Download:
pdf |
pdfOMB Control #: 2070-0162
Expiration Date: MM/DD/YYYY
Instructions for Reporting
2020 TSCA Chemical Data Reporting
DRAFT
U.S. Environmental
Protection Agency Office
of Pollution Prevention
and Toxics
March 2020
Paperwork Reduction Act Notice
The public reporting and record keeping burden for this collection is estimated to average 97-145 hours per response
for a full report and 32-62 hours per response for a partial report, including the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the
collection of information. This is a mandatory collection pursuant to 40 CFR Part 711. An agency may not conduct
or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid OMB
control number. The OMB Control Number for this collection is 2070-0162. Send comments regarding this burden
estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to
Form #: 9600-016
OMB Control #: 2070-0162
Expiration Date: MM/DD/YYYY
Director, Collection Strategies Division, (Mail Code 2822T), U.S. Environmental Protection Agency, Washington,
DC 20460. Include the OMB control umber in any correspondence, but do not submit the form or report to this
address. The form should be submitted in accordance with the instructions for the form.
Form #: 9600-016
OMB Control #: 2070-0162
Expiration Date: MM/DD/YYYY
HIGHLIGHTS OF TSCA CHEMICAL DATA REPORTING (CDR)
•
The determination of the need to report is based on production volume during any
calendar year since the last principal reporting year.
•
Information on the reportable chemical substance must be reported during the CDR
submission period (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. Ensure that your pop-up blocker is
disabled before you begin to use e-CDRweb to complete your Form U.
•
Reporting is required for all chemical substances listed on the TSCA Inventory, other
than polymers, microorganisms, naturally occurring chemical substances, water, and
certain forms of natural gas (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).
•
The reporting threshold is 2,500 lb (1,134 kg) for any person who manufactured a
chemical substance that is the subject of a rule proposed or promulgated under TSCA
sections 5(a)(2), 5(b)(4) or 6; an order issued under TSCA sections 5(e) or 5(f); or relief
that has been granted under a civil action under TSCA sections 5 or 7. The effects of
these TSCA actions on CDR reporting are assessed based on the status of the chemical
substance as of the beginning of the submission period (40 CFR 711.8(b) and 40 CFR
711.15).
•
Small manufacturer and small government size standards are in place. Small
manufacturers meeting the revised definition at 40 CFR 704.3 are exempt from CDR
requirements unless they manufacture (including import) 2,500 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 sections 4 or 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 section 8(a)(3)(A)(ii)).
•
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 TSCA and
the CDR rule. Submitters must provide upfront substantiation of all confidentiality claims
except for claims made for domestic manufacture, import, yearly production volume
information, and certain joint submission information. Certain processing and use data
elements, 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 website (www.epa.gov/cdr) for program updates and announcements,
other guidance materials, and contact information for technical assistance.
OMB Control #: 2070-0162
Expiration Date: MM/DD/YYYY
TABLE OF CONTENTS
1.
1.1
1.2
1.3
2.
2.1
2.2
2.3
3.
4.
4.1
4.2
4.3
4.4
4.5
Introduction ..................................................................................................................... 1-1
Background and Statutory Authority ................................................................................ 1-1
Changes to CDR Requirements ........................................................................................ 1-1
Changes to CDR Form U Structure .................................................................................. 1-4
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)
2-3
2.1.2
Is Your Chemical Substance on the TSCA Inventory? (Question B) .................. 2-12
2.1.3
Is Your Chemical Substance Potentially Exempt from Reporting? (Question C) ... 215
2.1.4
Is your Chemical Substance Ineligible for an Exemption Because it is the Subject
of Certain TSCA Actions? (Question D) ............................................................................ 2-18
Step II: Are You a Manufacturer Who Is Required to Report? ...................................... 2-19
2.2.1
Did You Manufacture (Including Import) 25,000 lb or More of the Chemical
Substance at a Single Site During any of the Calendar Years since the Last Principal
Reporting Year? (Question E) ............................................................................................ 2-20
2.2.2
Did You Manufacture (Including Import) 2,500 lb or More of the Chemical
Substance (if it is the Subject of Certain TSCA Actions? (Question F) ............................. 2-20
2.2.3
Do You Qualify for a Small Manufacturer Exemption? (Question G) ................ 2-23
2.2.4
Did You Manufacture a Chemical Substance that is the Subject of Certain TSCA
Actions? (Question H) ........................................................................................................ 2-24
2.2.5
Do You Qualify for Any Other Reporting Exemptions? (Question I) ................. 2-25
Step III: What Information Must You Report? ............................................................... 2-27
2.3.1
Is Your Chemical Substance Subject to Full Reporting due to Its TSCA Regulatory
or Consent Agreement Status? (Question J) ....................................................................... 2-29
2.3.2
Is Your Chemical Substance Listed as a Petroleum Process Stream? (Question K)229
2.3.3
Is Your Chemical Substance Listed as a Chemical for which There is Low Current
Interest in the CDR Processing and Use Information? (Question L) ................................ 2-29
When You Must Report .................................................................................................. 3-1
Instructions for Completing CDR Form U ................................................................... 4-1
Certification ...................................................................................................................... 4-1
Reporting Standard ........................................................................................................... 4-2
Part I - Section A. Parent Company Information .............................................................. 4-4
4.3.1
U.S. and Foreign Parent Company Name(s) .......................................................... 4-6
4.3.2
Parent Company Dun & Bradstreet D-U-N-S® Number ...................................... 4-6
4.3.3
Parent Company Address ....................................................................................... 4-7
Part I - Section B. Site Information................................................................................... 4-7
4.4.1
Special Provisions for Certain Sites ....................................................................... 4-7
4.4.2
Site Name ............................................................................................................... 4-9
4.4.3
Site Dun & Bradstreet Number D-U-N-S® ........................................................... 4-9
4.4.4
Site Street Address ................................................................................................. 4-9
4.4.5
NAICS code ........................................................................................................... 4-9
Part II - Section A. Chemical Substance Identification .................................................. 4-10
4.5.1
Confidentiality of Chemical Substance Information ........................................... 4-10
i
OMB Control #: 2070-0162
Expiration Date: MM/DD/YYYY
4.5.2
Chemical Substance Identifying Number ............................................................ 4-12
4.5.3
ID Code ................................................................................................................ 4-13
4.5.4
Chemical Name .................................................................................................... 4-13
4.5.5
Special Provisions for Joint Submitters of Unknown Chemical Substances ....... 4-14
4.6
Part II – Section B. Technical Contact Information ....................................................... 4-15
4.6.1
Technical Contact Name and Company Name .................................................... 4-15
4.6.2
Technical Contact Telephone Number and Email Address ................................. 4-15
4.6.3
Technical Contact Mailing Address..................................................................... 4-15
4.7
Part II – Section C. Manufacturing Information ............................................................. 4-16
4.7.1
Confidentiality of Manufacturing Information .................................................... 4-16
4.7.2
Reporting Manufacturing Information for the Principal Reporting Year ............ 4-18
4.7.3
Reporting Past Production Volume ..................................................................... 4-25
4.8
Part II – Section D. Processing and Use Information ..................................................... 4-26
4.8.1
Confidentiality of Processing and Use Information............................................. 4-27
4.8.2
Part II – Section D.1. Industrial Processing and Use Data .................................. 4-27
4.8.3
Part II – Section D.2. Consumer and Commercial Use Data ............................... 4-36
4.8.4
Special Provisions for Joint Submitters of Unknown Chemical Substances ....... 4-44
4.9
Manufacturing by Contract: Co-manufacture Report ..................................................... 4-45
4.9.1
Determining the Need for a Co-manufacture Report when Manufacturing by
Contract 4-45
4.9.2
Reporting Procedure 1 – the Contracting Company Initiates the Chemical Report 445
4.9.3
Reporting Procedure 2 – The Producing Company Reports ................................ 4-47
4.9.4
Confidentiality of Information on a Co-manufacture Report .............................. 4-47
4.10 Joint Submissions using the Secondary Form – Unknown Chemical Identity ............... 4-48
4.10.1 Determining the Need for a Joint Submission using the Secondary Form .......... 4-48
4.10.2 The Primary Submission is Completed by the Importer or Reactant User .......... 4-49
4.10.3 The Secondary Submission is Completed by the Supplier (Foreign or Reactant) ... 450
4.10.4 Confidentiality of Information Jointly Submitted................................................ 4-50
5.
How to Obtain Copies of Documents Cited in This Instructions Document ............. 5-1
5.1
Obtaining Copies of the TSCA Rules ............................................................................... 5-1
5.2
Obtaining Copies of the Public Portion of the TSCA Inventory ...................................... 5-1
5.3
Obtaining Copies of Other Information Materials for the CDR ....................................... 5-1
Appendix A .................................................................................................................................... 1
Appendix B .................................................................................................................................... 1
Appendix C .................................................................................................................................... 1
Appendix D .................................................................................................................................... 1
i
OMB Control #: 2070-0162
Expiration Date: MM/DD/YYYY
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 2020 ....................... C-1
Appendix D—Descriptions of Codes for Reporting Processing or Use Operations,
Industrial Sectors, Function Categories, and Consumer and
Commercial Product and Function Categories .................................................. D-1
LIST OF FIGURES
Figure 2-1. Decision Logic Diagram for Evaluating Step I ........................................................ 2-2
Figure 2-2. Decision Logic Diagram for Evaluating Whether a Byproduct Chemical
Substance is Subject to the CDR Rule ..................................................................... 2-6
Figure 2-3. Decision Logic Diagram for Evaluating Step II......................................................2-19
Figure 2-4. Decision Logic Diagram for Evaluating Step III .................................................... 2-28
LIST OF TABLES
Table 1-1. 2016 – 2020 CDR Form U Crosswalk........................................................................ 1-4
Table 2-1. Chemical Substances Covered by the Exemption for Certain
Forms of Natural Gas ............................................................................................... 2-16
Table 2-2. Examples of Evaluating Substances for the Naturally Occurring
Exemption (40 CFR 711.6(a)(3)) ............................................................................. 2-17
Table 2-3. Production Volume Threshold Examples ................................................................ 2-21
Table 2-4. Small Manufacturer or Small Government Exemption Examples (40 CFR 711.9) 2-24
Table 2-5. Examples of Manufacturing/Importing Activities under Circumstances
which do/do not Require Reporting ......................................................................... 2-27
Table 4-1. Examples of the Application of the “Known to or Reasonably Ascertainable”
Reporting Standard to Processing and Use Data ....................................................... 4-3
Table 4-2. Applying Highest-level Parent Company Definition in Different Situations ............. 4-4
iii
OMB Control #: 2070-0162
Expiration Date: MM/DD/YYYY
Table 4-3. Parent Company Name Standardization Rules.......................................................... 4-6
iv
OMB Control #: 2070-0162
Expiration Date: MM/DD/YYYY
Table 4-4. Parent Company Street Address Standardization Rules ............................................ 4-7
Table 4-5. Substantiation Questions to be Answered when Asserting Chemical Identity
CBI Claims (from 40 CFR 711.30(b) and (c)) ......................................................... 4-11
Table 4-6. ID Code for Chemical Identifying Numbers ............................................................ 4-13
Table 4-7. Substantiation Questions to be Answered when Asserting Manufacturing,
Processing, and Use-Related Confidentiality Claims (40 CFR 711.30(c)(1)) ......... 4-17
Table 4-8. Examples of Reporting Production Volume for Part II – Section C.
Manufacturing Information ...................................................................................... 4-20
Table 4-9. Codes for Reporting Number of Workers Reasonably Likely to be Exposed ..........4-21
Table 4-10. Codes for Reporting Maximum Concentration ...................................................... 4-22
Table 4-11. Codes for Reporting Percent Byproduct.................................................................4-23
Table 4-12. Examples of Reporting Byproduct Percentages and Recycling ............................. 4-24
Table 4-13. Codes for Reporting Type of Industrial Processing or Use Operations ................. 4-28
Table 4-14. Industrial Sectors (IS) ............................................................................................ 4-29
Table 4-15. Codes for Reporting Function Categories (FCs) .................................................... 4-31
Table 4-16. Examples of Reporting Industrial Processing and Use Information ...................... 4-34
Table 4-17. Codes for Reporting Numbers of Sites .................................................................. 4-35
Table 4-18. Codes for Reporting Number of Workers Reasonably Likely to be
Exposed During Processing and Use ..................................................................... 4-36
Table 4-19. Product Category Codes ......................................................................................... 4-37
Table 4-20. Examples of Products Intended for Use by Children ............................................. 4-42
v
OMB Control #: 2070-0162
Expiration Date: MM/DD/YYYY
PREFACE
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. Manufacturers (including importers) are
subject to the reporting requirements based on manufacturing (including importing) activities
conducted since the last principal reporting year (e.g., for 2020, the last principal reporting year
is 2015 and therefore 2020 reporting would cover calendar years 2016-2019).
CDR submissions are due by the close of the submission period, as defined by 40 CFR
711.20, and must be submitted using e-CDRweb via EPA’s Central Data Exchange (CDX). eCDRweb is a web-based reporting tool that allows manufacturers (including importers) to file a
paperless CDR Form U submission and receive instant receipt confirmation of their submissions.
A user guide on how to register for CDX and access e-CDRweb is available on the CDR website
at www.epa.gov/cdr.
This instructions document contains the following chapters and appendices:
•
Chapter 1 - Introduction to the CDR and changes made for the 2020 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 obtain copies of documents cited in this Instructions 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.
•
Appendix C - Chemicals substances partially exempt from reporting in 2020.
•
Appendix D - Descriptions of codes for reporting Processing or Use Operations, Industrial
Sectors, Industrial Function Categories, and Consumer and Commercial Product and
Function Categories.
v
Chapter 1
Introduction
1. Introduction
1.1
Background and Statutory Authority
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 is now called the Chemical Data Reporting (CDR) rule and has been
amended several times since 1986.
This document provides detailed information and examples to assist manufacturers
(including importers) in reporting under the CDR rule. This document also makes reference to a
getting started user guide for e-CDRweb, which provides information for getting started with the
reporting tool and includes representative screenshots. The e-CDRweb Getting Started Guide is
available on the CDR website at www.epa.gov/cdr. Appendix A of this document provides a
glossary of CDR terms, which may help you to understand the reporting requirements, including
recent updates.
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 under the CDR rule.
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 5 of this document explains how you can obtain copies of
TSCA rules, including the CDR rule, and access the non-confidential TSCA Inventory.
1.2
Changes to CDR Requirements
In 2020, EPA updated the requirements for reporting under CDR by promulgating the
CDR Revisions rule. This section summarizes those updates. More specific information is in the
relevant chapters of this instruction manual.
Reporting of Co-manufactured Chemicals
EPA updated the reporting procedures for co-manufactured chemicals by implementing a
multi-reporter chemical report process where the contracting company is the initiating submitter
and the producing company is the completing submitter. EPA also updated the procedure where
the producing company is the reporter, as per a written agreement with the contracting company.
These changes are further explained in Sections 4.4.1.2 and 4.9.
1-1
Chapter 1
Introduction
Site NAICS Code
EPA now requires submitters to report the 6-digit North American Industry Classification
System (NAICS) code that best describes the activities conducted at the reporting site. This
change is further explained in Section 4.4.5.
Parent Company Identity
EPA made three updates associated with parent company reporting under CDR: (1) added
the requirement to report the highest-level foreign parent company in addition to reporting the
highest-level U.S. parent company when the ultimate parent company is located outside of the
United States; (2) replaced the definition of U.S. parent company from 40 CFR 711.3 with a new
definition for parent company; and (3) added a requirement for reporters to report legal name(s)
and to follow a naming convention for providing the parent company name(s), the details of
which are in Section 4.3.
Indication that Substance was Removed from the Waste Stream and Recycled
EPA modified the data element related to removing substances from the waste stream in
order to clarify the reporting requirement. EPA removed the terms “remanufactured, reprocessed,
reused” from the data element description, changing the term to “recycled or otherwise used for a
commercial purpose instead of being disposed of as a waste or included in a waste stream.” It is
EPA’s intention that this data element identify the chemicals that would otherwise be disposed of
as a waste and are, instead, retained in commerce. This change is further explained in Section
4.7.2.10.
Processing and Use Codes
EPA replaced the industrial function and commercial/consumer product use codes with
codes based on the OECD Internationally Harmonized Functional, Product, and Article Use
Categories1,2. For reporting during the 2020 submission period, submitters are required to use the
OECD-based codes for the chemical substances designated by EPA as a high priority for risk
evaluation and, for all other chemical substances, may use either the OECD-based codes or the
CDR codes. For reporting during the 2024 and future submission periods, submitters are required
to use the OECD-based codes for all chemical substances for which the submitter is reporting
processing and use information. Additionally, EPA added a requirement to report the function of
the chemical in commercial/consumer product categories. These changes are further explained in
Section 4.8 and the Categories are in Appendix D.
Organisation for Economic Co-operation and Development. “Internationally Harmonised Functional, Product and
Article Use Categories.” 2017.
http://www.oecd.org/officialdocuments/publicdisplaydocumentpdf/?cote=env/jm/mono(2017)14&doclanguage=en.
Accessed May 18, 2018.
2
EPA. “Technical Support Document: Harmonizing CDR Functional and Product Codes with OECD Functional,
Product, and Article Codes” February 2019. https://www.regulations.gov/document?D=EPA-HQ-OPPT-2018-03210012. Accessed December 17, 2019.
1
1-2
Chapter 1
Introduction
Joint Submission Chemical Function Codes
Joint submissions are most typically used when a mixture is imported, and the supplier
does not provide the importer with the specific chemical identity of the chemicals that comprise
the mixture or of the mixture formulation. The importer reports use information associated with
the overall mixture but not the individual chemicals that comprise the mixture. EPA now
requires that the secondary submitter of a joint submission report the chemical-specific function
when reporting the chemical composition of the product. This change is further explained in
Sections 4.8.4 and 4.10.
Information Claimed as Confidential
EPA made changes to requirements related to claiming CDR information as confidential
to be consistent with new statutory requirements from amendments to TSCA enacted in 2016
under the Lautenberg Act.
Changes to confidentiality claims included the addition of substantiation exemptions
consistent with the Lautenberg Act, changes to the substantiation questions, specification of data
elements that are not eligible for confidentiality claims, and the development of joint submitter
confidentiality considerations. These changes are further explained throughout Section 4 and in
sections 4.9.4 and 4.10.4.
Byproduct Provisions Including Two Reporting Exemptions
EPA added a new voluntary data element for reporting of the percent total production
volume for a chemical that is a byproduct. This change is further explained in Section 4.7.2.9.
EPA added two new reporting exemptions for byproducts: (1) an exemption for specific
site-limited recycled byproducts and (2) an exemption for byproducts generated by specific nonintegral processes. These changes are further explained in Section 2.1.1.3.
Small Manufacturer Definition Update and Addition of Small Government Definition
EPA proposed an update to the small manufacturer definition and the addition of a
definition for small governments at 40 CFR 704.3. Small manufacturers, including small
governments, are exempted from the need to report, unless the manufactured chemical is the
subject of certain TSCA actions. If finalized, these changes will be further explained in Section
2.2.3.
1-3
Chapter 1
1.3
Introduction
Changes to CDR Form U Structure
EPA revised the e-CDRweb reporting tool for 2020 CDR to provide a more user-friendly
experience. These changes resulted in some reorganization to the CDR Form U. Table 1-1
provides a cross-walk table identifying the relationships between the 2016 CDR Form U and the
2020 CDR Form U.
Table 1-1. 2016 – 2020 CDR Form U Crosswalk
Section
2016 Form U Reporting Tool
Printout
2020 Form U Reporting Tool
Printout
PRIMARY FORM
Parent Company Information
Part I, Section A
Part I, Section A
Site Information
Part I Section B
Part I Section B
Technical Contact information
Part I, Section C
Part II, Section B
Chemical Identification
Part II, Section A
Part II, Section A
Part II, Section C
Manufacturing Information
Part II, Section B
Section C.1 Manufacturing
Company
Section C.2 Contracting
Company
Section C.3 Producing Company
Part II, Section D
Process and Use Information
Part III, Processing and Use
Section D.1 Industrial
Processing and Use
Section D.2 Consumer and
Commercial Use
Confidential Business Information
Substantiation
Parts II, and III, All Sections
Part III
Joint Submission
Part IV, Joint Submission,
Secondary Submission
Secondary Form
Secondary Company Information
Part IV, Section A
Secondary Form, Part I
Secondary Technical Contact Information
Part IV, Section B
Secondary Form, Part II
Trade Product Identification Information
Part IV, Section D
Secondary Form, Part II
Secondary Confidential Business
Information Substantiation
Not Applicable
Secondary Form, Part III
SECONDARY FORM
1-4
Chapter 2
Reporting Requirements
2. Reporting Requirements
CDR reporting requirements apply to manufacturers (including importers) of chemical
substances. The term ‘chemical substance’ is defined in Appendix A.
For reporting to CDR, manufacturers (including importers) are required to use eCDRweb, the CDR reporting tool, and EPA’s CDX to create an electronic version of the Form U
and to submit information in response to the requirements of the CDR 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 does not accept paper submissions or
electronic media (diskette, CD-Rom, etc.) for any CDR submission (40 CFR 711.35). See the eCDRweb Getting Started Guide for more information.
If you reported previously under the CDR, you should review the reporting requirements
because they have changed.
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 each year since the last principal reporting year (e.g., for the 2020
submission period consider calendar years 2016, 2017, 2018, and 2019):
•
•
•
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 is generally required for a
chemical substance that is manufactured (including imported), is
on the TSCA Inventory as of the start of the submission period,
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.
A CDR reportable
chemical substance 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
Reporting Requirements
Figure 2-1. Decision Logic Diagram for Evaluating Step I
2-2
Chapter 2
2.1.1
Reporting Requirements
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 combination of
chemical substances. A chemical substance is co-manufactured by the person who
physically performs the manufacturing and the person contracting for such production
when that chemical substance, manufactured other than by import, is:
(1) produced exclusively for another person who contracts for such production, and
(2) that other person dictates the specific chemical identity of the chemical substance
and controls the total amount produced and the basic technology for the
manufacturing process (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).
For purposes of the CDR rule, a chemical substance is manufactured (including
imported) only if it is domestically manufactured or imported for commercial purposes. See
TSCA section 8(f), TSCA section 3(9), 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).
2-3
Chapter 2
Reporting Requirements
2.1.1.1 Chemical Substances Manufactured by Contract
The person who contracts with another person to manufacture a chemical substance is
considered to be a co-manufacturer, along with the person that physically manufactures the
chemical substance.
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 dictates the specific chemical identity of
the chemical substance and controls the total amount produced and the basic technology for the
manufacturing process. Additional information, including specific co-manufacturing reporting
scenarios, is provided in Fact Sheet: Co-Manufactured Chemical Substances. For consistency,
the two parties involved in the co-manufacturing situation are called the contracting company
(who is controlling the manufacture of the chemical substance) and the producing company (who
is physically manufacturing the chemical substance).
2.1.1.2 Changes to Company Ownership or Legal Identity
Under 40 CFR 711.8(a), the reporting obligation falls to the “person who manufactured.”
EPA recognizes that in some cases, business transactions occurring during the submission period
have led to questions about who is now the “person who manufactured.” The scenarios in Fact
Sheet: Reporting After Changes to Company Ownership or Legal Identity are intended to serve
as a general aid in appropriately resolving these questions, but they will not necessarily account
for all the relevant circumstances of a particular transaction. It is ultimately the manufacturer’s
responsibility to report appropriately under CDR, notwithstanding the complexity of its own
business transactions.
