For the 2012 submission period, any person who must report under this part, as described in Sec. 711.8, must submit the information described in this section for each chemical substance described in Sec. 711.5 that the person manufactured (including imported) for commercial purposes in an amount of 25,000 lb (11,340 kg) or more at any one site during the principal reporting year (i.e., calendar year 2011). For the submission periods subsequent to the 2012 submission period, any person who must report under this part, as described in Sec. 711.8, must submit the information described in this section for each chemical substance described in Sec. 711.5 that the person manufactured (including imported) for commercial purposes in an amount of 25,000 lb (11,340 kg) or more (or in an amount of 2,500 lb (1,134 kg) or more for chemical substances subject to the rules, orders, or actions described in Sec. 711.8(b)) at any one site during any calendar year since the last principal reporting year (e.g., for the 2016 submission period, consider calendar years 2012, 2013, 2014, and 2015, because 2011 was the last principal reporting year). The principal reporting year for each submission period is the previous calendar year (e.g., the principal reporting year for the 2016 submission period is calendar year 2015). For all submission periods, a separate report must be submitted for each chemical substance at each site for which the submitter is required to report. A submitter of information under this part must report information as described in this section to the extent that such information is known to or reasonably ascertainable by that person.
(a) Reporting information to EPA. Any person who reports information to EPA must do so using the e-CDRweb reporting tool provided by EPA at the address set forth in Sec. 711.35. The submission must include all information described in paragraph (b) of this section. Persons must submit a separate Form U for each site for which the person is required to report. The e-CDRweb reporting tool is described in the instructions available from EPA at the Web site set forth in Sec. 711.35.
(b) Information to be reported. For the 2012 submission period, manufacturers (including importers) of a reportable chemical substance in an amount of 25,000 lb (11,340 kg) or more at a site during the principal reporting year (i.e., 2011) must report the information described in paragraphs (b)(1), (b)(2), and (b)(3) of this section. For the 2012 submission period, manufacturers (including importers) of a reportable chemical substance in an amount of 100,000 lb (45,359 kg) or more at a site during the principal reporting year (i.e., 2011) must additionally report the information described in paragraph (b)(4) of this section. For submission periods subsequent to the 2012 submission period, the information described in paragraphs (b)(1), (b)(2), (b)(3), and (b)(4) of this section must be reported for each chemical substance manufactured (including imported) in an amount of 25,000 lb (11,340 kg) or more (or in an amount of 2,500 lb (1,134 kg) or more for chemical substances subject to the rules, orders, or actions described in Sec. 711.8(b)) at any one site during any calendar year since the last principal reporting year. The requirement to report information described in paragraph (b)(4) of this section is subject to exemption as described in Sec. 711.6.
(1) A certification statement signed and dated by an authorized official of the submitter company. The authorized official must certify that the submitted information has been completed in compliance with the requirements of this part and that the confidentiality claims made on the Form U are true and correct. The certification must be signed and dated by the authorized official for the submitter company, and provide that person's name, official title, and e-mail address.
(2) Company and plant site information. The following currently correct company and plant site information must be reported for each site at which a reportable chemical substance is manufactured (including imported) above the applicable production volume threshold, as described in this section (see Sec. 711.3 for the ``site'' for importers):
(i) The U.S. parent company name, address, and Dun and Bradstreet D-U-N-S [supreg] (D&B;) number. A submitter under this part must obtain a D&B; number for the U.S. parent company if none exists.
(ii) The name of a person who will serve as technical contact for the submitter company, and who will be able to answer questions about the information submitted by the company to EPA, the contact person's full mailing address, telephone number, and e-mail address.
(iii) The name and full street address of each site. A submitter under this part must include the appropriate D&B; number for each plant site reported, and the county or parish (or other jurisdictional indicator) in which the plant site is located. A submitter under this part must obtain a D&B; number for the site reported if none exists.
(3) Chemical-specific information. The following chemical-specific information must be reported for each reportable chemical substance manufactured (including imported) above the applicable production volume threshold, as described in paragraph (b) of this section:
(i) The specific, currently correct CA Index name as used to list the chemical substance on the TSCA Inventory and the correct corresponding CASRN for each reportable chemical substance at each site. A submitter under this part may use an EPA-designated TSCA Accession Number for a chemical substance in lieu of a CASRN when a CASRN is not known to or reasonably ascertainable by the submitter. Submitters who wish to report chemical substances listed on the confidential portion of the TSCA Inventory will need to report the chemical substance using a TSCA Accession Number.
