Completing Form U

Return to Table of Contents

• General
• "Known to or Reasonably Ascertainable by" reporting standard
• Part I Company and site Identification Information
• Part II - Section A. Chemical substance identification
• Part II — Section B. Technical contact information
• Part II — Section C. Manufacturing Information
• Part II - Section D.1 - Industrial processing and use data

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23. General

23.1. Does a whole new Form U need to be completed for each chemical substance?

No. Only one Form U is submitted for a site; all reportable chemicals for a site are reported on a single Form U. The certification statement and Part I are completed once for a Form U, regardless of the number of chemical substances reported. Parts II and III are completed for each chemical substance, and Part IV is only completed in the special case of a joint submission.

23.2. Can one Form U be submitted for the same chemical substance used at two different sites?

No. You must submit a separate Form U for each site for which you are required to report. Therefore, in cases where you have two separate sites manufacturing the same chemical substance, you must prepare separate Form Us for each site.

23.3 Should I report known values and estimated values differently on Form U?

No. Report all information requested in Form U to the extent it is known to or reasonably ascertainable by you and your company.

23.4. The person previously responsible for this reporting is no longer working here and we cannot the user D and password to gain access to our previous chemical reporting information on 3-CDEweb. How do I gain access to earlier reported data? Can you reset the passphrase to grant me access?

To access previous chemical reporting information for a company, you must be registered in EPA’s Central Data Exchange (CDX) with your own username and password and know the eCDRweb passphrase. If in CDX you register for the exact same organizations (same Organization ID) and exact same facilities (same facility ID) as your predecessor, you will be able to see what forms were previously created and submitted.

In the event the original passphrase has been lost, the information on the Form U itself will not be electronically accessible. However, you can request a paper copy of the previously submitted information.

To request a copy of your site’s 2012 CDR Form U from a prior reporting year (e.g., 2012 and 2016), please submit a notarized request on company letterhead to EPA. The company letterhead must be from the company that owns the site. The request must include the name and address of the site of the desired Form U and a statement certifying you are authorized to receive this potentially confidential information. Please send the request to one of the following addresses:

Please send the request to one of the following addresses:

By U.S. Postal Service
CDR CDX Registration Coordinator (7407M)
U.S. Environmental Protection Agency
Office of Pollution Prevention and Toxics
William Jefferson Clinton Building East
1200 Pennsylvania Ave., N.W.
Washington, D.C. 20460

By Hand Delivery or Courier
CDR CDX Registration Coordinator
U.S. EPA – OPPT/CBIC
WJ Clinton Building East, Room 6428
1201 Constitution Ave., N.W.
Washington, D.C. 20004-3302

Telephone
(202) 564-8930 or (202) 564-8940

23.5. May I amend a submission from the current or most recent reporting period if I realize I made a mistake?

If you make a reporting mistake, you must amend your Form U. The Authorized Official or the Agent will need to unlock the submission to make the changes. See the CSPP CDX Registration Guide for more information. There will be an opportunity to explain why the change is being made - please be sure to complete that section. Additionally, you will need to file a self-disclosure form. Please contact EPA to make a voluntary disclosure under EPA's Audit policy. For additional information, visit http://www.epa.gov/compliance/epas-audit-policy or contact the CDX Help Desk at 1-888-890-1995. Note that if you did not claim (and substantiate if required) a particular data element as confidential at the time you submitted the data element to EPA, you cannot later add a claim of confidentiality.

24. "Known to or Reasonably Ascertainable by" Reporting Standard

24.1. Please provide further clarification on the scope of what would be required under the “known to or reasonably ascertainable by” reporting standard. How would this reporting standard apply to processing and use information? How does this standard differ from the “not readily obtainable” standard, previously applicable to such reporting? Does the change of standard indicate that “extensive file searches and customer surveys” are now expected of submitters in order to assemble data for the purposes of chemical data reporting?

The term “known to or reasonably ascertainable by” is defined at 40 CFR 704.3. It 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.” By contrast, “readily obtainable” information did not even cover all the information in a submitter’s possession or control. As defined for the 2006 submission period, it was limited to what was known by certain “management and supervisory employees of the submitter.” See 68 FR 879 (2003).

Under the “known to” portion of the standard, a submitter must ascertain what it knows about the processing and use of a chemical substance it manufactures (including imports), without confining its inquiry to what is known to managerial and supervisory employees. A submitter would also be expected to review other information which the manufacturer (including importer) may have in its possession. This standard requires that submitters conduct a reasonable inquiry within the full scope of their organization (not just the information known to managerial or supervisory employees). 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.

Inquiry under the “reasonably ascertainable” portion of standard may also entail inquiries outside the organization to fill gaps in the submitter’s knowledge. Note, however, that if particular information cannot be derived or reasonably estimated without conducting further customer surveys (i.e., without sending a comprehensive set of identical questions to multiple customers), it would not be “reasonably ascertainable” to the submitter. Thus, there is not a need to conduct new customer surveys for purposes of the CDR. As described above, however, existing customer survey data may nevertheless be “known to” the organization.

24.2. What are some 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?

The term “known to or reasonably ascertainable by” is defined at 40 CFR 704.3. It 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.” By contrast, “readily obtainable” information did not even cover all the information in a submitter’s possession or control. As defined for the 2006 submission period, it was limited to what was known by certain “management and supervisory employees of the submitter.” See 68 FR 879 (2003).

25. Part I Company and Site Identification Information

Section A. Parent Company Information

25.1. What information must I provide about my 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 highest-level parent company at 40 CFR 711.3. Submitters must report the 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 the D&B number.

See the Instructions for Reporting for examples of how to identify the parent company(ies) in different situations on the CDR website at www.epa.gov/cdr.

25.2. Can EPA clarify how the responsibility will be assigned for reporting chemical substance manufacture and import activities for entities that were acquired or divested since the last submission period? For example, the current owner of a newly acquired facility may not have access to manufacture/import volume information for years before they acquired the facility. Would exemptions be provided for any company engaged in an acquisition or divestiture during the years since the last reporting cycle?

Reporting should be based on ownership of the manufacturing entity, as of the date that the report is submitted. EPA acknowledges that there will be submitters who have been involved in an acquisition or divestiture since the last submission period and for whom certain information is not known or reasonably ascertainable. If information is not known or reasonably ascertainable, it need not be reported under the CDR. See the Reporting After Changes to Company Ownership or Legal Identity fact sheet for further information.

25.3. During the first six months of the current CDR reporting year (e.g., 2019 for the 2020 reporting period), Company X manufactured 30,000 pounds of a chemical substance included on the TSCA Inventory and not otherwise excluded from the CDR at a particular site. In the middle of the same year, Company Y purchased Company X, acquiring all the assets of Company X and assuming all of the liabilities of Company X. During the last six months of the same year, Company Y manufactured 40,000 pounds of the same chemical substance at the site. Who should report the amounts of the chemical substance manufactured?

Because all of the assets and liabilities of Company X were merged into Company Y, and Company Y continued as a going concern, Company Y is required to report the entire 70,000 pounds of the chemical substance manufactured at the site during the reporting year (e.g., 2019 for the 2020 reporting period, as well as the production volume of the chemical substance during any year since the last principal reporting year. More information about the effect of company mergers on CDR reporting can be found in the Reporting After Changes to Company Ownership or Legal Identity fact sheet.

25.4. On January 1, 2020, Company A will sell the portion of its business that conducted manufacturing in 2019. Company B will purchase this portion of the business, acquiring all of its assets and assuming all of its liabilities. Whose company identification should be reported for the “U.S. parent company”? Company A’s because Company A was the owner when the manufacturing occurred? Or Company B’s because Company B was the owner of the submission?