2.1.1.3 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 2,500 lb if it is the subject of certain TSCA actions) or more at a single site
during any calendar year since the last principal reporting year (e.g., since 2015 for the 2020
submission period), then its manufacture (including import) is potentially subject to CDR
requirements. Figure 2-2 presents a decision logic
It is important to recognize that an
diagram to assist you in determining whether you
overproduction of the primary
manufacture a byproduct that is a CDR reportable
manufactured substance does not
chemical substance.
meet the definition of byproduct,
Byproducts may or may not, in themselves,
and would therefore not be
have commercial value. They are nonetheless produced
considered a byproduct.
for the purpose of obtaining a commercial advantage
because they are part of the manufacture of a chemical product for a commercial purpose. Thus,
chemical substances that are the byproducts of the manufacture, processing, use, or disposal of
another chemical substance or mixture, like any other manufactured chemical substance, are
subject to CDR reporting if they are listed on the TSCA Inventory, are not otherwise excluded
from reporting, and their manufacturers are not specifically exempted from CDR requirements.
2-4
Chapter 2
Reporting Requirements
There are, however, conditions under which
byproducts are not required to be reported. See 40
(CFR 711.10(c) and (d)). As a general rule, if, after
it is manufactured, your byproduct chemical
substance is not put to use for a separate commercial
purpose (see 40 CFR 711.10(c)), you do not need to
report it.
-
Can a byproduct be manufactured
if the main product is an article?
Yes, potentially. You need to
consider whether you are
manufacturing a chemical substance
as a byproduct when you are
manufacturing an article. For
For byproduct chemical substances that are
example, if your use or processing of
put to use for a separate commercial purpose, there
a chemical substance (chemical A) to
are three categories of exemptions:
manufacture an article coincidentally
produces a different chemical
• If your byproduct’s only separate
substance (chemical B), apart from
commercial purpose “is for use by public or
the article you intended to
private organizations that (1) burn it as a fuel, manufacture, then you have
(2) dispose of it as a waste, including in a
manufactured a byproduct chemical
landfill or for enriching soil, or (3) extract
substance. This situation may occur,
component chemical substances from it for
for example, when you are stripping a
commercial purposes” (see 40 CFR
chemical substance off of a part of the
711.10(c)), then that byproduct is excluded
article, and the stripping process
from CDR reporting. This exclusion applies
only to the byproduct; it does not apply to the results in the formation of a different
chemical substance (possibly
component chemical substances extracted
resulting in a “used” stripping
from the byproduct.
solution).
• If a byproduct substance listed in 40 CFR 711.10(d)(1)(i) is produced as part of the listed
manufacturing processes and meets these circumstances: (1) is site-limited, (2) is
recycled or otherwise used within a physically enclosed system that is part of the same
overall manufacturing process from which the byproduct substance was produced, and
(3) when the site is reporting a different chemical substance that was manufactured from
the recycled byproduct or manufactured in the same overall manufacturing process, that
byproduct is not required to be reported (40 CFR 711.10(d)(1)).
As of March 2020, the processes and related byproduct substances listed are:
o Portland Cement Manufacturing:
CASRN 68475-76-3, Flue dust, portland cement (commonly referred to as
cement kiln dust or CKD)
o Kraft Pulping Process:
CASRN 66071-92-9, Sulfite liquors and cooking liquors, spent (often
comprised of what is referred to as black liquor)
CASRN 68514-09-0, Sulfite liquors and Cooking liquors, spent, oxidized
(often comprised of what is referred to as oxidized black liquor)
CASRN 471-34-1, Carbonic acid calcium salt (1:1) (commonly referred to
as calcium carbonate or lime mud)
Note that this exclusion only applies to the amount of the byproduct that is recycled in
physically enclosed equipment; it does not apply to amounts that are not recycled or that
are recycled, but not in physically enclosed equipment.
2-5
Chapter 2
•
Reporting Requirements
If the byproduct substance is manufactured solely in the specifically listed equipment
when it is not integral to the chemical manufacturing processes of the site, that byproduct
is not required to be reported (40 CFR 711.10(d)(2)). The specifically listed equipment
are:
o Pollution control equipment, and
o Boilers used to generate heat or electricity for that site.
Figure 2-2. Decision Logic Diagram for Evaluating Whether a Byproduct Chemical
Substance is Subject to the CDR Rule
2-6
Chapter 2
Reporting Requirements
Interpreting 40 CFR 720.30(g), referenced by 40 CFR 711.10(c)
In interpreting 40 CFR 720.30(g), you should consider the following important points:
3
•
Regarding 40 CFR 720.30(g)(1), note that where that same quantity of 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 input in the
manufacture of white liquor which is then
returned to the pulping process. In this
Is there a distinction for CDR
example, the exemption under 40 CFR
byproduct reporting when a
720.30(g)(1) would not apply to the
byproduct is burned for fuel or
manufacture of the black liquor because the
incinerated as a waste?
black liquor’s post-combustion commercial
Any distinction between burning a
purposes includes non-exempt commercial
3
byproduct as a fuel or incinerating it
purposes. Alternately, if a certain amount of
as a waste is generally not relevant
the black liquor was instead burned solely to
under the CDR. This is because the
generate power (and, for example, the
CDR exempts both byproducts whose
resulting smelt was disposed of as a waste)
“only commercial purpose” is for
and a separate amount of the black liquor was
burning as a fuel (40 CFR
used for a non-exempt commercial purpose,
720.30(g)(1)), and byproducts that
the exemption under 40 720.30(g)(1) would
are “not used for commercial
have applied only to the amount burned solely
purposes” (40 CFR 720.30(h)(2)).
to generate power. If the black liquor was
This latter category would include
instead incinerated solely for destruction, the
incineration, solely for destruction.
exemption under 40 CFR 720.30(h)(2) would
have applied.
•
Regarding 40 CFR 720.30(g)(2), although the manufacture of a byproduct is not
reportable if the byproduct is subsequently disposed of as a waste for purposes of
enriching the soil (e.g., to change the soil properties in a desirable way, such as by
serving as a filler to make the soil less dense or enhancing moisture retention), a
substance used as a fertilizer is not necessarily an excluded byproduct. For instance, if
the substance’s ordinary manner of use is as a fertilizer, then the substance is not a
byproduct in the first place, and the provisions at 40 CFR 720.30(g) are inapplicable.
•
Regarding 40 CFR 720.30(g)(3), individual component chemical substances extracted
from a byproduct are reportable substances if they are extracted for a commercial
purpose, even if the manufacture of the byproduct itself is not reportable pursuant to
720.30(g).
The need to report the black liquor is also impacted by the exemption in 40 CFR 711.10(d)(1).
2-7
Chapter 2
Reporting Requirements
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
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.
Interpreting 40 CFR 711.10(d)(1)
points:
•
In interpreting section 40 CFR 711.10(d)(1), you should consider the following important
Manufacturers are exempted from the need to report the listed byproduct substances only
for the volumes of the byproduct substance that are:
o recycled or otherwise used to manufacture another chemical substance within an
enclosed system, within the same overall manufacturing process, and on the same
site as that byproduct was originally manufactured and
o when the site is reporting under CDR a different chemical substance that was
manufactured from the byproduct or manufactured in the same overall
manufacturing process.
Volumes that are used for a commercial
purpose distinct from their manufacture
as a byproduct, such as when directly
incorporated into already manufactured
Portland Cement or removed for some
use outside of the Kraft pulping process,
remain reportable. Also, volumes that
are removed from the enclosed systems,
such as those that are stored in an open
tank or pit, or stored in any nonconnected tank or vessel, are excluded
from this exemption and remain
reportable.
•
What is reported if only part of my
byproduct meets the byproduct
exemption?
The volume of cement kiln dust (CKD)
that is manufactured as a byproduct may
be recycled in a manner that meets the
exemption in 40 CFR 711.10(d)(1) and
used for a separate commercial purpose,
for example as an additive to Portland
Cement. In this situation, the volume that
meets the exemption would not be reported
under CDR but the volume that is used as
an additive to Portland Cement would be
reported (as long as it meets other
requirements, such as production volume).
For the purposes of CDR, EPA considers
an enclosed system to be a system of
equipment directly connected to the production process that is designed, constructed, and
operated in a manner which prevents emissions, hence exposures to workers, or the
release of any chemical substance into the facility or environment during the production
process. For such systems, exposure and release could only occur due to loss of integrity
or failure of the manufacturing process equipment or control systems.
2-8
Chapter 2
Reporting Requirements
Any equipment that the byproduct is present in at any point during the process sequence,
such as tanks, reaction vessels, reactors, processing units (e.g., a drum filter), and/or
connecting lines, must: (a) be of high structural integrity and contained on all sides, (b)
pose no foreseeable potential for escape of constituents to the facility or environment
during normal use, and (c) be connected directly by pipeline or similarly enclosed device
to a production process. Also, any transfers or holding steps occurring in this system
must be necessary to the recycle process and must take place within physically enclosed
equipment that meet the aforementioned criteria. For example, hard piping or completely
sealed (i.e. welded) equipment would meet these criteria if connected directly to other
enclosed equipment, preventing potential releases including fugitive emissions.
Interpreting 40 CFR 711.10(d)(2)
points:
In interpreting section 40 CFR 711.10(d)(2), you should consider the following important
•
Integral processes: An integral process is the portion of the manufacturing process that is
chemically necessary or provides primary operational support for the production of the
intended product.
o Byproducts manufactured in equipment that is integral to the production
processes remain subject to reporting under CDR, unless otherwise exempted.
o Examples of equipment that is likely to be integral:
Utilities that produce electricity as a product may be using boilers as part
of their production of electricity and, therefore, those boilers are
considered equipment integral to the production process. Thus,
byproducts produced by these electric utility boilers would continue to be
subject to reporting.
Reverberatory furnaces, which may function similarly to some boilers,
can have a chemical processing function such as smelting. This and
similar equipment, when used in such scenarios, would be considered
integral to the main production process and any resultant manufactured
byproduct substances would continue to be subject to reporting.
•
Non-integral processes: For the purposes of this exemption, certain associated processes
that are not chemically required to produce the intended product would be considered
non-integral. For example, such processes could include ones required due to other
regulations.
o Byproducts manufactured due to the use of pollution control equipment and
boilers that generate heat or electricity on-site, when such equipment is not part
of the main production process, are exempted from reporting under CDR.
o Examples of equipment that is likely to be non-integral:
Boilers that are used to produce heat or electricity for their building but
do not produce the heat or electricity as a product.
Pollution control equipment including flue gas desulfurization (FGD) and
selective catalytic reduction (SCR) systems.
Equipment used to treat wastewater resulting from cleaning production
line tanks.
2-9
Chapter 2
•
Reporting Requirements
Under this exemption, the byproduct remains exempt from reporting even if the
byproduct is used for a commercial purpose and subsequent manufactured substances are
subject to reporting. For example:
o if the exempted byproduct is used to manufacture a different chemical substance,
the different chemical substance may be subject to reporting under CDR but the
reporting status of the byproduct itself does not change.
o If the exempted byproduct substance is used for a separate commercial purpose
subsequent to its manufacture, the reporting status of the byproduct does not
change.
General discussion about byproducts
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
such a manner that it has a commercial purpose; for example, if the byproduct is added to a
different product to enhance desired properties, then you are 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. Byproducts are
formed by a reaction and, generally, EPA considers each combination of substances resulting
from a reaction to be either:
1. A mixture, composed of a definite number of well-defined chemical substances to be
named and listed separately; or
2. A reaction product, or combination of chemicals from a reaction, to be listed as a single
chemical substance, using one name that collectively describes the chemical products or,
if this is not feasible, the reactants used to make the products. This type of byproduct is
typically complex.
Complex byproducts can be identified as a single chemical substance, which may
represent a chemical 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, you should
not determine the volumes of the individual chemical components or species that comprise the
UVCB chemical substance; rather, a single UVCB chemical substance name is proper for the
chemical and the volume of the UVCB substance as a whole entity should be used. Further
information on UVCB chemical substances is available on the EPA website at
www.epa.gov/tsca-inventory/chemical-substances-unknown-or-variable-composition-complexreaction-products-and .
Although complex byproducts may be named as a single UVCB chemical substance, in
certain circumstances it may be appropriate for CDR purposes to treat a product combination as
a mixture of chemical substances or even just a single well-defined chemical substance, even
though there are uncharacterized components to the mixture. Specifically, where the submitter
has a factual basis to reasonably conclude that the uncharacterized components are exempt from
CDR irrespective of their chemical identity, a lack of information about the chemical identity of
2-10
Chapter 2
Reporting Requirements
those exempt components is not an obstacle to treating the remainder of the product combination
as a mixture for CDR purposes. Thus, for example, where a submitter reasonably concludes
(after considering all the facts known and reasonably ascertainable) that the uncharacterized
components of a byproduct will not be used for commercial purposes after they are manufactured
(or if the only commercial purpose is for one of the uses listed in 40 CFR 720.30(g), for CDR
purposes the submitter may treat the byproduct as the remaining component, or as a mixture of
the remaining components. The submitter then considers the need to report for the remaining
component(s).
By contrast, where a submitter has not characterized certain components of a byproduct
combination or byproduct stream and lacks the factual basis to conclude that those components
are necessarily exempt from CDR, it is not appropriate to treat that byproduct combination or
byproduct stream as a mixture. For example, if a submitter cannot reasonably assess whether an
uncharacterized fraction or component of its byproduct will be subsequently used for a
commercial purpose, it is likely that the submitter will need to treat that byproduct
combination/set of components as a single UVCB chemical substance for CDR purposes.
Below are a few examples describing byproduct reporting. Additional information about
byproduct reporting under CDR is provided on the CDR website at www.epa.gov/cdr.
Example 2-1. For example, a manufacturing process involving the use of solvent A results
in spent solvent A. Depending upon the specific manufacturing scenario, there are two
different ways that the manufacturer could characterize spent solvent A. How the reclaimed
solvent A is treated with respect to CDR reportability is dependent upon the manufacturer’s
characterization for TSCA.
1. Spent solvent A is characterized as a mixture of individual chemical substances: In
this case, separating solvent A from the mixture is not considered manufacturing,
and the manufacturer does not report for CDR purposes the recycled solvent A.
Note that, depending upon what is done with the remaining portion of the mixture,
any components of the mixture that were manufactured may need to be individually
reported.
2. Spent solvent A is characterized as a manufactured UVCB chemical substance: In
this case, the solvent A extracted from the spent solvent A is also considered to be
manufactured, and therefore is reportable for purposes of CDR. In this situation, the
UVCB chemical substance itself may be exempt for purposes of CDR (40 CFR
720.30(g)(3)).
A byproduct that is considered manufactured for a commercial purpose4 and, after
manufacture, is used for a separate commercial purpose, may be excluded from reporting under
CDR by 40 CFR 720.30(g). For example, 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.
For the most part, byproducts are considered to be manufactured for commercial purposes because the byproduct
results from a manufacturing process used to produce an intended commercial substance or product. See the
definition of “manufacture for commercial purposes” in Appendix A.
4
2-11
Chapter 2
Reporting Requirements
Examples 2-2 and 2-3 describe manufacturers that may or may not be subject to RCRA
requirements and how the 720.30(g)(2) byproduct exemption applies in these circumstances.
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 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, with respect to 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).
2.1.1.4 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), referenced by 40 CFR 711.10(c).
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.
2-12
Chapter 2
Reporting Requirements
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. During 2017 and 2018, EPA worked with
companies, using the TSCA Inventory Notification (Active-Inactive) rule, to divide the
Inventory into “active” and “inactive” lists. EPA keeps a Master Inventory File, which is the
authoritative list of all the chemical substances reported to EPA for inclusion on the TSCA
Inventory, and which includes the active and inactive designations.
Information on how to access the non-confidential portion of the TSCA Inventory file,
commonly referred to as the “public TSCA Inventory,” is available at www.epa.gov/tscainventory. 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 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
5 for information on obtaining the TSCA Inventory);
•
Search SRS for information on the TSCA Inventory listing status (note that you can
search the SRS directly by accessing the website at www.epa.gov/srs or by using the
CDR reporting tool);
•
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;
•
Search company records for a Notice of Commencement of manufacture or import for a
PMN substance that was submitted to EPA; and
•
Search company records for a Notice of Activity submitted to EPA to move a chemical
from the inactive to the active portions of the TSCA Inventory.
Searching for previous CDR, PMN, and NOC submissions may be particularly helpful if
your chemical substance is listed on the confidential portion of the TSCA Inventory.
2-13
Chapter 2
Reporting Requirements
Several commercial databases have incorporated the public section of the TSCA
Inventory (which excludes chemical substances with confidential identities) and can indicate
whether a given chemical substance is listed on that portion of the TSCA Inventory. Because
these databases are not generated or reviewed by EPA, the Agency cannot guarantee the
accuracy of the information. If you use a commercial database that fails to include all reportable
chemical substances and, as a result, you fail to report information for these chemical substances,
you may be in violation of TSCA (40 CFR 711.1(c)).
The CDR reporting related to mixtures and UVCB substances (chemical substances that
are of Unknown or Variable composition, Complex reaction products, or Biological materials)
requires careful consideration by submitters. Whenever a submitter has manufactured or
imported a combination of several chemicals, the
submitter must first determine whether for TSCA
Hydrates are mixtures of the
purposes it is a mixture or a single UVCB or other
corresponding non-hydrated chemical
indefinitely described (Class 2) chemical substance.
substance and water and, therefore,
A mixture is any combination of chemicals that meets
are not listed on the TSCA Inventory.
the statutory definition of “mixture” at TSCA section
Note that you may be required to
3(10) (See Appendix A). Mixtures are not reported to
report the corresponding nonCDR – rather the mixture’s component chemical
hydrated component chemical
substances, the chemical substances that make it up,
substance. Adjust the reported
are potentially subject to reporting, as described
production volume to exclude water.
below. A UVCB substance is an indefinite
combination of chemicals, that does not meet the
statutory definition of “mixture” at TSCA section 3(10), 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 reporting
threshold, 25,000 lb or 2,500 lb if the subject of certain TSCA actions).
•
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.
2-14
Chapter 2
Reporting Requirements
EPA has developed two Inventory nomenclature guidance documents related to the mixtureUVCB determination:
•
Toxic Substances Control Act Inventory Representation for Chemical Substances of
Unknown or Variable Composition, Complex Reaction Products and Biological
Materials: UVCB Substances. Available online at:
www.epa.gov/sites/production/files/2015-05/documents/uvcb.pdf ;
•
Toxic Substances Control Act Inventory Representation for Combinations of Two or
More Substances: Complex Reaction Products. Available on-line at:
www.epa.gov/sites/production/files/2015-05/documents/rxnprods.pdf
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.
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, naturally occurring chemical
Polymers, microorganisms, water,
substances, water, and certain forms of natural
and certain forms of natural gas are
gas. Sections 2.1.3.1 through 2.1.3.5 provide more
not exempted from reporting when
details for each group of chemical substances.
they are the subject of any certain
You may also refer to 40 CFR 711.6(a) for precise
TSCA actions. See Section 2.1.4 for
definitions of these groups. Note, however, that
more details.
these exempted chemical substances (except for
chemical substances that are exempted because
they are naturally occurring) become subject to reporting again if they are the subject of any of
certain TSCA actions. Section 2.1.4 provides details for when the exemption does not apply.
Note that the act of importing does not change the identity of a chemical substance or group. For
example, a naturally occurring chemical substance remains naturally occurring when it is
imported.
To help identify chemical substances that are exempt from reporting under the CDR rule,
EPA has labeled most of these chemical substances on the TSCA Inventory with the letters
“XU.” In the SRS, most of these chemical substances are identified as being “TSCA CDR
Exempt” under the Statutes/Regulations heading. This and other flags are embedded into the
Substance Registry Services (SRS) chemical lookup within the current edition of e-CDRweb
2-15
Chapter 2
Reporting Requirements
reporting tool and have been updated to reflect the current reporting requirements. When the
chemical lookup function is used, and the selected chemical has been assigned a special flag, the
reporting tool will display a notice on the screen indicating the exemption status of the chemical.
Please note that you are advised to use the flags only as a guide; you are responsible for verifying
whether a chemical substance listed on the TSCA Inventory is exempt from reporting.
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 in most cases exempt from CDR reporting. The CDR definition of polymer
is sufficiently broad to include virtually all those chemical substances that are generally
considered 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
2-16
Chapter 2
Reporting Requirements
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 chemicalspecific, 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 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))
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.
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.
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.”
Mined coal is typically included in the naturally occurring chemical substances category.
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.
2-17
Chapter 2
2.1.4
Reporting Requirements
Is your Chemical Substance Ineligible for an Exemption Because it is the Subject of
Certain TSCA Actions? (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, (40 CFR 711.6)):
•
•
•
•
A rule proposed or promulgated under TSCA sections 4, 5(a)(2),5(b)(4), or 6;
An order issued under TSCA sections 4, 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.
See Appendix B for an overall chart that describes the effects on CDR requirements of
the different TSCA actions.
Example 2-5. Company A manufactured 35,000 lb of Chemical X, a polymer, in 2018.
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 2020 CDR. Additionally,
Company B manufactures 40,000 lb of Chemical X in 2019. Although Company B is not a
party to the ECA, Company B is also required to report Chemical X for the 2020 CDR.
Special flags are used throughout the TSCA Inventory to identify those substances on the
Inventory that are the subject of an EPA rule or order promulgated under TSCA, as well as to
indicate the types of full or partial exemptions from TSCA reporting requirements. These flags
are embedded into the Substance Registry Services (SRS) chemical lookup within the current
edition of e-CDRweb reporting tool and have been updated to reflect the current reporting
requirements. When the chemical lookup function is used, and the selected chemical has been
assigned a special flag, the reporting tool will display a notice on the screen indicating the TSCA
action or exemption status of the chemical. Please note that you are advised to use the flags only
as a guide; you are responsible for verifying whether a chemical substance listed on the TSCA
Inventory is exempt from reporting or ineligible for exemption from reporting. 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.
2-18
Chapter 2
2.2
Reporting Requirements
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 then report. The following
subsections explain each question in greater detail.
Figure 2-3. Decision Logic Diagram for Evaluating Step II
2-19
Chapter 2
2.2.1
Reporting Requirements
Did You Manufacture (Including Import) 25,000 lb or More of the Chemical
Substance at a Single Site During any of the Calendar Years since the Last 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 any calendar year since the last CDR principal reporting year. (A reduced
reporting threshold of 2,500 lb applies to chemical substances subject to certain TSCA actions –
see Section 2.2.2.) As an example, for the 2020 CDR, the last principal reporting year would be
2015. Therefore, reporters for 2020 need to consider production for calendar years 2016, 2017,
2018, and 2019.
If you both domestically manufacture and import the same chemical substance, add the
domestically manufactured and imported volumes at each site for a calendar year to determine
whether the amount of the chemical substance meets or exceeds the 25,000 lb threshold during
that calendar year. 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 Section 4.4.1 of this
document.
Information about determining production volumes for mixtures is provided at the end of
Section 2.2.2.
2.2.2
Did You Manufacture (Including Import) 2,500 lb or More of the Chemical
Substance (if it is the Subject of Certain TSCA Actions? (Question F)
Under 40 CFR 711.8(b) and 40 CFR
711.15, the reporting threshold is 2,500 lb
(1,134 kg) for any person who manufactured a
chemical substance that is the subject of any of
the following TSCA
•
•
•
Substances that have undergone a change in
TSCA regulatory status between submission
periods:
•
A rule proposed or promulgated under
TSCA sections 5(a)(2), 5(b)(4) or 6
An order issued under TSCA sections 4,
5(e) or 5(f)
Relief that has been granted under a
civil action under TSCA sections 5 or 7
See Appendix B for assistance in
determining whether your chemical substance
is the subject of certain TSCA actions.
