
Enter the manufacturing information for the proprietary chemical substance as
described in Section 4.7 of this document.
c. Part III: Processing and Use Information (Blocks 3.A.1 through 3.B.10)
Enter the processing and use information for the proprietary chemical substance
as described in Section 4.8 of this document.

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3. Submit the form to EPA via CDX. Please verify that all fields are correct on the
preview screen.
4. It is your responsibility to ask your secondary submitter to complete Part IV of Form
U and send the information to EPA by the end of the submission period. It is also
your responsibility to include a copy of your request to your secondary submitter with
the portion of the Form U that you send to EPA. The tool will make a copy of record
available to the primary and the secondary submitters after EPA receives each portion
of a joint submission. If the secondary submitter decides to provide you directly with
the required trade name product information, you should change your submission
type and submit a single submission.
6.7.2

Submitting as a Supplier
If you are a supplier, as secondary submitter, you should:
1. Register with CDX as a “Secondary Authorized Official” or “Secondary Support
Registrant.” See section 6.3 for instructions on registering with CDX. Note that if
you’re an foreign supplier will need to complete and mail an Electronic Signature
Agreement (ESA) form to EPA as part of CDX registration. If you are a foreign
supplier, you cannot submit the ESA electronically. Please allow adequate time for
the mailing and processing of the form, which is estimated to take a minimum of
five (5) business days. If you are already registered with CDX for another TSCA
program (e.g., the PMN program) as either an Authorized Official or Support
Registrant, you do not need to register again. In this case, log into CDX with your
current user ID and password, and add the CDR as a new program.
2. Complete Part IV of Form U.
a. Section A: Secondary Company Information (Blocks 4.A.1 through 4.A.8)
Your company information (domestic or foreign company name and mailing address)
provided during CDX registration will populate Section A. Please double check this
information to ensure all required fields are complete and accurate. If any
information is incorrect or incomplete, the Authorized Official should make the
necessary changes in CDX.

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b. Section B: Secondary Technical Contact Information (Blocks 4.B.1 through
4.B.10)
You are responsible for designating a technical contact for your company. Select the
contact from the drop down list of Support Registrants or enter information for a new
technical contact. If you select from the list of Support Registrants, the technical
contact information (name, phone number, mailing address, etc.) will populate
Section B. Please double check this information to ensure all required fields are
complete and accurate. If any information is incorrect or incomplete, the Authorized
Official should make the necessary changes in CDX.
The technical contact should be a person who can answer specific questions about the
reported chemical substance(s) in your CDR submission. Typically, a person located
at the manufacturing site is best able to answer such questions. The technical contact
need not be the person who signs the certification statement.

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c. Section C: Primary Company Information
Enter the Unique Identifier for Joint Submissions number provided to you by the
manufacturer (including importer). Click the “Populate” button to generate the
trade product name provided by the manufacturer (including importer). Verify the
information and click the “Next” button to enter the information to identify the
chemical substance.

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d. Section D: Trade Product Identification Information
In this section of the Form U, enter your trade product name (which may be
different than the name provided by the primary submitter) and the chemical
composition of the product.
Step 1: Enter the trade product name used to identify the chemical substance in
Box 4.D.1.
Step 2: In Section 4.D.2, click on the magnifying glass under the “Action”
column and select the correct CA Index Name and CASRN for the chemical
substance from the SRS.
The reporting tool is directly linked to the nonconfidential portion of the TSCA
Inventory through the SRS database, which lists all chemical substances on the
TSCA Inventory. Most chemical substances are identified by CA Index Name
and CASRN. Chemical substances listed on the confidential portion of the TSCA
Inventory are identified in SRS using a TSCA Accession Number and generic
name. In the case of a chemical substance listed on the confidential portion of the
TSCA Inventory, a secondary submitter does not need to claim the underlying
chemical identity CBI or provide upfront substantiation. For such a chemical
substance, EPA will presume that the chemical identity associated with the
Accession Number is subject to a confidentiality claim when it is reported by a
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secondary submitter. See Section 6.7.3 for more information on reporting a
chemical substance listed on the confidential portion of the TSCA Inventory. In
addition, EPA will presume that the information reported in Section 4.D. of Form
U, and the connection between the chemical identity and the primary company
associated with the joint submission, is subject to a confidentiality claim when it
is reported by a secondary submitter.
Step 3: Enter the percent composition of each component chemical substance of
the trade name product or mixture.
Step 4: You may provide additional information associated with the chemical
substance in Block 4.D.3.
e. Submit the file to EPA via CDX. Please verify that all fields are correct on
the preview screen.

6.7.3

Reporting a Confidential Chemical Substance

In the case of confidential chemical substances, report the TSCA Accession Number (the
generic name corresponding to the Accession Number will automatically be incorporated into
your report). Submitters who, in the past, have reported using the PMN case number of a
confidential chemical substance can identify the Accession Number from the SRS by searching
on the PMN case number. In the SRS, a submitter can readily find a cross-reference list that
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displays the Accession Number, generic chemical name, and the PMN case number (or for an
initial TSCA Inventory chemical substance, the TSCA Inventory reporting form number) for any
confidential chemical substance listed on the TSCA Inventory. Please note that a generic name
often is not specific to a given TSCA Inventory chemical substance and may be used to represent
multiple specific chemical identities. The TSCA Accession Number, however, is unique to the
specific confidential chemical substance.
Submitters who are not able to identify the Accession Number by searching the SRS
should contact EPA, in writing or via fax on company letterhead, well before initiating CDR
reporting to obtain the Accession Number assigned when the Notice of Commencement (NOC)
was submitted to the Agency. Individuals are urged to submit a complete and accurate TSCA
Inventory Correspondence via fax or by U.S. mail at least one month before the submission
deadline. Note that incomplete and/or inaccurate requests may be rejected. The Agency will
respond to such inquiries in as timely a manner as possible. It is the responsibility of the
submitter to contact the Agency for such information in sufficient time to allow for the Agency
to respond.
Please send requests for a TSCA Accession Number as soon as possible to:
By Fax: 202-564-9538
By U.S. Postal Service:

By Hand Delivery or Courier:

U.S. Environmental Protection Agency
Office of Pollution Prevention and Toxics
Document Control Office (7407M)
1200 Pennsylvania Ave, NW
Washington, DC 20460

U.S. Environmental Protection Agency
Office of Pollution Prevention and Toxics
Confidential Business Information Center
EPA East Building, Room 6428
1201 Constitution Ave, NW
Washington, DC 20004
202-564-8930; 202-564-8940

6.7.4

Submitting as a Tertiary Submitter

There may be instances where a foreign supplier purchases a mixture, under a trade
name, from another company (tertiary company) and does not know the chemical components of
the mixture. The foreign supplier can ask the company manufacturing the confidential chemical
substance to directly provide EPA with the correct chemical identity in Part IV of Form U. In
this case, the tertiary company would register with CDX and use the Unique Identifier for Joint
Submissions, sent to the foreign supplier by the manufacturer (including importer), to complete
Part IV of Form U.
The foreign supplier does not have access to any of the information submitted to EPA by
the tertiary company. Likewise, the tertiary company cannot see the information the foreign
supplier reports to EPA. This way, the confidentiality of information for both the foreign
supplier and tertiary company is protected.
A tertiary company submitting on behalf of a supplier should:
1. Register with CDX as a “Secondary Authorized Official” or “Secondary Support
Registrant.” See Section 6.3 for instructions on registering with CDX.
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2. Complete Part IV of Form U.
a. Section A: Secondary Company Information (Blocks 4.A.1 through 4.A.8)
Your company information (domestic or foreign company name and mailing address)
provided during CDX registration will populate Section A. Please double check this
information to ensure all required fields are complete and accurate. If any
information is incorrect or incomplete, the authorized official should make the
necessary changes in CDX.
b. Section B: Secondary Technical Contact Information (Blocks 4.B.1 through
4.B.10)
You are responsible for designating one technical contact for your company. Select
the contact from the drop down list of Support Registrants or enter information for a
new technical contact. If you select from the list of Support Registrants, the technical
contact information (name, phone number, mailing address, etc.) will populate
Section B. Please double check this information to ensure all required fields are
complete and accurate. If any information is incorrect or incomplete, the Authorized
Official should make the necessary changes in CDX.
The technical contact should be a person who can answer specific questions about the
reported chemical substance(s) in your CDR Form U submission. Typically, a person
located at the manufacturing site is best able to answer such questions. The technical
contact need not be the person who signs the certification statement.
c. Section C: Trade Name Product Identification Information (Block 4.C.1
through 4.C.2)
Enter the Unique Identifier for Joint Submissions field provided to you by the
supplier. Click the “Populate” button to generate the trade product name provided
by the primary submitter. Verify the information and click the “Next” button to
enter the information to identify the chemical substance.
d. Section D: Trade Product Identification Information
In this section of the Form U, enter your trade product name (which may be
different than the name provided by the primary submitter) and the chemical
composition of the product.
Step 1: Enter the trade product name used to identify the chemical substance in
Box 4.D.1.
Step 2: In Section 4.D.2, click on the magnifying glass under the “Action”
column and select the correct CA Index Name and CASRN for the chemical
substance from the SRS.
The reporting tool is directly linked to the nonconfidential portion of the TSCA
Inventory through the SRS database, which lists all chemical substances on the
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TSCA Inventory. Most chemical substances are identified by CA Index Name
and CASRN. Chemical substances listed on the confidential portion of the TSCA
Inventory are identified in SRS using a TSCA Accession Number and generic
name. In the case of a chemical substance listed on the confidential portion of the
TSCA Inventory, a tertiary submitter does not need to claim the underlying
chemical identity CBI or provide upfront substantiation. For such a chemical
substance, EPA will presume that the chemical identity associated with the
Access Number is subject to a confidentiality claim when it is reported by a
tertiary submitter. See Section 6.7.3 for more information on reporting a chemical
substance listed on the confidential portion of the TSCA Inventory. In addition,
EPA will presume that the information reported in Section 4.D. of Form U, and
the connection between the chemical identity and the secondary company
associated with the joint submission, is subject to a confidentiality claim when it
is reported by a tertiary submitter.
Step 3: Enter the percent composition of each component chemical substance of
the trade name product or mixture.
Step 4: You may provide additional information associated with the chemical
substance in Block 4.D.3.
e. Submit the file to EPA via CDX. Please verify that all fields are correct on
the preview screen.

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How to Submit Your Form U to EPA

Correcting or Updating 2012 CDR Submissions

If you wish to make a correction or addition to a previously submitted 2012 CDR Form
U, log into CDX and access the original Form U. On the Forms page, unlock the form and edit as
needed.
Only an Authorized Official or a Support Registrant (e.g. technical contact) can make
changes to a previously submitted CDR Form U. An Authorized Official will be required to log
into CDX and unlock the Form U to allow a Support Registrant to amend the validated and
submitted form. The initial view of the data will be “Read Only” and persons must affirm in a
multi-step process that an amendment is needed. A Support Registrant can save, finalize, or
cancel an amendment, but an Authorized Official is responsible for signing and submitting the
amended form. Canceling an amendment will revert back to the previously signed submission.
After certifying to the truthfulness and accuracy of the information reported and
validating the Form U, the amended data file will be sent to EPA by CDX. The act of correcting
errors in Form U submissions under the CDR does not grant the person making the correction
immunity from enforcement action for any possible violations of the CDR rule.
If the reporting period is coming to a close, and changes have been made and saved to the
Form U that have not been signed and submitted by the Authorized Official, a notice will be sent
to the Authorized Official and Support Registrant(s). They will be notified that the Form U
submission must be signed and submitted to EPA in order for it to be considered a valid
submission.

6.9

Recordkeeping Requirements

You are required to retain records of your CDR reports for five years beginning on the
last day of the applicable submission period (40 CFR 711.25). For example, if you submit an
CDR report for a submission period ending June 30, 2012, you would be required to retain the
records on which the report is based until June 30, 2017. Submitters are encouraged to retain
their records longer than five years to ensure that past records are available as a reference when
new Form Us are being generated.
As long as the records are maintained in a manner consistent with normal business
practices, you may determine their exact format. Required records include those that show the
production volume, plant site, and site-limited status of each chemical substance reported. If a
chemical substance is not reported because its site-specific annual production is less than 25,000
lb, EPA suggests you maintain records to document your reasons for not filing Form U.
If you qualify as an exempt small manufacturer, you need to keep records only for those
chemical substances that you are required to report; however, in claiming an exemption, you bear
the burden of documenting that you qualify for the exemption.

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How to Submit Your Form U to EPA

Requesting a Copy of Record

You may obtain a copy of record of your Form U, in accordance with the Cross-Media
Electronic Reporting Rule (CROMERR). To generate a copy of your Form U, log into the
reporting tool and click the “Copy of Record” button to view and print a copy of the form. The
copy of record should be available shortly after the submission is completed. If a Form U is
printed prior to submission, it will contain a watermark identifying that it is draft and cannot be
submitted to EPA. You can also receive a copy of record through your CDX account.

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7.0 How to Obtain Copies of Documents Cited in
This Guidance Document
7.1

Obtaining Copies of the TSCA Rules

The CDR rule, 40 CFR Part 711, is available on the internet at the following address:
http://www.access.gpo.gov/nara/cfr/waisidx_05/40cfr710_05.html
You may also contact the TSCA Hotline by telephone at (202) 554-1404 or by email
[email protected] for assistance.

7.2

Obtaining Copies of the Public Portion of the TSCA Inventory

The public portion of the TSCA Inventory is available on the New Chemicals Program’s
web site at http://www.epa.gov/opptintr/existingchemicals/pubs/tscainventory/index.html. To
search the non-confidential portion of the TSCA Inventory, companies and individuals can
download a Microsoft Access file or Comma Separated Value (CSV) text file.

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Appendix A
Glossary
The definitions and descriptions of terms used in CDR reporting provided below are
taken from 40 CFR Part 711 unless otherwise noted.
Act means the Toxic Substances Control Act, 15 U.S.C. 2601 et seq.
Administrator means the Administrator of the U.S. Environmental Protection Agency.
(See TSCA 3(1))
Article means a manufactured item (1) which is formed to a specific shape or design
during manufacture, (2) which has end-use function(s) dependent in whole or in part upon its
shape or design during end use, and (3) which has either no change of chemical composition
during its end use or only those changes of composition which have no commercial purpose
separate from that of the article, and that result from a chemical reaction that occurs upon end
use of other chemical substances, mixtures, or articles; except that fluids and particles are not
considered articles regardless of shape or design. (40 CFR 704.3)
Byproduct means a chemical substance produced without separate commercial intent
during the manufacture, processing, use, or disposal of another chemical substance(s) or
mixture(s). (40 CFR 704.3)
Central Data Exchange (CDX) means EPA's centralized electronic document receiving
system, or its successors, including associated instructions for registering to submit electronic
documents.
Chemical substance means any organic or inorganic substance of a particular molecular
identity, including any combination of such substances occurring in whole or in part as a result
of a chemical reaction or occurring in nature, and any chemical element or uncombined radical.
“Chemical substance” does not include:
(1) Any mixture;
(2) Any pesticide (as defined in the Federal Insecticide, Fungicide, and Rodenticide Act)
when manufactured, processed, or distributed in commerce for use as a pesticide;
(3) Tobacco or any tobacco product;
(4) Any source material, special nuclear material, or byproduct material (as such terms
are defined in the Atomic Energy Act of 1954 and the regulations issued under such
Act);
(5) Any article the sale of which is the subject to the tax imposed by section 4181 of the
Internal Revenue Code of 1954 (determined without regard to any exemptions from
such tax provided by section 4182 or 4221 or any other provision of such Code); and
(6) Any food, food additive, drug, cosmetic, or device (as such terms are defined in
section 201 of the Federal Food, Drug, and Cosmetic Act) when manufactured,
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processed, or distributed in commerce for use as a food, food additive, drug, cosmetic, or
device. (See TSCA 3(2))
Commerce means trade, traffic, transportation, or other commerce: (A) between a place
in a State and any place outside of such State, or (B) which affects trade, traffic, transportation,
or commerce described in clause (A). (TSCA 3(3))
Commercial use means the use of a chemical substance or a mixture containing a
chemical substance (including as part of an article) in a commercial enterprise providing saleable
goods or services.
Consumer use means the use of a chemical substance or a mixture containing a chemical
substance (including as part of an article) when sold to or made available to consumers for their
use.
Customs territory of the United States, as referenced in TSCA section 3 and defined in
general note 2 of the Harmonized Tariff Schedule of the United States, includes only the States,
the District of Columbia, and Puerto Rico.
Distribute in commerce and distribution in commerce, when used to describe an
action taken with respect to a chemical substance or mixture or article containing a substance or
mixture mean to sell, or the sale of, the substance, mixture, or article in commerce; to introduce
or deliver for introduction into commerce, or the introduction or delivery for introduction into
commerce of, the substance, mixture, or article; or to hold, or the holding of, the substance,
mixture, or article after its introduction into commerce. (TSCA 3(4))
e-CDRweb means the electronic, web-based tool provided by EPA for the completion
and submission of the CDR Form U report.
EPA means the United States Environmental Protection Agency. (40 CFR 704.3)
Importer means (1) any person who imports any chemical substance or any chemical
substance as part of a mixture or article into the customs territory of the United States, and
includes: (i) the person primarily liable for the payment of any duties on the merchandise, or (ii)
an authorized agent acting on his/her behalf. (2) Importer also includes, as appropriate:
(i) The consignee.
(ii) The importer of record.
(iii) The actual owner if an actual owner's declaration and superseding bond have been
filed in accordance with 19 CFR 141.20.
(iv) The transferee, if the right to draw merchandise in a bonded warehouse has been
transferred in accordance with subpart C of 19 CFR part 144.
(3) For the purposes of this definition, the customs territory of the United States consists of the
50 States, Puerto Rico, and the District of Columbia. (40 CFR 704.3)
Impurity means a chemical substance which is unintentionally present with another
chemical substance. (40 CFR 704.3)