By the time of the CDR submission in 2020, Company B owns the entity that conducted the manufacturing in 2019. Company B should report its own identity, not the identity of a previous owner. More information about the effect of the sale of a company on reporting requirements can be found in the Reporting After Changes to Company Ownership or Legal Identity fact sheet on the CDR website.

25.5. A company has 3 small facilities (1 chemical substance to report) that closed during the CDR submission period and the company cannot reasonably obtain the manufacturing data for the facilities. How should the company complete the form for these facilities?

Assuming each of the facilities met or exceeded the production volume threshold for the subject chemical substance during any calendar year since the last reporting period, the company should submit a Form U for each of the closed facilities and report the CDR information to the extent that it is known to or reasonably ascertainable by the company. Additional information about the effect of ceasing manufacturing operations at a site on CDR reporting can be found in the Reporting After Changes to Company Ownership or Legal Identity fact sheet on the CDR website.

25.6. Which company should report if a chemical substance is being manufactured by a joint venture?

Participants in the joint venture may determine among themselves who will report. If no report is submitted when required, EPA may hold each party in the joint venture liable for the failure to report.

25.7. Company CDE owns CDE Texas. CDE Texas has a site which is also its headquarters. This site is partly owned as a joint venture between CDE Texas and Company CDE, and is partly owned solely by Company CDE. The joint venture part makes certain chemicals, and the solely owned part makes different chemicals. Company CDE has a D&B number for its headquarters at another location but not for the solely owned part of the Texas site. Does Company CDE need to get a site-specific D&B number for the part of the Texas site that it solely owns? Do the two entities need to do separate reporting for the site, one for the jointly owned part and one for the solely owned part?

In this description, Company CDE and CDE Texas are separate corporate entities. Therefore, the land on which these companies manufacture chemical substances is composed of two distinct sites, one owned solely by Company CDE and a second jointly owned by Company CDE and CDE Texas. Company CDE may use its corporate D&B number to report the chemical substances on the part of the site that it owns alone. Because CDE Texas is a distinct corporate entity, it seems appropriate that this entity should have a distinct D&B. For chemical substances manufactured by the joint venture on the jointly owned part of the site, it would seem appropriate to use the D&B number for CDE Texas, as the site is also its headquarters.

25.8. On January 1, 2020, Company ABC will change its name to Company XYZ. What name should be used for CDR reporting, the new name, or the name of the company in 2019?

By the time of the CDR submission in 2020, Company XYZ is the current name of the business entity that conducted the manufacturing in 2019. Company XYZ should report its current name, not a prior name that it used when manufacturing in 2019.

25.9. A company’s headquarters is responsible for ordering and importing several chemical substances that are sent to warehouses in two other states once they have cleared U.S. Customs. The company does not know which site to report on Form U.

The company should list the site that controls the import transaction, which may or may not be the site that receives the material. The site where a chemical substance is imported is the site of the operating unit within the organization that is directly responsible for importing the substance and controls the import transaction. In some cases, the import site may be the organization’s headquarters in the United States. (See the definition of site in 40 CFR 711.3). If for a given substance that a company imports at a given site, more than one person meets the definition of importer at 40 CFR 704.3, only one person should report. See 40 CFR 711.22(b).

25.10. Form U requests the Dun & Bradstreet D-U-N-S® number for the Site. If a site is comprised of two facilities, each with its own D&B number, should one or both numbers be used?

A company should use the D&B number that most closely relates to the manufacture of the chemical substance listed on Form U.

25.11. If a company will be using the corporate D&B number for a site-specific CDR submission, should the corporate D&B number be placed in both the company Dun & Bradstreet block (1.A.2) and the site Dun & Bradstreet block (1.B.2) on Form U or should be 1.B.2. block be left blank?

The D&B number of the corporation that owns the site should be reported as the site D&B number. If the corporation owning a site is controlled by another entity, the D&B number of that entity should be entered as the company D&B number. If the owner of the site where the chemical substance reported in the CDR submission is manufactured is not owned or controlled by another firm, the D&B number of the site owner may be reported as both the company and the site D&B number. Neither the block for the company nor the site D&B number should be left blank.

25.12. A company that has a D&B number for its company headquarters is not in the practice of obtaining D&B numbers for its various facilities. The company does not want to engage in such a practice for commercial reasons (e.g., this would create listings and ratings the company would prefer to be published by D&B solely on the basis of its headquarters entries). Must the company obtain separate site D&B numbers to comply with CDR?

The CDR regulation requires that the submitter include the appropriate D&B number for each site reported. A corporation may use its corporate D&B number for all sites owned by that firm.

25.13. Does the definition of site force different companies that are at the same site to report together?

No. The definition does not require different companies located at the same site to report together. However, if a single company operates multiple plants at a single site, those plants should report together for the site. See the definition of site at 40 CFR 711.3.

25.14. A company transferred 30,000 pounds of a chemical substance from Site B to Site A within the company during the CDR principal reporting year. This chemical substance was initially imported by Site B. Does Site A report it as an imported chemical substance?

No. Site A was not the site directly responsible for the import of this chemical substance. The import of the chemical should be reported by Site B.

25.15. A company has portable tanks for slurrying lime at construction sites for customers. These sites include building construction sites and road and highway projects. The dry powder quick lime (CaO) is sent to the job site and mixed with water in the tank where it reacts to form a slurry of “hydrate” (calcium hydroxide, Ca(OH)2), along with water), so the calcium hydroxide is reportable under CDR. The company wants to report these sales in CDR as calcium hydroxide produced in the terminals from which the portable tanks are run. Sales of the slurry are claimed by the terminals and the terminal is responsible for the operation of the portable tanks, as well as the maintenance and movement of the tanks. Is this approach, to account for the sale of calcium hydroxide as if the portable tank were located at the terminal producing the slurry, appropriate for CDR reporting?

Yes. The definition of site states that “for portable manufacturing units sent out to different locations from a single distribution center, the distribution center shall be considered the site.” See the definition of site at 40 CFR 711.3.

25.16. How do I identify the appropriate NAICS code for a reporting site?

EPA requires submitters to report the 6-digit North American Industry Classification System (NAICS) code that best describes the activities conducted at the reporting site. 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.

26. Part II - Section A. Chemical Substance Identification

26.1. How does a submitter determine the Chemical Abstracts Service Registry Number (CASRN) for a chemical substance and what if the submitter can’t find it?

Submitters 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). 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. However, submitters of Inventory-listed substances should generally know already what CASRNs have been assigned to their substances.

Submitters will be able to connect directly to the SRS database from the e-CDRweb reporting tool to report the correct CA Index Names and CASRNs for all non-confidential chemical substances on the TSCA Inventory. TSCA Accession Numbers and generic chemical names will be listed in the SRS 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.

Every non-confidential chemical substance reported in accordance with CDR must be accompanied by its correct CASRN, corresponding to the chemical substance’s correct, specific chemical name. (40 CFR 711.15(b)(3)(i)). Submitters 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. To report a substance on the confidential Inventory, the TSCA Accession Number must be submitted as the chemical identifying number.

26.2. If the substance is confidential, can the Accession Number or the PMN case number be used instead?

In the case of confidential chemical substances, EPA is requiring that submitters report only the TSCA Accession Number as a chemical identifying number. If the PMN case number of a confidential substance was used for reporting in the past, submitters can use the PMN case number to search the SRS to populate the pertinent chemical identification information for the confidential chemical substance listed on the TSCA Inventory.