You are subject to CDR reporting if you
manufactured (including imported) a chemical
substance which is subject to a TSCA action
listed above in production volumes of 2,500 lb
or greater at any single site you owned or
•
The effects of TSCA actions on CDR
reporting are assessed based on the status of
the chemical substance as of the beginning of
the submission period, when the reporting
obligation becomes current. For reporting
obligations that depend on whether a chemical
substance “is the subject of” a listed action,
consider the status of a chemical substance as
of the start of the submission period.
A change in TSCA regulatory status does not
mean that submitters should apply different
reporting thresholds to manufacture occurring
before and after the effective date of the
action. Only one reporting threshold applies to
a chemical substance for CDR. The correct
reporting threshold is determined based on the
chemical substance’s status as the start of the
submission period.
2-20
Chapter 2
Reporting Requirements
controlled during any calendar year since the last CDR principal reporting year. As an example,
for the 2020 CDR, the last principal reporting year would be 2015. Therefore, reports to the 2020
CDR would need to consider production for calendar years 2016, 2017, 2018, and 2019.
If you both domestically manufacture and import the same chemical substance, add the
domestically manufactured and imported volumes at each site for a calendar year to determine
whether the amount of the chemical substance meets or exceeds the 2,500 lb threshold during
that year. 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 Section 4.4.1 of this
document.
Table 2-3 provides examples of how the production volume threshold applies, using 2020
CDR as an example.
Table 2-3. Production Volume Threshold (Examples using 2020 CDR Reporting)
Description
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 2017.
Company A must report for Chemical X because it
manufactured 25,000 lb or more of Chemical X at its
sole manufacturing site in 2017.
Company B, which has only one manufacturing site,
manufactured 26,000 lb of Chemical X at its site in
2016 and 20,000 lb of Chemical X in 2018.
Company B is required to report for Chemical X
because it manufactured more than 25,000 lb of
Chemical X in 2016.
Company C has two manufacturing sites for Chemical
X. In 2016 through 2019, Site 1 manufactured 13,000
lb per year of Chemical X and Site 2 manufactured
15,000 lb per year. Chemical X is not the subject of
any of the TSCA actions listed in 40 CFR 711.8(b).
The 25,000 lb threshold is applicable for Chemical X.
Company C is not required to report for Chemical X at
either site because production was less than 25,000 lb
at each site during all the years in the reporting period.
Company D has two manufacturing sites for
Chemical X. In 2016 through 2019, Site 1
manufactured 10,000 lb per year of Chemical X and
Site 2 manufactured 150,000 lb per year of Chemical
X. Chemical X is not the subject of any of the TSCA
actions listed in 40 CFR 711.8(b).
The 25,000 lb threshold is applicable for Chemical X.
Company D must report for Chemical X at Site 2
because at this location production was 25,000 lb or
more. Company D is not required to report for
Chemical X for Site 1 because production was less
than 25,000 lb during all the years in the reporting
period.
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 2019.
Company E must report for Chemical X because the
aggregate volume manufactured at and imported by its
site in 2019 was 25,000 lb or more.
Company F has one site where it manufactured 30,000
lb of Chemical X in 2016. 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 2016. The amount
directly exported does not affect the determination of
the need to report.
Company G manufactured 5,000 lb of Chemical Z per
year during 2016 through 2019. Chemical Z is subject to
a TSCA section 4 test rule with a sunset date of June 30,
2020. Chemical Z is not the subject of any of the TSCA
actions listed in 40 CFR 711.8(b).
Company G is not required to report for Chemical Z.
Chemical Z is subject to the 25,000 lb reporting
threshold, because a TSCA section 4 test rule is not a
TSCA action which triggers use of the reduced
reporting threshold (i.e., it is not one of the actions
listed in 40 CFR 711.8(b)).
2-21
Chapter 2
Reporting Requirements
Description
Reporting Requirement
A TSCA section 5(a)(2) significant new use rule
(SNUR) is issued for Chemical Y in 2017. The annual
production volumes for Chemical Y by Company H are
1,000 lb in 2016, 10,000 lb in 2017, 5,000 lb in 2018,
and 2,000 lb in 2019.
As of the beginning of the submission period (June 1,
2020), Chemical Y is a chemical substance that is the
subject of a TSCA section 5(a)(2) SNUR; therefore, a
reduced reporting threshold of 2,500 lb would apply.
Because the 2,500 lb reporting threshold was
exceeded at least once from 2016 to 2019, Company
H must report for Chemical Y.
A TSCA section 5(a)(2) SNUR was issued for Chemical
Y in 2017 and revoked in February 2020. Chemical Y is
not currently the subject of any of the TSCA actions
listed in 40 CFR 711.8(b). The annual production
volumes for Chemical Y by Company H are 1,000 lb in
2016, 10,000 lb in 2017, 5,000 lb in 2018, and 2,000 lb
in 2019.
As of the beginning of the submission period, the
SNUR is no longer in effect. Therefore, the reporting
threshold for Chemical Y is 25,000 lb. Because the
production volume did not meet or exceed 25,000 lb
in at least one year from 2016 to 2019, Company H is
not required to report for Chemical Y.
A proposed TSCA section 5(a)(2) SNUR for Chemical P
is published in the Federal Register in 2020 but after the
start of the submission period. Chemical P is not
currently the subject of any of the other TSCA actions
listed in 40 CFR 711.8(b). The annual production
volumes for Chemical P by Company J are 2,000 lb in
2016, 20,000 lb in 2017, 2,500 lb in 2018, and 12,000 lb
in 2019.
As of the beginning of the 2020 submission period,
Chemical P is not the subject of a proposed or
promulgated SNUR. Therefore, the 2020 CDR
reporting threshold for Chemical P is 25,000 lb.
Publication of the SNUR after June 1, 2020 would
not cause the 2020 CDR reporting threshold to
change during the 2020 submission period. Because
the production volume did not meet or exceed 25,000
lb in at least one year from 2016 to 2019, Company J
is not required to report for Chemical P.
Meeting the Reporting 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 (or 2,500 lb threshold if the subject of
certain TSCA actions) is applicable for each CDR 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-F (Sections 2.1.1 through 2.2.2) 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 2.1.1.3 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 2,500
lb or more at the site that controls the importation. The threshold volume is applicable for each
2-22
Chapter 2
Reporting Requirements
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
or 2,500 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 711.10(c)(1) through (4) 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 applicable reporting threshold of 25,000 lb (or 2,500 lb if subject to certain TSCA
actions), evaluate Question G to determine whether you qualify for a small manufacturer
exemption.
2.2.3
Do You Qualify for a Small Manufacturer Exemption? (Question G)
Small manufacturer (the same standard will be used for all manufacturers, except for
small governments) (40 CFR 704.3):
(1) First standard. A manufacturer (including importer) of a substance is small if its total
annual sales, when combined with those of its parent company (if any), are less than $40
million. However, if the annual production or importation volume of a particular
substance at any individual site owned or controlled by the manufacturer or importer is
greater than 45,400 kilograms (100,000 lbs), the manufacturer (including importer) will
not qualify as small for purposes of reporting on the production or importation of that
substance at that site, unless the manufacturer (including importer) qualifies as small
under standard (2) of this definition.
(2) Second standard. A manufacturer (including importer) of a substance is small if its total
annual sales, when combined with those of its parent company (if any), are less than $4
million, regardless of the quantity of substances produced or imported by that
manufacturer (including importer).
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 that is manufacturing a CDR
reportable chemical substance, evaluate Question H (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 I in Figure
2-3 (further described in Section 2.2.5) to determine whether you qualify for any other reporting
exemptions.
2-23
Chapter 2
2.2.4
Reporting Requirements
Did You Manufacture a Chemical Substance that is the Subject of Certain TSCA
Actions? (Question H)
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 sections 4
or 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 section 8(a)(3)(A)(ii)). The SRS provides
information regarding which chemical substances fall into these groups. Table 2-4 provides
examples of how the small manufacturing exemption applies.
Table 2-4. Small Manufacturer or Small Government Exemption
(Examples using 2020 CDR Reporting)
Description
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 2017. The total annual sales of Company A (all
sites combined) were $3.25 million in 2019.
Site 1 is not required to report for Chemical X
because combined sales in 2019 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 2016, 75,000 lb in 2017, 82,000 in 2018, and 95,000 in
2019. The total annual sales of Company B (all sites
combined) were $30 million in 2019. 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 during 2016-2019, 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 per year of
Chemical X in 2016 through 2019. Site 4, another site
owned by Company C, had a production volume of
75,000 lb per year of Chemical X in 2016 through 2019.
The total annual sales of Company C (all sites combined)
were $39 million in 2019.
Company C must report for Chemical X at Site 3
because annual production volume at Site 3 exceeded
100,000 lb in at least one year from 2016 to 2019.
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 2018. The total annual sales of Company D (all sites
combined) were $125 million in 2019.
Company D must report for Chemical X at Site 5
because total annual sales in 2019 exceeded $40
million and the production volume of Chemical X at
Site 5 exceeded 25,000 lb in at least one year from
2016 to 2019.
Site 6, which is one of several sites owned by Company
E, had a production volume of 120,000 lb of Chemical
X in 2016. The total annual sales of Company E (all
sites combined) were $3.25 million in 2019. 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.
2-24
Chapter 2
Reporting Requirements
Description
Reporting Requirement
Site 7, owned by Company F, whose total annual sales is
$30 million in the principal reporting year (2019),
manufactures Chemical X, which is the subject of a TSCA
section 5(e) consent order and a TSCA section 5(a)(2)
SNUR. The annual production volume of Chemical X
ranges between 3,000 and 5,000 lb from 2016-2019.
Site 7 is required to report for Chemical X. Based on
the sales of less than $40 million and production
volume below 100,000 lb, Company F would seem to
qualify as a small manufacturer. However, because
Chemical X is the subject of a 5(e) consent order, the
small manufacturer exemption does not apply. (note:
The fact that Chemical X is the subject of a SNUR
does not affect whether the small manufacturer
exemption applies.)
Both the SNUR and the 5(e) consent order trigger the
reduced reporting threshold of 2,500 lb. Therefore,
because Chemical X is the subject of a SNUR and a
section 5(e) consent order and because Company F
has produced Chemical X in amounts above 2,500 lb
in at least one year from 2016 to 2019 (in this case all
four years), Company F would be required to report.
Site 8 is owned by Company G and manufactured 25,000
lb of Chemical X in 2016 and 20,000 lb in 2017. Chemical
X was the subject of a TSCA section 4 test rule
promulgated in 2019. Company G’s total annual income
was the following: $1 million in 2016, $2 million in 2017,
$9 million in 2018, and $12 million in 2019.
Site 8 is required to report for Chemical X. On June 1,
2020, Chemical X is subject to a TSCA section 4 test
rule, which means that Company G cannot apply the
small manufacturer exemption to its manufacture of
this substance.
Because annual production volume of Chemical G was
25,000 lb or greater in at least one year from 2016 to
2019 (in this case in 2016), Company G must report
for Chemical X.
Site 9 is owned by Company H and manufactures
Chemical X. Chemical X has been subject for several
years to a TSCA section 4 test rule which sunsets on May
1, 2020. Company H, whose total annual sales were $3
million in 2019, has manufactured Chemical X in annual
amounts above 25,000 lb from 2016-2019. June 1, 2020
was the start of the 2020 submission period.
Company H is not required to report for Chemical X.
Although Chemical X was the subject of a TSCA
section 4 test rule (which could have eliminated the
ability to apply the small manufacturer exemption to
manufacture of Chemical X), June 1, 2020 is after the
sunset date. As of June 1, 2020, Chemical X is no
longer the subject of a TSCA section 4 test rule.
Therefore, Company H, with total annual sales less
than $4 million in 2019, would be eligible to apply the
small manufacturer exemption to its manufacture of
Chemical X.
2.2.5
Do You Qualify for Any Other Reporting Exemptions? (Question I)
If you manufacture a reportable chemical substance under the following circumstances,
you are not required to report for those chemical substances under the CDR rule if:
•
The chemical substance is manufactured solely in small quantities for research and
development (40 CFR 711.10(a)).
Chemicals that are routinely used in a laboratory are not considered to be chemicals used
for research and development for purposes of this exemption. For example, a
manufacturer of a solvent that supplies testing labs for the routine use of testing samples
of other materials is not conducting research and development.
2-25
Chapter 2
•
Reporting Requirements
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 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.
For additional information, see Fact Sheet: Imported Articles.
•
The chemical substance is manufactured as an impurity, a non-isolated intermediate, or
under any of the other circumstances identified in 40 CFR 711.10(c), referencing 40 CFR
720.30(g) and (h), and 40 CFR 711.10 (d).
•
If, within one year prior to the start of the submission period, (i.e., for 2020 CDR, this
would be June 1, 2019 to May 31, 2020), 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 2020 (40 CFR 711.22(a)).
Table 2-5 presents examples of the manufacturing/importing activities listed above.
If you manufacture a CDR reportable chemical substance in quantities greater than 25,000 lb (or
2,500 lb if the subject of certain TSCA actions), and do not qualify for any reporting exemptions,
you should evaluate Step III, described in the following section, to determine what information
you must report for your chemical substance.
2-26
Chapter 2
Reporting Requirements
Table 2-5. Examples of Manufacturing/Importing Activities under Circumstances which
do/do not Require Reporting
Description
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.
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) in Parts I, II
(Sections A – C), and III and, unless you qualify for
a partial exemption, also Part II – Section D of the
Form U.
The reporting threshold for
processing and use activities is the
same as that for manufacturing
information.
You must use the same reporting
threshold for reporting processing and
use information as you use for
reporting all manufacturing
information (i.e., either 25,000 lb or
2,500 lb).
Basic company and site identification information, (submitted on Part I of the Form U) 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 (submitted on Part II – Sections A
– C of the Form U) is required by 40 CFR 711.15(b)(3). Note that the basic company and site
information is reported once per site, while the manufacturing information is reported separately
2-27
Chapter 2
Reporting Requirements
for each reportable chemical substance at the site. Industrial processing and use, and consumer
and commercial uses of the chemical substance (submitted on Part II – Section D of the Form
U) is required by 40 CFR 711.15(b)(4). Certain manufacturing information and all processing
and use information are only reported for the principal reporting year.
Manufacturers (including importers) of partially exempt chemical substances listed in 40
CFR 711.6(b)(1) and 711.6(b)(2) 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. Note that this partial exemption is
negated if the chemical substance is the subject of certain TSCA actions (see Table B-2 in the
appendix).
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.
Figure 2-4. Decision Logic Diagram for Evaluating Step III
2-28
Chapter 2
2.3.1
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 certain TSCA regulatory actions (40 CFR
711.6). See Section 2.1.4 for a more detailed description of the chemical substances that meet
these criteria. If you manufacture (including import) these chemical substances at quantities at
or above the applicable reporting threshold (i.e., either 25,000 or 2,500 lb if the subject of certain
TSCA actions), 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. The SRS provides information on TSCA regulatory status of chemical substances.
If your chemical substance is not part of a TSCA regulatory action or consent agreement,
continue to evaluate Questions K and L as seen on Figure 2-4 and described in the following
sections to determine whether your chemical substance is partially exempt.
2.3.2
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 II – Section D of the 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).
2.3.3
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 are listed at 40 CFR 711.6(b)(2)(iv). The most recent additions to the partially exempt
chemicals list can be found on the CDR website at www.epa.gov/cdr.
If your CDR reportable chemical substance manufactured (including imported) in
quantities at or above the applicable reporting threshold (i.e., either 25,000 or 2,500 lb if the
chemical substance is the subject of certain TSCA actions) is partially exempt, you are required
to report Parts I, II (only Sections A – C), and III of the reporting form. Otherwise, you are
required to report Parts I, II (Sections A – D), and III of the reporting form, covering
manufacturing, processing, and use information for your CDR reportable chemical substance.
Chapter 3 provides information about when you must report this information to EPA.
2-29
Chapter 2
Reporting Requirements
Example 2-6. Company ABC produces Chemical Q, which is not the subject of any of the
TSCA actions listed in 40 CFR 711.6 or 711.8(b), nor is it listed as a petroleum process stream
or identified as low current interest for EPA. At the site, Chemical Q was produced in amounts
of 30,000 lb in 2016, 10,000 lb in 2017, 50,000 lb in 2018, and 5,000 lb in 2019.
Because Chemical Q is not the subject of any of the TSCA actions listed in 40 CFR 711.8(b),
the 25,000 lb threshold would be applicable for Chemical Q. Since the 25,000 lb threshold was
exceeded at least once from 2016 to 2019 (in this case, in 2016 and 2018), Company ABC
would be subject to reporting for CDR 2020. Chemical Q is not the subject of any of the TSCA
actions listed in 711.6, is not listed as a petroleum process stream or identified as low current
interest for EPA, so it is not partially exempt. Therefore, for the principal reporting year of 2019
for CDR 2020, Company ABC would report additional manufacturing information and the
processing and use data based on the 5,000 lb it produced that year.
Example 2-7. Company DEF begins producing Chemical Z in 2017. Chemical Z is not the
subject of any of the TSCA actions listed in 40 CFR 711.8(b). The production volumes at the
site are 2,000 lb in 2017, 25,000 lb in 2018, and no production for 2019.
Chemical Z is not the subject of any of the TSCA actions listed in 40 CFR 711.8(b); therefore,
the 25,000 lb threshold would be applicable for Chemical Z. Since the 25,000 lb threshold was
met in 2018, Company DEF would be subject to reporting. However, since there was no
production in 2019, the principal reporting year for CDR 2020, the production volume would be
reported as zero, the manufacturing information needed to be reported would be limited to the
company and plant site information (40 CFR 711.15(b)(2)) and the chemical specific
information on identity as well as the production volume for 2017 and 2018 (40 CFR
711.15(b)(3)).
2-30
Chapter 3
When You Must Report
3. When You Must Report
You are required to report information pertaining to the calendar years since the last
principal reporting year during the CDR submission period, as specified in 40 CFR 711.20. As
an example, for the 2020 reporting cycle, you are required to report information pertaining to
calendar years 2016, 2017, 2018, and 2019, because the previous principal reporting year was
2015. You are required to report this information during the 2020 submission period beginning
June 1, 2020 and ending September 30, 2020.
Your report must be submitted to EPA, using e-CDRweb (the electronic reporting tool)
via EPA’s Central Data Exchange (CDX) no later than the close of the submission period. You
should note that registration with CDX is required prior to accessing e-CDRweb to submit your
CDR information (40 CFR 711.35). To get you started, two guides are available on the CDR
website (www.epa.gov/cdr):
•
•
CSPP CDX Registration Guide, which covers the specifics of CDX registration and
accessing the e-CDRweb reporting tool.
e-CDRweb Getting Started Guide, which provides information for getting started with the
reporting tool and includes representative screenshots.
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)).
3-1
Chapter 4
Instructions for Completing CDR Form U
4. 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 4.10 provide information to help you complete
each required section of the Form U.
You are required to use the CDR reporting tool, e-CDRweb, to complete and submit the
CDR Form U 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. If you are reporting for multiple sites, you must submit a
separate Form U for each site.
The Form U (also referred to as the Primary Form U) is comprised of a certification
statement and three parts, as follows:
•
The certification statement and Part I of the Form U are completed once per reporting site.
Part I contains company, site, and contact information.
•
Part II – Sections A – C is completed for each reportable chemical substance at the site and
contains information associated with the identity, manufacture, and properties of the
chemical substance.
•
Part II – Section D is completed for each reportable chemical substance at the site and
contains information associated with the processing and use of the chemical substance.
•
Part III is completed for each reportable chemical substance at the site for which
confidentiality claims are made for one or more data elements, when substantiations of the
confidentiality claims are required at the time of data submission.
The Secondary Form U 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. As described in the e-CDRweb Getting Started Guide, ensure that your pop-up
blocker is disabled before you begin to complete the 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 information required to
substantiate a confidentiality claims is 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 the user guide including CDX Registration for
information on how to complete an electronic signature agreement.
4-1
Chapter 4
Instructions for Completing CDR Form U
This certification statement applies to all the information supplied on the form. The
certification statements appear when the submission process has been initiated, at which time the
submitter must either certify or cancel the submission process. 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,
meaning 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 a material safety data sheet (MSDS) or
safety data sheet (SDS), 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-N
S®.
The hypothetical examples in Table 4-1 illustrate the anticipated application of the
“known to or reasonably ascertainable” reporting 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.
4-2
Chapter 4
Instructions for Completing CDR Form U
Table 4-1. Examples of the Application of the “Known to or Reasonably Ascertainable”
Reporting Standard for Processing and Use Data.
Scenarios, Actions, and Outcomes
Scenario: 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.
Application of KRA Reporting Standard:
If:
Then:
Company XYZ contacts its largest customer and reports on the basis of
the processing and use data that the customer was willing to provide.
Duties Likely Fulfilled
Company XYZ did not endeavor to supplement the information it already
knew.
Duties Not Fulfilled
Scenario: 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 fill this data gap by reviewing the public website of its largest customer.
Application of KRA Reporting Standard:
If:
Then:
Company XYZ reviews its largest customer’s website, and reports on the
basis of the information contained in the website.
Duties Likely Fulfilled
Company XYZ did not endeavor to supplement the information it already
knew.
Duties Not Fulfilled
Scenario: 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.
Application of KRA Reporting Standard:
If:
Then:
Instead of attempting to reconstruct the summer data by contacting its
largest customer, 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).
Duties Likely Fulfilled
Company ABC designated the information as “not known or reasonably
ascertainable” simply because one of the seasonal marketing reports was
missing.
Duties Not Fulfilled
4-3
Chapter 4
Instructions for Completing CDR Form U
Scenarios, Actions, and Outcomes
Scenario: 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.
Application of KRA Reporting Standard:
If:
Then:
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.
Duties Likely Fulfilled
Company ABC did not endeavor to obtain processing and use
information from its customers and designated the information as “not
known or reasonably ascertainable.”
Duties Not Fulfilled
4.3
Part I - Section A. Parent Company Information5
You must provide information about your parent company. For purposes of CDR, a
parent company is the highest-level company of your site’s ownership hierarchy as of the start of
the submission period according to the definitions of parent company and highest-level parent
company at 40 CFR 711.3. Report your highest-level parent company located in the United
States and, if one exists, the highest-level foreign-based parent company (40 CFR
711.15(b)(2)(i)). For each parent company, provide the company name, address, and D&B
number following the instructions, including the naming conventions, provided below. Table 4-2
contains examples of how to identify the parent company(ies) in different situations.
Table 4-2. Applying Highest-level Parent Company Definition in Different Situations
5
Site Ownership
U.S. and/or Foreign Parent Company
(1) If the site is entirely owned by a single
U.S. company that is not owned by another
company
then that single company is the U.S. parent
company and there is no foreign parent company.
(2) If the site is entirely owned by a single
U.S. company that is, itself, owned by another
U.S.-based company (e.g., it is a division or
subsidiary of a higher-level company)
the highest-level domestic company in the
ownership hierarchy is the U.S. parent company. If
there is a higher-level parent company that is
outside of the United States, the highest-level
foreign company in the ownership hierarchy is the
foreign parent company.
See Sec 4.7.1 for information concerning CBI claims for Parent Company Information.
4-4
Chapter 4
Instructions for Completing CDR Form U
Table 4-2. Applying Highest-level Parent Company Definition in Different Situations
Site Ownership
U.S. and/or Foreign Parent Company
(3) If the site is owned by more than one
company (e.g., company A owns 40 percent,
company B owns 35 percent, and company C
owns 25 percent of the site)
the company with the largest ownership interest in
the site is the parent company. Under this scenario,
this would be either company A itself (if it doesn’t
have a U.S.-based parent company), company A’s
parent, or, if it exists, a single parent company that
owns both company B and company C, in which
case that single parent company would have the
largest ownership interest (e.g., corporation X owns
companies B and C, for a total ownership of 60
percent for the site).