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Industrial function means the intended physical or chemical characteristic for which a
chemical substance or mixture is consumed as a reactant; incorporated into a formulation,
mixture, reaction product, or article; repackaged; or used.
Industrial use means use at a site at which one or more chemical substances or mixtures
are manufactured (including imported) or processed.
Intended for use by children means the chemical substance or mixture is used in a
product that is specifically intended for use by children age 14 or younger. A chemical substance
or mixture is intended for use by children when the submitter answers “yes” to at least one of the
following questions for the product into which the submitter’s chemical substance or mixture is
incorporated:
(1) Is the product commonly recognized (i.e., by a reasonable person) as being intended
for children age 14 or younger?
(2) Does the manufacturer of the product state through product labeling or other written
materials that the product is intended or will be used by children age 14 or younger?
(3) Is the advertising, promotion, or marketing of the product aimed at children age 14 or
younger?
Intermediate means any chemical substance that is consumed, in whole or in part, in
chemical reactions used for the intentional manufacture of other chemical substances or
mixtures, or that is intentionally present for the purpose of altering the rates of such chemical
reactions. (40 CFR 704.3)
Known to or reasonably ascertainable by means all information in a person’s
possession or control, plus all information that a reasonable person similarly situated might be
expected to possess, control, or know. (40 CFR 704.3)
Manufacture means to manufacture, produce, or import for commercial purposes.
Manufacture includes the extraction, for commercial purposes, of a component chemical
substance from a previously existing chemical substance or complex combination of substances.
When a chemical substance, manufactured other than by import, is: (1) produced exclusively for
another person who contracts for such production, and (2) that other person specifies the identity
of the chemical substance and controls the total amount produced and the basic technology for
the plant process, then that chemical substance is co-manufactured by the producing
manufacturer and the person contracting for such production.
Manufacturer means a person who manufactures a chemical substance.
Manufacture for commercial purposes means: (1) to import, produce, or manufacture
with the purpose of obtaining an immediate or eventual commercial advantage for the
manufacturer, and includes among other things, such “manufacture” of any amount of a chemical
substance or mixture:
(i)
For commercial distribution, including for test marketing.
(ii)
For use by the manufacturer, including use for product research and
development, or as an intermediate.
(2) Manufacture for commercial purposes also applies to substances that are produced
coincidentally during the manufacture, processing, use, or disposal of another substance or
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mixture, including both byproducts that are separated from that other substance or mixture and
impurities that remain in that substance or mixture. Such byproducts and impurities may, or may
not, in themselves have commercial value. They are nonetheless produced for the purpose of
obtaining a commercial advantage since they are part of the manufacture of a chemical product
for a commercial purpose. (40 CFR 704.3)
Master Inventory File means EPA's comprehensive list of chemical substances which
constitute the Chemical Substances Inventory compiled under section 8(b) of the Act. It includes
substances reported under Part 710 of this chapter and substances reported under Part 720 of this
chapter for which a Notice of Commencement of Manufacture or Import has been received under
§720.120 of this chapter.
Microorganism means any combination of chemical substances that is a living organism
and that meets the definition of microorganism at 40 CFR 725.3. Any chemical substance
produced from a living microorganism is reportable under the CDR regulation unless otherwise
excluded.
Mixture means any combination of two or more chemical substances if the combination
does not occur in nature and is not, in whole or in part, the result of a chemical reaction; except
that such term does include any combination which occurs, in whole or in part, as a result of a
chemical reaction if none of the chemical substances comprising the combination is a new
chemical substance and if the combination could have been manufactured for commercial
purposes without a chemical reaction at the time the chemical substances comprising the
combination were combined. (TSCA 3(8))
Naturally occurring substance is any chemical substance which is naturally occurring
and: (1) which is (i) unprocessed or (ii) processed only by manual, mechanical, or gravitational
means, by dissolution in water, by flotation, or by heating solely to remove water; or (2) which is
extracted from air by any means. (40 CFR 710.4(b))
Non-isolated intermediate means any intermediate that is not intentionally removed
from the equipment in which it is manufactured, including the reaction vessel in which it is
manufactured, equipment which is ancillary to the reaction vessel, and any equipment through
which the substance passes during a continuous flow process, but not including tanks or other
vessels in which the substance is stored after its manufacture. (40 CFR 704.3)
Person means any individual, firm, company, corporation, joint venture, partnership, sole
proprietorship, association, or any other business entity; any State or political subdivision
thereof, or any municipality; any interstate body; and any department, agency, or instrumentality
of the Federal government. (40 CFR 704.3)
Polymer means any chemical substance described with the word fragments “*polym*”,
“*alkyd”, or “oxylated” in the Chemical Abstracts (CA) Index Name in the Master Inventory
File, where the asterisk (*) in the listed word fragments indicates that any sets of characters may
precede, or follow, the character string defined. Polymers also include any chemical substance
which is identified in the Master Inventory File as siloxane(s) and silicone(s), silsesquioxane(s),
a protein (albumin, casein, gelatin, gluten, hemoglobin), an enzyme, a polysaccharide (starch,
cellulose, or gum), rubber, or lignin. The polymer exclusion does not apply to a polymeric
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substance that has been hydrolyzed, depolymerized, or otherwise chemically modified, except in
cases where the intended product of this reaction is totally polymeric in structure.
Principal reporting year means the latest complete calendar year preceding the
submission period.
Process means to process for commercial purposes. (40 CFR 704.3)
Process for commercial purposes means the preparation of a chemical substance or
mixture after its manufacture for distribution in commerce with the purpose of obtaining an
immediate or eventual commercial advantage for the processor. Processing of any amount of a
chemical substance or mixture is included in this definition. If a chemical substance or mixture
containing impurities is processed for commercial purposes, then the impurities also are
processed for commercial purposes. (40 CFR 704.3)
Processor means any person who processes a chemical substance or mixture. (40 CFR
704.3)
Reasonably likely to be exposed means an exposure to a chemical substance which,
under foreseeable conditions of manufacture (including import), processing, distribution in
commerce, or use of the chemical substance, is more likely to occur than not to occur. Such
exposures would normally include, but would not be limited to, activities such as charging
reactor vessels, drumming, bulk loading, cleaning equipment, maintenance operations, materials
handling and transfers, and analytical operations. Covered exposures include exposures through
any route of entry (inhalation, ingestion, skin contact, absorption, etc.), but excludes accidental
or theoretical exposures.
Repackaging means the physical transfer of a chemical substance or mixture, as is, from
one container to another container or containers in preparation for distribution of the chemical
substance or mixture in commerce.
Reportable chemical substance means a chemical substance described in §711.5.
Site means a contiguous property unit. Property divided only by a public right-of-way
shall be considered one site. More than one plant may be located on a single site.
(a) For chemical substances manufactured under contract, i.e., by a toll manufacturer, the
site is the location where the chemical substance is physically manufactured.
(b) The site for an importer who imports a chemical substance described in §711.5 is the
U.S. site of the operating unit within the person's organization that is directly responsible
for importing the substance. The import site, in some instances, may be the organization's
headquarters in the United States. If there is no such operating unit or headquarters in the
United States, the site address for the importer is the United States address of an agent
acting on behalf of the importer who is authorized to accept service of process for the
importer.

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(c) For portable manufacturing units sent out to different locations from a single
distribution center, the distribution center shall be considered the site.
Site-limited means a chemical substance is manufactured and processed only within a
site and is not distributed for commercial purposes as a substance or as part of a mixture or
article outside the site. Imported substances are never site-limited. Although a site-limited
chemical substance is not distributed for commercial purposes outside the site at which it is
manufactured and processed, the substance is considered to have been manufactured and
processed for commercial purposes.
Small quantities solely for research and development (or “small quantities solely for
purposes of scientific experimentation or analysis or chemical research on, or analysis of, such
substance or another substance, including such research or analysis for the development of a
product”) means quantities of a chemical substance manufactured, imported, or processed or
proposed to be manufactured, imported, or processed solely for research and development that
are no greater than reasonably necessary for such purposes. (40 CFR 704.3)
State means any State of the United States, the District of Columbia, the Commonwealth
of Puerto Rico, the Virgin Islands, Guam, the Canal Zone, American Samoa, the Northern
Mariana Islands, or any other territory or possession of the United States. (TSCA 3(13))
Submission period means the period in which manufacturing, processing, and use data
are submitted to EPA.
Test marketing means the distribution in commerce of no more than a predetermined
amount of chemical substance, mixture, or article containing that chemical substance or mixture,
or a mixture containing that substance, by a manufacturer or processor, to no more than a defined
number of potential customers to explore market capability in a competitive situation during a
predetermined testing period prior to the broader distribution of that chemical substance,
mixture, or article in commerce. (40 CFR 704.3)
United States, when used in the geographic sense, means all of the States. (TSCA 3(14))
U.S. Parent Company means the highest level company, located in the United States,
that directly owns at least 50 percent of the voting stock of the manufacturer.
Use means any utilization of a chemical substance or mixture that is not otherwise
covered by the terms manufacture or process. Relabeling or redistributing a container holding a
chemical substance or mixture where no repackaging of the chemical substance or mixture
occurs does not constitute use or processing of the chemical substance or mixture.

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Appendix B

Chemical Substances that are the Subject of Certain TSCA Actions

Appendix B
Chemical Substances that are the Subject of Certain TSCA Orders,
Proposed or Final TSCA Rules, or Relief Granted under Civil
Actions
(as of July 2011)
Listed below are the CAS Registry Numbers (for non-confidential chemical substances)
or Accession Numbers (for confidential chemical substances) of chemical substances that are the
subject of a rule, proposed or promulgated under TSCA section 4, 5(a)(2),5(b)(4), or 6; a consent
agreement developed under the procedures of 40 CFR part 790; an order issued under section
5(e)or 5(f) of TSCA; or relief that has been granted under a civil action under sections 5 or 7 of
TSCA as of March 2011. See 40 CFR 711.6, and 711.9 and TSCA § 8(a)(3)(A)(ii) for further
details. Table B-1 provides a brief description of the reporting requirements at 40 CFR 711.6 and
711.9.

Table B-1. Explanation of Reporting Requirements
40 CFR Reporting Requirements
711

Explanation of Reporting
Requirements

§ 711.6

Some groups or categories of chemical substances are
exempted from some or all of the reporting
requirements of this part, with the following
exception: A chemical substance described in
paragraph (a)(1), (a)(2), or (a)(4), or (b) of this
section is not exempted from any of the reporting
requirements of this part if that chemical substance is
the subject of a rule proposed or promulgated under
TSCA section 4, 5(a)(2), 5(b)(4), or 6, or is the
subject of a consent agreement developed under the
procedures of 40 CFR part 790, or is the subject of an
order issued under TSCA section 5(e) or 5(f), or is the
subject of relief that has been granted under a civil
action under TSCA section 5 or 7…

Information must be reported
for chemical substances that
would otherwise be wholly
or partially exempted from
CDR requirements because
they are the subject of certain
TSCA actions.

§ 711.9

A person described in § 711.8 is not subject to the
requirements of this part if that person qualifies as a
small manufacturer as that term is defined in 40 CFR
704.3. Notwithstanding this exclusion, a person who
qualifies as a small manufacturer is subject to this
part with respect to any chemical substance that is the
subject of a rule proposed or promulgated under
TSCA section 4, 5(b)(4), or 6, or is the subject of an
order in effect under TSCA section 5(e), or is the
subject of relief that has been granted under a civil

The exemption for small
businesses does not apply to
persons who manufacture
(including import) a
chemical substance that is the
subject of certain TSCA
actions. Even in such
circumstances, however, the
volume thresholds for
reporting found in §711.8
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Appendix B
Chemical Substances that are the Subject of Certain TSCA Actions
40 CFR Reporting Requirements
Explanation of Reporting
711
Requirements
action under TSCA section 5 or 7.

still apply.

IMPORTANT: This document is intended to be an information resource. While EPA
has tried to provide an accurate list of chemical substances, the list may contain errors and
omissions. This list should not be relied upon in lieu of relevant orders, Federal Register
documents, or the Code of Federal Regulations. In the event of a conflict between this list and
orders, Federal Register documents, or the Code of Federal Regulations, this list will not be
considered controlling.
In addition, please note that this list does NOT contain a full listing of all chemical
substances subject to the CDR rule. The list is only intended to include those chemical
substances which would otherwise be wholly or partially exempted from CDR requirements but
for which information must be reported because they are the subject of certain TSCA actions as
noted above. The exemptions for polymers, inorganic chemical substances, or microorganisms
do not apply for chemical substances on these lists. The exemption for small businesses does not
apply to some of the chemical substances on these lists. The exemption for naturally occurring
chemical substances is still valid for chemical substances on these lists, as discussed in Section
2.1.3.4 of this Instruction manual. If after consulting the list you are uncertain as to the
regulatory status of a chemical substance, contact the TSCA Hotline at (202) 554-1404 for
assistance.

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Appendix B

Chemical Substances that are the Subject of Certain TSCA Actions
Appendix B
Table B-2. Chemical Substances that are the Subject of Certain TSCA Actions
By CAS Registry Number

CAS Registry
Number
50-07-7
50-29-3
50-55-5
51-79-6
56-04-2
56-49-5
56-53-1
57-10-3
62-44-2
62-50-0
70-25-7
70-30-4
74-90-8
74-93-1
74-95-3
74-97-5
75-05-8
75-07-0
75-15-0
75-35-4
75-36-5
75-88-7
76-01-7
77-73-6
78-11-5
78-33-1
78-59-1
78-87-5
79-00-5
79-20-9
79-31-2
79-46-9
79-95-8
80-62-6
80-73-9
83-41-0
84-65-1
85-22-3

TSCA
ACTION
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
4
4
4
4
4
4
4
4
5(a)(2)
5(a)(2)
4
4
4
4
4
4
4
4
4
4
4
5(a)(2); 5(e)
4
4
5(a)(2)

CAS Registry
Number
85-44-9
87-10-5
87-63-8
87-65-0
89-32-7
91-20-3
92-52-4
92-66-0
92-86-4
92-87-5
94-04-2
95-69-2
95-77-2
95-80-7
95-94-3
95-95-4
96-22-0
98-09-9
98-29-3
98-56-6
98-86-2
99-28-5
99-35-4
100-00-5
100-21-0
100-41-4
100-44-7
101-55-3
101-90-6
104-76-7
106-42-3
106-46-7
106-90-1
106-92-3
107-04-0
107-06-2
107-13-1
107-21-1

TSCA
ACTION
4
4
5(a)(2)
4
4
4
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
4
4
5(a)(2)
4
4
4
4
4
4
4
5(a)(2)
4
4
4
4
5(a)(2)
4
4
4
4
4
4
5(a)(2)
4
4
4

CAS Registry
Number
107-31-3
108-03-2
108-19-0
108-31-6
108-60-1
108-90-7
108-93-0
109-66-0
109-86-4
109-99-9
110-12-3
110-44-1
110-49-6
110-80-5
111-11-5
111-15-9
111-42-2
111-44-4
111-84-2
112-52-7
115-86-6
118-75-2
118-79-6
118-82-1
119-61-9
120-36-5
120-80-9
120-83-2
121-69-7
122-39-4
122-60-1
123-30-8
123-33-1
123-42-2
123-54-6
123-63-7
126-72-7
126-80-7

TSCA
ACTION
4
4
4
4
4
4
4
4
5(a)(2)
4
4
4
5(a)(2)
5(a)(2)
4
5(a)(2)
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
5(a)(2)
5(a)(2)
5(a)(2)
4

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Appendix B
CAS
Registry
Number
126-99-8
127-19-5
127-68-4
128-39-2
142-82-5
144-62-7
149-44-0
150-76-5
307-35-7
307-51-7
320-72-9
335-24-0
335-71-7
335-77-3
335-97-7
353-50-4
354-21-2
354-25-6
355-03-3
355-46-4
359-07-9
372-39-4
375-03-1
375-81-5
375-92-8
376-14-7
383-07-3
409-02-9
423-50-7
423-82-5
423-86-9
428-59-1
460-70-8
460-92-4
463-58-1
506-51-4
506-52-5
515-40-2
531-85-1
547-68-2

Chemical Substances that are the Subject of Certain TSCA Actions
TSCA
ACTION
4
4
4
4
4
4
4
4
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
4
4
4
5(a)(2)
5(a)(2)

CAS
Registry
Number
556-52-5
573-58-0
576-24-9
576-26-1
583-78-8
591-78-6
594-42-3
608-71-9
608-93-5
615-53-2
615-58-7
622-86-6
624-83-9
640-19-7
680-31-9
690-27-7
690-83-5
693-38-9
693-57-2
773-14-8
930-33-6
930-37-0
930-55-2
931-35-1
933-75-5
1116-54-7
1129-42-6
1163-19-5
1187-03-7
1241-94-7
1324-76-1
1330-78-5
1332-21-4
1333-82-0
1336-36-3
1489-69-6
1511-62-2
1649-08-7
1652-63-7
1660-95-3

