Chemical Data Reporting

Completing Form U

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This page contains frequent questions relating to Form U, the CDR reporting Form.  There are four parts to Form U:

  • Part I – Company & Site Identification Information
  • Part II – Manufacturing Information
  • Part III – Processing & Use Information
  • Part IV – Joint Submissions

23. General

  • 23.1. What do I need to do differently now that the Frank R. Lautenberg Chemical Safety for the 21st Century Act has become law?

    If you submit a CBI claim, you will need to agree to the new certification statement which appears in the reporting system. As in the past, the certification statement must be electronically signed and dated by an authorized official at the company. The authorized official typically is a senior official with management responsibility for the person (or persons) completing the form.

  • 23.2. 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.

  • 23.3. 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.

  • 23.4. What is the purpose of the certification statement and how has the Frank R. Lautenberg Chemical Safety for the 21st Century Act impacted it?

    The certification statement applies to all the information supplied on the Form U and should be signed only after the form has been completed. The CDR submission must be certified, indicating that the submitted information has been completed in compliance with the CDR requirements and that any confidentiality claims are true and correct. The new law requires the addition of specific language. On June 24th, 2016, the certification statement was updated to include the required language to conform with the new law and is now:

    I hereby certify to the best of my knowledge and belief that all information entered on this form is complete and accurate.

    I further certify that, pursuant to 15 U.S.C. § 2613(c), for all claims for protection for any confidential information made with this submission, all information submitted to substantiate such claims is true and correct, and that it is true and correct that the person submitting the claim has:

    (i) taken reasonable measures to protect the confidentiality of the information;
    (ii) determined that the information is not required to be disclosed or otherwise made available to the public under any other Federal law;
    (iii) a reasonable basis to conclude that disclosure of the information is likely to cause substantial harm to my competitive position; and
    (iv) a reasonable basis to believe that the information is not readily discoverable through reverse engineering. 15 U.S.C. 2613(c).

    Any knowing and willful misrepresentation is subject to criminal penalty pursuant to 18 USC § 1001.

    The certification statement must be electronically signed and dated by an authorized official at the company. The authorized official typically is a senior official with management responsibility for the person (or persons) completing the form.

  • 23.5 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.

  • 23.6. The person previously responsible for this reporting is no longer working here and we cannot locate the user ID and password to gain access to our previous chemical reporting information on e-CDRweb. 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, 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:

    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

24. “Known to or Reasonably Ascertainable by” Reporting Standard

    25. Part I – Company and Site Identification Information

    Section A. Parent Company Information (Blocks 1.A.1-1.A.8)

    Section B. Site Information (Blocks 1.B.1-1.B.8)

    Section C. Technical Contact Information (Blocks 1.C.1-1.C.10)

    • 25.15. 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.

    • 25.16. 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.

    • 25.17. 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.

    • 25.18. 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.

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    26. Part II — Section A. Chemical Substance Identification (Blocks 2.A.1-2.A.4)

    • 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 (Block 2.A.2) or the specific name of the chemical substance (Block 2.A.4) to select the appropriate CASRN/Chemical Abstracts (CA) Index Name combination from the SRS database. 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 contact EPA, in writing or via fax on company letterhead, well before initiating CDR reporting to obtain the Accession Number assigned when the Notice of Commencement (NOC) was submitted to the Agency. Individuals are urged to submit a complete and accurate TSCA Inventory Correspondence via fax or by U.S. mail at least one month before the submission deadline. Note that incomplete and/or inaccurate requests may be rejected. The Agency will respond to such inquiries in as timely a manner as possible. It is the responsibility of the submitter to contact the Agency for such information in sufficient time to allow for the Agency to respond.

    • 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 tsca-hotline@epa.gov.

    • 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.

    • 26.6. The Frank R. Lautenberg Chemical Safety for the 21st Century Act requires that when a CBI claim is made for specific chemical identity, the claim shall include a structurally descriptive generic name, developed consistent with EPA guidance. Will the CDR reporting process be modified to comply with this requirement?

      For the 2016 CDR submission cycle there will be no change. In general, the CDR processes now in place automatically incorporate existing generic chemical names that are associated with chemical substance listings on the confidential version of the TSCA Inventory. These processes provide the greatest degree of structural specificity that is practicable to afford for the 2016 CDR reporting cycle, given that the submission period is already ongoing. EPA will develop guidance regarding generic names as required by the new law, and will determine appropriate procedures regarding their use and submission.

    27. Part II — Section B. Manufacturing Information

    Physical Form (Blocks 2B.13-2.B.19)

    Other: Maximum Concentration, Recycling (Blocks 2.B.11-2.B.12)

    Past Production Volume (Block 2.B.20)

    • 27.21. 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 the 2016 CDR, report production volumes for 2012, 2013, 2014, and 2015.

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    28. Part III — Processing and Use Information General

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

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

    • 28.17. The Consumer and Commercial Category code allows a submitter to report C909 “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 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. 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.

    • 28.18. 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.

    • 28.19. 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 Section A. of Part III of Form U to denote that there is no industrial processing of the chemical substance. Complete Section B. of Part III to reflect the manner in which consumers use the chemical substance.

    • 28.20. 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:

      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?; or
      3. Is the advertising, promotion, or marketing of the product aimed at children age 14 or younger?

      n

      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.

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    29. Parts II and III — Estimating Number of Workers Reasonably Likely to be Exposed to a Chemical Substance (Block 2.B.10 and Sections 3.A. & 3.B.)

    What to Consider When Estimating?

    Estimating Workers in Part II and Part III

    30. Part IV — Joint Submissions (Sections 4.A.-4.D.)

    • 30.1. When are joint submissions allowed?

      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 confidential component of the mixture. In this case, the importer and the supplier can jointly report the information through a joint submission. The importer must ask the supplier of the confidential chemical substance to directly provide EPA with the correct chemical identity in Part IV of Form U (see 40 CFR 711.15(b)(3)(i)(A)).

      This may also happen in the event a manufacturer cannot provide the entire chemical identity of a chemical substance it manufactures because the chemical substance is manufactured using a reactant having a specific chemical identity that the reactant supplier claims as confidential and will not reveal to the manufacturer. In this case, the manufacturer and the supplier of the reactant can jointly report the information through a joint submission. The manufacturer must submit a report directly to EPA containing all information he or she knows or can reasonably ascertain about the chemical identity. Furthermore, the manufacturer must also ask the reactant supplier to directly provide to EPA the correct chemical identity of the confidential reactant in Part IV of 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 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 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.

    • 30.2. 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 Part IV of Form U and send the information to EPA by the end of the submission period. It is also the responsibility of the primary submitter to include a copy of the request to the secondary submitter with the portion of the Form U that the primary submitter sends to EPA. (See 40 CFR 711.15(b)(3)(i)(B)).

    • 30.3. How will the manufacturer’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 Part IV of Form U.

    • 30.4. 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 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)(i) accommodates consideration of harm to the submitter’s competitive position “or to your supplier’s competitive position.

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