If the parent company is a U.S. company owned by
another U.S. company, then the highest-level
domestic company in the ownership hierarchy is the
U.S. parent company. If the U.S. parent company
has a higher-level foreign company in the
ownership hierarchy, then the highest-level foreign
company in the ownership hierarchy is the foreign
parent company.
If the parent company is a foreign company, then
the site is its own U.S. parent company and the
foreign parent company is the highest-level foreign
company in the ownership hierarchy.
(4) If the site is ultimately owned by a 50:50
joint venture or a cooperative
the joint venture or cooperative is its own U.S.
parent company.
If the site is owned by a U.S. joint venture or
cooperative, the highest level of the joint venture or
cooperative is the U.S. parent company.
If the site is owned by a joint venture or cooperative
outside the United States, the highest level of the
joint venture or cooperative outside the United
States is the foreign parent company.
(5) If the site is entirely owned by a foreign
company (i.e., without a U.S.-based
subsidiary within the facility’s ownership
hierarchy)
the site is the U.S. parent company and the highestlevel foreign parent company is the foreign parent
company.
(6) If the site is a federally owned facility
the highest-level federal agency or department is the
U.S. parent company.
(7) If the site is owned by a non-federal public that entity (such as a municipality, State, or tribe) is
entity
the U.S. parent company.
4-5
Chapter 4
4.3.1
Instructions for Completing CDR Form U
U.S. and Foreign Parent Company Name(s)
All sites must enter the full name of the U.S. parent company, and, if applicable, the full
name of the foreign parent company.
EPA requires that parent companies be referenced consistently by the same name so that
CDR site-level information can be aggregated to the associated parent company (40 CFR
711.15(b)(2)(i)). This can be challenging because filers within the same parent company often
submit names with small variations (e.g., Exopack vs. Exopack Holdings Corp). When reporting
your parent company name, eliminate all periods, commas, and all leading, trailing, and duplicate
spaces. Replace commonly used acronyms and corporate terms according to Table 4-3:
Table 4-3. Parent Company Name Standardization Rules
Use This Not This
Use This
Not This
&
AND
LP
LIMITED PARTNERSHIP
CORP
CORPORATION
LTD
LIMITED
ASSOC
ASSOCIATION
LIMITED LIABILITY COMPANY
LLC
CO
COMPANY
LIMITED LIABILITY CO.
COS
COMPANIES
PTNR
PARTNERSHIP
DIV
DIVISION
U.S.A.
INCORP
U.S.A
INCORP.
USA
USA
INC
INCORPORATED
UNITED STATES OF AMERICA
INCORPERATED
UNITED STATES
4.3.2
Parent Company Dun & Bradstreet D-U-N-S® Number
Enter the 9-digit Dun & Bradstreet D-U-N-S® number (D&B number) associated with
each parent company name. 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. or foreign parent company. To
verify the accuracy of your site and parent company D&B number and name, go to
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 your parent company if none exists. If your 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
www.dnb.com. If you are already listed with D&B, but do not know your number, you can call 1800-234-3867 for assistance.
4-6
Chapter 4
4.3.3
Instructions for Completing CDR Form U
Parent Company Address
Enter the mailing address of each parent company, including the appropriate county or
parish, using standard addressing techniques as established by the U.S. or international postal
services. Post office box numbers should be accompanied by a street address. If a post office
box is listed, it must be entered after the street address. Standardized conventions for listing a
street address should be used to account for common formatting discrepancies, such as
punctuation (by eliminating all periods, commas, and all leading, trailing, and duplicate
spaces), capitalization, and abbreviations in order to increase the reliability and usability of the
data. Replace commonly used acronyms and street abbreviations according to Table 4-4:
Table 4-4. Parent Company Street Address Standardization Rules
Use This
Not This
Use This
Not This
AVENUE
LANE
AVE
LN
AVE.
LN.
BOULEVARD
PLACE
BLVD
PL
BLVD.
PL.
DRIVE
PO BOX
P.O. BOX
DR
DR.
ROAD
RD
HIGHWAY
RD.
HWY
HWY.
RTE
ROUTE
JUNCTION
STREET
JCT
ST
JCT.
ST.
4.4
Part I - Section B. Site Information6
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.
4.4.1
Special Provisions for Certain Sites
The definition of site at 40 CFR 711.3 has special provisions for the following situations:
importation, manufacturing by contract (i.e., co-manufacturing), and portable manufacturing
units sent out from a single distribution center. In some situations, these provisions have a direct
bearing on the site which must be identified in Part I, Section B of the Form U.
4.4.1.1 Special Provisions for Importers
The site where you import a chemical substance is considered the site of the operating
unit within your organization that is directly responsible for importing the chemical substance
and that controls the import transaction. 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
6
See Sec 4.8.1 for information concerning CBI claims for Site Information.
4-7
Chapter 4
Instructions for Completing CDR Form U
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 4-1. 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 the Form U.
Example 4-2. 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 the Form U is New Town.
4.4.1.2 Special Provisions for Manufacturing by Contract
For chemical substances manufactured under contract, i.e., a co-manufactured chemical,
the site is the location where the chemical substance is physically manufactured (definition of
site, 40 CFR 711.3). When a company contracts with a producing company to manufacture a
chemical substance and each party meets the definition of manufacturer as set forth in 40 CFR
711.3, there are two procedures available for the reporting of the co-manufactured chemical. Use
the same procedure selected when identifying the subject chemical substance. See Section 4.9 for
additional information.
4.4.1.3 Special Provisions for Portable Manufacturing Units
Two examples of portable manufacturing units are tanks used to manufacture calcium
hydroxide slurry for use in building construction and road and highway projects, and tanks used
to mix anhydrous ammonia and water to manufacture ammonium hydroxide prior to application
on agricultural lands. EPA is interested in including chemical substance manufacturing that is,
for instance, performed by road crews or is occurring at construction sites at which chemical
substances are mixed on site to create a different chemical substance. Because the site of
physical manufacturing could change on a frequent basis, the distribution center shall be
considered the site for portable manufacturing units sent to different locations from a single
distribution center. Manufacturers would report the aggregated production volume for all of the
portable manufacturing units sent out to different locations from a single distribution center
whose address would be reported as the site location.
4-8
Chapter 4
4.4.2
Instructions for Completing CDR Form U
Site Name
Enter the full name of the site. You should include any additional identifying terms such
as Inc, Ltd, LLC, etc. Standardized conventions for the naming of a site should be used to
address common formatting discrepancies, such as punctuation, capitalization, and
abbreviations (e.g., “CORP” for “Corporation”) and to increase the reliability and usability of
the data. See Table 4-3 in Section 4.3.1. Note that the e-CDRweb reporting tool may
automatically populate the site name from the site used for CDX registration. In that case, you
do not need to change the populated site name to conform with Table 4-3.
4.4.3
Site Dun & Bradstreet Number D-U-N-S®
D&B assigns separate numbers to subsidiaries and parent companies; make sure that the
number you provide EPA 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
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. Standardized conventions for listing a
street address will be used to account for common formatting discrepancies, such as
punctuation (by eliminating all periods, commas, and all leading, trailing, and duplicate
spaces), capitalization, and abbreviations in order to increase the reliability and usability of the
data. See Table 4-4 in Section 4.3.3. Note that the e-CDRweb reporting tool may automatically
populate the site address from the site used for CDX registration. In that case, you do not need
to change the populated site address to conform with Table 4-4.
4.4.5
NAICS code
Enter the appropriate six-digit North American Industry Classification System (NAICS)
code or choose the correct code for each site reported. The NAICS code is the standard used by
Federal statistical agencies in classifying business establishments for the purpose of collecting,
analyzing, and publishing statistical data related to the U.S. business economy. Information
about NAICS codes can be obtained from the U.S. Census website at
www.census.gov/eos/www/naics/.
In some circumstances it may be challenging to identify a single NAICS code for the
site. In those circumstances, you may report up to three NAICS codes to more appropriately
describe your site. Entering more than one NAICS code is expected to be an unusual situation.
For example, headquarter sites that import for other sites may have difficulty identifying a
single NAICS code.
4-9
Chapter 4
4.5
Instructions for Completing CDR Form U
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 4.5.2 and 4.5.4. The SRS is EPA’s central system for
information about chemical substances that are tracked or regulated by EPA or other sources. It
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 4.5.1 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
instead of CA Index Names and CASRNs 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. Furthermore,
after choosing a chemical substance, a message will describe whether the chemical substance is
on the lists of full or partial exemption chemical substances, as well as show any regulations that
affect the reporting volume threshold, full or partial exemption eligibility, and/or small
manufacturer exemption eligibility.
4.5.1
Confidentiality of Chemical Substance Information
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 report.
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 (40 CFR 711.30(a)(2)(i)).
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(c)). 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 4-5. The confidentiality claim is only applicable to the
information as it is listed on the confidential portion of the TSCA Inventory; the corresponding
accession number and generic name listed on the public portion of the TSCA Inventory is
already public and cannot be claimed as confidential.
4-10
Chapter 4
Instructions for Completing CDR Form U
CBI claims for chemical identity will be accepted only when accompanied by a separate
written substantiation for the chemical substances claimed as CBI. Clicking the checkbox next to
“CBI for Chemical Identification” triggers the substantiation questions to appear. 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 as listed
on the confidential portion of the TSCA Inventory. Additional information about making and
substantiating confidentiality claims is available on EPA’s website, at www.epa.gov/tsca-cbi.
Table 4-5. Substantiation Questions to be Answered when Asserting Chemical Identity CBI
Claims (40 CFR 711.30(b) and (c))
No.
Question
1.
Will disclosure of the information claimed as confidential likely cause substantial harm to your business’s
competitive position? If you answered yes, describe the substantial harmful effects that would likely result
to your competitive position if the information is disclosed, including but not limited to how a competitor
could use such information and the causal relationship between the disclosure and the harmful effects.
2.
To the extent your business has disclosed the information to others (both internally and externally), has
your business taken precautions to protect the confidentiality of the disclosed information? If yes, please
explain and identify the specific measures, including but not limited to internal controls, that your business
has taken to protect the information claimed as confidential.
3.
(A) Is any of the information claimed as confidential required to be publicly disclosed under any other
Federal law? If yes, please explain.
(B) Does any of the information claimed as confidential otherwise appear in any public documents,
including (but not limited to) safety data sheets; advertising or promotional material; professional or trade
publications; state, local, or Federal agency files; or any other media or publications available to the
general public? If yes, please explain why the information should be treated as confidential.
(C) Does any of the information claimed as confidential appear in one or more patents or patent
applications? If yes, please provide the associated patent number or patent application number (or
numbers) and explain why the information should be treated as confidential.
4.
Does any of the information that you are claiming as confidential constitute a trade secret? If yes, please
explain how the information you are claiming as confidential constitutes a trade secret.
5.
Is the claim of confidentiality intended to last less than 10 years (see TSCA section 14(e)(1)(B))? If yes,
please indicate the number of years (between 1–10 years) or the specific date after which the claim is
withdrawn.
6.
Has EPA, another federal agency, or court made any confidentiality determination regarding information
associated with this chemical substance? If yes, please provide the circumstances associated with the prior
determination, whether the information was found to be entitled to confidential treatment, the entity that
made the decision, and the date of the determination.
7.
Is this chemical substance publicly known (including by your competitors) to be in U.S. commerce? If yes,
please explain why the specific chemical identity should still be afforded confidential status (e.g., the
chemical substance is publicly known only as being distributed in commerce for research and development
purposes, but no other information about the current commercial distribution of the chemical substance in
the United States is publicly available). If no, please complete the certification statement:
I certify that on the date referenced, I searched the internet for the chemical substance identity
(i.e., by both chemical substance name and CASRN). I did not find a reference to this chemical
substance that would indicate that the chemical is being manufactured or imported by anyone for
a commercial purpose in the United States. [provide date].
4-11
Chapter 4
Instructions for Completing CDR Form U
No.
Question
8.
Does this particular chemical substance leave the site of manufacture (including import) in any form, e.g.,
as a product, effluent, emission? If yes, please explain what measures have been taken to guard against the
discovery of its identity.
9.
If the chemical substance leaves the site in a form that is available to the public or your competitors, can
the chemical identity be readily discovered by analysis of the substance (e.g., product, effluent, emission),
in light of existing technologies and any costs, difficulties, or limitations associated with such
technologies? Please explain why or why not.
10.
Would disclosure of the specific chemical name release confidential process information? If yes, please
explain.
4.5.2
Chemical Substance Identifying Number
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 4.5.4. (40 CFR
711.15(b)(3)(i)). You may enter either a
CASRN or the specific name of the chemical
substance 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,
report the EPA-designated TSCA Accession
Number. Each TSCA Inventory chemical
substance has at least one of these types of
numbers.
In the case of a chemical substance listed on the confidential portion of the TSCA
Inventory, report the TSCA Accession Number as the chemical identifying number. Note that the
SRS contains a cross-reference list that displays the Accession Number, generic chemical name,
and PMN case number (or for an initial TSCA Inventory substance, the TSCA Inventory
reporting form number) for any chemical substance listed on the confidential portion of the
TSCA Inventory.
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 also could 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 on company letterhead, well before initiating CDR reporting to
obtain the Accession Number assigned when the Notice of Commencement (NOC) was
4-12
Chapter 4
Instructions for Completing CDR Form U
submitted to the Agency. Individuals are urged to submit a complete and accurate TSCA
Inventory Correspondence 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 U.S. Postal Service:
By Hand Delivery or Courier:
U.S. Environmental Protection Agency
Office of Pollution Prevention and Toxics
1200 Pennsylvania Ave NW (7407M)
Room 6428
Washington, DC 20460
Attention: Industrial Chemistry Branch
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
4.5.3
ID Code
The code corresponding to the type of identifying number you selected in the SRS will be
entered. See codes in Table 4-6.
Table 4-6. ID Code for Chemical Identifying Numbers
If the Number You are Reporting is a(n)
TSCA Accession Number
CAS Registry Number
4.5.4
This Code Will be Entered
A
C
Chemical Name
Report your chemical substance using the CA Index Name currently used to list the
chemical substance on the TSCA Inventory. You can identify the CA Index name by searching
SRS using a CASRN, the specific name of the chemical substance, or related acronyms. In the
event that an acronym is used for multiple chemical substances, you should take care to select
the correct substance.
In cases where a chemical substance is listed on the confidential portion of the TSCA
Inventory, the generic name will automatically be incorporated into your report when you select
the Accession Number.
In order to continue to protect the confidentiality of the underlying specific chemical
identification information (i.e., the CASRN and specific chemical name as listed on the
confidential portion of the inventory), you must claim the chemical identity as confidential and
complete the upfront substantiation. The Accession Number and generic chemical name will
remain non-confidential. Failure to identify the chemical identity as confidential and complete
the upfront substantiation waives any confidentiality claim for 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.
4-13
Chapter 4
4.5.5
Instructions for Completing CDR Form U
Special Provisions for Joint Submitters of Unknown Chemical Substances
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 information is claimed confidential. In these cases,
you and the supplier may report the information required in a joint submission, which is further
discussed in Section 4.10 of this chapter. 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 is known to or reasonably ascertainable by you. In addition, you must use eCDRweb to ask the supplier (secondary submitter) of the confidential chemical substance to
directly provide EPA with the correct chemical identity (as described in Section 4.5.2), 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. If your connection to
your supplier’s name and other contact information, including the trade name, is confidential,
you must indicate so by checking the CBI box. Failing to check the CBI box may result in EPA
making the information publicly available without further notice to you, the submitter.
Substantiation of this confidentiality claim is not required at the time of submission.
Similarly, in the event that you as the manufacturer cannot provide the complete
chemical identity because you manufacture the reportable chemical substance using a reactant
that has 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. If your connection to your supplier’s name and other contact information, including
the trade name, is confidential, you must indicate so by checking the CBI box. Failing to check
the CBI box may result in EPA making the information publicly available without further notice
to you, the submitter. Substantiation of this confidentiality claim is not required at the time of the
CDR submission.
In both cases, when the secondary submitter responds to the primary submitter’s request,
the secondary submitter would use e-CDRweb to identify the chemical substance in question, the
associated percent composition (4.D.2.d) and the chemical-specific function (4.D.2.e) of each
component chemical substance of the trade name product or mixture. If this information is
considered confidential, the secondary (or tertiary, as appropriate) submitter must indicate so by
checking the CBI box and, in the case of the chemical identity as listed on the confidential
portion of the TSCA Inventory, completing the required substantiation questions (as listed in
section 4.5.1 of this document). The chemical-specific function cannot be claimed as confidential
4-14
Chapter 4
Instructions for Completing CDR Form U
(see section 4.8 of this document for more information). Failing to check the CBI box may result
in EPA making the information publicly available without further notice to the submitter.
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.
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 Section 4.10 in this chapter for more information on preparing joint
submissions.
4.6
Part II – Section B. Technical Contact Information7
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 e-CDRweb tool. In selecting the technical contact, submitters should consider that EPA may
have follow-up questions about a CDR submission years after the submission date. The technical
contact need not be the person who signed the certification statement.
4.6.1
Technical Contact Name and Company Name
Enter the name of the person whom EPA may contact for clarification of information
submitted on the Form U. Enter the name of the company employing the technical contact.
You may use the same technical contact for all chemicals on your submission or you may
use a different technical contact for each chemical.
4.6.2
Technical Contact Telephone Number and Email Address
Enter the technical contact’s telephone number, including the area code, and the contact’s
email address. If the technical contact is outside of the United States, include the country code.
4.6.3
Technical Contact Mailing Address
Enter the technical contact’s full mailing address, using standard addressing techniques as
established by the U.S. or international postal services, as applicable. 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 followed by the Post Office box number. Standardized conventions for listing a
mailing address will be used to account for common formatting discrepancies, such as punctuation (by
eliminating all periods, commas, and all leading, trailing, and duplicate spaces), capitalization, and
abbreviations in order to increase the reliability and usability of the data. See Table 4-4 in Section
4.3.3.
7
See Sec 4.8.1 for information concerning CBI claims for Technical Contact Information.
4-15
Chapter 4
4.7
Instructions for Completing CDR Form U
Part II – Section C. Manufacturing Information
The following subsections describe the manufacturing information required to be
reported for each chemical substance.
Summary of substantiation requirements for claims of confidentiality:
All claims of confidentiality, except for information exempt from substantiation under
TSCA section 14(c)(2) such as production volume information (including domestic
manufacture and import), and certain information in joint submissions, must be
substantiated at the time of submission as required by TSCA section 14(c)(3).
When using e-CDRweb, the CDR electronic reporting application, you will be alerted
when CBI substantiations are required.
For additional information about how to answer substantiation questions, visit
www.epa.gov/tsca-cbi on the EPA website.
For information on EPA’s policy of reviewing CBI claims, visit EPA Review and
Determination of CBI Claims under TSCA on the EPA website.
4.7.1
Confidentiality of Manufacturing Information
Information reported in the manufacturing section of the CDR reporting form can be claimed as
confidential. For most of the data elements, upfront substantiation of the claim is required. Specifically,
upfront substantiation:
•
•
IS NOT required for the annual production volumes, imported volume, or domestically
manufactured volume.
IS required for all other data elements.
4.7.1.1 Confidentiality of Company, Site, and Technical Contact Information
Check the appropriate CBI box in this block and complete the substantiation questions to
assert a confidentiality claim for the link between the chemical substance and the company or
site identity reported in Part I or the technical contact identity reported in Part II – Section B.
Checking the CBI box automatically triggers the substantiation questions. See Table 4-7 for
substantiation questions related to these data elements. If you fail to substantiate your CBI claims
in accordance with the statute and applicable rules, EPA may make the information available to
the public without further notice to you. For additional information about how to answer
substantiation questions, visit www.epa.gov/tsca-cbi on the EPA website.
You may assert a claim of confidentiality for a site, company, or technical contact
identity to protect the link between that information and the reported chemical substance. Such
claim may only be asserted where the linkage of that information to a reportable chemical
substance is confidential and not publicly available. You may claim the connection between
4-16
Chapter 4
Instructions for Completing CDR Form U
chemical substance and company, site, or technical contact 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 the Form U). Any confidentiality claims need to be made on a
chemical-by-chemical basis. For example, if you claimed as confidential the link between
chemical A and your company information and do not claim the link as confidential for chemical
B, EPA may make the link between your company and chemical B public without notice.
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. In other words, if your intent is to claim company name as confidential
you must claim all data elements that reference or allude to company name as CBI. The failure to
do this will likely result in a denial of a CBI claim for company name.
4.7.1.2 Confidentiality of Production Volume Information
Check the appropriate CBI box in this block to assert a confidentiality claim for the associated
production volume information being submitted. If you fail to assert your CBI claims in accordance
with the statute and applicable rules, EPA may make the information available to the public without
further notice to you.
4.7.1.3 Confidentiality of all Other Manufacturing Information
Check the appropriate CBI box in this block and complete the substantiation questions to
assert a confidentiality claim for the associated information being submitted. Checking the CBI
box automatically triggers the substantiation questions. See Table 4-7 for substantiation
questions related to these data elements. If you fail to substantiate your CBI claims in accordance
with the statute and applicable rules, EPA may make the information available to the public
without further notice to you. For additional information about how to answer substantiation
questions, visit www.epa.gov/tsca-cbi on the EPA website.
Table 4-7. Substantiation Questions to be Answered when Asserting Manufacturing, Processing,
and Use-Related Confidentiality Claims (40 CFR 711.30(b))
No.
Question
1.
Will disclosure of the information claimed as confidential likely cause substantial harm to your business’s
competitive position? If you answered yes, describe the substantial harmful effects that would likely result
to your competitive position if the information is disclosed, including but not limited to how a competitor
could use such information and the causal relationship between the disclosure and the harmful effects.
2.
To the extent your business has disclosed the information to others (both internally and externally), has your
business taken precautions to protect the confidentiality of the disclosed information? If yes, please explain
and identify the specific measures, including but not limited to, internal controls that your business has
taken to protect the information claimed as confidential.
3.
(A) Is any of the information claimed as confidential required to be publicly disclosed under any other
Federal law? If yes, please explain.
(B) Does any of the information claimed as confidential otherwise appear in any public documents,
including (but not limited to) safety data sheets; advertising or promotional material; professional or trade
publications; state, local, or Federal agency files; or any other media or publications available to the general
4-17
Chapter 4
No.
Instructions for Completing CDR Form U
Question
public? If yes, please explain why the information should be treated as confidential.
(C) Does any of the information claimed as confidential appear in one or more patents or patent
applications? If yes, please provide the associated patent number or patent application number (or numbers)
and explain why the information should be treated as confidential.
4.
Does any of the information that you are claiming as confidential constitute a trade secret? If yes, please
explain how the information you are claiming as confidential constitutes a trade secret.
5.
Is the claim of confidentiality intended to last less than 10 years (see TSCA section 14(e)(1)(B))? If yes,
please indicate the number of years (between 1–10 years) or the specific date after which the claim is
withdrawn.
6.
Has EPA, another federal agency, or court made any confidentiality determination regarding information
associated with this chemical substance? If yes, please provide the circumstances associated with the prior
determination, whether the information was found to be entitled to confidential treatment, the entity that
made the decision, and the date of the determination.
4.7.2
Reporting Manufacturing Information for the Principal Reporting Year
This section of the CDR describes the manufacturing data elements that should be
reported for your CDR reportable chemical substance for the principal reporting year. As an
example, for the 2020 submission period the principal reporting year is 2019. 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 cannot claim an “NKRA” designation as
confidential.
4.7.2.1 Activity (Domestically Manufacture and/or Import)
Identify whether the chemical substance is manufactured, imported, or both
manufactured and imported.
4.7.2.2 Domestically Manufactured Production Volume
Report the volume of the chemical substance domestically manufactured at your site, 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). See Table 4-8 for examples.