TSCA
ACTION
4
5(a)(2)
4
4
4
5(a)(2)
4
4
4; 5(a)(2)
5(a)(2)
4
5(a)(2); 5(e)
4
4
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2); 5(e)
4
5(a)(2)
4
4
4
6
6
6
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)

CAS
Registry
Number
1690-76-2
1691-99-2
1705-60-8
1737-93-5
1763-23-1
1869-77-8
1885-48-9
1888-71-7
1893-52-3
1937-37-7
1940-42-7
2052-07-5
2113-57-7
2146-71-6
2210-79-9
2224-15-9
2238-07-5
2250-98-8
2263-09-4
2302-97-8
2320-06-1
2362-14-3
2368-80-1
2417-04-1
2421-08-1
2425-01-6
2425-79-8
2426-08-6
2429-73-4
2429-79-0
2429-81-4
2429-82-5
2429-83-6
2429-84-7
2432-99-7
2461-15-6
2479-46-1
2494-89-5
2524-04-1
2528-36-1

TSCA
ACTION
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
5(e)
4
4
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
4
4
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2); 5(e)
4
4
4

B-4

Appendix B
CAS
Registry
Number
2530-83-8
2537-62-4
2568-33-4
2586-58-5
2602-34-8
2602-46-2
2615-25-0
2682-20-4
2706-91-4
2716-10-1
2716-12-3
2795-39-3
2840-00-8
2893-80-3
2897-60-1
2941-64-2
2965-52-8
2991-50-6
2991-51-7
2991-52-8
3052-70-8
3072-84-2
3083-25-8
3089-19-8
3101-60-8
3107-18-4
3132-64-7
3165-93-3
3188-83-8
3194-55-6
3377-92-2
3389-71-7
3397-65-7
3530-19-6
3567-65-5
3568-29-4
3607-78-1
3626-28-6
3772-94-9
3811-71-0

Chemical Substances that are the Subject of Certain TSCA Actions
TSCA
ACTION
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
4
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
4
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
5(a)(2)
4
4
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
4
5(a)(2)

CAS
Registry
Number
3820-83-5
3871-50-9
3871-99-6
3872-25-1
3971-28-6
3984-22-3
4016-11-9
4016-14-2
4080-98-2
4151-50-2
4161-22-2
4162-45-2
4300-97-4
4335-09-5
4694-91-1
4719-04-4
4790-71-0
5026-74-4
5117-12-4
5248-39-5
5255-75-4
5397-03-5
5493-45-8
5614-37-9
5958-25-8
6196-98-1
6290-49-9
6304-39-8
6358-80-1
6360-29-8
6360-54-9
6381-77-7
6712-98-7
6752-33-6
6770-38-3
6921-17-1
7226-23-5
7328-97-4
7345-69-9
7384-80-7

TSCA
ACTION
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2); 5(e)
4
4
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
4
5(a)(2); 5(e)
4
5(a)(2); 5(e)
5(a)(2); 5(e)
4
5(a)(2)
4
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
4
5(a)(2)
5(a)(2)

CAS
Registry
Number
7422-52-8
7439-97-6
7446-14-2
7647-01-0
7664-39-3
7665-72-7
7738-94-5
7758-97-6
7775-11-3
7778-50-9
7782-50-5
7789-00-6
7789-99-3
8005-02-5
8014-91-3
8068-03-9
10190-55-3
10192-46-8
10588-01-9
11103-86-9
12027-96-2
12031-65-1
12032-75-6
12036-37-2
12049-47-7
12056-51-8
12057-17-9
12141-67-2
12163-45-0
12175-02-9
12230-80-7
12232-96-1
12438-71-0
12656-57-4
12656-85-8
12673-69-7
13049-88-2
13169-90-9
13223-43-3
13236-02-7

TSCA
ACTION
4
5(a)(2)
5(a)(2)
4
4
4
6
5(a)(2)
6
6
4
6
5(a)(2); 5(e)
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
6
6
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
4

B-5

Appendix B
CAS
Registry
Number
13252-13-6
13417-01-1
13439-89-9
13530-65-9
13530-68-2
13561-08-5
13654-09-6
13893-53-3
13990-54-0
14018-95-2
14035-94-0
14228-73-0
14518-69-5
14650-24-9
14720-55-9
15578-32-2
15827-56-2
16068-37-4
16071-86-6
16079-88-2
16096-31-4
16298-38-7
16532-79-9
17202-41-4
17557-23-2
17963-04-1
18241-31-1
18934-00-4
19019-43-3
19201-36-6
19372-44-2
19721-22-3
19829-42-6
20138-28-7
20217-01-0
21055-88-9
21142-29-0
21160-95-2
21542-96-1
21544-03-6

Chemical Substances that are the Subject of Certain TSCA Actions
TSCA
ACTION
5(e)
5(a)(2)
5(a)(2)
6
6
4
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
6
5(e)
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
4
5(a)(2)
4
4
5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(e)
5(e)
4
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)

CAS
Registry
Number
21807-69-2
21850-44-2
22094-81-1
22094-83-3
22094-85-5
22421-59-6
22527-63-5
22576-65-4
23153-23-3
24307-26-4
24448-09-7
24615-84-7
24924-36-5
25155-23-1
25245-34-5
25249-16-5
25268-77-3
25321-41-9
25327-89-3
25608-40-6
25646-71-3
26172-55-4
26447-14-3
26694-69-9
26761-45-5
27060-75-9
27193-86-8
27603-25-4
27610-48-6
27753-52-2
27858-07-7
27936-88-5
28108-99-8
28554-31-6
29081-56-9
29091-20-1
29117-08-6
29457-72-5
29761-21-5
30025-38-8

TSCA
ACTION
5(a)(2); 5(e)
4
5(a)(2)
5(a)(2)
5(a)(2)
4
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2)
4
5(a)(2)
5(a)(2)
5(a)(2)
4
4
5(a)(2)
4
5(a)(2)
4
5(a)(2)
4
5(a)(2); 5(e)
4
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
4
5(a)(2)

CAS
Registry
Number
30381-98-7
30486-37-4
30813-81-1
31138-65-5
31506-32-8
31775-16-3
32315-10-9
32534-81-9
32536-52-0
32539-16-5
32568-89-1
34052-90-9
34415-31-1
34455-03-3
34590-94-8
34621-99-3
35077-00-0
35243-89-1
35358-78-2
35544-45-7
36177-92-1
36355-01-8
36483-60-0
37338-48-0
37853-59-1
37853-61-5
37859-57-7
38006-74-5
38304-52-8
38850-52-1
38850-58-7
38850-60-1
39142-28-4
39290-90-9
39318-30-4
40088-47-9
41088-52-2
41240-76-0
41317-15-1
43048-08-4

TSCA
ACTION
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
4
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
4; 5(a)(2)
4; 5(a)(2)
5(a)(2)
4
5(e)
5(a)(2); 5(e)
5(a)(2)
4
5(a)(2); 5(e)
5(a)(2)
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
4
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)

B-6

Appendix B
CAS
Registry
Number
43224-75-5
50598-28-2
50598-29-3
50622-20-3
51032-47-4
51160-97-5
51851-37-7
51868-46-3
52032-20-9
52166-82-2
52350-17-1
52495-71-3
52550-45-5
52556-42-0
54208-63-8
54423-67-5
55120-77-9
55554-55-7
55910-10-6
56372-23-7
56553-60-7
56773-42-3
56803-37-3
56875-68-4
57589-85-2
58576-98-0
58577-08-5
58857-49-1
58920-31-3
59071-10-2
59447-55-1
59789-51-4
60270-55-5
60466-61-7
60497-09-8
60501-41-9
60825-27-6
61551-69-7
61577-14-8
61578-04-9

Chemical Substances that are the Subject of Certain TSCA Actions
TSCA
ACTION
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
4
4
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(e)
4
5(a)(2); 5(e)
5(e)
5(a)(2)
4

CAS
Registry
Number
61660-12-6
61788-76-9
62037-80-3
62435-71-6
63141-09-3
63936-56-1
64712-27-2
64723-18-8
65652-41-7
65738-56-9
65992-66-7
65996-79-4
65996-82-9
65996-89-6
65996-92-1
66008-68-2
66008-69-3
66008-70-6
66034-17-1
66241-11-0
66988-04-3
67584-42-3
67584-48-9
67584-49-0
67584-50-3
67584-52-5
67584-53-6
67584-54-7
67584-56-9
67584-57-0
67584-58-1
67584-60-5
67584-61-6
67584-62-7
67906-38-1
67906-40-5
67906-41-6
67906-42-7
67906-70-1
67906-71-2

TSCA
ACTION
5(a)(2)
4
5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2); 5(e)
4
4
4
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)

CAS
Registry
Number
67906-73-4
67906-74-5
67923-61-9
67939-36-0
67939-37-1
67939-42-8
67939-61-1
67939-87-1
67939-88-2
67939-90-6
67939-92-8
67939-93-9
67939-94-0
67939-96-2
67939-97-3
67939-98-4
67940-02-7
67969-65-7
67969-69-1
68081-83-4
68082-78-0
68084-62-8
68134-06-5
68134-07-6
68156-00-3
68156-01-4
68156-06-9
68156-07-0
68187-57-5
68187-76-8
68187-84-8
68227-87-2
68227-94-1
68227-96-3
68227-97-4
68227-98-5
68227-99-6
68228-00-2
68239-72-5
68239-73-6

TSCA
ACTION
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2)
4
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
4
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)

B-7

Appendix B
CAS
Registry
Number
68239-74-7
68239-75-8
68259-06-3
68259-07-4
68259-08-5
68259-09-6
68259-12-1
68259-14-3
68259-15-4
68259-38-1
68259-39-2
68298-06-6
68298-08-8
68298-09-9
68298-10-2
68298-11-3
68298-13-5
68298-60-2
68298-62-4
68298-78-2
68298-80-6
68298-81-7
68298-89-5
68299-20-7
68299-21-8
68299-29-6
68299-39-8
68310-02-1
68310-17-8
68310-75-8
68318-34-3
68318-36-5
68329-56-6
68391-09-3
68442-60-4
68479-98-1
68517-02-2
68527-02-6
68541-01-5
68541-02-6

Chemical Substances that are the Subject of Certain TSCA Actions
TSCA
ACTION
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
4
4
4
5(a)(2)
5(a)(2)

CAS
Registry
Number
68541-80-0
68555-69-1
68555-70-4
68555-71-5
68555-72-6
68555-73-7
68555-74-8
68555-75-9
68555-76-0
68555-78-2
68555-79-3
68555-81-7
68555-90-8
68555-91-9
68555-92-0
68568-77-4
68586-14-1
68608-13-9
68608-14-0
68609-96-1
68610-90-2
68611-64-3
68647-60-9
68649-26-3
68797-76-2
68815-72-5
68867-60-7
68867-62-9
68877-32-7
68891-96-3
68891-97-4
68891-98-5
68891-99-6
68909-15-9
68928-80-3
68937-41-7
68957-31-3
68957-32-4
68957-53-9
68957-54-0

TSCA
ACTION
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
4
4
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)

CAS
Registry
Number
68957-55-1
68957-57-3
68957-58-4
68957-60-8
68957-61-9
68957-62-0
68957-63-1
68958-60-1
68958-61-2
68959-23-9
68987-80-4
68988-22-7
69045-83-6
69045-84-7
69155-42-6
69938-76-7
70225-14-8
70225-15-9
70225-16-0
70225-17-1
70225-20-6
70225-24-0
70225-26-2
70248-52-1
70693-50-4
70776-36-2
70900-40-2
71033-08-4
71463-74-6
71463-78-0
71463-79-1
71463-80-4
71463-81-5
71487-20-2
71526-07-3
71808-64-5
72162-15-3
72319-24-5
72785-08-1
72804-49-0

TSCA
ACTION
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
4
4
5(a)(2)
5(a)(2); 5(e)
4
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
4
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
4
4
4
5(a)(2)
5(a)(2)

B-8

Appendix B
CAS Registry
Number
73018-93-6
73019-19-9
73019-20-2
73019-28-0
73038-33-2
73231-04-6
73275-59-9
73665-18-6
73772-32-4
73772-33-5
73772-34-6
74398-71-3
75150-13-9
75405-06-0
77939-50-5
77986-14-2
78245-94-0
78543-39-2
79710-86-4
79771-08-7
79771-09-8
80584-91-4
80584-92-5
81190-38-7
81711-69-5
82799-44-8
83048-65-1
83748-27-0
83748-28-1
84268-08-6
84852-53-9
84962-05-0
85029-61-4
85137-09-3
85204-21-3
85322-38-9
85586-67-0
85712-26-1
85712-27-2
85736-97-6
86273-46-3

Chemical Substances that are the Subject of Certain TSCA Actions
TSCA
ACTION
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
4
5(a)(2)
5(a)(2)
5(a)(2)
4
4
5(a)(2); 5(e)
5(e)
5(e)
5(a)(2); 5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(f)
5(f)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(f),6
4
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)

CAS Registry
Number
86917-58-0
87676-07-1
89610-32-2
90194-13-1
90884-29-0
91081-99-1
91144-26-2
91788-83-9
92044-87-6
92484-07-6
93072-06-1
93589-69-6
93705-66-9
93820-33-8
94054-35-0
94133-90-1
94148-67-1
94213-53-3
94317-64-3
94933-05-8
95175-38-5
95590-48-0
96152-42-0
96478-09-0
96549-95-0
98999-57-6
99607-70-2
99636-32-5
99742-80-0
100402-91-3
100545-50-4
100912-15-0
101646-62-2
101646-63-3
103331-86-8
103458-14-6
103490-06-8
103490-08-0
103580-64-9
103697-96-7
104503-68-6

TSCA
ACTION
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)

B-9

Appendix B
CAS Registry
Number
105362-40-1
105658-30-8
106008-93-9
106008-94-0
106359-91-5
106790-31-2
110726-28-8
110843-97-5
110843-98-6
111109-77-4
116671-32-0
116971-11-0
117397-31-6
117806-54-9
118716-61-3
118716-62-4
119344-86-4
119438-11-8
119462-56-5
119535-63-6
119914-24-8
120983-72-4
121144-97-6
121255-03-6
121776-57-6
122035-71-6
124756-59-8
124993-63-1
125630-94-6
125904-10-1
125904-11-2
125997-20-8
126213-50-1
126505-35-9
126682-74-4
127133-66-8
128446-60-6
129733-59-1
129813-71-4
130097-33-5
130169-66-3

Chemical Substances that are the Subject of Certain TSCA Actions
TSCA
ACTION
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)

CAS Registry
Number
130353-62-7
130728-76-6
132182-92-4
132299-20-8
132482-53-2
132767-86-3
133911-74-7
134701-20-5
134818-69-2
135011-47-1
135020-80-3
135364-47-5
136040-19-2
136504-87-5
136504-96-6
137787-41-8
137873-52-0
138495-42-8
138859-29-7
141420-50-0
141914-99-0
142828-65-7
144761-93-3
145556-04-3
145963-84-4
147129-86-0
147170-38-5
147170-47-6
147732-58-9
147783-69-5
148124-41-8
148124-42-9
148240-78-2
148240-80-6
148240-81-7
148240-82-8
148373-01-7
148684-79-1
149303-87-7
149564-65-8
149850-30-6

TSCA
ACTION
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)

B-10

Appendix B
CAS Registry
Number
151686-36-1
151717-27-0
152007-82-4
153454-44-5
153590-17-1
153699-23-1
155613-93-7
156294-54-1
157627-99-1
157707-95-4
158948-13-1
159574-72-8
160653-08-7
160901-25-7
161717-32-4
163206-28-8
163206-29-9
163206-32-4
163292-61-3
163292-64-6
163436-84-8
163520-33-0
163879-69-4
163961-26-0
163961-34-0
164383-18-0
166432-37-7
166432-57-1
166432-58-2
166514-73-4
167412-23-9
168113-88-0
168811-65-2
170678-69-0
172343-36-1
173904-11-5
174254-18-3
174305-36-3
174333-80-3
174974-45-9
175205-96-6

Chemical Substances that are the Subject of Certain TSCA Actions
TSCA
ACTION
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2); 5(e)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(e)

CAS Registry
Number
176429-35-9
177528-09-5
178094-69-4
178452-72-7
178535-22-3
179005-06-2
180031-79-2
180071-71-0
180685-86-3
181828-07-9
182238-09-1
182238-10-4
182442-95-1
182635-99-0
182970-05-4
183562-46-1
183658-27-7
184719-88-8
184785-38-4
186321-98-2
189120-62-5
189120-63-6
189354-73-2
190525-00-9
191044-59-4
191044-60-7
192439-46-6
192662-29-6
192726-23-1
193635-72-2
194673-87-5
195008-77-6
196109-17-8
196521-82-1
197527-19-8
199487-82-6
200443-94-3
201167-69-3
201687-57-2
201687-58-3
202483-48-5

TSCA
ACTION
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(e)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(e)
5(a)(2); 5(e)
5(e)
5(e)
5(a)(2)

B-11

Appendix B
CAS Registry
Number
203809-20-5
204336-40-3
204401-83-2
205764-98-3
206009-82-7
206886-68-2
208408-03-1
210181-71-8
211389-36-5
211578-04-0
211578-08-4
212335-59-6
212335-62-1
215856-72-7
216583-60-7
216583-66-3
216583-91-4
216583-94-7
216583-95-8
216593-48-5
216593-49-6
216593-54-3
216593-55-4
216977-01-4
218163-12-3
220075-01-4
221279-59-0
222975-06-6
224646-44-0
235083-88-2
235083-90-6
238420-68-3
247041-56-1
249297-16-3
251099-16-8
251553-55-6
252254-51-6
253685-23-3
258839-39-3
259795-03-4
259871-68-6