The SRS contains a cross-reference list that displays the Accession Number, generic chemical name, and the PMN case number (or for an initial TSCA Inventory substance, the TSCA Inventory reporting form number) for any confidential chemical substance listed on the TSCA Inventory. Submitters can use the SRS to select the correct Accession Number corresponding to the confidential chemical substance intended to be reported (the generic name corresponding to the Accession Number will automatically be incorporated into the report).

EPA recognizes that there are certain circumstances where a submitter occasionally may not be sure of the particular PMN case number and Accession Number that EPA has assigned to one of its confidential chemical substances so that they do not have enough information to search the SRS. This could happen, for example, if the chemical substance were originally reported as part of a consolidated PMN and a submitter did not learn from EPA which particular case number in the consolidated PMN number sequence corresponds to which of the several reported confidential chemical substances. This could also happen if a certain PMN represented a mixture of two or more confidential chemical substances, such that multiple Accession Numbers were assigned to the different chemical substances reported in that single PMN, and a submitter didn’t already request the particular Accession Numbers from EPA for the individual chemical substances comprising that multi-component type of PMN.

Submitters who are not able to identify the Accession Number by searching the SRS should read How do I find out if a substance is on the Inventory?” 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.

26.3. Does EPA provide a cross-reference list of PMN Numbers and Accession Numbers?

EPA’s Substance Registry Services (SRS) contains a cross-reference list that displays the Accession Number, generic chemical substance name, and the PMN case number (or for an initial TSCA Inventory chemical substance, the TSCA Inventory reporting form number) for any confidential chemical substance listed on the TSCA Inventory. The e-CDRweb reporting tool allows you to search SRS using the PMN number in order to populate your CDR report with the pertinent chemical identification information for confidential chemical substances listed on the TSCA Inventory. In addition, you may obtain the accession number by contacting EPA’s Hotline by phone at 202-554-1404 or by e-mail at [email protected].

26.4. A company is importing a mixture under a trade name, and the foreign manufacturer refuses to reveal the specific chemical identity of a confidential component of the mixture. How does the company report?

If an importer submitting a report cannot provide the information specified in 40 CFR 711.15(b)(3)(i) because it is unknown to the importer and claimed as confidential by the supplier of the chemical substance or mixture, the importer must ask the supplier to use e-CDRweb to provide the complete, currently correct chemical identity information directly to the EPA in a joint 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 the importer's submission for the chemical substance.

26.5. A company notices that there are CASRNs for several gas streams listed in the Partially Exempt Petroleum Process Streams listed in §711.6(b)(1) that appear to be molecularly similar to its fractionated products propane, butane and ethane. However, the CASRNs that the company previously used to report these products are not listed as partially exempt. The table below shows the CASRNs previously used in reporting by the company as compared to the CASRNS of molecularly similar partially exempt petroleum process streams.

CASRNs used by Company	CASRNS of Partially Exempt Streams
74-98-6, Propane, C3H8	68476-49-3 Hydrocarbons,C2-4, C-3
106-97-8, Butane, C4C10	68476-42-6 Hydrocarbons, C4-5
74-84-0, Ethane, C2H6	68606-25-7 Hydrocarbons, C2-4

The company wants to know whether or not these CASRNs would be considered synonyms and if they can use the CASRNs for the partially exempt process streams for their CDR submission.

The CASRNs listed above for the partially exempt petroleum process streams are for Class 2 substances, which are combinations of possible hydrocarbons with the chain lengths in the ranges indicated. Such Class 2 substances are not intended to encompass Class 1 substances, which can be more precisely described with a specific chemical structure and molecular formula. For example, the substance identified above as butane is not considered the same substance as "Hydrocarbons, C4-5," even though it falls within the C4 to C5 range, because butane is a more precise description of the substance as it was actually manufactured, and "Hydrocarbons, C4-5" is considered to be a combination of possible hydrocarbons (not limited to alkanes) in the C4 to C5 carbon number range. A company should use the CAS number that is the best fit for the chemical substance being manufactured or imported and is consistent with how the substance is accurately described in commerce and was reported by the company for TSCA Inventory purposes. In this case, the correct CAS number for butane is 106-97-8. This substance is not partially exempt from CDR.

EPA expects that use of SRS to identify chemical substances and their correct CASRNs will help improve the accuracy of identification. In the example above, a search of “butane” or “106-97-8” gives two results: one for 106-97-8 and another for 68476-85-7. The systematic name for CASRN 68476-85-7 is “petroleum gases, liquefied” which also is listed in the table at 40 CFR 711.6(b)(1) as partially exempt from CDR reporting. However, in the SRS section titled “Associated Identifiers”, CASRN 106-97-8 is listed as an incorrectly used CAS number. None of the CASRNs that the company previously used list the partially exempt CASRNs as synonyms and vice versa.

27. Part II — Section B. Technical Contact Information

27.1. What role does the technical contact Play?

The technical contact is the person whom EPA may contact for clarification of the information in a 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 reporting tool. Submitters should consider, in selecting the technical contact, that EPA may have follow-up questions about a CDR submission one or more years after the submission date. The technical contact need not be the person who signs the certification statement. The technical contact can be selected from the drop down list of registered support registrants.

27.2. Are companies allowed to use their discretion in identifying the most appropriate technical contact to list on the Form U? Do technical contacts need to be physically located at the reporting site?

While companies are allowed to use their discretion in selecting a technical contact or multiple technical contacts, as permitted by the e-CDRweb reporting tool, EPA expects a technical contact to be someone who can answer detailed follow-up questions that EPA may have regarding the Form U. EPA has found that technical contacts not at the reporting site generally are less knowledgeable about the chemical substance or the types of information needed for the Form U and therefore may not be able to discuss follow-up questions. Also, it has been EPA’s general experience that short-term contractors have not been suitable technical contacts because they may no longer be under contract with the submitting company a year or more after the Form U is submitted when EPA may want to contact them.

27.3. Can two different plant sites within the same company that are both reporting under CDR have different technical contacts?

Yes. A different technical contact may be reported for each site. A Form U would be completed for each plant site, and each Form U would list the technical contact able to answer questions about the information in the report. In fact, a different technical contact may be provided for each chemical substance reported on the Form U.

27.4. Can companies have more than one technical contact for a site?

Yes. The e-CDRweb reporting tool allows the identification of a different technical contact for each chemical substance.

28. Part II — Section C. Manufacturing Information

28.1. How precisely must the manufactured (including imported) volume be reported?

The production volume must be reported to at least two significant figures of accuracy. See 40 CFR 711.15(b)(3)(iv). EPA will accept more accurate reporting.

28.2. How should the percent of production volume figures be rounded for purposes of CDR?

When rounding a number to the closest ten percent for CDR, round a number ending in 5 percent or greater up to the next higher 10 percent. For example, 5 percent is rounded up to 10 percent, 15 percent is rounded up to 20, and, 25 percent is rounded up to 30 percent. Round a number ending in less than 5 percent down to the next lower 10 percent. For example, 14 percent is rounded down to 10 percent, 24 percent is rounded down to 20 percent, and so forth.

An exception to this rule applies where a particular combination of processing or use operation, Industrial sector code, and function category accounts for 5 percent or less of the submitter’s site’s total production volume of a reportable chemical substance; in this case, the percentage must not be rounded off to zero percent if the production volume attributable to that industrial processing or use operation, sector code and function category combination exceeds the applicable reporting threshold during the reporting year. Instead, in such an instance, submitters must report the percentage, rounded to the closest 1 percent of the submitter’s site’s total production volume of the reportable chemical substance associated with the particular combination of processing or use operation, industrial sector code, and function category (40 CFR 711.15(b)(4)(i)(D)). A similar exception pertains to commercial and consumer use information (40 CFR 711.15(b)(4)(ii)(D)).