4.7.2.3 Imported Production Volume
Report the volume of the chemical substance imported by your site, 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 the
domestically manufactured production volume. Imported and domestically manufactured
production volumes are reported separately for each chemical substance at each site.
4-18
Chapter 4
Instructions for Completing CDR Form U
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. See Table 4-8 for
examples.
4.7.2.4 For Imported Chemical Substances, Is the Chemical Never Physically at Site?
Report whether or not your imported chemical substance is physically at the reporting site.
Report one of the following choices:
o 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),
o No, the imported chemical substance is physically present at the reporting site.
o NKRA, it is not known to or reasonably ascertainable by you whether the imported
chemical substance is physically present at the reporting site.
4.7.2.5 Volume Used On-Site
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 and is used, consumed, or
chemically reacted on-site. Do not include volumes that are only stored on-site or mixed with
other chemical substances, without reaction, and then stored on-site or moved off-site.
The volume used on-site should not exceed the sum of the domestically manufactured and
imported volumes minus the volume exported. Note that if you report that the imported chemical
substance is never physically present at the reporting site (for example because you ship it
directly from a foreign supplier to your client’s warehouse), that volume is not used at your site
and would not be included in the amount reported as volume used on-site. 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 the domestically
manufactured production volume (see section 4.7.2.2). e-CDRweb has built-in validation systems
that provide automated chemical identity/threshold checks. See Table 4-8 for examples.
4.7.2.6 Volume Exported
Report the 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 minus volume used on site. Note that direct exporting includes sending a chemical
substance to a distributor who then exports it without repackaging it, even if it is relabeled.
Direct exporting does not include sending a chemical substance to a distributor who repackages
and relabels it. The latter case would be considered a processing and use activity potentially
reportable under Part II – Section D of the Form U. Report the quantity to at least two
significant figures; it should be accurate to the extent known to or reasonably ascertainable by
4-19
Chapter 4
Instructions for Completing CDR Form U
you. You should use the same numeric format as described for domestically manufactured
production volume (see section 4.7.2.2). See Table 4-8 for examples.
Table 4-8. Examples of Reporting Volumes for Part II – Section C.
Manufacturing Information
Description
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 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.
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.
Site 6 domestically manufactures 10,000
lb of Chemical X, which is not the subject
of any of the certain TSCA actions.
Site 6 is not required to report because production was less than 25,000
lb. Note that if Chemical X were the subject of one of the listed TSCA
actions, reporting would be required because the production volume
exceeds the 2,500 lb threshold.
Site 7 domestically manufacturers 70,000
lb, imports 20,000 lb, and exports 10,000
lb of Chemical X.
Site 7 should report an amount that does not exceed 80,000 lb as volume
used at site for Chemical X, as the volume used at site should not be
greater than the sum of the domestically manufactured and imported
volumes minus the volume exported (70,000 lb + 20,000 lb – 10,000 lb).
Site 8 domestically manufactures 25,000
lb, imports 15,000 lb, and uses at site
5,000 lb of Chemical X.
Site 8 should report an amount that does not exceed 3,500 lb as volume
exported for Chemical X, as the volume exported should not exceed the
sum of the domestically manufactured and imported volumes minus
volume used on site (25,000 lb +15,000 lb – 5,000 lb).
4.7.2.7 Number of Workers
Report the total number of workers reasonably likely to be exposed to each reportable
chemical substance at each site (40 CFR 711.15(b)(3)(viii)). 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 4-9 lists the codes and ranges.
4-20
Chapter 4
Instructions for Completing CDR Form U
Table 4-9. Codes for Reporting Number of Workers Reasonably Likely to be Exposed
Code
W1
W2
W3
W4
W5
W6
W7
W8
Range of Workers Reasonably Likely to be Exposed
Fewer than 10 workers
At least 10 but fewer than 25 workers
At least 25 but fewer than 50 workers
At least 50 but fewer than 100 workers
At least 100 but fewer than 500 workers
At least 500 but fewer than 1,000 workers
At least 1,000 but fewer than 10,000 workers
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.
4-21
Chapter 4
Instructions for Completing CDR Form U
4.7.2.8 Maximum Concentration
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)(ix)). 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, report the code which corresponds to the appropriate
maximum concentration range of the chemical substance. Table 4-10 shows the codes and
concentration ranges. 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 4-10. Codes for Reporting Maximum Concentration
Code
Concentration Range (weight percent)
M1
Less than 1% by weight
M2
At least 1 but less than 30% by weight
M3
At least 30 but less than 60% by weight
M4
At least 60 but less than 90% by weight
M5
At least 90% by weight
4.7.2.9 What Percentage of this Chemical Substance is Being Manufactured as a Byproduct?
This data element may be reported voluntarily, but is not required. If you choose to report
this element, estimate the percentage of total principal reporting year production volume that is
being manufactured as a byproduct. The percentage should be accurate to the extent that it is
known to or reasonably ascertainable by you. For each chemical substance at each site, select the
percent production volume of the non-exempt portion of the byproduct chemical substance from
among the ranges listed in Table 4-11 and report the corresponding code (i.e., B1 through B4)
(40 CFR 711.15(b)(3)(vi)). Table 4-12 provides examples of reporting percentages of
manufacturing as a byproduct.
There are situations where the same chemical substance is manufactured both as a
primary chemical substance and a byproduct. While this is rare, it is a known occurrence. If the
chemical that is manufactured as a byproduct is used for a reportable commercial purpose, its
volume would be reported along with the volume of the chemical that is separately manufactured
at the same site and its volume would be counted as the byproduct portion when calculating the
percent manufactured as a byproduct.
4-22
Chapter 4
Instructions for Completing CDR Form U
Because an overproduction of the
primary manufactured substance does not
meet the definition of byproduct, do not
count overproduction as a byproduct portion
when calculating the percent manufactured
as a byproduct.
If you do not know or cannot
reasonably ascertain information about how
much of your production volume is
manufactured as a byproduct, you may use
the response NKRA in lieu of an estimated
percentage.
How to determine your percent production
volume that is a byproduct:
1. Determine the production volume of the chemical
substance that is manufactured as a byproduct for the
principal reporting year.
2. Determine your total production volume for the
chemical substance.
a. Add together the volume domestically
manufactured and the volume imported.
b. DO NOT subtract the volume used onsite or the volume exported.
3. Divide the volume determined in step 1 by the
volume determined in step 2 and multiply by 100.
Table 4-11. Codes for Reporting Percent Byproduct
Code
Percent by Weight
B1
0 percent by weight
B2
Greater than 0 but less than 50 percent by weight
B3
At least 50 but less than 100 percent by weight
B4
100 percent by weight
4.7.2.10 Is the Chemical Substance Being Recycled?
Report whether all or a portion of your manufactured chemical substance, which otherwise
would be disposed of as a waste, is being removed from the waste stream and is being used for a
commercial purpose (40 CFR 711.15(b)(3)(vii)). Report one of the following choices:
o Yes, the manufactured chemical substance, such as a byproduct, is to be recycled
or otherwise used for a commercial purpose instead of being disposed of as a
waste or included in a waste stream.
o No, the manufactured chemical substance, such as a byproduct, is not to be recycled
or otherwise used for a commercial purpose instead of being disposed of as a waste or
included in a waste stream.
o NKRA, it is not known to or reasonably ascertainable by you whether the
manufactured chemical substance, such as a byproduct, is to be recycled or otherwise
used for a commercial purpose instead of being disposed of as a waste or included in
a waste stream.
Table 4-12 provides examples of reporting recycling activities.
4-23
Chapter 4
Instructions for Completing CDR Form U
Table 4-12. Examples of Reporting Byproduct Percentages and Recycling
Description
Site 1 manufactures 2,721,400,000 lb of Chemical T,
none of which is manufactured as a byproduct or
recycled instead of being disposed of as a waste.
Site 2 manufactures 500,000 lb of Chemical U, 165,000
lb of which (or 33%) is manufactured as a byproduct and
then recycled instead of being disposed of as a waste.
Reporting Requirement
Byproduct: Enter code B1 (0 percent) for the
amount of production volume that is a byproduct.
Recycled: Enter N as no portion of the chemical is
being recycled.
Byproduct: Enter code B2 (greater than 0 but less
than 50 percent) for the amount of production
volume that is a byproduct.
Recycled: Enter Y as some portion of the chemical
is being recycled.
Site 3 manufactures 500,000 lb of Chemical V, 3% (15,000
lb) of which is manufactured as a byproduct. That 15,000 lb
is then directly recycled and the other 485,000 lb is sold into
commerce.
Byproduct: Enter code B2 (greater than 0 but less
than 50 percent) because 3% of the production
volume is manufactured as a byproduct.
Recycled: Enter Y as some portion of the chemical
is being recycled.
Site 4 manufactures a chemical substance, WonderChem.
The process to manufacture WonderChem results in the
production of a byproduct, Chemical S. Some portion of
Chemical S stays with WonderChem but does not contribute
to WonderChem’s properties. The remaining portion of
Chemical S is 500,000 lb. Initially site 4 disposed of
Chemical S as a waste, but partway through the year
discovered a use for Chemical S and diverted the remaining
portion from the waste stream. The full volume of
WonderChem is intended for commercial use.
Byproduct: For Chemical S, enter code B4 because
100% of the production volume is manufactured as
a byproduct.
Recycled: Enter Y as a portion of Chemical S is
being recycled instead of being disposed of as a
waste.
Site 5 manufactures 12,000,000 lb of Chemical X for
processing by incorporation into a mixture. Of the
production volume, 92% (11,040,000 lb) is processed for
incorporation and 8% (960,000 lb) is shipped to a waste
management facility that also recycles certain materials. The
manufacturer cannot reasonably ascertain whether this
portion of Chemical X is being recycled or disposed of as a
waste.
Byproduct: Enter code B1 (0 percent by weight) for
the production volume that is a byproduct.
Recycled: Enter NKRA as the manufacturer does
not know and cannot reasonably ascertain whether
Chemical X is being recycled or disposed of as a
waste.
Site 6 manufactures 200,000,000 lb of Chemical Y, 85%
(1,700,000 lb) of which is manufactured as a byproduct.
That 1,700,000 lb is then sold into commerce, but no part of
the volume produced of Chemical Y is recycled.
Byproduct: Enter code B3 (at least 50 but less than
100 percent) because 85% of the production volume
is manufactured as a byproduct.
Recycled: Enter N as no portion of the chemical is
being recycled.
Site 7 manufactures 100% of Chemical Z (150,000,000 lb)
as a byproduct. That 150,000,000 lb is then sold directly to a
recycler.
Byproduct: Enter code B4 (100 percent) because all
of the production volume is manufactured as a
byproduct.
Recycled: Enter Y as Chemical Z is known to be
recycled rather than disposed of as a waste.
Byproduct: For WonderChem, enter code B1
because none of the production volume is
manufactured as a byproduct.
Recycled: Enter N because WonderChem is
produced for commercial use and no quantity is
intended to be disposed of as a waste or recycled.
4-24
Chapter 4
Instructions for Completing CDR Form U
4.7.2.11 Physical Form and Percentage of Production Volume
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)(x)). For each chemical
substance at each site, the submitter must report as many physical forms as applicable from the
following six physical forms:
•
•
•
•
•
•
Dry Powder
Pellets or Large Crystals
Water- or Solvent-Wet Solid
Other Solid
Gas or Vapor
Liquid
You can select “Not Known or Reasonably Ascertainable (NKRA)” if the physical
form of the chemical substance is not known to or reasonably ascertainable by you.
Report the percentage of the total production volume of the chemical substance for each
physical form reacted onsite or sent off-site rounded off to the closest 10 percent (40 CFR
711.15(b)(3)(ix)). If the chemical substance is sent off-site in more than one physical form,
report all the physical forms in which it is sent off-site. These percentages may total more or less
than 100% due to rounding.
Example 4-3. 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 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
4.7.3
50%
20%
0%
0%
0%
20%
Reporting Past Production Volume
Report in pounds the total volume of the chemical substance manufactured at your site
(includes domestically manufactured and imported volumes) during the calendar years between
the last principal reporting year and the current principal reporting year. 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, unacceptable submissions are: “2
million,” “2 E6,” production volumes with decimals, or production volumes with abbreviations
such as M (e.g., 12,000,000 = 12M) or K (e.g., 50,000 = 50K).
4-25
Chapter 4
4.8
Instructions for Completing CDR Form U
Part II – Section D. Processing and Use Information
In addition to completing Part I and
Information regarding processing or use
Sections A – C of Part II, you must also complete activities must be reported to the extent
Section D of Part II of the Form U for reportable
that it is known to or reasonably
chemical substances manufactured (including
ascertainable by the submitter (40 CFR
imported), unless the chemical substance is
711.15(b)(4)).
partially exempt. See Sections 2.3.2 and 2.3.3 to
determine whether you qualify for a partial exemption. You should report the processing and
use activities for the total principal reporting year production volume reported (both
domestically manufactured and imported).
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.
For further clarity, 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 already-available 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.
4-26
Chapter 4
4.8.1
Instructions for Completing CDR Form U
Confidentiality of Processing and Use Information
You may check the CBI box next to each data element to claim data as confidential.
However, you may not claim the following data elements as confidential:
•
Certain Industrial processing and use data elements. These data elements are a general
description of how the chemical is used or processed and cannot be claimed as
confidential (Form U Part II – Section D.1):
o type of process or use (§ 711.15(b)(4)(i)(A));
o industrial sector (§ 711.15(b)(4)(i)(B)); and
o function code (§ 711.15(b)(4)(i)(C)).
•
Certain Consumer and Commercial use data elements. These data elements are a general
description of how the chemical is used and cannot be claimed as confidential (Form U
Part II – Section D.2):
o product category (§ 711.15(b)(4)(ii)(A));
o function of the chemical in the consumer or commercial product
(§ 711.15(b)(4)(ii)(B));
o whether the chemical is used in commercial or consumer products
(§ 711.15(b)(4)(ii)(C)); and
o whether the chemical predictably is used in children’s products
(§ 711.15(b)(4)(ii)(D)).
You may assert a claim of confidentiality for each data element required by §
711.15(b)(4)(i)(D), (E) and (F) (i.e., percentage of production volume, number of industrial sites,
and number of industrial workers that are reasonably likely to be exposed) and §
711.15(b)(4)(ii)(E), (F), and (G) (i.e., percentage of production volume, maximum concentration,
and number of commercial workers that are reasonably likely to be exposed) to protect the link
between that information and the reported chemical substance. Such claim may only be asserted
where the linkage of that information to a reportable chemical substance is confidential and not
publicly available. With regard to any use and processing data elements which may be claimed as
CBI, keep in mind that you cannot claim an “NKRA” designation as confidential. Checking a
CBI box associated with a specific processing and use data element automatically triggers
substantiation questions. See Table 4-7 for substantiation questions to be answered when
asserting CBI claims for processing and use information.
4.8.2
Part II – Section D.1. Industrial Processing and Use Data
For purposes of CDR reporting, an industrial use means use at a site at which one or
more chemical substances or mixtures are manufactured (including imported) or processed (40
CFR 711.3).
For each CDR chemical substance manufactured (including imported), report up to ten
unique combinations of the following data elements: the Type of Process or Use Operation
(TPU) (described in Section 4.8.2.1), the Industrial Sector (IS) (described in Section 4.8.2.2), and
the Function Category (FC) (described in Section 4.8.2.3) (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
4-27
Chapter 4
Instructions for Completing CDR Form U
report the percentage of production volume (described in Section 4.8.2.4), the number of sites
(described in Section 4.8.2.5), and the number of workers (described in Section 4.8.2.6) (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.
4.8.2.1 Type of Processing or Use Operation
To the extent that it is known to or reasonably ascertainable by you, report the code which
corresponds to the appropriate Type of Processing or Use Operation (TPU) for the particular
combination of IS and FC codes. Table 4-13 shows the codes and TPUs. Note that if a chemical
substance is fully reacted (i.e., reporting “PC” for the processing code), then the chemical
substance is wholly 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 FC 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.
Table 4-13. 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
4.8.2.2 Industrial Sectors
Report 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 4-14 shows the codes and sectors.
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 FC and
TPU codes.
A listing identifying the correspondence between NAICS codes and IS codes is
provided in Appendix D. Additional, more detailed information can be found on the CDR
website at www.epa.gov/cdr.
When you chose the IS “Other,” you also need to provide a written description of the
use of the chemical substance. The written description should be used to provide a description
at a comparable level of specificity as found with the current codes. It should not be used to add
additional, more specific detail. Your description may include the NAICS code.
4-28
Chapter 4
Instructions for Completing CDR Form U
Table 4-14. Industrial Sectors (IS)
Code
Sector Description
IS1
Agriculture, forestry, fishing and hunting
IS2
Oil and gas drilling, extraction, and support activities
IS3
Mining (except oil and gas) and support activities
IS4
Utilities
IS5
Construction
IS6
Food, beverage, and tobacco product manufacturing
IS7
Textiles, apparel, and leather manufacturing
IS8
Wood product manufacturing
IS9
Paper manufacturing
IS10
Printing and related support activities
IS11
Petroleum refineries
IS12
Asphalt paving, roofing, and coating materials manufacturing
IS13
Petroleum lubricating oil and grease manufacturing
IS14
All other petroleum and coal products manufacturing
IS15
Petrochemical manufacturing
IS16
Industrial gas manufacturing
IS17
Synthetic dye and pigment manufacturing
IS18
Carbon black manufacturing
IS19
All other basic inorganic chemical manufacturing
IS20
Cyclic crude and intermediate manufacturing
IS21
All other basic organic chemical manufacturing
IS22
Plastic material and resin manufacturing
IS23
Synthetic rubber manufacturing
IS24
Organic fiber manufacturing
IS25
Pesticide, fertilizer, and other agricultural chemical manufacturing
IS26
Pharmaceutical and medicine manufacturing
IS27
IS28
Paint and coating manufacturing
Adhesive manufacturing
IS29
Soap, cleaning compound, and toilet preparation manufacturing
IS30
Printing ink manufacturing
IS31
Explosives manufacturing
IS32
Custom compounding of purchased resin
IS33
Photographic film paper, plate, and chemical manufacturing
IS34
All other chemical product and preparation manufacturing
IS35
Plastics product manufacturing
IS36
Rubber product manufacturing
Nonmetallic mineral product manufacturing (includes clay, glass, cement, concrete, lime,
gypsum, and other nonmetallic mineral product manufacturing.
Primary metal manufacturing
IS37
IS38
4-29
Chapter 4
Instructions for Completing CDR Form U
Code
Sector Description
IS39
Fabricated metal product manufacturing
IS40
Machinery manufacturing
IS41
Computer and electronic product manufacturing
IS42
Electrical equipment, appliance, and component manufacturing
IS43
Transportation equipment manufacturing
IS44
Furniture and related product manufacturing
IS45
Miscellaneous manufacturing
IS46
Wholesale and retail trade
IS47
Services
IS48
Other (requires additional information)
4.8.2.3 Function Category
Report the code that corresponds to the appropriate Industrial Function Category (FC) for
each particular combination of TPU and IS that you report (40 CFR 711.15(b)(4)(i)(C)). For
reporting during the 2020 submission period, submitters are required to use the OECD-based
codes for the chemical substances designated by EPA as a high priority for risk evaluation and,
for all other chemical substances, may use either the OECD-based codes or the CDR codes. The
chemical substances designated by EPA as a high priority for risk evaluation are listed in 40
CFR 711.15, Table 9. For reporting during the 2024 and future submission periods, submitters
are required to use the OECD-based codes for all chemical substances for which the submitter is
reporting processing and use information. Table 4-15 shows the codes and FCs as a crosswalk of
the OECD-based codes and the CDR codes. Descriptions for each FC are provided in Appendix
D. If you select U999 or F999 (Other), you must provide a description of the function of the
chemical substance. The written description should be used to provide a description at a
comparable level of specificity as found with the current codes. It should not be used to add
additional, more specific detail.
Function codes are based on the intended physical or chemical characteristic for when a
chemical substance or mixture is consumed as a reactant; incorporated into a formulation,
mixture, reaction product, or article; repackaged; or used (e.g., as an abrasive, a catalyst, or an
elasticizer). However, the functional use categories cover the life cycle and describe the specific
function that a chemical provides when used in the formulation of a product or article, or when
used within an industrial process. While the function of a chemical may be the same across its
life cycle, certain functions may only be appropriate for consideration in an industrial setting,
while others may be relevant for a consumer or commercial setting. For more information on
reporting consumer and commercial use data, see Section 4.8.3 (Part II – Section D.2 of the
Form U) below.
4-30
Chapter 4
Instructions for Completing CDR Form U
Table 4-15. Codes for Reporting Function Categories (FCs)
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for
risk evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical
substances not listed in Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
F001
F002
F003
F004
F005
F006
F007
F008
F009
F010
F011
F012
F013
F014
F015
F016
F017
F018
F019
F020
F021
F022
F023
F024
F025
F026
F027
F028
F029
F030
F031
F032
F033
F034
F035
F036
F037
F038
F039
F040
Category
Abrasives
Etching agent
Adhesion/cohesion promoter
Binder
Flux agent
Sealant (barrier)
Absorbent
Adsorbent
Dehydrating agent (desiccant)
Drier
Humectant
Soil amendments (fertilizers)
Anti-adhesive/cohesive
Dusting agent
Bleaching agent
Brightener
Anti-scaling agent
Corrosion inhibitor
Dye
Fixing agent (mordant)
Hardener
Filler
Anti-static agent
Softener and conditioner
Swelling agent
Tanning agents not otherwise specified
Waterproofing agent
Wrinkle resisting agent
Flame retardant
Fuel agents
Fuel
Heat transferring agent
Hydraulic fluids
Insulators
Refrigerants
Anti-freeze agent
Intermediate
Monomers
Ion exchange agent
Anti-slip agent
Column B
Code
Category
U001
Abrasives
U002
Adhesives and Sealant Chemicals
U003
Adsorbents and Absorbents
U004
Agricultural Chemicals (non-pesticidal)
U005
Anti-Adhesive Agents
U006
Bleaching Agents
U007
Corrosion inhibitors and antiscaling 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
U017
Ion exchange agents
Lubricants and lubricant additives
4-31
Chapter 4
Instructions for Completing CDR Form U
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for
risk evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical
substances not listed in Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Category
F041
F042
F043
F044
F045
F046
F047
F048
F049
F050
F051
F052
F053
F054
F055
F056
F057
F058
F059
F060
F061
F062
F063
F064
F065
F066
F067
F068
F069
F070
F071
Lubricating agent
Deodorizer
Fragrance
Oxidizing agent
Reducing agent
Photosensitive agent
Photosensitizers
Semiconductor and photovoltaic agent
UV stabilizer
Opacifer
Pigment
Plasticizer
Plating agent
Catalyst
Chain transfer agent
Chemical reaction regulator
Crystal growth modifiers (nucleating agents)
Polymerization promoter
Terminator/Blocker
Processing aids, specific to petroleum production
Antioxidant
Chelating agent
Defoamer
pH regulating agent
Processing aids not otherwise specified
Energy Releasers (explosives, motive propellant)
Foamant
Propellants, non-motive (blowing agents)
Cloud-point depressant
Flocculating agent
Flotation agent
Solids separation (precipitating) agent, not
otherwise specified
Cleaning agent
Diluent
Solvent
Surfactant (surface active agent)
Emulsifier
Thickening agent
Viscosity modifiers
Laboratory chemicals
Dispersing agent
F072
F073
F074
F075
F076
F077
F078
F079
F080
F081
Column B
Code
Category
U017
Lubricants and lubricant additives
U018
Odor agents
U019
Oxidizing/reducing agents
U020
Photosensitive chemicals
U021
Pigments
U022
U023
Plasticizers
Plating agents and surface treating agents
U024
Process regulators
U025
Processing aids, specific to petroleum production
U026
Processing aids, not otherwise listed
U027
Propellants and blowing agents
U028
Solids separation agents
U029
Solvents (for cleaning or degreasing)
U030
Solvents (which become part of product
formulation or mixture)
U031
Surface active agents
U032
Viscosity adjustors
U033
U034
Laboratory chemicals
Paint additives and coating additives not described
4-32
Chapter 4
Instructions for Completing CDR Form U
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for
risk evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical
substances not listed in Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Category
Column B
Code
Category
F082 Freeze-thaw additive
by other codes
F083 Surface modifier
F084 Wetting agent (non-aqueous)
F085 Aerating and deaerating agents
F086 Explosion inhibitor
F087 Fire extinguishing agent
F088 Flavoring and nutrient
F089 Anti-redeposition agent
F090 Anti-stain agent
F091 Anti-streaking agent
F092 Conductive agent
F093 Incandescent agent
F094 Magnetic element
F095 Anti-condensation agent
F096 Coalescing agent
F097 Film former
F098 Demulsifier
F099 Stabilizing agent
F100 Alloying element
U999
Other (specify)
F101 Density modifier
F102 Elasticizer
F103 Flow promoter
F104 Sizing agent
F105 Solubility enhancer
F106 Vapor pressure modifiers
F107 Embalming agent
F108 Heat stabilizer
F109 Preservative
F110 Anti-caking agent
F111 Deflocculant
F112 Dust suppressant
F113 Impregnation agent
F114 Leaching agent
F115 Tracer
F116 X-ray absorber
F999 Other (specify)
NOTE:
• For codes F085 – F116, no comparable crosswalk code existed in 2016 and prior; F999 is the proper crosswalk code
4.8.2.4 Percentage of Production Volume
Estimate the percentage of total principal reporting year production volume that is
4-33
Chapter 4
Instructions for Completing CDR Form U
attributable to each unique combination of TPU, IS, and FC. 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 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 FC
combinations may add up to more
How to determine your percent production volume:
than 100 percent, given that you
are reporting on distribution of a
1. Determine the production volume that is attributable
chemical substance to sites in your
to each unique combination of TPU, IS, and FC.
control as well as downstream
2. Determine your total production volume for the
sites, some of which are not
current principal reporting year.
immediate purchasers from your
a. Add together the volume domestically
original manufacturing site.
manufactured and the volume imported.