Chemical Substances that are the Subject of Certain TSCA Actions
TSCA
ACTION
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)

CAS Registry
Number
263244-54-8
284685-45-6
290364-23-7
290364-24-8
297175-71-4
300371-38-4
306973-46-6
306973-47-7
306974-19-6
306974-28-7
306974-45-8
306974-63-0
306975-56-4
306975-57-5
306975-62-2
306975-84-8
306975-85-9
306976-25-0
306976-55-6
306977-10-6
306977-58-2
306978-04-1
306978-65-4
306979-40-8
306980-27-8
319926-68-6
327177-98-0
328389-90-8
329928-84-9
332350-90-0
332350-93-3
333784-10-4
333955-69-4
333955-70-7
333955-79-6
333955-80-9
346709-25-9
350820-95-0
352661-91-7
359427-90-0
364059-77-8

TSCA
ACTION
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)

B-12

Appendix B
CAS Registry
Number
371113-62-1
371113-63-2
383905-85-9
391232-99-8
406207-51-0
452082-53-0
474095-58-4
475678-78-5
477725-72-7
591773-92-1
595585-15-2
610787-76-3
610787-77-4
610787-78-5
642928-30-1
649574-37-8
671756-61-9
676143-36-5
691400-36-9
691400-76-7
691401-28-2
705265-31-2
833482-31-8
849101-58-2
849925-18-4
851544-20-2
851545-09-0
851545-17-0
853030-17-8
858944-25-9
863132-14-3
864662-46-4
876065-86-0
880647-20-1
900169-60-0
903876-45-9
927818-78-8
936576-64-6
956147-76-5

Chemical Substances that are the Subject of Certain TSCA Actions
TSCA
ACTION
5(e)
5(e)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)

B-13

Appendix B

Chemical Substances that are the Subject of Certain TSCA Actions

Appendix B
Table B-3. Chemical Substances That Are the Subject of Certain TSCA Actions
By Accession Number
Accession
Number
15544
30309
32178
41259
42741
43313
44292
45002
49435
49457
50567
52381
53215
53862
55904
56236
58834
59531
59622
60787
62625
62705
64621
65328
65599
65851
66503
66616
67993
68101
68474
69239
71546
72414
73484
73906
75015
77511

TSCA
Action
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(f),6
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)

Accession
Number
77668
77759
77873
78581
79164
80376
80912
81426
84801
87560
87968
88063
88472
90212
91680
93835
97008
97291
97859
101974
102966
103378
103798
105090
105578
106720
106877
107450
108260
109525
112233
112380
113236
114024
115981
119585
120208
121585

TSCA
Action
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)

Accession
Number
121621
121972
122395
122704
122908
123116
123296
123401
123650
123785
123898
124540
124595
125792
125883
126002
126615
127992
128111
128155
128520
129487
129750
129829
130291
130348
130360
130428
130940
131125
131830
132311
132355
132537
132651
132811
132855
133256

TSCA
Action
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)

B-14

Appendix B
Accession
Number
133336
133370
133438
134077
134306
135149
135649
135672
135945
136335
136482
136722
136880
137361
137418
137963
138104
138217
138342
138499
138557
138751
139674
139787
140502
140591
141072
141629
141925
142086
142360
143034
143410
143501
143636
143807
143896
144117
144388
144402
144719

Chemical Substances that are the Subject of Certain TSCA Actions
TSCA
Action
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)

Accession
Number
144797
145563
145814
146282
146340
146453
146588
146646
146975
147036
147229
147809
147923
148073
148084
148164
148835
149021
150595
150711
151247
151372
152115
152386
152853
152897
152955
153174
153196
153232
153312
153889
154473
154688
154724
155750
156015
156128
156140
156413
156526

TSCA
Action
5(a)(2); 5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)

Accession
Number
157109
157825
158226
158511
158635
158715
158726
159229
159570
159650
160044
160180
161070
161887
161898
162222
162415
162459
163474
163929
163985
165141
165505
165516
165538
166519
166597
167261
167374
167512
167830
167910
167943
168162
168377
168504
168935
170059
171063
171596
172088

TSCA
Action
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(e)
5(a)(2)

B-15

Appendix B
Accession
Number
172351
172691
172737
172793
173014
173296
173310
173343
173489
173649
173876
174131
174324
174368
174722
175032
176091
176364
176853
176875
176911
176922
178097
178495
179090
179329
187929
190762
211871
230898
230967
231255
231664
231722
232112
232258
232532
232918
233864
234152
234210

Chemical Substances that are the Subject of Certain TSCA Actions
TSCA
Action
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(e)
5(a)(2)

Accession
Number
234243
234378
234469
234572
234798
234878
235586
235724
235746
236090
236352
236501
236670
236807
237026
237071
237786
238085
238267
238916
239555
240110
240212
240245
240392
240643
240881
240983
241146
241340
241919
242036
242207
242218
242412
242467
242650
242763
242901
242956
243017

TSCA
Action
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2); 5(e)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(e)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(e)

Accession
Number
243313
243335
243799
244407
244429
244485
244872
245193
245397
245820
245831
245933
246287
246469
246743
247495
247826
248465
248567
248705
249399
249468
249651
249720
250023
250089
250476
250965
251300
251491
251662
251708
252187

TSCA
Action
5(a)(2); 5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)

252290
253442
253577
253975
254003
254183
254401
254456

5(e)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)

B-16

Appendix B

Chemical Substances that are the Subject of Certain TSCA Actions

Accession
Number
254489
254730
254978
255517
255620
255686

TSCA
Action
5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)

256214
256236
256394
256634
256645
257002
257171
257455
257853
257922
258049
258094
258174
258356
258981
259188
259213
259360
259382
259622
259702
259780
260276
260561
260696
260721
261348
261462
261553
261826
262589
262874
262932
262943

5(e)
5(a)(2); 5(e)
5(e)
5(e)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)

Accession
Number
262965
263208
263388
263526
263855
263935
264165
264472
264687
264745
264949
265146
265599
266218
266514
266707
266865
266956
267084
267391
268076
268576
268883
269160
269397
269626
269820
269875
270236
270338
270565
270587
270601
271046
271477
271706
271739
271875
272721
272812

TSCA
Action
5(a)(2)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(e)
5(e)
5(e)

Accession
Number
273100
273495
273735
274067
274136
274238
274352
274498
274589
274658
274670
274943
275219
275253
275468
275651
275708
276314
6507
276530
276632
276698
276825
276836
277055
277293
277339
277737
277895
278105
278138
278616
278627
278638
279084
279108
279506
279744
279755
279960

TSCA
Action
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2); 5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(a)(2)
5(a)(2)
5(e)
5(e)
5(e)
5(a)(2)
5(a)(2)
5(a)(2)
5(e)
5(a)(2)
5(e)
5(e)
5(e)

B-17

Appendix B

Chemical Substances that are the Subject of certain TSCA Actions

Appendix B
Table B-4. Chemical Substances that are the Subject of a Enforceable Consent Agreement
by CAS Registry Number
Listed below are the chemical substances that are the subject of an enforceable consent
agreement adopted under 40 CFR part790 and the Federal Register citations providing public
notice of such agreements. See 40 CFR 790 and 799.5000 for more details.
CAS
Registry
Number

Chemical Name

Testing

FR Publication Date

67–64–1 Acetone

Health effects

January 23, 1995

71–55–6 1,1,1-Trichloroethane

Health effects

August 23, 1989

78–83–1 Isobutyl alcohol

Health effects

January 23, 1995

79–10–7 Acrylic Acid

Health effects

March 4, 1992

84–74–2 Di- n -butyl phthalate

Environmental effects

January 9, 1989

84–75–3 Di- n -hexyl phthalate

Environmental effects;
Chemical fate

January 9, 1989

100–40–3 4-Vinylcyclohexene

Health effects; Chemical fate September 23, 1991

106–91–2 Glycidyl methacrylate

Health effects

January 26, 1995

108–10–1 Methyl isobutyl ketone

Health effects

January 23, 1995

109–99–9 Tetrahydrofuran

Health effects

January 23, 1995

110–82–7 Cyclohexane

Health Effects and
Environmental Releases
Report

November 18, 1994

112–35–6 Triethylene glycol monomethyl
ether

Health effects

April 3, 1989

112–50–5 Triethylene glycol monoethyl
ether

Health effects

April 3, 1989

117–81–7 Di-2-ethylhexyl phthalate

Chemical fate

January 9, 1989

119–06–2 Ditridecyl phthalate

Chemical fate

January 9, 1989

123–86–4 N -butyl acetate

Health effects

January 23, 1995

131–11–3 Dimethly phthalate

Environmental effects

January 9, 1989

141–78–6 Ethyl acetate

Health effects

January 23, 1995
B-18

Appendix B

CAS
Registry
Number

Chemical Substances that are the Subject of certain TSCA Actions

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 January 10, 1989
effects

628–63–7 N -amyl acetate

Health effects

January 23, 1995

872–50–4 N- methylpyrrolidone

Health effects

November 23, 1993

994–05–8 Tertiary-amyl methyl ether

Health effects

March 21, 1995

1634–04–4 Methyl tert-butyl ether

Health effects

March 31, 1988

2461–18–9 Lauryl glycidyl ether1

Health effects

June 11, 1996

3618–72–2 C.I. Disperse Blue 79:1
Health effects; Environmental November 21, 1989
Acetamide, N -[5-[bis[2effects
(acetyloxy) ethyl]amino]-2-[(2bromo-4, 6-dinitrophenyl) azo]-4methoxyphenyl]3648–20–2 Diundecyl phthalate

Environmental effects

January 9, 1989

4170–30–3 Crotonaldehyde

Environmental effects;
Chemical fate

November 9, 1989

4675–54–3 Bisphenol A diglycidyl ether

Health effects
Exposure evaluation

August 1, 1994

15965–99–8 Hexadecyl glycidyl ether1

Health effects

June 11, 1996

16245–97–9 n -Octadecyl glycidyl ether1

Health effects

June 11, 1996

26761–40–0 Diisodecyl phthalate

Chemical fate

January 9, 1989

38954–75–5 Tetradecyl glycidyl ether1

Health effects

June 11, 1996

68081–84–5 Alkyl (C10-C16) glycidyl ether1

Health effects

June 11, 1996

68515–47–9 Ditridecyl phthalate (mixed
isomers)

Chemical fate

January 9, 1989

B-19

Appendix B

CAS Registry
Number

Chemical Substances that are the Subject of certain TSCA Actions

Chemical Name

Testing

FR Publication Date

68515–49–1 Diisodecyl phthalate (mixed
isomers)

Chemical fate

January 9, 1989

68515–50–4 Dihexyl phthalate (mixed
isomers)

Environmental effects;
Chemical fate

January 9, 1989

68609–97–2 Alkyl (C12-C14) glycidyl ether1 Health effects

June 11, 1996

84852–15–3 4-Nonylphenol, branched

Environmental effects;
Chemical fate

February 21, 1990

120547-52-6 Alkyl (C12-C13) glycidyl ether

Health effects

March 22, 1996

Exposure monitoring

May 14, 1993

142844–00–6 Refractory ceramic fibers
1

As represented by alkyl (C12-C13) glycidyl ether (CAS No. 120547–52–6)

B-20

Appendix C

Partially Exempt Chemicals

Appendix C
Chemical Substances Partially Exempt from Reporting in 2012
Chemical substances that are partially exempt from reporting requirements under the
CDR rule in 2012 are listed in 40 CFR 711.6(b)(1) and 711.6(b)(2); these lists are included
below. Note that inorganic chemical substances are no longer partially exempt from reporting
requirements in 2012, so submitters should report complete information on inorganic chemical
substances, including processing and use information.
IMPORTANT: This document is intended to be an information resource. While EPA has
tried to provide an accurate list of chemical substances, the list may contain errors and
omissions. This list should not be relied upon in lieu of the Code of Federal Rules. In the event
of a conflict between this list and the Code of Federal Rules, this list will not be considered
controlling.
Partially Exempt Chemical Substances Termed “Petroleum Process Streams” Under 40
CFR 711.6(b)(1)
CAS Registry Number

Product

8002–05–9

Petroleum

8002–74–2

Paraffin waxes and hydrocarbon waxes

8006–20–0

Fuel gases, low and medium B.T.U.

8008–20–6

Kerosine (petroleum)

8009–03–8

Petrolatum

8012–95–1

Paraffin oils

8030–30–6

Naphtha

8032–32–4

Ligroine

8042–47–5

White mineral oil (petroleum)

8052–41–3

Stoddard solvent

8052–42–4

Asphalt

61789-60-4

Pitch

63231–60–7

Paraffin waxes and hydrocarbon waxes, microcryst.

64741–41–9

Naphtha (petroleum), heavy straight-run

64741–42–0

Naphtha (petroleum), full-range straight-run

64741–43–1

Gas oils (petroleum), straight-run

64741–44–2

Distillates (petroleum), straight-run middle

64741–45–3

Residues (petroleum), atm. Tower

64741–46–4

Naphtha (petroleum), light straight-run

64741–47–5

Natural gas condensates (petroleum)

64741–49–7

Condensates (petroleum), vacuum tower

C-1

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

64741–50–0

Distillates (petroleum), light paraffinic

64741–51–1

Distillates (petroleum), heavy paraffinic

64741–52–2

Distillates (petroleum), light naphthenic

64741–53–3

Distillates (petroleum), heavy naphthenic

64741–54–4

Naphtha (petroleum), heavy catalytic cracked

64741–55–5

Naphtha (petroleum), light catalytic cracked

64741–56–6

Residues (petroleum), vacuum

64741–57–7

Gas oils (petroleum), heavy vacuum

64741–58–8

Gas oils (petroleum), light vacuum

64741–59–9

Distillates (petroleum), light catalytic cracked

64741–60–2

Distillates (petroleum), intermediate catalytic cracked

64741–61–3

Distillates (petroleum), heavy catalytic cracked

64741–62–4

Clarified oils (petroleum), catalytic cracked

64741–63–5

Naphtha (petroleum), light catalytic reformed

64741–64–6

Naphtha (petroleum), full-range alkylate

64741–65–7

Naphtha (petroleum), heavy alkylate

64741–66–8

Naphtha (petroleum), light alkylate

64741–67–9

Residues (petroleum), catalytic reformer fractionator

64741–68–0

Naphtha (petroleum), heavy catalytic reformed

64741–69–1

Naphtha (petroleum), light hydrocracked

64741–70–4

Naphtha (petroleum), isomerization

64741–73–7

Distillates (petroleum), alkylate

64741–74–8

Naphtha (petroleum), light thermal cracked

64741–75–9

Residues (petroleum), hydrocracked

64741–76–0

Distillates (petroleum), heavy hydrocracked

64741–77–1

Distillates (petroleum), light hydrocracked

64741–78–2

Naphtha (petroleum), heavy hydrocracked

64741–79–3

Coke (petroleum)

64741–80–6

Residues (petroleum), thermal cracked

64741–81–7

Distillates (petroleum), heavy thermal cracked

64741–82–8

Distillates (petroleum), light thermal cracked

64741–83–9

Naphtha (petroleum), heavy thermal cracked

64741–84–0

Naphtha (petroleum), solvent-refined light

64741–85–1

Raffinates (petroleum), sorption process

64741–86–2

Distillates (petroleum), sweetened middle

64741–87–3

Naphtha (petroleum), sweetened

64741–88–4

Distillates (petroleum), solvent-refined heavy paraffinic

C-2

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

64741–89–5

Distillates (petroleum), solvent-refined light paraffinic

64741–90–8

Gas oils (petroleum), solvent-refined

64741–91–9

Distillates (petroleum), solvent-refined middle

64741–92–0

Naphtha (petroleum), solvent-refined heavy

64741–95–3

Residual oils (petroleum), solvent deasphalted

64741–96–4

Distillates (petroleum), solvent-refined heavy naphthenic

64741–97–5

Distillates (petroleum), solvent-refined light naphthenic

64741–98–6

Extracts (petroleum), heavy naphtha solvent

64741–99–7

Extracts (petroleum), light naphtha solvent

64742–01–4

Residual oils (petroleum), solvent-refined

64742–03–6

Extracts (petroleum), light naphthenic distillate solvent

64742–04–7

Extracts (petroleum), heavy paraffinic distillate solvent

64742–05–8

Extracts (petroleum), light paraffinic distillate solvent

64742–06–9

Extracts (petroleum), middle distillate solvent

64742–07–0

Raffinates (petroleum), residual oil decarbonization

64742–08–1

Raffinates (petroleum), heavy naphthenic distillate decarbonization

64742–09–2

Raffinates (petroleum), heavy paraffinic distillate decarbonization

64742–10–5

Extracts (petroleum), residual oil solvent

64742–11–6

Extracts (petroleum), heavy naphthenic distillate solvent

64742–12–7

Gas oils (petroleum), acid-treated

64742–13–8

Distillates (petroleum), acid-treated middle

64742–14–9

Distillates (petroleum), acid-treated light

64742–15–0

Naphtha (petroleum), acid-treated

64742–16–1

Petroleum resins

64742–18–3

Distillates (petroleum), acid-treated heavy naphthenic

64742–19–4

Distillates (petroleum), acid-treated light naphthenic

64742–20–7

Distillates (petroleum), acid-treated heavy paraffinic

64742–21–8

Distillates (petroleum), acid-treated light paraffinic

64742–22–9

Naphtha (petroleum), chemically neutralized heavy

64742–23–0

Naphtha (petroleum), chemically neutralized light

64742–24–1

Sludges (petroleum), acid

64742–25–2

Lubricating oils (petroleum), acid-treated spent

64742–26–3

Hydrocarbon waxes (petroleum), acid-treated

64742–27–4

Distillates (petroleum), chemically neutralized heavy paraffinic

64742–28–5

Distillates (petroleum), chemically neutralized light paraffinic

64742–29–6

Gas oils (petroleum), chemically neutralized

64742–30–9

Distillates (petroleum), chemically neutralized middle

C-3

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

64742–31–0

Distillates (petroleum), chemically neutralized light

64742–32–1

Lubricating oils (petroleum), chemically neutralized spent

64742–33–2

Hydrocarbon waxes (petroleum), chemically neutralized

64742–34–3

Distillates (petroleum), chemically neutralized heavy naphthenic

64742–35–4

Distillates (petroleum), chemically neutralized light naphthenic

64742–36–5

Distillates (petroleum), clay-treated heavy paraffinic

64742–37–6

Distillates (petroleum), clay-treated light paraffinic

64742–38–7

Distillates (petroleum), clay-treated middle

64742–39–8

Neutralizing agents (petroleum), spent sodium carbonate

64742–40–1

Neutralizing agents (petroleum), spent sodium hydroxide

64742–41–2

Residual oils (petroleum), clay-treated

64742–42–3

Hydrocarbon waxes (petroleum), clay-treated microcryst.