In addition to reporting the number itself, submitters must specify the type of number they are reporting by selecting from among the codes in Table 3 of this paragraph.
Table 3--Codes To Specify Type of Chemical Identifying Number------------------------------------------------------------------------
Code Number type------------------------------------------------------------------------A......................................... TSCA Accession Number.C......................................... Chemical Abstracts Service
Registry Number (CASRN).------------------------------------------------------------------------
(A) If an importer submitting a report cannot provide the information specified in Sec. 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 use e-CDRweb to ask the supplier to provide the correct chemical identity information directly to EPA in a joint submission. Such request must include instructions for submitting chemical identity information electronically, using e-CDRweb and CDX (see Sec. 711.35), and for clearly referencing the importer's 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 respecting the chemical substance.
(B) If a manufacturer submitting a report cannot provide the information specified in Sec. 711.15(b)(3)(i) because the reportable chemical substance is manufactured using a reactant having a specific chemical identity that is unknown to the manufacturer and claimed as confidential by its supplier, the manufacturer must use e-CDRweb to ask the supplier of the confidential reactant to provide the correct chemical identity of the confidential reactant directly to EPA in a joint submission. Such request must include instructions for submitting chemical identity information electronically using e-CDRweb and CDX (see Sec. 711.35), and for clearly referencing the manufacturer's submission. Contact information for the supplier, a trade name or other designation for the chemical substance, and a copy of the request to the supplier must be included with the importer's submission respecting the chemical substance.
(C) EPA will only accept joint submissions that are submitted electronically using e-CDRweb and CDX (see Sec. 711.35) and that clearly reference the primary submission to which they refer.
(ii) For the principal reporting year only, a statement indicating, for each reportable chemical substance at each site, whether the chemical substance is manufactured in the United States, imported into the United States, or both manufactured in the United States and imported into the United States.
(iii) For the principal reporting year, the total annual volume (in pounds) of each reportable chemical substance domestically manufactured or imported at each site. The total annual domestically manufactured volume (not including imported volume) and the total annual imported volume must be separately reported. These amounts must be reported to two significant figures of accuracy. In addition, for the 2012 submission period only, the total annual volume (domestically manufactured plus imported volumes in pounds) of each reportable chemical substance at each site during calendar year 2010. In addition, for submission periods subsequent to the 2012 submission period, the total annual volume (domestically manufactured plus imported volumes in pounds) of each reportable chemical substance at each site for each complete calendar year since the last principal reporting year.
(iv) For the principal reporting year only, the volume used on site and the volume directly exported of each reportable chemical substance domestically manufactured or imported at each site. These amounts must be reported to two significant figures of accuracy.
(v) For the principal reporting year only, a designation indicating, for each imported reportable chemical substance at each site, whether the imported chemical substance is physically present at the reporting site.
(vi) For the principal reporting year only, a designation indicating, for each reportable chemical substance at each site, whether the chemical substance is being recycled, remanufactured, reprocessed, reused, or otherwise used for a commercial purpose instead of being disposed of as a waste or included in a waste stream.