28.3. If a company manufactures a site-limited chemical substance that is on the TSCA Inventory, does the company need to report that substance under the CDR rule?

Yes, possibly. There are no exemptions for site-limited chemicals.

In some cases, a chemical that is site-limited may also be a non-isolated intermediate and be exempt from CDR reporting. For information on non-isolated intermediates, see the TSCA Chemical Data Reporting Fact Sheet: Non-Isolated Intermediates.

Additionally, a byproduct chemical that is recycled in a site-limited enclosed system may be exempt from CDR reporting. For information on this byproduct-specific exemption, see the Instructions for Reporting.

28.4. Can imported chemical substances be reported as used on-site?

Yes. The data element Production Volume Used On-Site represents the volume of the chemical substance that does not leave the manufacturing site. If the imported chemical substance is used to manufacture another chemical substance on-site, report that volume as used on site. If the imported chemical substance is used to form a mixture without a chemical reaction, and that mixture is used on-site, report the volume as used on-site. If the imported chemical substance is used to form a mixture without a chemical reaction, and that mixture is then sent off-site, do not report the volume as used on site.

28.5. If both Domestically manufactured and imported chemical substances are used at a reporting site, how is that reported?

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 should not exceed the sum of the domestically manufactured and imported volumes minus any volume exported.

28.6. A company produces over 25,000 pounds of a reportable chemical substance. Most of this production is for on-site use but a small amount is sent to another site. How should this be reported?

Report the full amount manufactured as the production volume, and report only the amount used on-site in the designated field in Part II – Section C of the CDR Form U for this chemical substance.

28.7. A company imports 30,000 pounds of a chemical substance and sends the entire volume directly to various warehouses owned by its customers. How is this reported on Form U?

Report 30,000 pounds for volume imported and indicate that the imported chemical substance is never physically at the reporting site.

28.8. How is volume “used on-site” calculated if the substance is stored after its manufacture?

The volume “used on?site” represents the volume of the chemical substance domestically manufactured or imported that does not leave the manufacturing site. If after manufacture (including import), you use a portion or the entirety of the chemical substance on?site (e.g., to produce other chemical substances), then that portion is considered to be “used on?site.” If you have been accumulating your chemical substance and storing it on-site, only report as “used on site” the volume that is from the amount that you’ve actually manufactured that year. In other words, only account for the volume used on-site that came from the volume manufactured in the principal reporting year (e.g., 2019 for the 2020 submission period).

28.9. I manufacture a product for sale within the United States as well as for export. Does the Production Volume Exported (Block 2.B.9) apply to exports out of the United States or does it apply to the production volume that is not used on site?

For Production Volume Exported, report the production volume of the chemical substance directly exported outside of the United States, and not domestically processed or used.

Note that direct exporting includes sending a chemical substance to a distributor who then exports to the foreign customer without repackaging it, even if it is relabeled. However, 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 Form U.

28.10. How is the physical form of slurry or a solid/liquid suspension identified?

For purposes of CDR, slurries, colloidal suspensions, and other solids-liquid mixtures should be reported as a “water- or solvent-wet solid.”

28.11. What is the difference between water- or solvent-wet solid and liquid?

For purposes of CDR, water- or solvent-wet solids include mixtures of liquids and solids, such as slurries and colloidal suspensions. Liquids include liquid-liquid mixtures and liquid solutions containing dissolved solids.

28.12. Does EPA differentiate between pellets and granules when reporting the physical form?

No. For purposes of CDR, pellets and granules should be reported as “pellets or large crystals.”

28.13. What physical form does a submitter use for a chemical substance when the chemical substance is manufactured at elevated temperatures as a liquid but then a portion is cooled and pelletized? The chemical substance may leave the site in either form.

Report the physical form of the chemical substance when it is leaves the site. In this case, the submitter should report both “liquid” (Block 2.B.18) and “pellets or large crystals” (Block 2.B.14) because the chemical substance may leave the site in either form.

28.14. How does one identify physical form for a compressed gas, as a liquid or a gas/vapor?

Submitters are asked to report the physical form(s) of the reportable chemical substance as it is sent off- site from each site. When reporting for a chemical substance which is a compressed gas, the best response would be to report both the liquid and the gas or vapor as physical forms. The percentages, rounded to the closest 10 percent, of the production volume, by weight, reported for each physical form would most likely be 100 percent for the liquid and 0 percent for the gas or vapor.

28.15. A company buys hydrochloric acid 37 percent solution, CAS Registry Number 7647-01-1, in a diluted liquid form instead of a gaseous form. It is then diluted further to approximately 31.4 percent, re-packaged in 1 gallon bottles for sale to the swimming pool industry for pH control of swimming pools. The company believed that only the gaseous form of hydrochloric acid was covered. Is this dissolving, dilution, and re-packaging covered under the CDR regulations?

Manufacturers, including importers, of subject chemical substances are required to report under the CDR regardless of the physical form or state of the chemical substance. However, it does not sound as though this company is manufacturing a chemical substance — unless the company is importing the 37 percent solution of hydrochloric acid. If 25,000 pounds or more of hydrochloric acid is imported, based on the “dry” weight of gaseous hydrochloric acid actually dissolved in the solution, and if all is in solution, then it is reportable and also it is likely that the company should be reporting 100 percent.

28.16. A company manufactures a chemical substance that is sent off-site in products containing from 3 percent to 33 percent by weight of the chemical substance. What code should be used to report the maximum concentration in Block 2.B.11?

The maximum concentration leaving the site is 33 percent. Therefore, report code M3, which represents a concentration of 31 to 60 percent by weight.

28.17. How does a company report the maximum concentration if a chemical substance never leaves the site where it is produced?

For site-limited chemical substances, report the maximum concentration at the time the chemical substance is reacted on-site to produce a different chemical substance.

28.18. A company produces a chemical substance at 98 percent concentration and then reacts the chemical substance to form other chemical products. When the products are packaged and distributed to customers, small amounts of the original chemical substance may be unintentionally present in these products. How should the maximum concentration be reported in Form U?

Based on the facts given (the first chemical substance is only “unintentionally present” in the product sent off-site) it is appropriate to treat the first chemical substance as site-limited—it only leaves the site as an impurity in the other products. Thus, the maximum concentration is the concentration at the time that it was reacted on-site to produce the other products: 98 percent. 40 CFR 711.15(b)(3)(viii). Therefore, report M5 for the maximum concentration code, corresponding to 98 percent.

28.19. If samples are sent off-site for analysis, should these samples be included when reporting the maximum concentration of the chemical substance leaving the site?

Analytical samples for purposes of certification and quality control are presumed not to be distributed for a separate commercial purpose and do not impact the reporting status of a chemical substance. Therefore, analytical samples do not need to be considered when reporting the maximum concentration. Note, however, that if the chemical substance was sent off-site for research and development purposes, the maximum concentration of the chemical substance leaving the site for these purposes would be reported.

28.20. A company manufactures a chemical substance at 100 percent concentration. It is then blended with other chemical substances, resulting in a final product at 60 percent concentration. This product is drummed and distributed to customers. How should the maximum concentration be reported?

The maximum concentration of the chemical substance as it leaves the site would be reported. For this example, the code is M3 which corresponds to the 60 percent concentration leaving the manufacturing site

28.21. Is there a requirement to report production volumes for years other than the principal reporting year?

Yes. If a chemical substance was manufactured (including imported) for commercial purposes in volumes of 25,000 pounds or more (2,500 pounds for a chemical subject to certain TSCA actions) at any single site during any calendar year since the last principal reporting year, report the total volume of the chemical substance domestically manufactured and imported at a site during each calendar year since the last CDR principal reporting year. For example, during the 2020 CDR submission period, report production volumes for 2016, 2017, 2018, and 2019.