64742–43–4

Paraffin waxes (petroleum), clay-treated

64742–44–5

Distillates (petroleum), clay-treated heavy naphthenic

64742–45–6

Distillates (petroleum), clay-treated light naphthenic

64742–46–7

Distillates (petroleum), hydrotreated middle

64742–47–8

Distillates (petroleum), hydrotreated light

64742–48–9

Naphtha (petroleum), hydrotreated heavy

64742–49–0

Naphtha (petroleum), hydrotreated light

64742–50–3

Lubricating oils (petroleum), clay-treated spent

64742–51–4

Paraffin waxes (petroleum), hydrotreated

64742–52–5

Distillates (petroleum), hydrotreated heavy naphthenic

64742–53–6

Distillates (petroleum), hydrotreated light naphthenic

64742–54–7

Distillates (petroleum), hydrotreated heavy paraffinic

64742–55–8

Distillates (petroleum), hydrotreated light paraffinic

64742–56–9

Distillates (petroleum), solvent-dewaxed light paraffinic

64742–57–0

Residual oils (petroleum), hydrotreated

64742–58–1

Lubricating oils (petroleum), hydrotreated spent

64742–59–2

Gas oils (petroleum), hydrotreated vacuum

64742–60–5

Hydrocarbon waxes (petroleum), hydrotreated microcryst.

64742–61–6

Slack wax (petroleum)

64742–62–7

Residual oils (petroleum), solvent-dewaxed

64742–63–8

Distillates (petroleum), solvent-dewaxed heavy naphthenic

64742–64–9

Distillates (petroleum), solvent-dewaxed light naphthenic

64742–65–0

Distillates (petroleum), solvent-dewaxed heavy paraffinic

64742–67–2

Foots oil (petroleum)

64742–68–3

Naphthenic oils (petroleum), catalytic dewaxed heavy

C-4

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

64742–69–4

Naphthenic oils (petroleum), catalytic dewaxed light

64742–70–7

Paraffin oils (petroleum), catalytic dewaxed heavy

64742–71–8

Paraffin oils (petroleum), catalytic dewaxed light

64742–72–9

Distillates (petroleum), catalytic dewaxed middle

64742–73–0

Naphtha (petroleum), hydrodesulfurized light

64742–75–2

Naphthenic oils (petroleum), complex dewaxed heavy

64742–76–3

Naphthenic oils (petroleum), complex dewaxed light

64742–78–5

Residues (petroleum), hydrodesulfurized atmospheric tower

64742–79–6

Gas oils (petroleum), hydrodesulfurized

64742–80–9

Distillates (petroleum), hydrodesulfurized middle

64742–81–0

Kerosine (petroleum), hydrodesulfurized

64742–82–1

Naphtha (petroleum), hydrodesulfurized heavy

64742–83–2

Naphtha (petroleum), light steam-cracked

64742–85–4

Residues (petroleum), hydrodesulfurized vacuum

64742–86–5

Gas oils (petroleum), hydrodesulfurized heavy vacuum

64742–87–6

Gas oils (petroleum), hydrodesulfurized light vacuum

64742–88–7

Solvent naphtha (petroleum), medium aliph.

64742–89–8

Solvent naphtha (petroleum), light aliph.

64742–90–1

Residues (petroleum), steam-cracked

64742–91–2

Distillates (petroleum), steam-cracked

64742–92–3

Petroleum resins, oxidized

64742–93–4

Asphalt, oxidized

64742–94–5

Solvent naphtha (petroleum), heavy arom.

64742–95–6

Solvent naphtha (petroleum), light arom.

64742–96–7

Solvent naphtha (petroleum), heavy aliph.

64742–97–8

Distillates (petroleum), oxidized heavy

64742–98–9

Distillates (petroleum), oxidized light

64742–99–0

Residual oils (petroleum), oxidized

64743–00–6

Hydrocarbon waxes (petroleum), oxidized

64743–01–7

Petrolatum (petroleum), oxidized

64743–02–8

Alkenes, C>10 .alpha.-

64743–03–9

Phenols (petroleum)

64743–04–0

Coke (petroleum), recovery

64743–05–1

Coke (petroleum), calcined

64743–06–2

Extracts (petroleum), gas oil solvent

64743–07–3

Sludges (petroleum), chemically neutralized

64754–89–8

Naphthenic acids (petroleum), crude

C-5

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

64771–71–7

Paraffins (petroleum), normal C>10

64771–72–8

Paraffins (petroleum), normal C5-20

67254-74-4

Naphthenic oils

67674–12–8

Residual oils (petroleum), oxidized, compounds with triethanolamine

67674–13–9

Petrolatum (petroleum), oxidized, partially deacidified

67674–15–1

Petrolatum (petroleum), oxidized, Me ester

67674–16–2

Hydrocarbon waxes (petroleum), oxidized, partially deacidified

67674–17–3

Distillates (petroleum), oxidized light, compounds with triethanolamine

67674–18–4

Distillates (petroleum), oxidized light, Bu esters

67891–79–6

Distillates (petroleum), heavy arom.

67891–80–9

Distillates (petroleum), light arom.

67891-81-0

Distillates (petroleum), oxidized light, potassium salts

67891–82–1

Hydrocarbon waxes (petroleum), oxidized, compounds with ethanolamine

67891–83–2

Hydrocarbon waxes (petroleum), oxidized, compounds with isopropanolamine

67891–85–4

Hydrocarbon waxes (petroleum), oxidized, compounds with triisopropanolamine

67891-86-5

Hydrocarbon waxes (petroleum), oxidized, compounds with diisopropanolamine

68131–05–5

Hydrocarbon oils, process blends

68131–49–7

Aromatic hydrocarbons, C6-10, acid-treated, neutralized

68131–75–9

Gases (petroleum), C3-4

68153–22–0

Paraffin waxes and Hydrocarbon waxes, oxidized

68187–57–5

Pitch, coal tar-petroleum

68187–58–6

Pitch, petroleum, arom.

68187–60–0

Hydrocarbons, C4, ethane-propane-cracked

68307–98–2

Tail gas (petroleum), catalytic cracked distillate and catalytic cracked naphtha fractionation
absorber

68307–99–3

Tail gas (petroleum), catalytic polymn. naphtha fractionation stabilizer

68308–00–9

Tail gas (petroleum), catalytic reformed naphtha fractionation stabilizer, hydrogen sulfidefree

68308–01–0

Tail gas (petroleum), cracked distillate hydrotreater stripper

68308–02–1

Tail gas (petroleum), distn., hydrogen sulfide-free

68308–03–2

Tail gas (petroleum), gas oil catalytic cracking absorber

68308–04–3

Tail gas (petroleum), gas recovery plant

68308–05–4

Tail gas (petroleum), gas recovery plant deethanizer

68308–06–5

Tail gas (petroleum), hydrodesulfurized distillate and hydrodesulfurized naphtha fractionator,
acid-free

68308–07–6

Tail gas (petroleum), hydrodesulfurized vacuum gas oil stripper, hydrogen sulfide-free

68308–08–7

Tail gas (petroleum), isomerized naphtha fractionation stabilizer

68308–09–8

Tail gas (petroleum), light straight-run naphtha stabilizer, hydrogen sulfide-free

C-6

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

68308–10–1

Tail gas (petroleum), straight-run distillate hydrodesulfurizer, hydrogen sulfide-free

68308–11–2

Tail gas (petroleum), propane-propylene alkylation feed prep deethanizer

68308–12–3

Tail gas (petroleum), vacuum gas oil hydrodesulfurizer, hydrogen sulfide-free

68308–27–0

Fuel gases, refinery

68333–22–2

Residues (petroleum), atmospheric

68333–23–3

Naphtha (petroleum), heavy coker

68333–24–4

Hydrocarbon waxes (petroleum), oxidized, compds. with triethanolamine

68333–25–5

Distillates (petroleum), hydrodesulfurized light catalytic cracked

68333–26–6

Clarified oils (petroleum), hydrodesulfurized catalytic cracked

68333–27–7

Distillates (petroleum), hydrodesulfurized intermediate catalytic cracked

68333–28–8

Distillates (petroleum), hydrodesulfurized heavy catalytic cracked

68333–29–9

Residues (petroleum), light naphtha solvent extracts

68333–30–2

Distillates (petroleum), oxidized heavy thermal cracked

68333–81–3

Alkanes, C4-12

68333–88–0

Aromatic hydrocarbons, C9-17

68334–30–5

Fuels, diesel

68409–99–4

Gases (petroleum), catalytic cracked overheads

68410–00–4

Distillates (petroleum), crude oil

68410–05–9

Distillates (petroleum), straight-run light

68410–12–8

Distillates (petroleum), steam-cracked, C5-10 fraction, high-temp. stripping products with
light steamcracked petroleum naphtha C5 fraction polymers

68410–71–9

Raffinates (petroleum), catalytic reformer ethylene glycol-water countercurrent exts.

68410–96–8

Distillates (petroleum), hydrotreated middle, intermediate boiling

68410–97–9

Distillates (petroleum), light distillate hydrotreating process, low-boiling

68410–98–0

Distillates (petroleum), hydrotreated heavy naphtha, deisohexanizer overheads

68411–00–7

Alkenes, C>8

68425–29–6

Distillates (petroleum), naphtha-raffinate pyrolyzate-derived, gasoline-blending

68425–33–2

Petrolatum (petroleum), oxidized, barium salt

68425–34–3

Petrolatum (petroleum), oxidized, calcium salt

68425–35–4

Raffinates (petroleum), reformer, Lurgi unit-sepd.

68425–39–8

Alkenes, C>10 .alpha.-, oxidized

68441–09–8

Hydrocarbon waxes (petroleum), clay-treated microcryst., contg. polyethylene, oxidized

68459–78–9

Alkenes, C18-24 .alpha.-, dimers

68475–57–0

Alkanes, C1-2

68475–58–1

Alkanes, C2-3

68475–59–2

Alkanes, C3-4

68475–60–5

Alkanes, C4-5

C-7

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

68475–61–6

Alkenes, C5, naphtha-raffinate pyrolyzate-derived

68475–70–7

Aromatic hydrocarbons, C6-8, naphtha-raffinate pyrolyzate-derived

68475–79–6

Distillates (petroleum), catalytic reformed depentanizer

68475–80–9

Distillates (petroleum), light steam-cracked naphtha

68476–26–6

Fuel gases

68476-27-7

Fuel gases, amine system residues

68476–28–8

Fuel gases, C6-8 catalytic reformer

68476–29–9

Fuel gases, crude oil distillates

68476–30–2

Fuel oil, no. 2

68476–31–3

Fuel oil, no. 4

68476–32–4

Fuel oil, residues-straight-run gas oils, high-sulfur

68476–33–5

Fuel oil, residual

68476–34–6

Fuels, diesel, no. 2

68476–39–1

Hydrocarbons, aliph.-arom.-C4-5-olefinic

68476–40–4

Hydrocarbons, C3-4

68476–42–6

Hydrocarbons, C4-5

68476–43–7

Hydrocarbons, C4-6, C5-rich

68476–44–8

Hydrocarbons, C>3

68476–45–9

Hydrocarbons, C5-10 arom. conc., ethylene-manuf.-by-product

68476–46–0

Hydrocarbons, C3-11, catalytic cracker distillates

68476–47–1

Hydrocarbons, C2-6, C6-8 catalytic reformer

68476–49–3

Hydrocarbons, C2-4, C3-rich

68476–50–6

Hydrocarbons, C>5, C5-6-rich

68476–52–8

Hydrocarbons, C4, ethylene-manuf.-by-product

68476–53–9

Hydrocarbons, C>20, petroleum wastes

68476–54–0

Hydrocarbons, C3-5, polymn. unit feed

68476–55–1

Hydrocarbons, C5-rich

68476–56–2

Hydrocarbons, cyclic C5 and C6

68476–77–7

Lubricating oils, refined used

68476–81–3

Paraffin waxes and Hydrocarbon waxes, oxidized, calcium salts

68476–84–6

Petroleum products, gases, inorg.

68476–85–7

Petroleum gases, liquefied

68476–86–8

Petroleum gases, liquefied, sweetened

68477–25–8

Waste gases, vent gas, C1-6

68477–26–9

Wastes, petroleum

68477–29–2

Distillates (petroleum), catalytic reformer fractionator residue, high-boiling

68477–30–5

Distillates (petroleum), catalytic reformer fractionator residue, intermediate-boiling

C-8

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

68477–31–6

Distillates (petroleum), catalytic reformer fractionator residue, low-boiling

68477–33–8

Gases (petroleum), C3-4, isobutane-rich

68477–34–9

Distillates (petroleum), C3-5, 2-methyl-2-butene-rich

68477–35–0

Distillates (petroleum), C3-6, piperylene-rich

68477–36–1

Distillates (petroleum), cracked steam-cracked, C5-18 fraction

68477–38–3

Distillates (petroleum), cracked steam-cracked petroleum distillates

68477–39–4

Distillates (petroleum), cracked stripped steam-cracked petroleum distillates, C8-10 fraction

68477–40–7

Distillates (petroleum), cracked stripped steam-cracked petroleum distillates, C10-12 fraction

68477–41–8

Gases (petroleum), extractive, C3-5, butadiene-butene-rich

68477–42–9

Gases (petroleum), extractive, C3-5, butene-isobutylene-rich

68477–44–1

Distillates (petroleum), heavy naphthenic, mixed with steam-cracked petroleum distillates
C5-12 fraction

68477–47–4

Distillates (petroleum), mixed heavy olefin vacuum, heart-cut

68477–48–5

Distillates (petroleum), mixed heavy olefin vacuum, low-boiling

68477–53–2

Distillates (petroleum), steam-cracked, C5-12 fraction

68477–54–3

Distillates (petroleum), steam-cracked, C8-12 fraction

68477–55–4

Distillates (petroleum), steam-cracked, C5-10 fraction, mixed with light steam-cracked
petroleum naphtha C5 fraction

68477–58–7

Distillates (petroleum), steam-cracked petroleum distillates, C5-18 fraction

68477–59–8

Distillates (petroleum), steam-cracked petroleum distillates cyclopentadiene conc.

68477–60–1

Extracts (petroleum), cold-acid

68477–61–2

Extracts (petroleum), cold-acid, C4-6

68477–62–3

Extracts (petroleum), cold-acid, C3-5, butene-rich

68477–63–4

Extracts (petroleum), reformer recycle

68477–64–5

Gases (petroleum), acetylene manuf. off

68477–65–6

Gases (petroleum), amine system feed

68477–66–7

Gases (petroleum), benzene unit hydrodesulfurizer off

68477–67–8

Gases (petroleum), benzene unit recycle, hydrogen-rich

68477–68–9

Gases (petroleum), blend oil, hydrogen-nitrogen-rich

68477–69–0

Gases (petroleum), butane splitter overheads

68477–70–3

Gases (petroleum), C2-3

68477–71–4

Gases (petroleum), catalytic-cracked gas oil depropanizer bottoms, C4-rich acid-free

68477–72–5

Gases (petroleum), catalytic-cracked naphtha debutanizer bottoms, C3-5-rich

68477–73–6

Gases (petroleum), catalytic cracked naphtha depropanizer overhead, C3-rich acid-free

68477–74–7

Gases (petroleum), catalytic cracker

68477–75–8

Gases (petroleum), catalytic cracker, C1-5-rich

68477–76–9

Gases (petroleum), catalytic polymd. naphtha stabilizer overhead, C2-4-rich

68477–77–0

Gases (petroleum), catalytic reformed naphtha stripper overheads

C-9

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

68477–79–2

Gases (petroleum), catalytic reformer, C1-4-rich

68477–80–5

Gases (petroleum), C6-8 catalytic reformer recycle

68477–81–6

Gases (petroleum), C6-8 catalytic reformer

68477–82–7

Gases (petroleum), C6-8 catalytic reformer recycle, hydrogen-rich

68477–83–8

Gases (petroleum), C3-5 olefinic-paraffinic alkylation feed

68477–84–9

Gases (petroleum), C2-return stream

68477–85–0

Gases (petroleum), C4-rich

68477–86–1

Gases (petroleum), deethanizer overheads

68477–87–2

Gases (petroleum), deisobutanizer tower overheads

68477–88–3

Gases (petroleum), deethanizer overheads, C3-rich

68477–89–4

Distillates (petroleum), depentanizer overheads

68477–90–7

Gases (petroleum), depropanizer dry, propene-rich

68477–91–8

Gases (petroleum), depropanizer overheads

68477–92–9

Gases (petroleum), dry sour, gas-concn.-unit-off

68477–93–0

Gases (petroleum), gas concn. reabsorber distn.