Additionally, the total percentage
b. DO NOT subtract the volume used on-site or
of production volume may add up
the volume exported
to less than 100 percent if, for
2. Divide the volume determined in step 1 by the
example:
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 4-16 provides examples of reporting industrial processing and use data.
Table 4-16. Examples of Reporting Industrial Processing and Use Information
Description
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 the Form U, enter PF for type of
process or use, IS17 for industrial sector, F019 for FC,
and 70% for production volume. On line 3.A.2 of the
Form U, enter PF for type of process or use, IS17 for
industrial sector, F051 for FC, 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 the Form U, enter PF for type of
process or use, IS17 for industrial sector, F019 for FC,
and 100% for production volume. On line 3.A.2 of the
Form U, enter PF for type of process or use, IS14 for
industrial sector, and F051 for FC. Because less than
25,000 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
On line 3.A.1 of the Form U, enter PF for type of
process or use, IS17 for industrial sector, F019 for IFC,
and 100% for production volume. Because the use in
pigments, FC F051, accounts for 100,000 lb or more,
4-34
Chapter 4
Instructions for Completing CDR Form U
Description
Reporting Requirement
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.2 of the Form U, enter PF for type of process
or use, IS17 for industrial sector, F051 for FC, and 3%
for production volume.
4.8.2.5 Number of Sites Code
For each unique combination of Type of Process or Use Operation, Industrial Sector, and
Function Category, report 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)I). 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.C of the Form U and a
processing or use site reported in Part II.D of the Form U (40 CFR 711.15(b)(4)). Table 4-17
shows the codes and site number ranges.
Table 4-17. Codes for Reporting Numbers of Sites
Code
Range
S1
Fewer than 10 sites
S2
At least 10 but fewer than 25 sites
S3
At least 25 but fewer than 100 sites
S4
At least 100 but fewer than 250 sites
S5
At least 250 but fewer than 1,000 sites
S6
At least 1,000 but fewer than 10,000 sites
S7
At least 10,000 sites
4.8.2.6 Number of Workers Code
For each unique combination of Type of Process or Use Operation, Industrial Sector, and
Function Category, estimate the total number of workers that are reasonably likely to 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 that are not under your control as well as those sites
you control. For each chemical substance, report 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 4-18 shows the codes
and worker ranges. See Section 4.7.2.7 for a discussion of “reasonably likely to be exposed.”
4-35
Chapter 4
Instructions for Completing CDR Form U
Table 4-18. Codes for Reporting Number of Workers Reasonably Likely to
be Exposed During Processing and Use
Code
4.8.3
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
Part II – Section D.2. Consumer and Commercial Use Data
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).
For each CDR chemical substance manufactured (including imported), report up to ten
unique combinations of the following data elements: the Product Category (PC) (described in
Section 4.8.3.1), the Function Category (FC) (described in Section 4.8.3.2), whether the use is
consumer and/or commercial (described in Section 4.8.3.3), and whether the use is in products
intended for use by children (described in Section 4.8.3.4) (40 CFR 711.15(b)(4)(ii)). A
combination of these four 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 4.8.3.5), the maximum
concentration (described in Section 4.8.3.6), and, for commercial uses, the number of
commercial workers (described in Section 4.8.3.7) (40 CFR 711.15(b)(4)(ii)). 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)(ii)(A)). The reporting tool will allow you to
enter more than ten combinations if you choose to do so.
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) 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)).
4-36
Chapter 4
Instructions for Completing CDR Form U
4.8.3.1 Product Category
You must designate up to ten product categories which correspond to the actual use of
the chemical substance by reporting the codes which correspond to the appropriate product
categories (40 CFR 711.15(b)(4)(ii)(A)). The reporting tool will allow you to enter more than ten
categories if you choose to do so. For reporting during the 2020 submission period, submitters
are required to use the OECD-based codes for the chemical substances designated by EPA as a
high priority for risk evaluation and, for all other chemical substances, may use either the
OECD-based codes or the CDR codes. The chemical substances designated by EPA as a high
priority for risk evaluation are listed in 40 CFR 711.15, Table 9. For reporting during the 2024
and future submission periods, submitters are required to use the OECD-based codes for all
chemical substances for which the submitter is reporting processing and use information. Table
4-19 shows the codes and product categories as a crosswalk of the OECD-based codes and the
CDR codes.
If you select C909 or CC980 (Other), you must provide a description of the product
category. The written description should be used to provide a description at a comparable level
of specificity as found with the current codes. It should not be used to add additional, more
specific detail. 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 4-19. Product Category Codes
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for
risk evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical
substances not listed in Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Category
Column B
Code
Category
Chemical Substances in Furnishing, Cleaning, Treatment Care Products
Construction and building materials covering large surface areas
including stone, plaster, cement, glass and ceramic articles;
fabrics, textiles, and apparel
Furniture & furnishings including plastic articles (soft); leather
CC102
articles
Furniture & furnishings including stone, plaster, cement, glass and
CC103
ceramic articles; metal articles; or rubber articles
CC101
CC104
Leather conditioner
CC105
Leather tanning, dye, finishing, impregnation and care products
CC106
Textile (fabric) dyes
CC107
Textile finishing and impregnating/surface treatment products
CC108
All-purpose foam spray cleaner
CC109
All-purpose liquid cleaner/polish
CC110
All-purpose liquid spray cleaner
CC111
All-purpose waxes and polishes
CC112
Appliance cleaners
CC113
Drain and toilet cleaners (liquid)
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
Cleaning and furnishing care
C105 products
4-37
Chapter 4
Instructions for Completing CDR Form U
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for
risk evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical
substances not listed in Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Category
CC114
Powder cleaners (floors)
CC115
Powder cleaners (porcelain)
CC116
Dishwashing detergent (liquid/gel)
CC117
Dishwashing detergent (unit dose/granule)
CC118
Dishwashing detergent liquid (hand-wash)
CC119
Dry cleaning and associated products
CC120
Fabric enhancers
CC121
Laundry detergent (unit-dose/granule)
CC122
Laundry detergent (liquid)
CC123
Stain removers
CC124
Ion exchangers
CC125
Liquid water treatment products
CC126
Solid/Powder water treatment products
CC127
Liquid body soap
CC128
Liquid hand soap
CC129
Solid bar soap
CC130
Air fresheners for motor vehicles
CC131
Continuous action air fresheners
CC132
Instant action air fresheners
CC133
Anti-static spray
CC134
Apparel finishing, and impregnating/surface treatment products
CC135
Insect repellent treatment
CC136
Pre-market waxes, stains, and polishes applied to footwear
CC137
Post-market waxes, and polishes applied to footwear (shoe polish)
CC138
Waterproofing and water-resistant sprays
Column B
Code
C105
Category
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
CC201
Fillers and putties
CC202
Hot-melt adhesives
CC203
One-component caulks
CC204
Solder
CC205
Single-component glues and adhesives
CC206
Two-component caulks
CC207
Two-component glues and adhesives
CC208
Adhesive/Caulk removers
CC209
Aerosol spray paints
CC210
Lacquers, stains, varnishes and floor finishes
C201 Adhesives and sealants
C202 Paints and coatings
4-38
Chapter 4
Instructions for Completing CDR Form U
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for
risk evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical
substances not listed in Table 9. For the 2024 and future submission periods, use only column A.
Column A
Column B
Code
Category
CC211
Paint strippers/removers
CC212
Powder coatings
CC213
Radiation curable coatings
CC214
Solvent-based paint
CC215
Thinners
CC216
Water-based paint
CC217
Construction and building materials covering large surface areas,
including wood articles
Building/ construction materials C203 wood and engineered wood
products
CC218
Construction and building materials covering large surface areas,
including paper articles; metal articles; stone, plaster, cement,
glass and ceramic articles
C204
CC219
Machinery, mechanical appliances, electrical/electronic articles
CC220
CC221
CC222
Other machinery, mechanical appliances, electronic/electronic
articles
Construction and building materials covering large surface areas,
including metal articles
Electrical batteries and accumulators
Code
Category
C202 Paints and coatings
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, Toys, Hobby Products
CC990
Non-TSCA use
CC301
Packaging (excluding food packaging), including paper articles
CC302
CC303
CC304
CC305
Other articles with routine direct contact during normal use,
including paper articles
Packaging (excluding food packaging), including rubber articles;
plastic articles (hard); plastic articles (soft)
Other articles with routine direct contact during normal use
including rubber articles; plastic articles (hard)
Toys intended for children’s use (and child dedicated articles),
including fabrics, textiles, and apparel; or plastic articles (hard)
CC306
Adhesives applied at elevated temperatures
CC307
Cement/concrete
CC308
Crafting glue
CC309
Crafting paint (applied to body)
CC310
Crafting paint (applied to craft)
CC311
Fixatives and finishing spray coatings
CC312
Modelling clay
CC313
Correction fluid/tape
CC314
Inks in writing equipment (liquid)
CC315
Inks used for stamps
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
4-39
Chapter 4
Instructions for Completing CDR Form U
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for
risk evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical
substances not listed in Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Category
CC316
Toner/Printer cartridge
CC317
Liquid photographic processing solutions
Column B
Code
Category
C306 Ink, toner, and colorant products
C307
Photographic supplies, film, and
photochemicals
Chemical Substances in Automotive, Fuel, Agriculture, Outdoor Use Products
CC401
Exterior car washes and soaps
CC402
Exterior car waxes, polishes, and coatings
CC403
Interior car care
CC404
Touch up auto paint
CC405
Degreasers
CC406
Liquid lubricants and greases
CC407
Paste lubricants and greases
CC408
Spray lubricants and greases
CC409
Anti-freeze liquids
CC410
De-icing liquids
CC411
De-icing solids
CC412
Lock de-icers/releasers
CC413
Cooking and heating fuels
CC414
Fuel additives
CC415
Vehicular or appliance fuels
CC416
Explosive materials
CC417
Agricultural non-pesticidal products
CC418
Lawn and garden care 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 (nonpesticidal)
C407 Lawn and garden care products
Chemical Substances in Products not Described by Other Codes
CC980
Other (specify)
C909 Other (specify)
CC990
Non-TSCA use
C980 Non-TSCA use
4.8.3.2 Functional Use for Consumer and/or Commercial Products
For each consumer and/or commercial product category reported, report the code(s) that
designates the function category(ies) that best represents the specific manner in which the
chemical substance is used (40 CFR 711.(b)(4)(ii)(B)). For reporting during the 2020 submission
period, submitters are required to use the OECD-based codes for the chemical substances
designated by EPA as a high priority for risk evaluation and, for all other chemical substances,
may use either the OECD-based codes or the CDR codes. The chemical substances designated
by EPA as a high priority for risk evaluation are listed in 40 CFR 711.15, Table 9. For reporting
during the 2024 and future submission periods, submitters are required to use the OECD-based
codes for all chemical substances for which the submitter is reporting processing and use
4-40
Chapter 4
Instructions for Completing CDR Form U
information. These codes are the same as those used above in Table 4-15 to report the
appropriate Function Category for industrial processing and use. A particular function category
may need to be reported more than once, to the extent that a submitter reports more than one
consumer or commercial product category that applies to a given function category under this
paragraph.
For the special situation where the chemical substance has multiple functions within the
same product, you can report in one of two ways:
1) If one function is predominant, simply report the primary function; or
2) If all functions represent a substantial portion of the product, report each on a
separate line and either estimate the portions individually or bifurcate the percent
Production Volume (%PV) equally across the functions (so as not to double or triplecount the %PV for the one product).
For example, Citric acid (CASRN 77-92-9) may be reported by one site as:
•
Product Category – CC116-Dishwashing
detergent (liquid/gel)
Functional Uses and (%PV)
o F073-Cleaning agent (25%)
o F043-Fragrance (15%)
o F065-Processing aids not
otherwise specified (15%)
o F079-Viscosity modifiers (10%)
•
Product Category – CC109-All-purpose
liquid cleaner/polish
Functional Uses and (%PV)
o F073-Cleaning agent (12%)
o F064-pH regulating agent (10%)
o F065-Processing aids not
otherwise specified (8%)
o F043-Fragrance (5%)
If none of the listed function categories accurately describes a use of a chemical
substance, the category “Other” may be used, and must include a description of the use. The
written description should be used to provide a description at a comparable level of specificity as
found with the current codes. It should not be used to add additional, more specific detail.
4.8.3.3 Consumer and/or Commercial Use
For each Product Category reported, report whether the use is a consumer use or a
commercial use (40 CFR 711.15b)(4)(ii)(C). If the product has both consumer and commercial
uses, report both.
4.8.3.4 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) 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)(D)). If you determine that your chemical substance or mixture is used in a
consumer product intended for use by children, report “Yes” in the “Used in Product(s) Intended
for Children” column in Part II.D.2 of the Form U. If you determine that your chemical
substance or mixture is not used in a consumer product intended for use by children, report
“No.” 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, report
4-41
Chapter 4
Instructions for Completing CDR Form U
“NKRA.”
4-42
Chapter 4
Instructions for Completing CDR Form U
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 4-20 illustrates some (non-exhaustive) 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 CC305.
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 CC401 and
CC402.
Table 4-20. Examples of Products Intended for Use by Children
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for
risk evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical
substances not listed in Table 9. For the 2024 and future submission periods, use only column A.
Column A
Codes
Category
Column B
Code
Category
Examples
Chemical Substances in Furnishings, Cleanings, Treatment Care Products
CC102
Furniture & furnishings including Plastic
articles (soft); Leather articles
Furniture & furnishings including Stone,
CC103 plaster, cement, glass and ceramic articles;
Metal articles; or Rubber articles
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
Fabric, textile, and
leather products not
covered elsewhere
Children’s clothing, children’s
sheets, child’s car seat
C108
Personal care
products
Baby shampoo, children’s
bubble bath
CC106 Textile (fabric) dyes
CC107
Textile finishing and impregnating/surface
treatment products
CC127 Liquid body soap
Children’s clothing
4-43
Chapter 4
Instructions for Completing CDR Form U
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for
risk evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical
substances not listed in Table 9. For the 2024 and future submission periods, use only column A.
Column A
Codes
Category
Column B
Code
Examples
Category
Chemical Substances in Construction, Paint, Electrical and Metal Products
CC219
Machinery, mechanical appliances,
electrical/electronic articles
CC222 Electrical batteries and accumulators
C205
Electrical and
electronic products
Electronic games, remote
control cars
C207
Batteries
Batteries used in toys
Chemical Substances in Packaging, Paper, Plastic, Hobby Products
Other articles with routine direct contact
CC302 during normal use, including paper
articles
Toys intended for children’s use (and
child dedicated articles), including
CC305
Fabrics, textiles, and apparel; or Plastic
articles (hard)
CC306
C302
Paper products
Diapers, baby wipes, coloring
books
C304
Toys, playground,
and sporting
equipment
Pacifiers, toy trucks, dolls, toy
cars, wagons, action figures,
balls, swing sets, slides, skates,
baseball gloves, kid’s rake
Adhesives applied at elevated
temperatures
CC308 Crafting glue
CC309 Crafting Paint (applied to body)
Craft glue for a hot glue gun
C305
Arts, crafts, and
hobby materials
Craft glue
Chemicals used to add color to
body paint, finger paints
4.8.3.5 Percentage of Production Volume
Estimate the percentage of your production volume 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)(E)). You should round estimates to the
nearest ten percent of production volume (40 CFR 711.15(b)(4)(ii)(E)). If you would like to
provide more specific percentages, please do so. However, you may not round a consumer and
commercial product category that accounts for five percent or less of the total production volume
attributable to that consumer and commercial product category is greater than or equal to 25,000
lb (40 CFR 711.15(b)(4)(ii)(E). In such cases, you must report the percentage of production
volume attributable to that consumer and commercial product category to the nearest one percent
of the production volume (40 CFR 711.15(b)(4)(ii)(E).
4-44
Chapter 4
Note that the total
percentage of production
volumes reported may add up to
more or less than 100 percent
due to rounding. Additionally,
the total percentage of
production volume may add up
to less than 100 percent if, for
example:
•
•
•
Instructions for Completing CDR Form U
How to determine your percent production volume:
1. Determine the production volume that is attributable to
each consumer and commercial end use.
2. Determine your total production volume for the current
principal reporting year.
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 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.
4.8.3.6 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 II.D.2 of the Form U (40 CFR 711.15(b)(4)(ii)(F)). For each chemical
substance used in a reported commercial or consumer product, report the code that corresponds
to the appropriate concentration range. Table 4-10 shows the codes and concentration ranges.
4.8.3.7 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)(G)). For each chemical substance
with a commercial use reported in Part II.D.2, report the code which corresponds to the
appropriate range of commercial workers reasonably likely to be exposed. Table 4-18 shows the
code and worker ranges. See Section 4.7.2.7 for a discussion of “reasonably likely to be
exposed.”
4.8.4
Special Provisions for Joint Submitters of Unknown Chemical Substances
In the situation where a primary submitter (such as an importer) has sent a request to a
secondary submitter (such as a foreign supplier) to provide the chemical composition of an
imported product or mixture, the secondary submitter must also provide the chemical-specific
function of each constituent substance along with information on chemical composition of the
imported product or mixture. See Section 4.8.2.3 for additional information about reporting the
function of a chemical substance.
4-45
Chapter 4
Instructions for Completing CDR Form U
4.9
Manufacturing by Contract: Co-manufacture Report
4.9.1
Determining the Need for a Co-manufacture Report when Manufacturing by Contract
A manufacturing by contract (co-manufacturing) relationship occurs when a chemical
substance, manufactured other than by import, is produced exclusively for another person who
contracts for such production. To be considered a co-manufacture situation, the producing company
produces the chemical substance exclusively for another person (the contracting company) under
contract for that production. If the chemical substance is produced for other purposes, then the situation
fails this first test of “co-manufacturing.” In addition, the other person contracting the manufacture
(i.e., the contracting company) specifies the identity of the chemical substance, the total amount
produced, and the basic technology for the plant process. This is the second test of “co-manufacturing.”
To be considered co-manufacturers, both of these tests must be met. See Appendix A for the definition
of “manufacture” (40 CFR 711.3).
Companies that are co-manufacturing a chemical substance each contribute to completing the
required CDR report for that chemical substance, choosing one of two procedures to report the
information to EPA. Note that, in all cases, both the producing company and the contracting company
are liable if no report is made. See 40 CFR 711.22(c).
4.9.2
Reporting Procedure 1 – the Contracting Company Initiates the Chemical Report
In this type of multi-reporter submission, the contracting company is the initiating submitter
and the producing company is the completing submitter. As the initiating submitter, the contracting
company is responsible for initiating a co-manufacture report that prompts the reporting requirements
for the producing company (as the completing submitter).
This reporting process helps to protect the confidentiality of both the producing company and
contracting company by ensuring that the contracting company would not require any potentially
confidential information from the producing company. This method also eliminates confusion between
the two involved parties by designating the contracting company as the initiating submitter responsible
for initiating the reporting process. As with past reporting under CDR, both parties are liable for
reporting the co-manufactured chemical under CDR.
4.9.2.1 The Initial Report is Completed by the Contracting Company
The contracting company, as the initiating submitter, is responsible for initiating the comanufacture report, uses e-CDRweb to notify the producing company of its need to complete a portion
of the co-manufacture report, and completes a portion of the manufacturing-related section (Form U
Part II.A – C) (40 CFR 711.15(b)(3)) and the processing and use-related section (Form U Part II.D) (40
CFR 711.15(b)(4)). The contracting company completes the chemical identity fields described in
Sections 4.5.1 to 4.5.4 of this document and may provide a trade name or other alternate identifier for
communicating with the producing company.
Identifying the manufacturing site for the co-manufactured chemical substance
In its portion of the co-manufacture chemical report, the initiating submitter identifies the site
of manufacture of the co-manufactured chemical substance, which is always the producing company’s
4-46
Chapter 4
Instructions for Completing CDR Form U
site. The site’s overall Form U includes both the contracting company’s site information (as the site
submitting the contracting site’s report) (reported in Form U Part I) and the producing company’s site
information (reported within the co-manufactured chemical report) (reported in Form U Part II.C). See
Section 4.4 for additional information about reporting site information in general.
Notifying the producing company about the co-manufacture report
Using the e-CDRweb reporting tool, the contracting company enters the email address of the
producing company, and any necessary instruction for the producing company to complete its part of
the co-manufacture report, into a system generated email. Also contained within the email is the unique
identifier. The initiating submitter may send the email before it has completed its part of the comanufacture report.
Finishing the initial portion of the co-manufacture report
The contracting company is responsible for completing portions of Part II.C (manufacturingrelated) and all of Part II.D (processing- and use-related) of the Form U. Specifically, the contracting
company provides the chemical identity and the volume manufactured. See Sections 4.5 and 4.7 of this
document for additional information about Parts II.A and II.C and Section 4.8 for additional
information about Part II.D specifically.
The contracting company completes any other chemical reports as part of its overall Form U
submission and submits one Form U, including any co-manufacture reports, for its site. For specific
instructions on how to report using the e-CDRweb reporting tool, see the e-CDRweb Getting Started
User Guide, available on the CDR website at www.epa.gov/cdr.
4.9.2.2 The Completion Report is Completed by the Producing Company
The producing company, as the completing submitter, is responsible for identifying that it is
providing information for the co-manufacture report using the information (e.g., unique identification
number) provided by the initiating submitter and completes the completion portion of the
manufacturing-related section (Form U Part II.C.3) (40 CFR 711.15(b)(3)).