29. Part II - Section D.1 - Industrial Processing and Use Data

29.1. Who must report on processing and use information?

Processing and use information is required for manufacturers with production volumes of 25,000 lbs or more, at a site, unless subject to a reduced threshold of 2,500 lbs more at a site, unless otherwise exempted. For a more detailed discussion of processing and use reporting exemptions, please see question 21.2: “Which chemical substances are subject to full reporting?”

29.2. What does OECD stand for? Why is EPA phasing in the replacement of the existing CDR industrial function and commercial/consumer product use codes with codes based on the OECD function, product and article use categories?

OECD is the Organisation for Economic Co-operation and Development. The CDR OECD-based codes will be familiar for companies that also report internationally and helpful for synthesizing data submitted under CDR with data from other programs that use OECD codes.

EPA is phasing in the use of the OECD-based codes to allow reporters time to familiarize themselves with the new codes. Due to EPA’s immediate and known need for processing and use information for the 20 chemical substances designated in 2019 by EPA as a high-priority for risk evaluation, manufacturers of those listed chemicals must use the new codes. This list is in 40 CFR 711.15(b)(4)(i)(C), Table 7 and available in the 2020 Instructions for Reporting. Manufacturers of other chemicals may use either the new or the existing CDR codes. Reporting using the OECD-based codes will be fully implemented and required for all chemicals beginning with the 2024 CDR submission period.

29.3. What sorts of processing and use information am I required to report?

For industrial processing and use information, reporters are required to provide unique combinations of the industrial function category, industrial sector, and functional use. If more than 10 unique combinations apply to a chemical substance, submitters need only report the 10 unique combinations for the chemical substance that cumulatively represent the largest percentage of the submitter's production volume for that chemical substance, measured by weight. For each unique combination, the reporter provides: the associated percent production volume, number of workers and number of sites.

For commercial and consumer use data, the reporter are required to provide unique product categories (as with the industrial processing and use information, submitters can stop at 10 unique product categories). For each unique product category, the reporter indicates whether the use is consumer, commercial or both, the functional use and use in products intended for children and the associated percent production volume, maximum concentration and number of commercial workers.

29.4. How does EPA interpret the processing and use data?

EPA views the CDR processing and use data as potential exposure scenarios that may be used to inform actions on specific conditions of use during chemical prioritization, risk evaluation, risk management, or other activities under TSCA. For industrial processing and use data, EPA considers a combination of the first three elements - the industrial type, sector and function - to be a unique exposure scenario. The same is true for a combination of the first four consumer/commercial use elements; a combination of product category, consumer or commercial use, functional use, and use in products intended for children amounts to a unique exposure scenario.

29.5. A company manufactures chemical substances but often does not know how these chemical substances are used by downstream customers. Does EPA intend for submitters to send questions to customers requesting information about downstream uses?

It depends on what is meant by sending “questions to customers.” Submitters need not send out a comprehensive set of identical questions to multiple customers in order to fulfill the CDR’s reporting standard. That is, they need not conduct a new survey of their customers. However, fulfilling the reporting standard may entail inquiries outside the organization (e.g., contacting a major customer or examining that customer’s public website) to fill in gaps in the submitter’s knowledge, where the submitter’s current knowledge is less than what a “reasonable person similarly situated might be expected to possess, control, or know.” See 40 CFR 704.3.

29.6. All of a company’s products are used to make commercial products through various process steps by different manufacturers. For Part II – Section D, should the company provide information about consumer and children’s uses even if its chemical substance is not the end use product?

Yes. If the chemical substance is used in a consumer product, the company would still report the information, even if the company does not manufacture the end use item. The information provided in Part II – Section D is associated with the processing and use of chemical substances and typically relates to processing or use that is outside of the manufacturing or importing site, unless, of course, the manufacturer or importer also processes or uses the chemical substance. The codes that a company selects for Part II – Section D generally relate to what subsequent users and processors are doing with the product.

To the extent the information is known to or reasonably ascertainable by the manufacturer or importer of the subject chemical substance, information on subsequent industrial uses and processing would be reported on Part II, Section D.1, and commercial and consumer uses of the chemical substance would be reported on Part II, Section D.2 of CDR Form U. A company which is a manufacturer or importer should report information about the distribution, processing, and use of the chemical substance known to or reasonably ascertainable by the company. To the extent the information is not known or reasonably ascertainable, the company may report NKRA (i.e., “not known or reasonably ascertainable”).

29.7. How should industrial, commercial, and consumer uses of fungible commodities be reported when they are distributed via a delivery mechanism shared with other manufacturers?

Manufacturers of such fungible commodities should report based on intended distribution for use or processing. For example, if a submitter produces 100,000 tons of ammonia that is transported via a pipeline in common with ammonia produced by other manufacturers to various distribution points along the pipeline, that submitter should, for CDR purposes, consider their site’s 100,000 tons to have only been extracted from the pipeline by its customer. Thus, this individual submitter does not have to account for all potential downstream processing and use scenarios for all persons drawing ammonia from the common pipeline. Instead, this submitter should provide processing and use information based on the premise that the 100,000 tons of ammonia that it injected into the pipeline is the same 100,000 tons of ammonia withdrawn from the pipeline by its intended customer.

29.8. Company A manufactures greater than 25,000 pounds of an additive for polymer resins and sells it to Formulator F. Formulator F formulates a can coating and sells its product, which contains the additive, to Can Coater C. Can Coater C applies the coating to steel and aluminum cans. The additive is completely reacted when the coating is cured. Can Coater C sells the cans to Paint Formulator P, who fills the coated cans with paint and sells its formulated paint product to the public (consumers). Which company is responsible for reporting for the additive for polymer resins?

As the manufacturer of the additive, Company A is responsible for meeting all reporting obligations for this chemical substance. Company A would report information on Part II – Section D of Form U reflecting the formulation activities of Formulator F and the coating activities of Can Coater C. Reporting downstream uses for the additive ceases when the coating is cured (i.e., the additive is reacted to form another chemical substance).

Note that a different chemical substance is created when the additive is cured, but this newly created chemical substance (cured can coating) is exempt from CDR (40 CFR 711.10(c) which references 40 CFR 720.30(h)(6)).

29.9. A company manufactures more than 25,000 pounds of an organic chemical substance, which is used as an intermediate to manufacture other chemical substances. A small amount of the organic chemical substance may be unintentionally present in the reaction product but it does not have a separate commercial purpose. The reaction product is sold for commercial and/or consumer use. How should Part II – Section D of Form U be completed for the original chemical substance?

The company would complete Part II, Section D.1 of Form U to reflect the use of the originally manufactured organic chemical substance as a chemical intermediate. The reporting of further downstream uses for the intermediate ceases when it is fully reacted to form a different chemical substance. Because the remaining organic chemical substance is unintentional, it is likely to meet the definition of an impurity in the other chemical substances. Impurities, as defined in 40 CFR 704.3, are exempt from CDR (see 40 CFR 711.10(c)).

29.10. A company manufactures Chemical P and distributes it to several customers who consume Chemical P in the production of Chemicals Q and R. Chemicals Q and Rare then used in the metal plating industry. Under the CDR R regulation, if the company must report Chemical P, must the company also report the uses for Chemicals Q and R on Part II – Section D of Form U?