68477–94–1

Gases (petroleum), gas recovery plant depropanizer overheads

68477–95–2

Gases (petroleum), Girbatol unit feed

68477–96–3

Gases (petroleum), hydrogen absorber off

68477–97–4

Gases (petroleum), hydrogen-rich

68477–98–5

Gases (petroleum), hydrotreater blend oil recycle, hydrogen-nitrogen rich

68477–99–6

Gases (petroleum), isomerized naphtha fractionater, C4-rich, hydrogen sulfide-free

68478–00–2

Gases (petroleum), recycle, hydrogen-rich

68478–01–3

Gases (petroleum), reformer make-up, hydrogen-rich

68478–02–4

Gases (petroleum), reforming hydrotreater

68478–03–5

Gases (petroleum), reforming hydrotreater, hydrogen-methane-rich

68478–04–6

Gases (petroleum), reforming hydrotreater make-up, hydrogen-rich

68478–05–7

Gases (petroleum), thermal cracking distn.

68478–08–0

Naphtha (petroleum), light steam-cracked, C5-fraction, oligomer conc.

68478–10–4

Naphtha (petroleum), light steam-cracked, debenzenized, C8-16-cycloalkadiene conc.

68478–12–6

Residues (petroleum), butane splitter bottoms

68478–13–7

Residues (petroleum), catalytic reformer fractionator residue distn.

68478–15–9

Residues (petroleum), C6-8 catalytic reformer

68478–16–0

Residual oils (petroleum), deisobutanizer tower

68478–17–1

Residues (petroleum), heavy coker gas oil and vacuum gas oil

68478–18–2

Residues (petroleum), heavy olefin vacuum

68478–19–3

Residual oils (petroleum), propene purifn. splitter

C-10

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

68478–20–6

Residues (petroleum), steam-cracked petroleum distillates cyclopentadiene conc., C4cyclopentadienefree

68478–22–8

Tail gas (petroleum), catalytic cracked naphtha stabilization absorber

68478–24–0

Tail gas (petroleum), catalytic cracker, catalytic reformer and hydrodesulfurizer combined
fractionater

68478–25–1

Tail gas (petroleum), catalytic cracker refractionation absorber

68478–26–2

Tail gas (petroleum), catalytic reformed naphtha fractionation stabilizer

68478–27–3

Tail gas (petroleum), catalytic reformed naphtha separator

68478–28–4

Tail gas (petroleum), catalytic reformed naphtha stabilizer

68478–29–5

Tail gas (petroleum), cracked distillate hydrotreater separator

68478–30–8

Tail gas (petroleum), hydrodesulfurized straight-run naphtha separator

68478-31-9

Tail gas (petroleum), isomerized naphtha fractionates, hydrogen sulfide-free

68478–32–0

Tail gas (petroleum), saturate gas plant mixed stream, C4-rich

68478–33–1

Tail gas (petroleum), saturate gas recovery plant, C1-2-rich

68478–34–2

Tail gas (petroleum), vacuum residues thermal cracker

68512–61–8

Residues (petroleum), heavy coker and light vacuum

68512–62–9

Residues (petroleum), light vacuum

68512–78–7

Solvent naphtha (petroleum), light arom., hydrotreated

68512–91–4

Hydrocarbons, C3-4-rich, petroleum distillates

68513–02–0

Naphtha (petroleum), full-range coker

68513–03–1

Naphtha (petroleum), light catalytic reformed, aromatic-free

68513–11–1

Fuel gases, hydrotreater fractionation, scrubbed

68513–12–2

Fuel gases, saturate gas unit fractionater-absorber overheads

68513–13–3

Fuel gases, thermal cracked catalytic cracking residue

68513–14–4

Gases (petroleum), catalytic reformed straight-run naphtha stabilizer overheads

68513–15–5

Gases (petroleum), full-range straight-run naphtha dehexanizer off

68513–16–6

Gases (petroleum), hydrocracking depropanizer off, hydrocarbon-rich

68513–17–7

Gases (petroleum), light straight-run naphtha stabilizer off

68513–18–8

Gases (petroleum), reformer effluent high-pressure flash drum off

68513–19–9

Gases (petroleum), reformer effluent low-pressure flash drum off

68513–62–2

Disulfides, C5-12-alkyl

68513–63–3

Distillates (petroleum), catalytic reformed straight-run naphtha overheads

68513–65–5

Butane, branched and linear

68513–66–6

Residues (petroleum), alkylation splitter, C4-rich

68513–67–7

Residues (petroleum), cyclooctadiene bottoms

68513–68–8

Residues (petroleum), deethanizer tower

68513–69–9

Residues (petroleum), steam-cracked light

68513–74–6

Waste gases, ethylene oxide absorber-reactor

C-11

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

68514–15–8

Gasoline, vapor-recovery

68514–29–4

Hydrocarbons, amylene feed debutanizer overheads nonextractable raffinates

68514–31–8

Hydrocarbons, C1-4

68514–32–9

Hydrocarbons, C10 and C12, olefin-rich

68514–33–0

Hydrocarbons, C12 and C14, olefin-rich

68514–34–1

Hydrocarbons, C9-14, ethylene-manuf.-by-product

68514–35–2

Hydrocarbons, C14-30, olefin-rich

68514–36–3

Hydrocarbons, C1-4, sweetened

68514–37–4

Hydrocarbons, C4-5-unsatd.

68514–38–5

Hydrocarbons, C4-10-unsatd.

68514-39-6

Naphtha (petroleum), light steam-cracked, isoprene-rich

68514–79–4

Petroleum products, hydrofiner-powerformer reformates

68515–25–3

Benzene, C1-9-alkyl derivs.

68515–26–4

Benzene, di-C12-14-alkyl derivs.

68515–27–5

Benzene, di-C10-14-alkyl derivs., fractionation overheads, heavy ends

68515–28–6

Benzene, di-C10-14-alkyl derivs., fractionation overheads, light ends

68515–29–7

Benzene, di-C10-14-alkyl derivs., fractionation overheads, middle cut

68515–30–0

Benzene, mono-C20-48-alkyl derivs.

68515–32–2

Benzene, mono-C12-14-alkyl derivs., fractionation bottoms

68515–33–3

Benzene, mono-C10-12-alkyl derivs., fractionation bottoms, heavy ends

68515–34–4

Benzene, mono-C12-14-alkyl derivs., fractionation bottoms, heavy ends

68515–35–5

Benzene, mono-C10-12-alkyl derivs., fractionation bottoms, light ends

68515–36–6

Benzene, mono-C12-14-alkyl derivs., fractionation bottoms, light ends

68516–20–1

Naphtha (petroleum), steam-cracked middle arom.

68526–52–3

Alkenes, C6

68526–53–4

Alkenes, C6-8, C7-rich

68526–54–5

Alkenes, C7-9, C8-rich

68526–55–6

Alkenes, C8-10, C9-rich

68526–56–7

Alkenes, C9-11, C10-rich

68526–57–8

Alkenes, C10-12, C11-rich

68526–58–9

Alkenes, C11-13, C12-rich

68526–77–2

Aromatic hydrocarbons, ethane cracking scrubber effluent and flare drum

68526–99–8

Alkenes, C6-9 .alpha.-

68527–00–4

Alkenes, C8-9 .alpha.-

68527–11–7

Alkenes, C5

68527–13–9

Gases (petroleum), acid, ethanolamine scrubber

68527–14–0

Gases (petroleum), methane-rich off

C-12

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

68527–15–1

Gases (petroleum), oil refinery gas distn. off

68527–16–2

Hydrocarbons, C1-3

68527–18–4

Gas oils (petroleum), steam-cracked

68527–19–5

Hydrocarbons, C1-4, debutanizer fraction

68527–21–9

Naphtha (petroleum), clay-treated full-range straight-run

68527–22–0

Naphtha (petroleum), clay-treated light straight-run

68527–23–1

Naphtha (petroleum), light steam-cracked arom.

68527–26–4

Naphtha (petroleum), light steam-cracked, debenzenized

68527–27–5

Naphtha (petroleum), full-range alkylate, butane-contg.

68553–00–4

Fuel oil, no. 6

68553–14–0

Hydrocarbons, C8-11

68602–79–9

Distillates (petroleum), benzene unit hydrotreater dipentanizer overheads

68602–81–3

Distillates, hydrocarbon resin prodn. higher boiling

68602–82–4

Gases (petroleum), benzene unit hydrotreater depentenizer overheads

68602–83–5

Gases (petroleum), C1-5, wet

68602–84–6

Gases (petroleum), secondary absorber off, fluidized catalytic cracker overheads fractionater

68602–96–0

Distillates (petroleum), oxidized light, strong acid components, compds. with diethanolamine

68602–97–1

Distillates (petroleum), oxidized light, strong acid components, sodium salts

68602–98–2

Distillates (petroleum), oxidized light, strong acid components

68602–99–3

Distillates (petroleum), oxidized light, strong acid-free

68603–00–9

Distillates (petroleum), thermal cracked naphtha and gas oil

68603–01–0

Distillates (petroleum), thermal cracked naphtha and gas oil, C5-dimer-contg.

68603–02–1

Distillates (petroleum), thermal cracked naphtha and gas oil, dimerized

68603–03–2

Distillates (petroleum), thermal cracked naphtha and gas oil, extractive

68603–08–7

Naphtha (petroleum), arom.-contg.

68603–09–8

Hydrocarbon waxes (petroleum), oxidized, calcium salts

68603–10–1

Hydrocarbon waxes (petroleum), oxidized, Me esters, barium salts

68603–11–2

Hydrocarbon waxes (petroleum), oxidized, Me esters, calcium salts

68603–12–3

Hydrocarbon waxes (petroleum), oxidized, Me esters, sodium salts

68603–13–4

Petrolatum (petroleum), oxidized, ester with sorbitol

68603–14–5

Residual oils (petroleum), oxidized, calcium salts

68603–31–6

Alkenes, C10, tert-amylene concentrator by-product

68603–32–7

Alkenes, C15-20 .alpha.-, isomerized

68606–09–7

Fuel gases, expander off

68606–10–0

Gasoline, pyrolysis, debutanizer bottoms

68606–11–1

Gasoline, straight–run, topping-plant

68606–24–6

Hydrocarbons, C4, butene concentrator by-product

C-13

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

68606–25–7

Hydrocarbons, C2-4

68606–26–8

Hydrocarbons, C3

68606–27–9

Gases (petroleum), alkylation feed

68606–28–0

Hydrocarbons, C5 and C10-aliph. and C6-8-arom.

68606–31–5

Hydrocarbons, C3-5, butadiene purifn. by-product

68606–34–8

Gases (petroleum), depropanizer bottoms fractionation off

68606–36–0

Hydrocarbons, C5-unsatd. rich, isoprene purifn. by-product

68607–11–4

Petroleum products, refinery gases

68607–30–7

Residues (petroleum), topping plant, low-sulfur

68608–56–0

Waste gases, from carbon black manuf.

68647-60–9

Hydrocarbons, C>4

68647–61–0

Hydrocarbons, C4-5, tert-amylene concentrator by-product

68647–62–1

Hydrocarbons, C4-5, butene concentrator by-product, sour

68650–36–2

Aromatic hydrocarbons, C8, o-xylene-lean

68650–37–3

Paraffin waxes (petroleum), oxidized, sodium salts

68782–97–8

Distillates (petroleum), hydrofined lubricating-oil

68782–98–9

Extracts (petroleum), clarified oil solvent, condensed-ring-arom.-contg.

68782–99–0

Extracts (petroleum), heavy clarified oil solvent, condensed-ring-arom.-contg.

68783–00–6

Extracts (petroleum), heavy naphthenic distillate solvent, arom. conc.

68783–01–7

Extracts (petroleum), heavy naphthenic distillate solvent, paraffinic conc.

68783–02–8

Extracts (petroleum), intermediate clarified oil solvent, condensed-ring-arom.-contg.

68783–04–0

Extracts (petroleum), solvent-refined heavy paraffinic distillate solvent

68783–05–1

Gases (petroleum), ammonia-hydrogen sulfide, water-satd.

68783–06–2

Gases (petroleum), hydrocracking low-pressure separator

68783–07–3

Gases (petroleum), refinery blend

68783–08–4

Gas oils (petroleum), heavy atmospheric

68783–09–5

Naphtha (petroleum), catalytic cracked light distd.

68783–12–0

Naphtha (petroleum), unsweetened

68783–13–1

Residues (petroleum), coker scrubber, condensed-ring-arom.-contg.

68783–15–3

Alkenes, C6-7 .alpha.-

68783–61–9

Fuel gases, refinery, sweetened

68783–62–0

Fuel gases, refinery, unsweetened

68783–64–2

Gases (petroleum), catalytic cracking

68783–65–3

Gases (petroleum), C2-4, sweetened

68783–66–4

Naphtha (petroleum), light, sweetened

68814–47–1

Waste gases, refinery vent

68814–67–5

Gases (petroleum), refinery

C-14

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

68814–89–1

Extracts (petroleum), heavy paraffinic distillates, solvent-deasphalted

68814–87–9

Distillates (petroleum), full-range straight-run middle

68814–90–4

Gases (petroleum), platformer products separator off

68814–91–5

Alkenes, C5-9 .alpha.-

68855–57–2

Alkenes, C6-12 .alpha.-

68855–58–3

Alkenes, C10-16 .alpha.-

68855–59–4

Alkenes, C14-18 .alpha.-

68855–60–7

Alkenes, C14-20 .alpha.-

68911–58–0

Gases (petroleum), hydrotreated sour kerosine depentanizer stabilizer off

68911–59–1

Gases (petroleum), hydrotreated sour kerosine flash drum

68915–96–8

Distillates (petroleum), heavy straight-run

68915–97–9

Gas oils (petroleum), straight-run, high-boiling

68918–69–4

Petrolatum (petroleum), oxidized, zinc salt

68918–73–0

Residues (petroleum), clay-treating filter wash

68918–93–4

Paraffin waxes and Hydrocarbon waxes, oxidized, alkali metal salts

68918–98–9

Fuel gases, refinery, hydrogen sulfide-free

68918–99–0

Gases (petroleum), crude oil fractionation off

68919–00–6

Gases (petroleum), dehexanizer off

68919–01–7

Gases (petroleum), distillate unifiner desulfurization stripper off

68919–02–8

Gases (petroleum), fluidized catalytic cracker fractionation off

68919–03–9

Gases (petroleum), fluidized catalytic cracker scrubbing secondary absorber off

68919–04–0

Gases (petroleum), heavy distillate hydrotreater desulfurization stripper off

68919–05–1

Gases (petroleum), light straight run gasoline fractionation stabilizer off

68919–06–2

Gases (petroleum), naphtha unifiner desulfurization stripper off

68919–07–3

Gases (petroleum), platformer stabilizer off, light ends fractionation

68919–08–4

Gases (petroleum), preflash tower off, crude distn.

68919–09–5

Gases (petroleum), straight-run naphtha catalytic reforming off

68919–10–8

Gases (petroleum), straight-run stabilizer off

68919–11–9

Gases (petroleum), tar stripper off

68919–12–0

Gases (petroleum), unifiner stripper off

68919–15–3

Hydrocarbons, C6-12, benzene-recovery

68919-16-4

Hydrocarbons, catalytic alkylation, by-products, C3-6

68919–17–5

Hydrocarbons, C12-20, catalytic alkylation by-products

68919–19–7

Gases (petroleum), fluidized catalytic cracker splitter residues

68919–20–0

Gases (petroleum), fluidized catalytic cracker splitter overheads

68919–37–9

Naphtha (petroleum), full-range reformed

68920–06–9

Hydrocarbons, C7-9

C-15

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

68920–07–0

Hydrocarbons, C<10-linear

68920–64–9

Disulfides, di-C1-2-alkyl

68921–07–3

Distillates (petroleum), hydrotreated light catalytic cracked

68921–09–5

Distillates (petroleum), naphtha unifiner stripper

68921–08–4

Distillates (petroleum), light straight-run gasoline fractionation stabilizer overheads

68921–67–5

Hydrocarbons, ethylene-manuf.-by-product distn. residues

68952–76–1

Gases (petroleum), catalytic cracked naphtha debutanizer

68952–77–2

Tail gas (petroleum), catalytic cracked distillate and naphtha stabilizer

68952–78–3

Tail gas (petroleum), catalytic hydrodesulfurized distillate fractionation stabilizer, hydrogen
sulfide-free

68952–79–4

Tail gas (petroleum), catalytic hydrodesulfurized naphtha separator

68952–80–7

Tail gas (petroleum), straight-run naphtha hydrodesulfurizer

68952–81–8

Tail gas (petroleum), thermal-cracked distillate, gas oil and naphtha absorber

68952–82–9

Tail gas (petroleum), thermal cracked hydrocarbon fractionation stabilizer, petroleum coking

68953–80–0

Benzene, mixed with toluene, dealkylation product

68955–27–1

Distillates (petroleum), petroleum residues vacuum

68955–28–2

Gases (petroleum), light steam-cracked, butadiene conc.