Receiving notification from the contract company about the co-manufacture report
The producing company receives an email from the contractor identifying that a comanufacture report has been initiated and providing a unique identification number needed for the
producing company to complete its part of the co-manufacture report.
Identifying the manufacturing site for the co-manufactured chemical substance
In its portion of the co-manufacture report, the completing submitter confirms that its site is the
site of manufacture of the co-manufactured chemical substance. The producing company’s site is
reported in Part I of the Form U; the contracting site is not reported on the completion form.
Finishing the completion portion of the co-manufacture report
The producing company is responsible for completing portions of Part II (manufacturingrelated) of the Form U that were not provided by the contracting company. Specifically, in Part II.C.3
the producing company provides the volume manufactured and the rest of the Part II information
4-47
Chapter 4
Instructions for Completing CDR Form U
except for the chemical identification, which is reported by the contracting company. See Sections 4.5
and 4.7 of this document for additional information about Part II.
The producing company completes any other chemical reports as part of its overall Form U
submission and submits one Form U, including any co-manufacture reports, for its site. For specific
instructions on how to report using the e-CDRweb reporting tool, see the e-CDRweb Getting Started
User Guide, available on the CDR website at www.epa.gov/cdr.
4.9.3
Reporting Procedure 2 – The Producing Company Reports
Upon written agreement between the contracting company and the producing company, the
producing company completes the full chemical report for the co-manufactured chemical. The
contracting company supplies the information not otherwise known to or reasonably ascertainable by
the producing company (40 CFR 711.22(c)(2)). The producing company (instead of the contracting
company) initiates and completes the co-manufactured chemical report using e-CDRweb. The
producing company provides the exposure-related information from the manufacturing site and
coordinates with the contracting company to obtain the additional information needed to complete the
submission. The only site that is reported is the producing company site. Any use of the comanufactured chemical by the contracting company would be captured in the processing and use
section of the chemical report.
For example, in a co-manufacturing situation, the producing company is not likely to know the
processing and use information associated with the co-manufactured chemical and therefore works
with the contracting company to complete Part II.D of the CDR Form U. Therefore, any “not known or
reasonably ascertainable” (NKRA) responses in Part II.D would refer to the knowledge of the
contracting company and not the knowledge of the producing company. This coordination of
information between the two parties must be done outside of e-CDRweb. Although the producing
company submits the report, both parties are responsible for the report. Therefore, if no report is filed,
both the contracting company and the producing company may be held liable. This reporting
mechanism is most appropriate in a scenario in which the producing company has the majority of the
information regarding the production of a specific chemical.
4.9.4
Confidentiality of Information on a Co-manufacture Report
All of the confidentiality requirements discussed earlier in these Instructions apply to
information submitted jointly. However, under reporting procedure 1, multi-reporter submissions
include information required to connect the two reports and their related data. For example, a
manufacturing by contract co-manufacture report requires that the initiating submitter provide their
producing company identity. As the initiating submitter you are required to report your producing
company’s identity, which you may claim as confidential without providing substantiation at the time
your claim is made, because your producing company is considered your supplier (40 CFR
711.30(a)(3)(ii)).
Because, under reporting procedure 1, signatures are required by each party of a multireporter submission, each party must register with CDX and complete their own sections of the
overall Form U report. The reporting tool will match the two portions of a multi-reporter
4-48
Chapter 4
Instructions for Completing CDR Form U
chemical report based upon the unique ID number sent by the contracting company to notify the
producing company of the partial CDR submission. Producing companies do not have access to
any of the information submitted to EPA by the contracting company. Likewise, contracting
companies cannot see the information that the producing company reports to EPA. This way, the
confidentiality of information for all submitters is protected. The information provided by both
submitters will be combined and processed as one co-manufacture report once they are received
by EPA.
Under reporting procedure 2, only the producing company is providing the information to
EPA, identifying and substantiating confidential information, and signing the certification
statement.
4.10 Joint Submissions using the Secondary Form – Unknown Chemical
Identity
4.10.1 Determining the Need for a Joint Submission using the Secondary Form
Joint submissions are allowed 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 the Secondary
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 it knows or can
reasonably ascertain about the chemical identity, including the chemical-specific function along
with information on chemical composition. Furthermore, the manufacturer must also ask the
reactant supplier to directly provide to EPA the correct chemical identity of the confidential
reactant in the Secondary Form U (see 40 CFR 711.15(b)(3)(i)(B)). More detailed instructions
for completing a joint submission can be found in the e-CDRweb user guide.
A manufacturer (including importer) can identify, on a chemical-by-chemical basis, the
supplier for a chemical substance. A site may have different suppliers for different chemical
substances in its overall Form U submission. The e-CDRweb tool will generate a unique ID
number for each chemical substance (identified by a trade name). Therefore, a supplier may
receive multiple ID numbers from a manufacturer (including importer). A supplier may also
4-49
Chapter 4
Instructions for Completing CDR Form U
report multiple chemical substances under one ID number in the case that the ID number refers
to a mixture. In that situation, the supplier will be identifying the chemical substances that
comprise the mixture.
It is the responsibility of the primary submitter to ask its supplier, or secondary submitter,
to complete the Secondary Form U and send the information to EPA by the end of the
submission period. The e-CDRweb electronic reporting tool leads the primary submitter through
this notification process.
If the secondary submitter decides to provide the required trade name product
information directly to you, you should change your submission type and submit a single
submission.
4.10.2 The Primary Submission is Completed by the Importer or Reactant User
The primary submitter for a joint submission is either an importer or a manufacturer using a
reactant of unknown chemical identity. For ease of presentation, both types of primary submitters will
be referred to as “importer.” The importer, as the primary submitter, is responsible for initiating the
joint submission, uses e-CDRweb to notify its supplier of the need to complete the secondary portion
of the joint submission, and completes the manufacturing-related section (Form U Part II.A – C) (40
CFR 711.15(b)(3)) and the processing and use-related section (Form U Part II.D) (40 CFR
711.15(b)(4)) for the imported substance.
Identifying the chemical identity of the unknown chemical substance and its supplier
In its portion of the joint submission, the primary submitter identifies the proprietary substance
or mixture using the trade name or another name, additional information as needed to help the supplier
correctly identify the substance, and the identity and contact information for the supplier. See Sections
4.4.1.1 and 4.5.5 for additional information.
Notifying the supplier about the joint submission
Using the e-CDRweb reporting tool, the importer enters the email address of the supplier, and
any necessary instruction for the supplier to complete its part of the joint submission, into a system
generated email. Also contained within the email is the unique identifier. The primary submitter may
send the email before it has completed its part of the joint submission.
Completing the primary portion of the joint submission
The importer is responsible for completing the rest of Part II (manufacturing-related) and Part
II.D (processing- and use-related) of the Form U as it relates to the proprietary substance or mixture.
See Sections 4.7 and 4.8 of this document for additional information about completing Part II.
The importer completes any other chemical reports as part of its overall Form U submission and
submits one Form U, including any joint submission, for its site. For specific instructions on how to
report using the e-CDRweb reporting tool, see the e-CDRweb Getting Started User Guide, available on
the CDR website at www.epa.gov/cdr.
4-50
Chapter 4
Instructions for Completing CDR Form U
4.10.3 The Secondary Submission is Completed by the Supplier (Foreign or Reactant)
The supplier, as the secondary submitter, is responsible for identifying that it is providing
information for the joint submission using the information (e.g., identification number) provided by the
primary submitter and completing the Secondary Form U.
Receiving notification from the importer about the joint submission
The supplier receives an email from the importer identifying that a joint submission has been
initiated and providing unique identification number needed for the supplier to complete its part of the
joint submission.
Completing the Secondary Form U, the secondary portion of the joint submission
The supplier is responsible for completing the Secondary Form of the joint submission, which
includes its company identity, a technical contact, identification of its customer (e.g., the primary
submitter), the product trade name, and the unique identifier supplied by the primary submitter. The
supplier then provides the chemical identity and composition of the product and the function of each
chemical in the product. Additional information is provided elsewhere in this document. Specifically,
see Section 4.5 for information about chemical identity and 4.8.4 for information about chemical
function.
For specific instructions on how to report using the e-CDRweb reporting tool, see the eCDRweb Getting Started User Guide, available on the CDR website at www.epa.gov/cdr.
When the supplier doesn’t know the identity
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 trade secret
mixture or chemical substance to directly provide EPA with the correct chemical identity in the
Secondary 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 the Secondary Form U.
Under this scenario, 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.
4.10.4 Confidentiality of Information Jointly Submitted
All of the confidentiality requirements discussed earlier in these Instructions apply to
information submitted jointly. However, joint submissions include information required to connect the
two reports and their related data. For example, a joint submission requires that the primary submitter
provide its trade name and supplier identity. A secondary submitter would provide the composition of
its product.
These data elements specific to joint submissions require that any claims of confidentiality be
4-51
Chapter 4
Instructions for Completing CDR Form U
asserted at the time of submission, but do not require upfront substantiation:
•
•
Joint submission information from the primary submitter consisting of trade name and supplier
identification required pursuant to § 711.15(b)(3)(i)(A) and (B).
Joint submission information from the secondary submitter consisting of the percentage of
formulation required pursuant to § 711.15(b)(3)(i)(A) and (B) (40 CFR 711.30(a)(3)).
Because signatures are required by each party of a joint submission, each party must
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. Suppliers do not have
access to any of the information submitted to EPA by the manufacturer. Likewise, manufacturers
cannot see the information that the supplier reports to EPA. This way, the confidentiality of
information for all 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
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 they must
check the CBI box and provide upfront substantiation as described in 4.5.1 of this chapter.
4-52
Chapter 5
How to Obtain Copies of Documents Cited in This Instructions Document
5. How to Obtain Copies of Documents Cited in
This Instructions Document
5.1
Obtaining Copies of the TSCA Rules
The CDR rule, 40 CFR Part 711, is available on the U.S. Government Publishing
Office website, www.ecfr.gov.
You may also contact the TSCA Hotline by telephone at (202) 554-1404 or by email
[email protected] for assistance.
5.2
Obtaining Copies of the Public Portion of the TSCA Inventory
Information on how to access the non-confidential version of the TSCA Inventory and
help using the files is available on EPA’s website at www.epa.gov/tsca-inventory.
5.3
Obtaining Copies of Other Information Materials for the CDR
EPA has developed documents to provide additional information on submitting
information for CDR. All materials are available on the CDR website at www.epa.gov/cdr.
Reporting Electronically: [note: these documents have not yet been updated, but will be prior
to the start of the 2020 submission period]
• Instructions on CDX registration
• e-CDRweb getting started user guide
• Schemas and Schema guides
Chemical Data Reporting Frequent Questions
Fact Sheets are available at How To Report Under Chemical Data Reporting
Webinars and Training:
• CDR Reporting Requirements Presentations
Instructions for the 2020TSCA Chemical Data Reporting
5-1
Appendix A
Glossary
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, as amended, 15 U.S.C. 2601 et seq.
Administrator means the Administrator of the 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 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 [42 U.S.C. 2011 et seq.] 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 1986 [26 U.S.C. 4181] (determined without regard to any
exemptions from such tax provided by section 4182 or 4221 or any other provision of
such Code) and any component of such an article (limited to shot shells, cartridges, and
components of shot shells and cartridges); 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 [21 U.S.C. 321]) when
manufactured, processed, or distributed in commerce for use as a food, food additive,
drug, cosmetic, or device. (See TSCA 3(2))
Instructions for the 2020 TSCA Chemical Data Reporting
A-1
Appendix A
Glossary
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(5))
e-CDRweb means the electronic, web-based tool provided by EPA for the completion
of Form U and submission of the CDR data.
EPA means the United States Environmental Protection Agency. (40 CFR 704.3)
Highest-level Parent Company means the highest-level company of the site’s
ownership hierarchy as of the start of the submission period during which data are being
reported according to the following instructions. The highest-level U.S. parent company is
located within the United States while the highest-level foreign parent company is located
outside the United States. The following rules govern how to identify the highest-level U.S.
parent company and highest-level foreign parent company (if applicable):
(1) If the site is entirely owned by a single U.S. company that is not owned by another
company, that single company is the U.S. parent company.
(2) If the site is entirely owned by a single U.S. company that is, itself, owned by
another U.S.-based company (e.g., it is a division or subsidiary of a higher-level
company), the highest-level domestic company in the ownership hierarchy is the United
States parent company. If there is a higher-level parent company that is outside of the
United States, the highest-level foreign company in the ownership hierarchy is the
foreign parent company.
(3) If the site is owned by more than one company (e.g., company A owns 40 percent,
company B owns 35 percent, and company C owns 25 percent), the company with the
largest ownership interest in the site is the parent company. If a higher-level company in
the ownership hierarchy owns more than one ownership company, then determine the
entity with the largest ownership by considering the lower-level ownerships in
combination (e.g., corporation x owns companies B and C, for a total ownership of 60
Instructions for the 2020 TSCA Chemical Data Reporting
A-2
Appendix A
Glossary
percent for the site).
(a) If the parent company is a U.S. company owned by another U.S. company,
then the highest-level domestic company in the ownership hierarchy is the U.S.
parent company. If the U.S. parent company has a higher-level foreign company
in the ownership hierarchy, then the highest-level foreign company in the
ownership hierarchy is the foreign parent company.
(b) If the parent company is a foreign company, then the site is its own U.S.
parent company and the foreign parent company is the highest-level foreign
company in the ownership hierarchy.
(4) If the site is owned by a 50:50 joint venture or a cooperative, the joint venture or
cooperative is its own parent company. If the site is owned by a U.S. joint venture or
cooperative, the highest level of the joint venture or cooperative is the U.S. parent
company. If the site is owned by a joint venture or cooperative outside the United States,
the highest level of the joint venture or cooperative outside the United States is the
foreign parent company.
(5) If the site is entirely owned by a foreign company (i.e., without a U.S.-based
subsidiary within the site’s ownership hierarchy), the highest-level foreign parent
company is the facility’s foreign parent company.
(6) If the site is federally owned, the highest-level federal agency or department is the
U.S. parent company.
(7) If the site is owned by a non-federal public entity, that entity (such as a municipality,
State, or tribe) is the U.S. parent company.
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)
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.
Instructions for the 2020 TSCA Chemical Data Reporting
A-3
Appendix A
Glossary
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.
A chemical substance is co-manufactured by the person who physically performs the
manufacturing and the person contracting for such production when that chemical substance,
manufactured other than by import, is: (1) produced exclusively for another person who
contracts for such production, and (2) that other person dictates the specific identity of the
chemical substance and controls the total amount produced and the basic technology for the
manufacturing process.
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
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
Instructions for the 2020 TSCA Chemical Data Reporting
A-4
Appendix A
Glossary
constitute the Chemical Substances Inventory compiled under section 8(b) of the Act. It includes
substances reported under 40 CFR Part 710 and substances reported under Part 720 for which a
Notice of Commencement of Manufacture or Import has been received under § 720.120.
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(10))
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)
704.3)
Parent Company is a company that owns or controls another company. (40 CFR
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
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.
Instructions for the 2020 TSCA Chemical Data Reporting
A-5
Appendix A
Glossary
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)
704.3)
Processor means any person who processes a chemical substance or mixture. (40 CFR
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 co-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.
(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
Instructions for the 2020 TSCA Chemical Data Reporting
A-6
Appendix A
Glossary
processed for commercial purposes.
Small manufacturer means a manufacturer (including importer) that meets either of
the following standards:
(1) First standard. A manufacturer (including importer) of a substance is small if its
total annual sales, when combined with those of its parent company (if any), are less
than $40 million. However, if the annual production or importation volume of a
particular substance at any individual site owned or controlled by the manufacturer or
importer is greater than 45,400 kilograms (100,000 lbs), the manufacturer (including
importer) will not qualify as small for purposes of reporting on the production or
importation of that substance at that site, unless the manufacturer (including importer)
qualifies as small under standard (2) of this definition.
(2) Second standard. A manufacturer (including importer) of a substance is small if its
total annual sales, when combined with those of its parent company (if any), are less
than $4 million, regardless of the quantity of substances produced or imported by that
manufacturer (including importer). (40 CFR 704.3)
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(16))
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(17))
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.
Instructions for the 2020 TSCA Chemical Data Reporting
A-7
Appendix B
Chemical Substances That Are the Subject of Certain TSCA Actions
Appendix B
Chemical Substances That Are the Subject of Certain TSCA Actions
This appendix provides assistance in determining whether your chemical substance is the
subject of certain TSCA actions that affect your ability to use the exemptions allowed for in the
CDR rule. Certain chemical substances, such as polymers, microorganisms, naturally occurring
substances, certain natural gases, and water, generally are exempted from reporting under CDR (see
40 CFR 711.6). Small manufactures as described in 40 CFR 711.9 also generally are exempted
from reporting under CDR. Table B-1 provides a brief description of these two provisions. If,
however, a chemical substance is the subject of certain TSCA actions, the exemption may no longer
be applicable. Table B-2 provides a comparison of the effects of TSCA actions on different CDR
requirements or exemptions. See Sections 2.1.4 and 2.2.4 for further discussion.
You can access a list of the chemical substances using EPA’s Substance Registry Services
(SRS) at www.epa.gov/srs. In SRS, you can search for either a specific chemical or you can search
for a complete list of chemicals related to a type of regulation or other characteristic that affects the
status of a chemical related to CDR. Note that CDR submitters are ultimately responsible for
adhering to a chemical’s reporting requirements that are based upon the status of the chemical in
SRS on June 1, 2020, which is the first day of the CDR submission period.
To search for a specific chemical, visit the SRS “Search and Retrieve” webpage, type in a
substance name in the “Synonym” field or a CASRN in the “Substance Identifier” field, and select
“Search”. Link to the chemical result that most closely meets your search needs. Select “Program
and Regulatory Information.” You can see the “Statutes/Regulations” and other characteristics that
apply to the chemical.
To search for a list of chemicals that are related to a regulation or other CDR-related
characteristic, visit the SRS “Search and Retrieve” webpage and select “Search by List”. Select the
chemical list that you would like to view and select “Search.” You can search for lists specific to
CDR submission periods. For example, to see only 2020 CDR-specific lists, type “2020 CDR” in
the “Filter” box and select “Filter.”
For more detailed instructions, view How to Search for Chemicals that are the Subject of Certain TSCA
Actions on the CDR website at www.epa.gov/cdr.
B-1
Appendix B
Chemical Substances That Are the Subject of Certain TSCA Actions
Table B-1. Explanation of Reporting Requirements
40 CFR
711
Reporting Requirements
Explanation of Reporting
Requirements
§ 711.6
Some groups or categories of chemical substances are
exempted from some or all of the reporting
requirements of this part, with the following
exception: A chemical substance described in
paragraph (a)(1), (a)(2), or (a)(4), or (b) of this section
is not exempted from any of the reporting
requirements of this part if that chemical substance is
the subject of a rule proposed or promulgated under
TSCA section 4, 5(a)(2), 5(b)(4), or 6, or is the subject
of a consent agreement developed under the
procedures of 40 CFR part 790, or is the subject of an
order issued under TSCA section 4, 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.
§ 711.8
Any person who manufactured (including imported)
for commercial purposes any chemical substance that
is the subject of a rule proposed or promulgated under
TSCA section 5(a)(2), 5(b)(4), or 6, or is the subject
of an order in effect under TSCA section 4, 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 is
subject to reporting as described in § 711.8(a), except
that the applicable production volume threshold is
2,500 lb (1,134 kg).
Chemical substances that are
the subject of certain TSCA
actions are to be reported
based on a lower threshold of
2,500 lb.
§ 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 4 or 5(e), or is the
subject of relief that has been granted under a civil
action under TSCA section 5 or 7.
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
still apply.
B-2
Appendix B
Chemical Substances That Are the Subject of Certain TSCA Actions
Table B-2. Comparison of the effects of TSCA actions on different CDR requirements or
exemptions
CDR requirement
TSCA action
Subject to 2,500 lb
reporting
threshold
TSCA section 4 rules
(proposed or promulgated)
TSCA section 4 orders
Enforceable Consent
Agreements (ECAs)
Not eligible for
certain full or
partial exemptions
from reporting
Not eligible for
small
manufacturer
exemption
TSCA section 5(a)(2) SNURs
(proposed or promulgated)
TSCA section 5(b)(4) rules
(proposed or promulgated)
TSCA section 6 rules
(proposed or promulgated)
TSCA section 5(e) orders
TSCA section 5(f) orders
TSCA section 5 civil actions
TSCA section 7 civil actions
B-3
Appendix C
Chemical Substances Partially Exempt from Reporting
Appendix C
Chemical Substances Partially Exempt from Reporting
Chemical substances that are partially exempt from reporting requirements under the
CDR rule are listed in 40 CFR 711.6(b)(1) and 711.6(b)(2); these lists are included below.
IMPORTANT: This document is intended to be an information resource. While EPA
has attempted 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.
Table C-1. 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
64741–50–0
Distillates (petroleum), light paraffinic
C-1
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
64741–89–5
Distillates (petroleum), solvent-refined light paraffinic
64741–90–8
Gas oils (petroleum), solvent-refined
C-2
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-3
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-4
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-5
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-6
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-7
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-8
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-9
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
68478–20–6
Residues (petroleum), steam-cracked petroleum distillates cyclopentadiene conc., C4
cyclopentadiene free
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
C-10
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-11
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-12
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-13
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-14
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-15
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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
C-16
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Product
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
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-17
Appendix C
Chemical Substances Partially Exempt from Reporting
Table C-2. Partially Exempt Chemical Substances Under 40 CFR 711.6(b)(2)
CAS Registry Number
50-70-4
Chemical Name
D-glucitol.
50-81-7
L-ascorbic acid.
50-99-7
D-glucose.
56-81-5
1,2,3-Propanetriol.
56-87-1
L-lysine.
57-48-7
D-fructose.
57-50-1
.alpha.-D-Glucopyranoside, .beta.-D-fructofuranosyl.
58-95-7
2H-1-Benzopyran-6-ol, 3,4-dihydro-2,5,7,8-tetramethyl-2-[(4R,8R)4,8,12- trimethyltridecyl]-, acetate, (2R)-.
59-02-9
59-51-8
2H-1-Benzopyran-6-ol, 3,4-dihydro-2,5,7,8-tetramethyl-2-[(4R,8R)4,8,12- trimethyltridecyl]-, (2R)-.
Methionine.
68-04-2
1,2,3-Propanetricarboxylic acid, 2-hydroxy-, sodium salt (1:3).
69-65-8
D-mannitol.
77-92-9
1,2,3-Propanetricarboxylic acid, 2-hydroxy-.
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.
504-63-2
1,3-Propanediol.
563-43-9
Aluminum, dichloroethyl-.
866-84-2
1,2,3-Propanetricarboxylic acid, 2-hydroxy-, potassium salt (1:3).
1070-00-4
Aluminum, 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.
C-18
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Chemical Name
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.
8001-31-8
Coconut oil.
8001-78-3
Castor 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.
8013-07-8
Soybean oil, epoxidized.
8016-28-2
Lard, oil.
8016-70-4
Soybean oil, hydrogenated.
8021-99-6
Charcoal, bone.
8023-79-8
Oils, palm kernel.
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.
61788-61-2
Fatty acids, tallow, methyl esters.
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.
66071-94-1
Corn, steep liquor.
67701-01-3
Fatty acids, C12-18.
67762-26-9
Fatty acids, C14-18 and C16-18 unsaturated, methyl esters.
67762-38-3
Fatty acids, C16-18 and C-18 unsaturated, methyl esters.
67784-80-9
Soybean oil, methyl esters.
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.
C-19
Appendix C
Chemical Substances Partially Exempt from Reporting
CAS Registry Number
Chemical Name
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, hydrolyzed 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.
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.
70131-50-9
Bentonite, acid-leached.
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.