The company is only required to report the uses for Chemical P. Once Chemical P is converted into other chemical substances, in this case Chemicals Q and R, it no longer exists, so there are no further reportable uses of Chemical P.

Note that customers who use Chemical P to produce Chemicals Q and R may be subject to CDR for their manufacture of Chemicals Q and R and may be required to report the use of their chemical substance in the metal plating industry.

29.11. How is the use of an organic fertilizer reported in Part II – Section D of CDR Form U?

The industrial, commercial, and /or consumer uses of organic fertilizers should be reported up to the point at which they are applied as fertilizers. Therefore, the final use that a fertilizer manufacturer would need to report would be the application of the fertilizer. See 40 CFR 711.15(b)(4) for reporting processing and use information.

29.12. Company A manufactures a chemical substance that is used as a component in a larger mixture which is then further processed, bottled and sold to consumers. Should Company A report on uses by its customers in addition to reporting on Company A’s facility that further processes the mixture to complete the end product before it’s sold to consumers?

Yes. For the Part II – Section D information, each line of data represents an exposure scenario, and a new line should be used for each different exposure scenario. For the processing of the substance, Company A would report in Section D.1. of Part II on the uses associated with the industrial processing that is conducted by its facility. Because the chemical substance is further processed and sold, Company A should also complete the commercial and consumer use information in Section D.2. of Part II to the extent that it is known or reasonably ascertainable.

29.13. Company D’s chemical substances are used in oilfields. Company D is not sure whether use of its chemical substances by oilfield service companies would make it commercial or consumer use, and thus subject to Part II – Section D.2 reporting.

Company D should report the processing and use information to the extent that it is known to or reasonably ascertainable by Company D, such as by using its own knowledge of the function of its chemical when used in oilfields, which may indicate whether the chemical will be used in downstream applications, such as for consumer or commercial uses. In addition, the type of company that constitutes Company D’s customers could serve as an indication of where and how the chemical is used. For example, if the function of the chemical is such that it would reasonably be expected to be used at an oilfield production facility to maintain equipment, then it is used at an industrial setting. For another example, if the customer is by an oilfield service company means that the product will be used in an oilfield or a related production facility; such a use, would constitute an industrial use operation. Both of these examples would be reported in Section D.1. of Part II. However, if the substance is used by a company to fill home fuel tanks, for instance, it would be considered a consumer or commercial use and would be reported in Section D.2. of Part II. If Company D is not sure of the consumer or commercial use, then it should report “NKRA” for not known or reasonably ascertainable in Section D.2.

29.14. How will the revised lists of codes for Type of Processing and Use (TPU), Sectors (IS), and Function Categories (IFCs) be used?

Each combination of the three codes describes a potential industrial exposure scenario for EPA to consider during prioritization, risk evaluation, and other risk management activities.

29.15. Is there a crosswalk between the North American Industrial Classification System (NAICS) codes used in 2006 and the current Industrial Sector (IS) codes?

Yes. This information can be located on the Replacement of 5-digit NAICS Codes with Industrial Sector Codes page of the CDR website. Submitters who do not know a specific NAICS code may be able to identify a more general category.

29.16. Which Industrial Sector (IS) codes should be reported for processing and use of chemical substances which a company also manufactures?

For Part II – Section D of Form U, A company should report the IS code(s) that correspond to the processing and use activities for its chemical substance. The company reports its manufacturing information in Part II – Sections C of Form U. The IS codes are included in the e-CDRweb reporting tool.

29.17. How does a company determine the top 10 combinations of TPU, IS, and IFC codes if the company does not know the amount of chemical substances dedicated to each use? Should the company report “other” when it does not know the uses?

Use known or reasonably ascertainable information to select the 10 combinations of codes for the three data elements, TPU, IS and FC, for the chemical substance that cumulatively represent the largest percentage of production volume, measured by weight. If the company knows of some uses but does not know the amount of chemical substances for each use, the company should list the uses that it knows and identify any remaining information that is not known or reasonably ascertainable as “NKRA.” Codes for “Other” should only be used when it is known that the listed codes do not apply and the required written description of the “other” use can be provided. Provide any volume information according to this standard as well.

29.18. How is Part II – Section D of Form U completed for Chemical A when it is used as an intermediate to manufacture Chemical B? The site manufactured Chemical A, which is stored until needed to manufacture Chemical B.

When Chemical A is used as a chemical intermediate to manufacture Chemical B, in the Industrial processing and use section report “processing as a reactant” for the Type of Processing or Use (TPU). Also report the associated Industrial Sector (IS) and Function Category (FC) (indicating the function of Chemical A). For that combination of TPU, IS, and FC, report the Percent Production Volume, Number of Sites, and Number of Workers. Because Chemical A is consumed and further processing and use information for Chemical A will not exist, 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). For Part II – Section D.2. (Consumer and Commercial Use), when Chemical A is used as an intermediate in an industrial setting, then there is no consumer/commercial use and the “N/A” box should be checked. If Chemical A is also used for other industrial applications, then evaluate the reporting requirements for that alternate scenario.

Note that there are some intermediates that are non-isolated. To determine if your intermediate is non-isolated, see the CDR Fact Sheet: Non-Isolated Intermediates.

The manufacturer should also evaluate the need to report Chemical B, which would be reported on the same Form U site report but in its own chemical-specific report.

29.19. A company knows the volume of a chemical substance that it supplies to a customer and the TPU and NAICS codes as well as two FC codes but doesn’t know what percentages of the volumes go to the customer’s various FC codes or how many FC codes apply. Should the company report the TPU and NAICS codes and leave the FC code blank or put in “U999” for “Other”?

The company should fill out the portion of the Part II – Section D information that it knows (that is, the TPU, IS, and FC codes) and any other information that is known or reasonably ascertainable. The company can select the appropriate IS codes by using the document which identifies the correspondence between the NAICS codes and the IS codes. If any information is not known or reasonably ascertainable, the company can enter or select “NKRA” for “not known or reasonably ascertainable” in the box corresponding to that data element. The “U999 — Other” code should not be selected unless the company can provide a written description.

29.20. Both the Sector Code and Function Code allow a submitter to report “other” in place of one of the listed codes. When should “other” be used, and how much information should be provided?

Codes for “Other” should rarely be used and should only be used when it is known that the listed codes do not apply. When “other’ is used, include a written description that provides a description of the use at a comparable level of specificity as found with the current codes. Do not chose “other” or use the written description to provide additional, more specific detail than is provided by simply choosing the existing codes.

29.21. How does harmonizing CDR function and product codes with OECD-based codes impact reporting codes for industrial function categories?

The 2020 CDR Revisions rule updated industrial function codes based on OECD functional use categories. Under this rule, the previous 35 function codes are being replaced by 117 updated, OECD-based function codes. The updated codes will be fully implemented in the next reporting cycle in 2024. The OECD-based codes for function categories are listed in Table 8 in 40 CFR 711.15.

Reporting using the new OECD-based codes will be phased in during the 2020 and 2024 CDR submission periods. Manufacturers (including importers) of the chemicals listed in Table 7 at 40 CFR 711.15 are required to use the updated codes in 2020 CDR submissions. All manufacturers (including importers) are required to use the updated codes in 2024 submissions and beyond.

Additional details about the function categories and how they are related to the OECD functional use categories can be found in the Technical Support Document: Harmonizing CDR Functional and Product codes with OECD Functional, Product, and Article Codes located in the CDR Revisions rulemaking docket at www.regulations.gov, docket number EPA-HQ-OPPT-2018-0321. A crosswalk table can be found in the Instructions for Reporting.