68955–31–7

Gases (petroleum), butadiene process, inorg.

68955–32–8

Natural gas, substitute, steam-reformed desulfurized naphtha

68955–33–9

Gases (petroleum), sponge absorber off, fluidized catalytic cracker and gas oil desulfurizer
overhead fractionation

68955–34–0

Gases (petroleum), straight-run naphtha catalytic reformer stabilizer overhead

68955–35–1

Naphtha (petroleum), catalytic reformed

68955–36–2

Residues (petroleum), steam-cracked, resinous

68955–76–0

Aromatic hydrocarbons, C9-16, biphenyl deriv.-rich

68955–96–4

Disulfides, dialkyl and di-Ph, naphtha sweetening

68956–47–8

Fuel oil, isoprene reject absorption

68956–48–9

Fuel oil, residual, wastewater skimmings

68956–52–5

Hydrocarbons, C4-8

68956–54–7

Hydrocarbons, C4-unsatd.

68956–55–8

Hydrocarbons, C5-unsatd.

68956–70–7

Petroleum products, C5-12, reclaimed, wastewater treatment

68988–79–4

Benzene, C10-12-alkyl derivs., distn. residues

68988–99–8

Phenols, sodium salts, mixed with sulfur compounds, gasoline alk. scrubber residues

68989–88–8

Gases (petroleum), crude distn. and catalytic cracking

68990–35–2

Distillates (petroleum), arom., hydrotreated, dicyclopentadiene-rich

68991–49–1

Alkanes, C10-13, arom.-free desulfurized

68991–50–4

Alkanes, C14-17, arom.-free desulfurized

C-16

Appendix C

Partially Exempt Chemicals

CAS Registry Number

Product

68991–51–5

Alkanes, C10-13, desulfurized

68991–52–6

Alkenes, C10-16

69013–21–4

Fuel oil, pyrolysis

69029–75–0

Oils, reclaimed

69430–33–7

Hydrocarbons, C6-30

70024–88–3

Ethene, thermal cracking products

70528–71–1

Distillates (petroleum), heavy distillate solvent ext. heart-cut

70528–72–2

Distillates (petroleum), heavy distillate solvent ext. vacuum overheads

70528–73–3

Residues (petroleum), heavy distillate solvent ext. vacuum

70592–76–6

Distillates (petroleum), intermediate vacuum

70592–77–7

Distillates (petroleum), light vacuum

70592–78–8

Distillates (petroleum), vacuum

70592–79–9

Residues (petroleum), atm. tower, light

70693–00–4

Hydrocarbon waxes (petroleum), oxidized, sodium salts

70693–06–0

Aromatic hydrocarbons, C9-11

70913–85–8

Residues (petroleum), solvent-extd. vacuum distilled atm. residuum

70913–86–9

Alkanes, C18-70

70955–08–7

Alkanes, C4-6

70955–09–8

Alkenes, C13-14 .alpha.-

70955–10–1

Alkenes, C15-18 .alpha.-

70955–17–8

Aromatic hydrocarbons, C12-20

71243–66–8

Hydrocarbon waxes (petroleum), clay-treated, microcryst., oxidized, potassium salts

71302–82–4

Hydrocarbons, C5-8, Houdry butadiene manuf. by-product

71329–37–8

Residues (petroleum), catalytic cracking depropanizer, C4-rich

71808–30–5

Tail gas (petroleum), thermal cracking absorber

72230–71–8

Distillates (petroleum), cracked steam-cracked, C5-17 fraction

72623–83–7

Lubricating oils (petroleum), C>25, hydrotreated bright stock-based

72623–84–8

Lubricating oils (petroleum), C15-30, hydrotreated neutral oil-based, contg. solvent
deasphalted residual oil

72623–85–9

Lubricating oils (petroleum), C20-50, hydrotreated neutral oil-based, high-viscosity

72623–86–0

Lubricating oils (petroleum), C15-30, hydrotreated neutral oil-based

72623–87–1

Lubricating oils (petroleum), C20-50, hydrotreated neutral oil-based

73138-65-5

Hydrocarbon waxes (petroleum), oxidized, magnesium salts

92045-43-7

Lubricating oils (petroleum) hydrocracked nonaromatic solvent deparaffined

92045-58-4

Naphtha (petroleum), isomerization, C6-fration

92062-09-4

Slack wax (petroleum), hydrotreated

93762–80–2

Alkenes, C15-18

C-17

Appendix C

CAS Registry Number

Partially Exempt Chemicals

Product

98859-55-3

Distillates (petroleum), oxidized heavy, compounds with diethanolamine

98859-56-4

Distillates (petroleum), oxidized heavy, sodium salts

101316-73-8

Lubricating oils (petroleum), used, noncatalytically refined

164907-78-2

Extracts (petroleum), asphaltene-low vacuum residue solvent

164907-79-3

Residues (petroleum), vacuum, asphaltene-low

178603-63-9

Gas oils (petroleum), vacuum, hydrocracked, hydroisomerized, hydrogenated, C10-25

178603-64-0

Gas oils (petroleum), vacuum, hydrocracked, hydroisomerized, hydrogenated, C15-30,
branched and cyclic

178603-65-1

Gas oils (petroleum), vacuum, hydrocracked, hydroisomerized, hydrogenated, C20-40,
branched and cyclic

178603-66-2

Gas oils (petroleum), vacuum, hydrocracked, hydroisomerized, hydrogenated, C25-55,
branched and cyclic

212210-93-0

Solvent naphtha (petroleum), heavy aromatic, distillation residues

221120-39-4

Distillates (petroleum), cracked steam-cracked, C5-12 fraction

445411-73-4

Gas oils (petroleum), vacuum, hydrocracked, hydroisomerized, hydrogenated, C10-25,
branched and cyclic

C-18

Appendix C

Partially Exempt Chemicals

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)-4,8,12trimethyltridecyl]-,acetate, (2R)-

59-02-9

2H-1-Benzopyran-6-ol, 3,4-dihydro-2,5,7,8-tetramethyl-2-[(4R,8R)-4,8,12trimethyltridecyl]-, (2R)-

59-51-8

Methionine

69-65-8

D-Mannitol

87-79-6

L-Sorbose

87-99-0

Xylitol

96-10-6

Aluminum, chlorodiethyl-

97-93-8

Aluminum, triethyl-

100-99-2

Aluminum, tris(2-methylpropyl)-

123-94-4

Octadecanoic acid, 2,3-dihydroxypropyl ester

124-38-9

Carbon dioxide

137-08-6

.beta.-Alanine, N-[(2R)-2,4-dihydroxy-3,3-dimethyl-1-oxobutyl]-, calcium alt (2:1)

142-47-2

L-Glutamic acid, monosodium salt

150-30-1

Phenylalanine

563-43-9

Aluminum, dichloroethyl-

1070-00-4

Aluminium, trioctyl

1116-70-7

Aluminum, tributyl-

1116-73-0

Aluminum, trihexyl-

1191-15-7

Aluminum, hydrobis (2-methylpropyl)-

1317-65-3

Limestone

1333-74-0

Hydrogen

1592-23-0

Octadecanoic acid, calcium salt

7440-37-1

Argon

7440-44-0

Carbon

7727-37-9

Nitrogen

7782-42-5

Graphite

7782-44-7

Oxygen

8001-21-6

Sunflower oil

8001-22-7

Soybean oil

8001-23-8

Safflower oil

8001-26-1

Linseed oil

8001-29-4

Cottonseed oil

8001-30-7

Corn oil

C-19

Appendix C

Partially Exempt Chemicals

Partially Exempt Chemical Substances Under 40 CFR 711.6(b)(2) (Continued)
CAS Registry Number
8001-31-8

Chemical Name
Coconut oil

8001-78-3

Caster oil, hydrogenated

8001-79-4

Castor oil

8002-03-7

Peanut oil

8002-13-9

Rape oil

8002-43-5

Lecithins

8002-75-3

Palm oil

8006-54-0

Lanolin

8016-28-2

Lard, oil

8016-70-4

Soybean oil, hydrogenated

8021-99-6

Charcoal, bone

8029-43-4

Syrups, hydrolyzed starch

11103-57-4

Vitamin A

12075-68-2

Aluminum, di-.mu.-chlorochlorotriethyldi-

12542-85-7

Aluminum, trichlorotrimethyldi-

16291-96-6

Charcoal

26836-47-5

D-Glucitol, monooctadecanoate

61789-44-4

Fatty acids, castor-oil

61789-97-7

Tallow

61789-99-9

Lard

64147-40-6

Castor oil, dehydrated

64755-01-7

Fatty acids, tallow, calcium salts

65996-63-6

Starch, acid-hydrolyzed

65996-64-7

Starch, enzyme-hydrolyzed

67701-01-3

Fatty acids, C12-18

68002-85-7

Fatty acids, C14-22 and C16-22-unsatd.

68131-37-3

Syrups, hydrolyzed starch, dehydrated

68188-81-8

Grease, poultry

68308-36-1

Soybean meal

68308-54-3

Glycerides, tallow mono-, di- and tri-, hydrogenated

68334-00-9

Cottonseed oil, hydrogenated

68334-28-1

Fats and Glyceridic oils, vegetable, hydrogenated

68409-76-7

Bone meal, steamed

68424-45-3

Fatty acids, linseed-oil

68424-61-3

Glycerides, C16-18 and C18-unsatd. mono- and di-

68425-17-2

Syrups, hydrolized starch, hydrogenated

68439-86-1

Bone, ash

68442-69-3

Benzene, mono-C10-14-alkyl derivs.

68476-78-8

Molasses

68514-27-2

Grease, catch basin

C-20

Appendix C

Partially Exempt Chemicals

Partially Exempt Chemical Substances Under 40 CFR 711.6(b)(2) (Continued)
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.

C-21

Appendix D

Descriptions of Processing and Use Codes

Appendix D
Descriptions of Codes for Reporting Processing or Use Operations,
Industrial Sectors, Industrial Function Categories, and Consumer and
Commercial Product Categories
The following descriptions were developed by EPA to assist persons submitting
information in response to 40 CFR 711.15(b)(4) and reported in Part III of CDR Form U. For
more information, see EPA’s document, “Inventory Update Rule (IUR) Amendment Technical
Support Document: Exposure-Related Data Useful for Chemical Risk Screening” and “Inventory
Update Rule (IUR) Technical Support Document: Selection of Consumer and Commercial
Product Categories” located in the rulemaking record (EPA-HQ-OPPT-2004-0054).

Table D-1: Processing or Use Operation Descriptions
Code

Operation

Description

PC

Processing as a reactant

Chemical substance is used in chemical reactions for the
manufacturing of another chemical substance or product.

PF

Processing—incorporation into
formulation, mixture, or reaction product

Chemical substance is added to a product (or product
mixture) prior to further distribution of the product.

PA

Processing—incorporation into article

Chemical substance becomes an integral component of an
article distributed for industrial, trade, or consumer use.

PK

Processing—repackaging

Preparation of a chemical substance for distribution in
commerce in a different form, state, or quantity. This includes
transferring the chemical substance from a bulk container into
smaller containers. This definition does not apply to sites that
only relabel or redistribute the reportable chemical substance
without removing the chemical substance from the container
in which it is received or purchased.

U

Use—non-incorporative activities

Chemical substance is otherwise used (e.g., as a chemical
processing or manufacturing aid).

D-1

Appendix D

Descriptions of Processing and Use Codes

Table D-2: Industrial Sector (IS) Code Descriptions
NAICS
11
211
213
212
22
23
311
312
313
314
315
316
321
322
323
32411
32412
324191
324199
32511
32512
32513
325182
32518
325192
32519
325211
325212
32522
3253
3254
32551
32552
3256
32591
32592
325991
325992
325998
3261
3262

IS Code
IS1

327

IS Title
Agriculture, Forestry, Fishing and Hunting

IS2

Oil and Gas Drilling, Extraction, and Support Activities

IS3
IS4
IS5

Mining (except Oil and Gas)
Utilities
Construction

IS6

Food, beverage, and tobacco product manufacturing

IS7

Textiles, apparel, and leather manufacturing

IS8
IS9
IS10
IS11
IS12
IS13
IS14
IS15
IS16
IS17
IS18
IS19
IS20
IS21
IS22
IS23
IS24
IS25
IS26
IS27
IS28
IS29
IS30
IS31
IS32
IS33
IS34
IS35
IS36

Wood Product Manufacturing
Paper Manufacturing
Printing and Related Support Activities
Petroleum Refineries
Asphalt Paving, Roofing, and Coating Materials Manufacturing
Petroleum Lubricating Oil and Grease Manufacturing
All Other Petroleum and Coal Products Manufacturing
Petrochemical Manufacturing
Industrial Gas Manufacturing
Synthetic Dye and Pigment Manufacturing
Carbon Black Manufacturing
All Other Basic Inorganic Chemical Manufacturing
Cyclic Crude and Intermediate Manufacturing
All Other Basic Organic Chemical Manufacturing
Plastic Material and Resin Manufacturing
Synthetic Rubber Manufacturing
Organic Fiber Manufacturing
Pesticide, Fertilizer, and Other Agricultural Chemical Manufacturing
Pharmaceutical and Medicine Manufacturing
Paint and Coating Manufacturing
Adhesive Manufacturing
Soap, Cleaning Compound, and Toilet Preparation Manufacturing
Printing Ink Manufacturing
Explosives Manufacturing
Custom Compounding of Purchased Resin
Photographic Film Paper, Plate, and Chemical Manufacturing
All Other Chemical Product and Preparation Manufacturing
Plastics Product Manufacturing
Rubber Product Manufacturing

IS37

Nonmetallic Mineral Product Manufacturing (includes clay, glass, cement, concrete,
lime, gypsum, and other nonmetallic mineral product manufacturing.

D-2

Appendix D

NAICS
331
332
333
334
335
336
337
339
42
44
45
48
49
51
52
53
54
55
56
61
62
71
72
81
92

Descriptions of Processing and Use Codes

IS Code
IS38
IS39
IS40
IS41
IS42
IS43
IS44
IS45

IS Title
Primary Metal Manufacturing
Fabricated Metal Product Manufacturing
Machinery Manufacturing
Computer and Electronic Product Manufacturing
Electrical Equipment, Appliance, and Component Manufacturing
Transportation Equipment Manufacturing
Furniture and Related Product Manufacturing
Miscellaneous Manufacturing

IS46

Wholesale and Retail Trade

IS47

Services

IS48

Other (requires additional information)

D-3

Appendix D

Descriptions of Processing and Use Codes

Table D-3: Industrial Function Category Descriptions
Code
U001

Industrial Function Categories

Description
Chemical substances used to wear down or polish surfaces by rubbing
Abrasives
against the surface. Examples include sandstones, pumice, silex,
quartz, silicates, aluminum oxides, and glass.
U002
Chemical substances used to promote bonding between other
substances, promote adhesion of surfaces, or prevent seepage of
Adhesives and sealant chemicals
moisture or air. Examples include epoxides, isocyanates, acrylamides,
phenol, urea, melamine, and formaldehyde.
U003
Chemical substances used to retain other substances by accumulation
on their surface or by assimilation. Examples of adsorbents include
Adsorbents and absorbents
silica gel, activated alumina, and activated carbon. Examples of
absorbents include straw oil, alkaline solutions, and kerosene.
U004
Chemical substances used to increase the productivity and quality of
Agricultural chemicals (nonfarm crops. Examples include phosphates, lime, nitrates, potash
pesticidal)
compounds, alum, ammonia and ammonium salts, urea, and mineral
supplements.
U005
Chemical substances used to prevent bonding between other
substances by discouraging surface attachment. Examples include
Anti-adhesive agents
anti-adherents, antiblock agents, detackifiers, dusting agents, mould
release agents, and parting agents.
U006
Chemical substances used to lighten or whiten a substrate through
chemical reaction, usually an oxidative process which degrades the
color system. Examples generally fall into one of two groups: chlorine
Bleaching agents
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
Chemical substances used to prevent or retard corrosion or the
Corrosion inhibitors and
formation of scale. Examples include phenylenediamine, chromates,
antiscaling agents
nitrates, phosphates, and hydrazine.
U008
Chemical substances used to impart color to other materials or
mixtures (i.e. substrates) by penetrating into the surface of the
Dyes
substrate. Examples types include azo, anthraquinone, amino azo,
aniline, eosin, stilbene, acid, basic or cationic, reactive, dispersive, and
natural dyes.
U009
Chemical substances used to provide bulk, increase strength, increase
hardness, or improve resistance to impact. Fillers incorporated in a
matrix reduce production costs by minimizing the amount of more
Fillers
expensive substances used in the production of articles. Examples
include calcium carbonate, barium sulfate, silicates, clays, zinc oxide
and aluminum oxide.
U010
Chemical substances used to impart such functions as softening, staticproofing, wrinkle resistance, and water repellence. Substances may be
Finishing agents
applied to textiles, paper, and leather. Examples include quaternary
ammonium compounds, ethoxylated amines, and silicone compounds.
U011
Chemical substances used on the surface of or incorporated into
combustible materials to reduce or eliminate their tendency to ignite
Flame retardants
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.