129828-16-6
Fatty acids, canola oil, methyl esters.
515152-40-6
Fatty acids, corn oil, methyl esters.
C-20
Appendix D
Descriptions of Processing and Use Codes
Appendix D
Descriptions of Codes for Reporting Processing or Use Operations,
Industrial Sectors, 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 II.D of the CDR Form U. For more
information, see the Technical Support Document: “Harmonizing CDR Functional and Product
codes with OECD Functional, Product, and Article Codes,” located in the rulemaking record (EPAHQ-OPPT-2018-0321).
Table D-1. Type of Processing or Use Operation and Descriptions
Code
Type of 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.
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.
Use—non-incorporative activities
Chemical substance is otherwise used (e.g., as a chemical
processing or manufacturing aid).
PK
U
Table D-2. Industrial Sector (IS) Code Descriptions with NAICS Crosswalk
NAICS
11
211
213
212
22
23
311
312
313
314
315
316
IS Code
IS1
IS Title
Agriculture, Forestry, Fishing and Hunting
IS2
Oil and Gas Drilling, Extraction, and Support Activities
IS3
IS4
IS5
Mining (except Oil and Gas) and Support Activities
Utilities
Construction
IS6
Food, beverage, and tobacco product manufacturing
IS7
Textiles, apparel, and leather manufacturing
D-1
Appendix D
Descriptions of Processing and Use Codes
NAICS
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
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
327
IS37
IS Title
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
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. Function Category Descriptions and Crosswalk: 2016 CDR and 2020+ CDR
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for risk
evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical substances
not listed in 40 CFR 711.15 Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Description
F001
Abrasives
F002
Etching agent
F003
Adhesion/cohesion promoter
F004
Binder
F005
Flux agent
F006
Sealant (barrier)
F007
Absorbent
F008
Adsorbent
F009
Dehydrating agent (desiccant)
F010
Drier
F011
Humectant
F012
Soil amendments (fertilizers)
F013
Anti-adhesive/cohesive
F014
Dusting agent
F015
Bleaching agent
F016
Brightener
F017
Anti-scaling agent
F018
Corrosion inhibitor
F019
Dye
F020
Fixing agent (mordant)
F021
Hardener
F022
Filler
F023
Anti-static agent
F024
Softener and conditioner
F025
Swelling agent
F026
Tanning agents not otherwise specified
F027
Waterproofing agent
F028
Wrinkle resisting agent
F029
Flame retardant
F030
Fuel agents
F031
Fuel
F032
Heat transferring agent
F033
Hydraulic fluids
F034
Insulators
Column B
Code
Description
U001
Abrasives
U002
Adhesives and Sealant Chemicals
U003
Adsorbents and Absorbents
U004
Agricultural Chemicals (non-pesticidal)
U005
Anti-Adhesive Agents
U006
Bleaching Agents
U007
Corrosion inhibitors and antiscaling agents
U008
Dyes
U009
Fillers
U010
Finishing agents
U011
Flame retardants
U012
Fuels and fuel additives
U013
Functional fluids (closed systems)
D-4
Appendix D
Descriptions of Processing and Use Codes
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for risk
evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical substances
not listed in 40 CFR 711.15 Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Description
Column B
Code
Description
F035
Refrigerants
U013
Functional fluids (closed systems)
F036
Anti-freeze agent
U014
Functional fluids (open systems)
F037
Intermediate
F038
Monomers
U015
Intermediates
F039
Ion exchange agent
U016
Ion exchange agents
F040
Anti-slip agent
F041
Lubricating agent
U017
Lubricants and lubricant additives
F042
Deodorizer
F043
Fragrance
U018
Odor agents
F044
Oxidizing agent
F045
Reducing agent
U019
Oxidizing/reducing agents
F046
Photosensitive agent
F047
Photosensitizers
F048
Semiconductor and photovoltaic agent
U020
Photosensitive chemicals
F049
UV stabilizer
F050
Opacifer
F051
Pigment
U021
Pigments
F052
Plasticizer
U022
Plasticizers
F053
Plating agent
U023
Plating agents and surface treating agents
F054
Catalyst
F055
Chain transfer agent
F056
Chemical reaction regulator
F057
Crystal growth modifiers (nucleating agents)
U024
Process regulators
F058
Polymerization promoter
F059
Terminator/Blocker
F060
Processing aids, specific to petroleum production
U025
Processing aids, specific to petroleum production
F061
Antioxidant
F062
Chelating agent
F063
Defoamer
U026
Processing aids, not otherwise listed
F064
pH regulating agent
F065
Processing aids not otherwise specified
F066
Energy Releasers (explosives, motive propellant)
F067
Foamant
U027
Propellants and blowing agents
F068
Propellants, non-motive (blowing agents)
F069
Cloud-point depressant
F070
Flocculating agent
U028
Solids separation agents
D-5
Appendix D
Descriptions of Processing and Use Codes
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for risk
evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical substances
not listed in 40 CFR 711.15 Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
F071
Description
F073
Flotation agent
Solids separation (precipitating) agent, not
otherwise specified
Cleaning agent
F074
Diluent
F075
Solvent
F076
Surfactant (surface active agent)
F077
Emulsifier
F078
Thickening agent
F079
Viscosity modifiers
F080
Laboratory chemicals
F081
Dispersing agent
F082
Freeze-thaw additive
F083
Surface modifier
F084
Wetting agent (non-aqueous)
F085
Aerating and deaerating agents
F086
Explosion inhibitor
F087
Fire extinguishing agent
F088
Flavoring and nutrient
F089
Anti-redeposition agent
F090
Anti-stain agent
F091
Anti-streaking agent
F092
Conductive agent
F093
Incandescent agent
F094
Magnetic element
F095
Anti-condensation agent
F096
Coalescing agent
F097
Film former
F098
Demulsifier
F099
Stabilizing agent
F100
Alloys
F101
Density modifier
F102
Elasticizer
F103
Flow promoter
F104
Sizing agent
F105
Solubility enhancer
F072
Column B
Code
Description
U029
Solvents (for cleaning or 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
U999
Other (specify)
D-6
Appendix D
Descriptions of Processing and Use Codes
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for risk
evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical substances
not listed in 40 CFR 711.15 Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Description
F106
Vapor pressure modifiers
F107
Embalming agent
F108
Heat stabilizer
F109
Preservative
F110
Anti-caking agent
F111
Deflocculant
F112
Dust suppressant
F113
Impregnation agent
F114
Leaching agent
F115
Tracer
F116
X-ray absorber
F999
Other (specify)
Column B
Code
U999
Description
Other (specify)
NOTE:
• For codes F085 – F116, no comparable crosswalk code existed in 2016 and prior; F999 is the proper crosswalk code
D-7
Appendix D
Descriptions of Processing and Use Codes
Table D-4. Consumer and Commercial Product Category Descriptions and Crosswalk
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for risk
evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical substances
not listed in 40 CFR 711.15 Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Name
Column B
Description
Code
Name
Chemical Substances in Furnishing, Cleaning, Treatment Care Products
Construction and building
materials covering large surface
areas including stone, plaster,
CC101
cement, glass and ceramic
articles; fabrics, textiles, and
apparel
Furniture & furnishings
CC102 including plastic articles (soft);
leather articles
Furniture & furnishings
including stone, plaster, cement,
CC103
glass and ceramic articles;
metal articles; or rubber articles
CC104 Leather conditioner
CC105
Leather tanning, dye, finishing,
impregnation and care products
Cement flooring, stone tile, mirrors, flooring or wall
materials, carpets, rugs, tapestries
C101 Floor coverings
Foam armchair, couch/sofa, mattress (adult), mattress
(infant), mattress (child), sleeping bag, beanbag chair
C102
Foam seating and
bedding products
Furniture and
Tables, chairs, benches, outdoor furniture, or furniture
C103 furnishings not
feet
covered elsewhere
Products applied to leather surfaces to preserve and/or
restore strength, appearance, and flexibility.
Products applied to the surfaces of leather articles to
impart desirable properties.
CC106 Textile (fabric) dyes
Products applied to impart color(s) to textiles.
Textile finishing and
CC107 impregnating/surface treatment
products
Products applied to the surfaces of textiles to impart
water or stain resistances, flame resistance, but not
dyes.
Foams that are spray applied to surfaces such as
countertops, tables, windows, and surfaces of
appliances.
Liquids that are not spray applied and are applied to
All-purpose liquid
surfaces of furniture, silverware, sinks, tubs, carpeted
cleaner/polish
floors, and hard-surface floors. Note: distinguish
between “neat” and “dilute” products.
Liquids that are spray applied to surfaces such as
All-purpose liquid spray cleaner countertops, tables, windows, and surfaces of
appliances.
Waxes and other semi-solids that are not spray
applied and are applied to the surfaces of furniture
All-purpose waxes and polishes
(generally wooden furniture) to improve shine and/or
impart stain resistance.
Cleaners that are applied to the interior of appliances
Appliance cleaners
such as dishwashers, washing machines, electronic
appliances, disposals, and ovens).
Fabric, textile, and
C104 leather products not
covered elsewhere
CC108 All-purpose foam spray cleaner
CC109
CC110
CC111
CC112
Cleaning and
C105 furnishing care
products
D-8
Appendix D
Descriptions of Processing and Use Codes
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for risk
evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical substances
not listed in 40 CFR 711.15 Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
CC113
Name
Drain and toilet cleaners
(liquid)
CC114 Powder cleaners (floors)
CC115 Powder cleaners (porcelain)
Column B
Description
Liquids applied to toilets and/or drains that may
remain in the sewer line for a time but ultimately go
down the drain.
Powders that are applied to carpets and rugs to clean
or deodorize.
Powders applied to sinks, showers, and tubs to
remove dirt, soap scum, and mold.
CC116
Dishwashing detergent
(liquid/gel)
Liquid cleaners added to dishwashing machines to
remove food residue from dishes.
CC117
Dishwashing detergent (unit
dose/granule)
Powder or powder/liquid tablet cleaners added to
washing machines to remove dirt from clothing and
other textiles.
CC118
Dishwashing detergent liquid
(hand-wash)
Liquid cleaners added to sinks and combined with
water to remove food residue from dishes.
CC119
Dry cleaning and associated
products
Products used to remove dirt from clothing and other
textiles in non-aqueous cleaning processes.
Products which enhance fabrics. Examples include
liquid products added to washing machines or sheets
added to driers, bleach, film, lime and rust removers.
Powder or powder/liquid tablet cleaners added to
washing machines to remove dirt from clothing and
other textiles.
CC120 Fabric enhancers
CC121
Laundry detergent (unitdose/granule)
CC122 Laundry detergent (liquid)
Liquid cleaners added to washing machines to remove
dirt from clothing and other textiles.
CC123 Stain removers
Applied to clothing before addition to laundry
machine to remove stains (can be gels, liquids, or
spray applications).
CC124 Ion exchangers
Point of use filters which may be used by consumers
in homes (e.g., refrigerator filters or pitcher filters) or
in commercial and industrial settings to treat water for
use in these processes.
CC125 Liquid water treatment products Water treatment drops
CC126
Solid/powder water treatment
products
Liquid soap used for washing entire body.
CC128 Liquid hand soap
Liquid soap used for washing hands.
CC129 Solid bar soap
Solid soap used for washing hands and body.
Air fresheners for motor
vehicles
Name
Cleaning and
C105 furnishing care
products
Laundry and
C106 dishwashing
products
C107
Water treatment
products
C108
Personal care
products
pH adjusters, filter media, water treatment tablets
CC127 Liquid body soap
CC130
Code
Aerosol spray and continuous action air products used
C109 Air care products
to odorize or deodorize motor vehicles.
D-9
Appendix D
Descriptions of Processing and Use Codes
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for risk
evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical substances
not listed in 40 CFR 711.15 Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Name
Column B
Description
Liquid, solid, gel diffuser, solid incense products and
CC131 Continuous action air fresheners scented candle products that odorize or deodorize air
in indoor environments.
CC132 Instant action air fresheners
Aerosol spray and incense products that odorize or
deodorize air in indoor environments.
Apparel finishing, and
CC134 impregnating/surface treatment
products
Spray applied to eliminate or reduce static electricity
on apparel.
Products applied to the surfaces of apparel to impart
water or stain resistances, flame resistance, but not
dyes.
CC135 Insect repellent treatment
Product applied to clothing to repel insects.
CC133 Anti-static spray
CC136
Pre-market waxes, stains, and
polishes applied to footwear
Post-market waxes, and
CC137 polishes applied to footwear
(shoe polish)
CC138
Waterproofing and waterresistant sprays
Waxes, stains, and polishes applied to footwear to
impart water resistance, improve appearance and
impart other desirable properties.
Code
Name
C109 Air care products
Apparel and
C110 footwear care
products
Waxes and polishes applied to footwear.
Spray applied to impart water resistance to apparel or
footwear.
Chemical Substances in Construction, Paint, Electrical, and Metal Products
CC201 Fillers and putties
Highly malleable materials used to repair, smooth
over, or fill minor cracks and holes in building
surfaces.
CC202 Hot-melt adhesives
Adhesives (supplied in solid cylindrical sticks and
intended for small applications) designed to be melted
and dispensed through an electric hot glue gun.
CC203 One-component caulks
Caulks (sealants) which are premixed with their final
product formulation. Examples include acrylic
solvent-based, butyl solvent-based, latex water-based,
silicone and polyurethane.
CC204 Solder
CC205
Single-component glues and
adhesives
Metal alloys melted down to permanently bond metal
parts together. Commonly used in electronics,
plumbing and sheet metal work.
C201
Adhesives and
sealants
Adhesives (packaged less than 8 ounces per bottle and
intended for small amount per use applications such
as bookbinding) which are premixed with their final
product formulation. Product use and exposure to
light, humidity, or temperature initiates chemical
reaction and cure. Examples include anaerobic,
cyanoacrylates, heat-cure, moisture-cure, radiationcure, and silicones.
D-10
Appendix D
Descriptions of Processing and Use Codes
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for risk
evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical substances
not listed in 40 CFR 711.15 Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Name
CC206 Two-component caulks
CC207
Two-component glues and
adhesives
Column B
Description
Code
Name
Caulks (sealants) which are stored in two separate
parts, generally a base and an activator. The activator
is added to the base and mixed before application.
Examples include epoxy-solvent based silicone and
polyurethane.
Adhesives and
C201
Adhesives (packaged in containers smaller than 8
sealants
ounces per container and intended for small
applications) which are stored in two separate
containers, generally a resin and a hardener which are
then mixed together to initiate chemical reaction and
cure. Examples include epoxies, methyl
methacrylates, silicon adhesives, and polyurethanes.
CC208 Adhesive/caulk removers
Products applied to surfaces to unbind substances or
remove sealants and to clean the underlying surface
by softening adhesives, caulks and other glues so they
can be removed.
CC209 Aerosol spray paints
Pressurized one-component paint released with a
propellant and spray applied as a fine mist.
Lacquers, stains, varnishes and
CC210
floor finishes
Liquids applied to surfaces such as floors,
countertops, appliances, furnishings, decking, and
patios to impart coloring or resistance to fade,
scuffing, marking, or wear.
CC211 Paint strippers/removers
Liquid product applied to surfaces to remove paint,
coatings and other finishes and also to clean the
underlying surface.
CC212 Powder coatings
Dry powder coating that does not contain solvents and
is cured under heat to create a coating film.
CC213 Radiation curable coatings
Coatings designed to cure onto surface when exposed
to radiation such as ultraviolet or electron beam
radiation.
CC214 Solvent-based paint
Paints that have been formulated to have a solvent as
the vehicle.
CC215 Thinners
Liquids to dilute paints and coatings to obtain suitable
viscosity for paint application.
CC216 Water-based paint
Paints that have been formulated to have water as the
main vehicle.
Construction and building
Floor decking, claddings, toys outdoor equipment,
CC217 materials covering large surface
walls, flooring
areas, including wood articles
C202 Paints and coatings
Building/
construction
C203 materials - wood
and engineered
wood products
D-11
Appendix D
Descriptions of Processing and Use Codes
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for risk
evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical substances
not listed in 40 CFR 711.15 Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Name
Column B
Description
Code
Name
Construction and building
materials covering large surface
Construction and building materials; e.g. insulation
areas, including paper articles;
CC218
panels, wall papers, roof sheets, drinking water pipes,
metal articles; stone, plaster,
sewer pipes, cement flooring, mirrors
cement, glass and ceramic
articles
Building/
construction
C204
materials not
covered elsewhere
Machinery, mechanical
CC219 appliances, electrical/electronic
articles
Other machinery, mechanical
CC220 appliances, electronic/electronic
articles
C205
Electrical and
electronic products
C206
Metal products not
covered elsewhere
Refrigerators, washing machines, vacuum cleaners,
computers, telephones, drills, saws, smoke detectors,
thermostats, radiators
Large-scale stationary industrial tools
Construction and building
CC221 materials covering large surface Roof sheets, drinking water pipes, sewer pipes
areas, including metal articles
CC222
Electrical batteries and
accumulators
Batteries
C207 Batteries
Chemical Substances in Packaging, Paper, Plastic, Toys, Hobby Products
CC990 Non-TSCA use
Items included under non-TSCA use include food
packaging, such as plastic wrap, plastic dinner ware,
food storage, packaging containers.
Packaging (excluding food
CC301 packaging), including paper
articles
Paper packaging
Other articles with routine
CC302 direct contact during normal
use, including paper articles
Nappies, feminine hygiene products, adult
incontinence products, tissues, towels, toilet paper,
newspapers, books, magazines, photographic paper
and negatives
Packaging (excluding food
packaging), including rubber
CC303
articles; plastic articles (hard);
plastic articles (soft)
Phone covers, personal tablet covers, styrofoam
packaging, bubble wrap
Other articles with routine
Gloves, boots, clothing, rubber handles, gear lever,
direct contact during normal use
CC304
steering wheels, handles, pencils, handheld device
including rubber articles; plastic
casing
articles (hard)
Toys intended for children’s use
(and child dedicated articles),
Stuffed toys, blankets, comfort objects, dolls, car,
CC305 including fabrics, textiles, and
animals, teething rings
apparel; or plastic articles
(hard)
C301 Food packaging
C302 Paper products
Plastic and rubber
C303 products not
covered elsewhere
Toys, playground,
C304 and sporting
equipment
D-12
Appendix D
Descriptions of Processing and Use Codes
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for risk
evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical substances
not listed in 40 CFR 711.15 Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
CC306
Name
Adhesives applied at elevated
temperatures
Column B
Description
Used to create and support structures and pathways.
CC308 Crafting glue
Used to adhere two substances to one another, see
adhesives definitions.
CC309 Crafting paint (applied to body)
Used to add color to fingers, faces, or other body
parts.
CC310 Crafting paint (applied to craft)
Used to add color to crafting substances, see paints
definitions.
Fixatives and finishing spray
coatings
Used to mold or sculpt.
CC313 Correction fluid/tape
Fluids used to cover up permanent ink so that
corrections can be made.
Inks in writing equipment
(liquid)
C305
Arts, crafts, and
hobby materials
Fixatives, shellacs, or other spray applied coatings
intended to cover or hold other arts and crafts
materials to a surface.
CC312 Modelling clay
CC314
Name
Used at elevated temperatures to melt and apply
adhesive which when cooled, hardens and adheres the
two substances to one another. Examples include
solder and hot-melt adhesive, see adhesive
definitions.
CC307 Cement/concrete
CC311
Code
Liquids used in pens, markers, or other writing
instruments.
CC315 Inks used for stamps
Ink, toner, and
Inks incorporated into stamp or ink pads used to apply C306 colorant products
ink to paper and other substrates.
CC316 Toner/printer cartridge
Pigmented liquids, toners or powders contained in
cartridges, bottles, or other dispensers used in printers
and copy machines. This category includes printing
inks for commercial applications.
CC317
Liquid photographic processing Chemicals used in the stop bath, fixing bath,
solutions
hardener, or stabilizer to develop photographs.
Photographic
C307 supplies, film, and
photochemicals
D-13
Appendix D
Descriptions of Processing and Use Codes
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for risk
evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical substances
not listed in 40 CFR 711.15 Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Name
Column B
Description
Code
Name
Chemical Substances in Automotive, Fuel, Agriculture, Outdoor Use Products
CC401 Exterior car washes and soaps
Cleaning agents used to remove dirt and grime.
Exterior car waxes, polishes,
CC402
and coatings
Used to increase the shine, add UV protection and
scratch resistance to automotive paints, or provide
waterproofing/resistant properties to windshields and
automotive window glass.
CC403 Interior car care
Cleaning agents used to remove stains from interior
carpets and textiles, rubber, vinyl, or plastic.
CC404 Touch up auto paint
Used to paint over scratches or cover up dent marks
on automotive paints.
CC405 Degreasers
Product that remove greases or oils from hard
surfaces, machinery, or tools.
CC406 Liquid lubricants and greases
Liquids that reduce friction, heat generation and wear
between surfaces.
CC407 Paste lubricants and greases
Pastes that reduce friction, heat generation and wear
between surfaces.
CC408 Spray lubricants and greases
Sprays that reduce friction, heat generation and wear
between surfaces.
CC409 Anti-freeze liquids
Reduce the freezing point of surfaces.
CC410 De-icing liquids
Reduce the freezing point of surfaces in order to
remove ice.
CC411 De-icing solids
Ice melting crystals, rock salts
CC412 Lock de-icers/releasers
Applied within locks to remove ice so that doors can
be opened.
CC413 Cooking and heating fuels
Pressurized liquid fuels generally contained within
metal containers and released directly into an
appliance in a controlled way to prevent direct
release.
CC414 Fuel additives
Added to fuels to improve properties such as stability,
corrosion, oxygenation, and octane rating.
CC415 Vehicular or appliance fuels
Liquid fuels stored in containers and refilled into
vehicles or appliances as needed.
C401
Automotive care
products
C402
Lubricants and
greases
C403
Anti-freeze and deicing products
C404
Fuels and related
products
D-14
Appendix D
Descriptions of Processing and Use Codes
For the 2020 submission period: (1) use column A for chemical substances designated in 2019 as high priority for risk
evaluation (those chemicals listed in 40 CFR 711.15, Table 9) and (2) use either column A or B for chemical substances
not listed in 40 CFR 711.15 Table 9. For the 2024 and future submission periods, use only column A.
Column A
Code
Name
CC416 Explosive materials
CC417
Agricultural non-pesticidal
products
CC418 Lawn and garden care products
Column B
Description
Chemical substances capable of 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.
Examples include pyrotechnics, high explosives and
propellants, igniter, primer, initiatory, illuminants,
smoke and decoy flares, and, incendiaries.
Code
Name
C405 Explosive materials
Products used to increase the productivity of crops, or
aid in the harvesting of crops. Examples include
Agricultural
fertilizers, colorants, and application aids, and soil
C406 products (nonamendments (e.g. products added to soil to adjust pH,
pesticidal)
retain water or alter other properties).
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
Lawn and garden
mixtures, soil amendments, mulches, pH adjustors,
C407
care products
water retention beads, vermiculite, and perlite.
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.
Chemical Substances in Products not Described by Other Codes
CC980 Other (specify)
Provide description of use.
C909 Other (specify)
CC990 Non-TSCA use
Chemical substances contained in products intended
for consumer or commercial use that are not regulated
by TSCA should be reported under this code.
Examples of products with non-TSCA uses include
pesticide, insecticide, rodenticide and fungicide
formulations; food or drink for humans or animals;
articles intended for use in the diagnosis, cure,
C980 Non-TSCA use
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-15
| File Type | application/pdf |
| File Title | Instructions for Reporting 2020 TSCA CDR 2018-08-09 |
| Author | Kristina Watts;Smith, ThomasA |
| File Modified | 2020-05-19 |
| File Created | 2020-05-19 |