30. Part II – Section D2 – Consumer and Commercial Use Data

30.1. The Consumer and Commercial Category code allows a submitter to report “other” in place of one of the listed codes. When should “other” be used, and how much information should be provided?

Codes for “Other” should rarely be used and only when you know that the listed codes do not apply. When “other” is used, include a description at a comparable level of specificity as found with the current codes. Do not chose “other” or use the written description to provide additional, more specific detail than is provided by simply choosing the existing codes.

30.2. Why do submitters have to designate whether the indicated product category is consumer use, commercial use, or both, when submitters may not always know who ultimately uses their products?

The intent of the consumer and commercial use data element is to identify the exposed populations. These two populations (i.e., consumers and commercial workers) are very different from each other, and the ability to distinguish uses between the two enables better exposure-based screening of chemical substances. Submitters may not always have detailed information about how the chemical substance(s) they make are used and to what extent they are used. However, EPA believes that industry possesses a greater knowledge than EPA about its own operations and the downstream uses of chemical substances it manufactures and sells, even if they do not control their customers’ sites.

30.3. How do submitters report CDR information for chemical substances they manufacture and sell directly to consumers?

If submitters manufacture (including import) 25,000 pounds or more (2,500 pounds for a chemical subject to certain TSCA actions) of a chemical substance and sell it for direct consumer use, mark the “Not Applicable” box under Part II – Section D.1 of Form U to denote that there is no industrial processing of the chemical substance. Complete Part II – Section D.2 to reflect the manner in which consumers use the chemical substance.

30.4. How is “intended for use by children” defined for purposes of CDR?

For purposes of reporting in accordance with the CDR regulation, under 40 CDR 711.3, “intended for use by children” means the chemical substance or mixture is used in or on 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:

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 a submitter determines that the chemical substance or mixture is used only in automotive care products and lubricants, for example, he would typically report “No” for children’s use for Product Categories C401 and C402.

30.5. How does harmonizing CDR function and product codes with OECD-based codes impact reporting codes for consumer/commercial product categories?

The 2020 CDR Revisions rule updated consumer/commercial product codes based on OECD product categories. Under this rule, the previous 33 consumer/commercial product categories are being replaced by 96 updated, OECD-based product codes. The updated codes will be fully implemented by the next reporting cycle in 2024. The updated codes for reporting consumer and commercial product categories are listed in Table 11 and the function codes are in Table 8 in 40 CFR 711.15.

Reporting using the new OECD-based codes will be phased in during the 2020 and 2024 CDR submission periods. Manufacturers (including importers) of the chemicals listed in Table 7 at 40 CFR 711.15 are required to use the updated codes in 2020 CDR submissions. All manufacturers (including importers) are required to use the updated codes in 2024 submissions and beyond.

Additional details about the function and product categories and how they are related to the OECD categories can be found in the Technical Support Document: Harmonizing CDR Functional and Product codes with OECD Functional, Product, and Article Codes located in the CDR Revisions rulemaking docket at www.regulations.gov, docket number EPA-HQ-OPPT-2018-0321. Crosswalk tables can be found in the Instructions for Reporting on the CDR website at www.epa.gov/cdr.

30.6. What is the distinction between consumer, commercial, and industrial chemical use categories?

“Consumer use” encompasses the use of a chemical or mixture containing a chemical that is sold to or made available to consumers for their use (including as part of a manufactured product or article, e.g. laundry and dishwashing products, furniture, clothing). See 40 CFR 711.3.

“Commercial use” is the use of a chemical or mixture containing a chemical in a commercial enterprise providing a saleable good or service (e.g. dry cleaning, carpet cleaning, or oil change services). See 40 CFR 711.3

“Industrial use” is the use at a site in which one or more chemicals or mixtures are manufactured (including imported) or processed. See 40 CFR 711.3.

In short, a company that is processing or otherwise using the chemical at a manufacturing site would report the processing or use under the industrial processing and use section of the CDR report. Additionally, these uses are not necessarily mutually exclusive – a use may be industrial, consumer, and commercial (e.g., a lubricating oil could be used in all three categories).

31. Part II — Estimating Number of Workers Reasonably Likely to be Exposed to a Chemical Substance

31.1. What does “reasonably likely to be exposed” to a chemical substance mean?

EPA defines “reasonably likely to be exposed” as exposure to a chemical substance which, under foreseeable conditions of manufacture (including import), processing, distribution in commerce, or use, is more likely to occur than not occur. Such exposures would normally include but are not 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. See 40 CFR. 711.3.

31.2. Does EPA provide information on how the frequency and duration of exposure should be considered when estimating the number of workers reasonably likely to be exposed to a chemical substance? Is there a minimum duration of exposure that does not need to be reported (e.g., one minute)?

Under the CDR rule, there is no minimum duration or frequency of exposure for determining the number of workers reasonably likely to be exposed to a chemical substance. If it is determined that a worker is reasonably likely to be exposed at any time during the year for any length of time, this worker should be included in the estimate.

31.3. Should contractors and temporary employees be included in the number of workers likely to be exposed?

Yes, include temporary, seasonal, or contract workers in the number of workers estimate if they are reasonably likely to be exposed.

31.4. Should the number of workers reasonably likely to be exposed to a chemical substance be reported as full-time equivalents or the actual number of workers?

Do not report full-time equivalents. EPA requires that the total number of individuals reasonably likely to be exposed to each reportable chemical substance be reported (40 CFR 711.15(b)(3)(vii) and 40 CFR 711.15(b)(4)(i)(F)). When a site employs temporary, seasonal, or contract workers in the manufacture of a reportable chemical substance, those workers should be included in the number of workers reasonably likely to be exposed if they work in areas where the chemical substance is manufactured. 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 persons working elsewhere on site who are not reasonably anticipated to be exposed to the chemical substance for even a brief period of time) should not be included in the reported number of workers reasonably likely to be exposed to a chemical substance.

31.5. Should administrative staff be included in the estimate for number of workers?

There may be instances in which administrative staff working at the site are reasonably likely to be exposed to the chemical substance and thus should be included in the number of workers reported. However, if the administrative workers do not enter areas where the chemical substances are manufactured (or in the processing and use) and are not reasonably likely to be exposed to a chemical substance for even a brief period of time, they should not be counted among the number of workers.

31.6. A company knows that a chemical substance that it manufactures and processes is present in the air in non-manufacturing areas of the plant site at measurable concentrations. How should the company estimate the number of workers reasonably likely to be exposed to the chemical substance? Are all workers employed at the site reasonably likely to be exposed?

The CDR regulation requires the reporting of the number of workers reasonably likely to be exposed to a reportable chemical substance (40 CFR 711.15(b) (3)(vi) and 40 CFR 711.15(b)(4)(i)(F)). There is no minimum level of exposure to a chemical substance for CDR below which a worker need not be counted among the number reasonably likely to be exposed to a chemical substance. Therefore, if a company knows that a chemical substance manufactured at the site is present in the air throughout the site, all workers at the site must be included in the number of workers reasonably likely to be exposed to the chemical substance.

31.7. Why are engineering controls and personal protective equipment (PPE) not considered when estimating the number of workers reasonably likely to be exposed?

Engineering controls and personal protective equipment (PPE) may reduce but do not preclude exposure to a chemical substance. Examples of engineering controls include ventilation systems, nitrogen blankets, and dust collectors. Examples of PPE include chemical gloves, respirators, goggles, and protective clothing. Based on EPA’s experience, the definition and use of engineering controls and PPE varies from site to site. In addition, the effectiveness of engineering controls and PPE is limited by possible equipment malfunction and improper use. When reporting the number of workers reasonably likely to be exposed to a chemical substance, no allowance should be made for the possible protection provided by engineering controls and PPE.