D-4

Appendix D

Code
U012

U013

U014

U015

U016

U017

U018

U019

Descriptions of Processing and Use Codes

Industrial Function Categories

Description
Chemical substances used to create mechanical or thermal energy
through chemical reactions, or which are added to a fuel for the
purpose of controlling the rate of reaction or limiting the production of
undesirable combustion products, or which provide other benefits such
as corrosion inhibition, lubrication, or detergency. Examples of fuels
Fuels and fuel additives
include coal, oil, gasoline, and various grades of diesel fuel. Examples
of fuel additives include oxygenated compound such as ethers and
alcohols, antioxidants such as phenylenediamines and hindered
phenols, corrosion inhibitors such as carboxylic acids, amines, and
amine salts, and blending agents such as ethanol.
Liquid or gaseous chemical substances used for one or more
operational properties in a closed system. Examples include: heat
transfer agents (e.g., coolants and refrigerants) such as polyalkylene
Functional fluids (closed
glycols, silicone oils, liquified propane, and carbon dioxide;
systems)
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.
Liquid or gaseous chemical substances used for one or more
operational properties in an open system. Examples include
Functional fluids (open systems) 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.
Chemical substances consumed in a reaction to produce other chemical
substances for commercial advantage. A residual of the intermediate
Intermediates
chemical substance which has no separate function may remain in the
reaction product.
Chemical substances, usually in the form of a solid matrix, that are
used to selectively remove targeted ions from a solution. Examples
generally consist of an inert hydrophobic matrix such as styreneIon exchange agents
divinylbenzene 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.
Chemical substances used to reduce friction, heat, or wear between
moving parts or adjacent solid surfaces, or that enhance the lubricity of
Lubricants and lubricant
other substances. Examples of lubricants include mineral oils, silicate
additives
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.
Chemical substances used to control odors, remove odors, mask odors,
or impart odors. Examples include benzenoids, terpenes and
Odor agents
terpenoids, musk chemicals, aliphatic aldehydes, aliphatic cyanides,
and mercaptans.
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
Oxidizing/reducing 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.

D-5

Appendix D

Code
U020

Industrial Function Categories
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 or
degreasing)

Descriptions of Processing and Use Codes

Description
Chemical substances used for their ability to alter their physical or
chemical structure through absorption of light, resulting in the
emission of light, dissociation, discoloration, or other chemical
reaction. Examples include sensitizers, fluorescents, photovoltaic
agents, ultraviolet absorbers, and ultraviolet stabilizers.
Chemical substances used to impart color to other materials or
mixtures (i.e. substrates) by attaching themselves to the surface of the
substrate through binding or adhesion. This code includes fluorescent
agents, luminescent agents, whitening agents, pearlizing agents, and
opacifiers. Examples include metallic oxides of iron, titanium, zinc,
cobalt, and chromium; metal powder suspensions; lead chromates;
vegetable and animal products; and synthetic organic pigments.
Chemical substances used in plastics, cement, concrete, wallboard,
clay bodies, or other materials to increase their plasticity or fluidity.
Examples include phthalates, trimellitates, adipates, maleates, and
lignosulphonates.

Chemical substances applied to metal, plastic, or other surfaces to alter
physical or chemical properties of the surface. Examples include metal
surface treating agents, strippers, etchants, rust and tarnish removers,
and descaling agents.
Chemical substances used to change the rate of a chemical reaction,
start or stop the reaction, or otherwise influence the course of the
reaction. Process regulators may be consumed or become part of the
reaction product.
Chemical substances used to improve the processing characteristics or
the operation of process equipment or to alter or buffer the pH of the
substance or mixture, when added to a process or to a substance or
mixture to be processed. Processing agents do not become a part of the
reaction product and are not intended to affect the function of a
substance or article created. Examples include buffers, dehumidifiers,
dehydrating agents, sequestering agents, and chelators.
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.
Chemical substances used to dissolve or suspend other substances and
either to expel those substances from a container in the form of an
aerosol or to impart a cellular structure to plastics, rubber, or thermo
set resins. Examples include compressed gasses and liquids and
substances which release ammonia, carbon dioxide, or nitrogen.
Chemical substances used to promote the separation of suspended
solids from a liquid. Examples include flotation aids, flocculants,
coagulants, dewatering aids, and drainage aids.
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.

D-6

Appendix D

Code
U030

Industrial Function Categories
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

Descriptions of Processing and Use Codes

Description
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.
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.
Chemical substances used to alter the viscosity of another substance.
Examples include viscosity index (VI) improvers, pour point
depressants, and thickeners.
Chemical substances used, often in small quantities, in a laboratory for
chemical analysis, chemical synthesis, extracting and purifying other
chemicals, dissolving other substances, and similar activities.
Examples of laboratory chemicals include substances that change color
to indicate pH, redox potential or other endpoints, halogenated and
non-halogenated solvents, chemicals used in titrations and
chromatography, Grignard reagents used in organic synthesis,
laboratory reagents, and inorganic acids and bases.
Chemical substances used in a paint or coating formulation to enhance
properties such as water repellence, increased gloss, improved fade
resistance, ease of application, foam prevention, etc. Examples of paint
additives and coating additives include polyols, amines, vinyl acetate
ethylene emulsions, and aliphatic polyisocyanates.

U999 Other (specify)

D-7

Appendix D

Descriptions of Processing and Use Codes

Table D-4: Consumer and Commercial Product Category Descriptions
Code

Product Category

Description

Chemical Substances in Furnishing, Cleaning, Treatment/Care Products

C101

Floor coverings

Chemical substances contained in floor coverings that are intended for
consumer or commercial or use should be reported under this code.
Examples of floor coverings include carpet, rugs, vinyl, linoleum, laminate,
tile, and stone products. This code does not include wood and pressed wood
flooring products included in Building/Construction Materials – Wood and
Engineered Wood Products code.

C102

Foam seating and bedding
products

Chemical substances contained in foam mattresses, pillows, cushions, and
similar foam seating, furniture and furnishings that are intended for consumer
or commercial use should be reported under this code. Examples of foam
seating and bedding products include sofas and chairs for residential/office
use, automobile and truck seats, airplane seats, and mattress pads.

C103

Furniture and furnishings
not covered elsewhere

Chemical substances contained in furniture and furnishings made from metal,
wood, leather, plastic or other materials that are intended for consumer or
commercial use should be reported under this code. Examples of products
include movable and installed furniture such as tables, chairs, benches, desks,
cabinets, shelving, stools, television stands, display cases, book cases, and
storage units. This code does not include foam seating and bedding products.

C104

Fabric, textile, and leather
products not covered
elsewhere

Chemical substances contained in fabric, textile and leather products to
impart color and other desirable properties such as water/soil/stain repellence,
wrinkle resistance, or flame resistance that are intended for consumer or
commercial use should be reported under this code. Examples of products
include apparel (outerwear, sportswear, and sleepwear), footwear (sandals
and athletic shoes), window treatments (curtains and blinds), table linens
(table coverings, place mats, and cloth napkins), bed linens (sheets, pillow
cases/coverings, and blankets/bed coverings), bath linens (towels, wash
cloths, and bath mats) and fabric, textile and leather products that are not
covered elsewhere.

C105

Cleaning and Furniture Care Chemical substances contained in products that are used to remove dirt,
Products
grease, stains, and foreign matter from furniture and furnishings, or to
cleanse, sanitize, bleach, scour, polish, protect, or improve the appearance of
surfaces and intended for consumer or commercial use should be reported
under this code. Examples of cleaning and furnishing care products include
cleaners used on glass, floors, tub and tile, ovens and drains; scouring
powders; dusting products; waxes; polishes; and stain repellent sprays. This
code does not include laundry and dish washing products.

C106

Laundry and dishwashing
products

Chemical substances contained in laundry and dishwashing products and aids
formulated as liquid, granular, powder, gel, cakes, and flakes that are intended
for consumer or commercial use should be reported under this code.
Examples of laundry and dishwashing products include detergents, fabric
softeners, pre-soaks and prewashes to remove soil and stains, dryer sheets,
bleach, rinse aids, and film, lime and rust removers.

D-8

Appendix D
Code

Descriptions of Processing and Use Codes
Product Category

Description
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.
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.

C107

Water treatment products

C108

Personal care products

C109

Air care products

Chemical substances contained in products that are used to odorize or deodorize indoor air in homes, offices, motor vehicles, and other enclosed
spaces and intended for consumer or commercial use should be reported
under this code. Examples of air care products include aerosol sprays,
liquid/solid/gel diffusers, air fresheners, scented candles and incense.

C110

Apparel and footwear care
products

Chemical substances contained in apparel and footwear care products
intended for consumer and commercial use and that are applied post-market
should be reported under this code. Examples of apparel and footwear care
products include footwear polishes/waxes, garment waterproofing sprays, and
stain repellents.

Chemical Substances in Construction, Paint, Electrical, and Metal Products

C201

Adhesives and sealants

Chemical substances contained in adhesive and sealant products used to
fasten other materials together or prevent the passage of liquid or gas that are
intended for consumer or commercial use should be reported under this code.
Examples of adhesive and sealant products include glues, binders, adhesives,
pastes, sealants, fillers, putties, and caulking compounds.

C202

Paints and coatings

Chemical substances contained in paints or coatings that are intended for
consumer or commercial use should be reported under this code. Examples
of paint and coating products include interior and exterior architectural and
marine paints, bridge/iron coatings, varnishes, lacquers, paint thinners,
removers, wood stains and shellac.

C203

Building/construction
materials – wood and
engineered wood products

Chemical substances contained in building and construction materials made
of wood and pressed/engineered wood products that are intended for
commercial or consumer use should be reported under this code. Examples
of products include lumber, posts and timbers, exterior siding, moulding, mill
work, cabinetry, paneling, veneer, flooring, stair parts, plywood and
sheathing, railings and decking.

D-9

Appendix D
Code

Descriptions of Processing and Use Codes
Product Category

Description

C204

Building/construction
materials not covered
elsewhere

Chemical substances contained in building and construction materials not
covered elsewhere that are intended for consumer or commercial use should
be reported under this code. Examples of products include insulation
materials such as foams and fibers, roofing and gutters, ceiling products,
exterior siding, drywall, concrete, masonry and cement, building hardware,
fencing, decking, hardware and fasteners (nuts, bolts, screws, nails, and
tacks), plumbing, duct work, abrasive and sanding products, sheet metal,
plaster, weather stripping, wire or wiring systems, and bricks.

C205

Electrical and electronic
products

Chemical substances contained in electrical and electronic products that are
intended for consumer or commercial use should be reported under this code.
Examples of electrical and electronic products include computers, office
equipment, appliances, electric lighting, electrical wire and cables, radios,
televisions and monitors, telephones, multi-media devices, digital cameras,
adapters, alarms (burglar, fire, smoke), and communication equipment.

C206

Metal products not covered
elsewhere

Chemical substances contained in metal products not covered elsewhere that
are intended for consumer or commercial use should be reported under this
code. Examples of metal products not covered elsewhere include metal
products produced by forging, stamping, plating, turning, and other processes;
hand tools; metal tubing/pipes/duct work; wire fencing; tableware; and small
appliances and cookware (frying pan, waffle iron, electric kettle).

C207

Batteries

Chemical substances contained in non-rechargeable and rechargeable
batteries including dry and wet cell units that store energy that are intended
for consumer or commercial use should be reported under this code.
Examples of battery products include zinc carbon, alkaline, lead-acid,
lithium-ion, nickel-metal hydride, and other batteries used in electrical and
electronic products, cell phones, computers, remote controls, toys, and cars.

Chemical Substances in Packaging, Paper, Plastic, Hobby Products

C301

Food packaging

Chemical substances contained in single or multi-layered packaging
consisting of paper, plastic, metal/foil or other materials which have or may
have direct contact with food and are intended for consumer or commercial
use should be reported under this code. Examples of food packaging include
container and wrappings products such as food storage containers, plastic
cling wrap, bags (microwavable popcorn bags, boil-in-bags, and freezer
storage bags) and other food packaging items (bottles, cans, boxes and trays).

C302

Paper products

Chemical substances contained in paper products intended for consumer or
commercial use should be reported under this code. Examples of paper
products include newsprint coated and uncoated papers for writing, printing
and photocopying; facial and toilet tissue, paper napkins, paper
tablets/notepads, paper forms, envelopes, texts and published materials
(books and magazines); file folders; wrapping papers; and specialty papers.
This code does not include paper used in food packaging.

C303

Plastic and rubber products

Chemical substances contained in rubber and plastic products not covered
elsewhere that are intended for consumer or commercial use should be
reported under this code. Examples of plastic and rubber products not
covered elsewhere include tires, shower curtains, non-metal cookware (nonelectric), non-food specific containers (bags, bottles, and jars), rubber bands,
and waders.

D-10

Appendix D
Code

Descriptions of Processing and Use Codes
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

C306

Ink, toner, and colorant
products

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.
Chemical substances contained in ink, toners and colorants
used for writing, printing, creating an image on paper and other substrates, or
applied to substrates to change their color or hide images that are intended for
consumer or commercial use should be reported under this code. Examples
of products include black or colored powders used in copy machines and
printers to produce xerographic images; pigmented liquids contained in
cartridges, bottles, or other dispensers used for writing or printing; and,
correction fluids and tapes. This code does not include pigments or colorants
added to paints and coatings which should be reported under the paints and
coatings code.

C307

Photographic supplies

Chemical substances contained in photographic supplies, film, photoprocessing chemicals, and photographic paper that are intended for consumer
or commercial use should be reported under this code. Examples of products
include processing solutions (for developing, stopping, and fixing photos),
slide and negative film, and, glossy and matte photographic paper.

Chemical Substances in Automotive, Fuel, Agriculture, Outdoor Use Products

C401

Automotive care products

Chemical substances contained in products used in automotive cleaning and
care of exterior and interior vehicle surfaces that are intended for consumer or
commercial use should be reported under this code. Examples of automotive
care products include car waxes, polishes, cleaners, and sealers; car wash
solutions; vinyl/rubber/plastic protectants; automotive carpet and upholstery
cleaners; wheel and tire care products; exterior trim protectants; and touch-up
paint products. This code does not include antifreeze, de-icing products, or
lubricants.

C402

Lubricants and greases

Chemical substances contained in products to reduce friction, heat generation
and wear between solid surfaces that are intended for consumer or
commercial use should be reported under this code. Examples of lubricants
and greases include engine oils; transmission, brake and hydraulic fluids; gear
oils; and, calcium, sodium, lithium, and silicone-based greases.

C403

Anti-freeze and de-icing
products

Chemical substances added to fluids, especially water, to reduce the freezing
point of the mixture, or applied to surfaces to melt or prevent build up of ice
that are intended for consumer or commercial use should be reported under
this code. Examples of products include antifreeze liquids, windshield deicers, aircraft de-icers, lock release agents, ice melting crystals, and rock salt.

D-11

Appendix D
Code

Descriptions of Processing and Use Codes
Product Category

Description

C404

Fuels and related products

Chemical substances burned to produce heat, light or power, or added to
inhibit corrosion, provide lubrication, increase efficiency of use, or decrease
production of undesirable by-products that are intended for consumer or
commercial use should be reported under this code. Examples of fuels and
related products include gasoline, diesel fuels, propane, butane, kerosene,
lamp oils, white gas (naphtha), natural gas, stabilizers, anti-knock agents,
corrosion inhibitors, detergents, fuel dyes, oxygenates, antioxidants, odor
agents, non-scented candles, lighter fluids, and, matches.

C405

Explosive materials

C406

Agricultural products (nonpesticidal)

C407

Lawn and garden products

Chemical substances capable producing a sudden expansion usually
accompanied by the production of heat and large changes in pressure upon
initiation, that are intended for consumer or commercial use should be
reported under this code. Examples of products include pyrotechnics, high
explosives and propellants, igniter, primer, initiatory, illuminants, smoke and
decoy flares, and, incendiaries.
Chemical substances used to increase the productivity and quality of plant,
animal and forestry crops produced on a commercial scale should be reported
under this code. Examples of agricultural products (non-pesticidal) include
fertilizers, additives (time release agents, adjuvants and surfactants which
promote even distribution of herbicides and pesticides but are added
separately), colorants (used to mark fields and improve the appearance of
Christmas tress), application aids (defoamers and foamers), pH adjusters,
moisture retention agents, soil conditioners, and, seed coatings.
U.S. ONLY: Excludes any substance that is manufactured, processed, or
distributed in commerce for use as a pesticide as defined in the Federal
Insecticide, Fungicide, and Rodenticide Act.
CANADA ONLY: Includes animal feed (any substance or mixture of
substances for consumption by livestock, providing the nutritional
requirements of livestock, or the purpose of preventing or correcting
nutritional disorders of livestock, as defined in the Feeds Act and
Regulations).
Chemical substances contained in lawn, garden, outdoor or potted plant, and
tree care products that are intended for consumer or commercial use should be
reported under this code. Examples of lawn and garden care products include
fertilizers and nutrient mixtures, soil amendments, mulches, pH adjustors,
water retention beads, vermiculite, and perlite.
U.S. ONLY: Excludes any substance that is manufactured, processed, or
distributed in commerce for use as a pesticide as defined in the Federal
Insecticide, Fungicide, and Rodenticide Act.
CANADA ONLY: Excludes any substance contained in pest control products
as defined under the Pest Control Products Act.

Chemical Substances in Products Not Described by Other Codes

C980

Non-TSCA Use

C999

Other (specify)

Chemical substances contained in products intended for consumer or
commercial use that are not regulated by TSCA should be reported under this
code. Examples of products with non-TSCA uses include pesticide,
insecticide, rodenticide and fungicide formulations; food or drink for humans
or animals; articles intended for use in the diagnosis, cure, mitigation,
treatment, or prevention of disease in humans or animals; substances intended
to be applied to the human body other than soap; any radioactive source
material, special nuclear material, or byproduct material; pistols, revolvers,
fire arms, or ammunition; and tobacco or tobacco products.

D-12