31.8. Should workers that may be exposed to a chemical substance during accidental releases be included in the estimate of number of workers reasonably likely to be exposed?

No. Workers that may be exposed during accidental releases should not be included in the number of workers reasonably likely to be exposed to a chemical substance. Only workers reasonably likely to be exposed to a chemical substance during normal manufacturing, processing, and use of a chemical substance, as well as ancillary activities such as equipment cleaning and maintenance, must be included for CDR.

31.9. Is the number of workers estimated for the facility or the customers?

It depends on which section of Form U is being completed. Form U requires separate estimates for three different types of workers. For Part II – Section C information, a company only reports the number of workers associated with the site of manufacture and/or import identified in Part I. Part II – Section C covers activities at the site of manufacture or import and so the number of workers reasonably expected to be exposed at that site would be reported.

For Part II – Section D information, a company reports the number of workers associated with industrial processing and use as well as commercial use, whether it is the reporting company’s site or someone else’s. Part II – Section D covers not only processing and use activities that may occur at the site of manufacture and import, but also those activities that occur downstream at customers’ sites after the product leaves the site of manufacture or import. Therefore, the number of workers that are reasonably likely to be exposed to the chemical substance would be reported for each combination of type of process or use operation, industrial sector and function category identified in Section D.1. This would include workers at sites controlled by the manufacturer or importer as well as workers at sites not under the control of the manufacturer or importer. Likewise, the number of commercial workers reasonably likely to be exposed while using the chemical substance would be reported for each product category identified in Section D.2.

31.10. A company imports reportable chemical substances that are not actually received at the reporting site. How does this company fill in Part II – Section C for the range of workers likely to be exposed to the chemical substance?

For an imported chemical substance, the site reported in CDR is the site of the operating unit within the organization of the person reporting which is directly responsible for importing the substance and which controls the import transaction; however, this may not be where the chemical substance is received. If the imported chemical substance is never physically received at the reported site, then no workers at that site are exposed to the chemical substance and the code, W1, would be reported in Part II – Section C for less than 10 workers reasonably likely to be exposed to the chemical substance.

31.11. Company A imports a chemical substance and hires a trucking company to do all the chemical distribution, so that no employees of Company A are exposed to the chemical substance. How does this company fill in Part II – Section C for the range of workers likely to be exposed to the chemical substance?

If the imported chemical substance is physically received at the reporting site, then workers at that site may be reasonably likely to be exposed to a chemical substance, regardless of their employer. Workers engaged in the loading of chemicals into transportation vessels, including trucks, may be reasonably likely to be exposed to a chemical substance during loading. If workers, including persons working for other companies, are reasonably likely to be exposed to the reported chemical substance at the site of manufacture (or import), then they should be included among those reported by Company A in Part II – Section C on Form U.

31.12. Company B employs 12 workers to operate manufacturing lines for three different chemical substances, X, Y, and Z. The workers rotate among the different manufacturing lines. Only four workers work on the manufacturing line for Chemical X at any given time. However, any of the 12 workers may be assigned to Chemical X production. How should Company B report the number of workers reasonably likely to be exposed during the manufacturing of Chemical X?

Because any of the 12 workers may have worked on the Chemical X production line during the reporting year, Company B should report code W2 in Part II – Section C to reflect at least 10 but fewer than 25 workers.

31.13. How does a company make judgments about the number of workers at processing and use sites that it does not control?

A submitter should report the number of workers reasonably likely to be exposed to a chemical substance at processing and use sites, to the extent the information is known or reasonably ascertainable. If a company manufactures multiple chemical substances that have similar use operations and knows the number of workers reasonably likely to be exposed to the chemical substance at one of the downstream sites, the company can reasonably assume that the same number of workers are likely to be exposed at the other downstream sites. See the Instructions for Reporting for discussion of the “known to or reasonably ascertainable by” reporting standard.

32. Joint Submissions (Primary Form)

32.1. When are joint submissions allowed?

A joint submission is most typically used when a substance or a mixture is imported and the supplier does not provide to the importer the specific chemical identity of the substance or substances that comprise the mixture. Joint submissions are allowed only 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 the 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 component of the mixture that the foreign manufacturer considers confidential or trade secret. 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 a 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 he or she knows or can reasonably ascertain about the chemical identity. Furthermore, the manufacturer must also ask the reactant supplier to directly provide to EPA the correct chemical identity of the confidential reactant in a Secondary Form U (see 40 CFR 711.15(b)(3)(i)(B)).

Because signatures are required by each party of a joint submission, secondary submitters who wish to report must each register with CDX and complete a Secondary 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 manufacturers (including importers), unless the manufacturers provide it directly to the suppliers. Likewise, the manufacturers (including importers) cannot see the information that the suppliers report 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

32.2 I'm an importer. Am I required to initiate a joint submission?

No. If you know the specific chemical identity for the imported substance you are reporting, you can provide the full information on your primary form. A joint submission is only necessary when an importer cannot provide the specific chemical identity of the imported chemical substance.

32.3. As a company generally has no contractual means to require foreign suppliers of already purchased materials to either register with CDX or file a joint submission electronically, what can the company do to ensure that a foreign supplier prepares a secondary submission?

The joint submission requirement is to properly ask that suppliers provide secondary submissions to EPA. Therefore, it is the responsibility of the domestic company, the primary submitter, to ask the foreign company, the secondary submitter, to complete a Secondary Form U and send the information to EPA by the end of the submission period. The secondary submitter is expected to provide the chemical composition of an imported product or mixture, the chemical-specific function of each constituent substance, and information on chemical composition of the imported product or mixture. It is also the responsibility of the primary submitter to include a copy of the request to the secondary submitter with the Primary Form U that the primary submitter sends to EPA. (See 40 CFR 711.15(b)(3)(i)(B)). This is done when reporting using the eCDRweb electronic reporting tool.

32.4. How will the manufacture's information be matched with the foreign supplier's information if they are filing separately?

After the manufacturer (including importer), acting as a Primary Submitter, fills in the trade name or other proprietary identifier in the “Chemical Identification” section of the “Joint Submission Report”, the primary submitter will use instructions in a box labeled “Unique Identifier for Joint Submission” to send an e-mail with a unique ID number and language to notify the supplier, acting as secondary submitter for the partial CDR submission containing information for the trade name product. The ID number will be used to link the joint reports in an internal database after the secondary submitter reports the correct chemical identity information to EPA by completing a Secondary Form U.

32.5. A company plans, as a primary submitter, to submit a joint submission with the supplier of a mixture the company imports. Although the company knows the chemical identity of the chemical substances used in the mixture, the supplier has asked that the identity be kept confidential. In this case, does the company submit a joint submission using the trade name instead of using the chemical name?

No. Joint submissions are used only in cases when a supplier will not disclose to the submitter the specific chemical identity of the imported TSCA Inventory chemical substance or a reactant used to manufacture the TSCA Inventory chemical substance because the name is claimed confidential. If 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, the manufacturer (including importer) must provide that information irrespective of a supplier’s confidentiality claims.

If, on the other hand, the manufacturer (including importer) as primary submitter wishes to claim the chemical identity as confidential, the chemical substance must be listed on the confidential portion of the TSCA Inventory, in which case the submitter must check the confidential business information (CBI) box and provide the appropriate upfront substantiation. The substantiation question at 40 CFR 711.30(b)(1) accommodates consideration of harm to the submitter’s competitive position, which could include consideration of the competitive positions of business partners or others with which the supplier has contractual or similar relations.