(vii) For the principal reporting year only, the total number of workers reasonably likely to be exposed to each reportable chemical substance at each site. For each reportable chemical substance at each site, the submitter must select from among the ranges of workers listed in Table 4 of this paragraph and report the corresponding code (i.e., W1 through W8):
Table 4--Codes for Reporting Number of Workers Reasonably Likely To Be
Exposed------------------------------------------------------------------------
Code Range------------------------------------------------------------------------W1........................................ Fewer than 10 workers.W2........................................ At least 10 but fewer than
25 workers.W3........................................ At least 25 but fewer than
50 workers.W4........................................ At least 50 but fewer than
100 workers.W5........................................ At least 100 but fewer than
500 workers.W6........................................ At least 500 but fewer than
1,000 workers.W7........................................ At least 1,000 but fewer
than 10,000 workers.W8........................................ At least 10,000 workers.------------------------------------------------------------------------
(viii) For the principal reporting year only, the maximum concentration, measured by percentage of weight, of each reportable chemical substance at the time it is sent off-site from each site. If the chemical substance is site-limited, you must report the maximum concentration, measured by percentage of weight of the reportable chemical substance at the time it is reacted on-site to produce a different chemical substance. This information must be reported regardless of the physical form(s) in which the chemical substance is sent off-site/reacted on-site. For each chemical substance at each site, select the maximum concentration of the chemical substance from among the ranges listed in Table 5 of this paragraph and report the corresponding code (i.e., M1 through M5): Table 5--Codes for Reporting Maximum Concentration of Chemical Substance------------------------------------------------------------------------
Concentration range (%
Code weight)------------------------------------------------------------------------M1........................................ Less than 1% by weight.M2........................................ At least 1 but less than 30%
by weight.M3........................................ At least 30 but less than
60% by weight.M4........................................ At least 60 but less than
90% by weight.M5........................................ At least 90% by weight.------------------------------------------------------------------------
(ix) For the principal reporting year only, the physical form(s) of the reportable chemical substance as it is sent off-site from each site. If the chemical substance is site-limited, you must report the physical form(s) of the reportable chemical substance at the time it is reacted on-site to produce a different chemical substance. For each chemical substance at each site, the submitter must report as many physical forms as applicable from among the physical forms listed in this unit:
(A) Dry powder.
(B) Pellets or large crystals.
(C) Water- or solvent-wet solid.
(D) Other solid.
(E) Gas or vapor.
(F) Liquid.
(x) For the principal reporting year only, submitters must report the percentage, rounded off to the closest 10%, of total production volume of the reportable chemical substance, reported in response to paragraph (b)(3)(iii) of this section, that is associated with each physical form reported under paragraph (b)(3)(ix) of this section.
(4) Chemical-specific information related to processing and use. The following chemical-specific information must be reported for each reportable chemical substance manufactured (including imported) above the applicable production volume threshold, as described in this section. Persons subject to paragraph (b)(4) of this section must report the information described in paragraphs (b)(4)(i) and (b)(4)(ii) of this section for each reportable chemical substance at sites under their control and at sites that receive a reportable chemical substance from the submitter directly or indirectly (including through a broker/distributor, from a customer of the submitter, etc.). Information reported in response to this paragraph must be reported for the principal reporting year only and only to the extent that it is known to or reasonably ascertainable by the submitter. Information required to be reported under this paragraph is limited to domestic (i.e., within the customs territory of the United States) processing and use activities. If information responsive to a given data requirement under this paragraph, including information in the form of an estimate, is not known or reasonably ascertainable, the submitter is not required to respond to the requirement.
(i) Industrial processing and use information--(A) A designation indicating the type of industrial processing or use operation(s) at each site that receives a reportable chemical substance from the submitter site directly or indirectly (whether the recipient site(s) are controlled by the submitter site or not). For each chemical substance, report the letters which correspond to the appropriate processing or use operation(s) listed in Table 6 of this paragraph. A particular designation may need to be reported more than once, to the extent that a submitter reports more than one sector (under paragraph (b)(4)(i)(B) of this section) that applies to a given designation under this paragraph.
Table 6--Codes for Reporting Type of Industrial Processing or Use
Operation------------------------------------------------------------------------
Designation Operation------------------------------------------------------------------------PC..................................... Processing as a reactant.
PF..................................... Processing--incorporation into
formulation, mixture, or
reaction product.PA..................................... Processing--incorporation into
article.PK..................................... Processing--repackaging.U...................................... Use--non-incorporative
activities.------------------------------------------------------------------------
(B) A code indicating the sector(s) that best describe the industrial activities associated with each industrial processing or use operation reported under paragraph (b)(4)(i)(A) of this section. For each chemical substance, report the code that corresponds to the appropriate sector(s) listed in Table 7 of this paragraph. A particular sector code may need to be reported more than once, to the extent that a submitter reports more than one industrial function code (under paragraph (b)(4)(i)(C) of this section) that applies to a given sector code under this paragraph.
Table 7--Codes for Reporting Industrial Sectors------------------------------------------------------------------------
Code Sector description------------------------------------------------------------------------IS1............................... Agriculture, forestry, fishing, and
hunting.IS2............................... Oil and gas drilling, extraction,
and support activities.IS3............................... Mining (except oil and gas) and
support activities.IS4............................... Utilities.IS5............................... Construction.IS6............................... Food, beverage, and tobacco product
manufacturing.IS7............................... Textiles, apparel, and leather
manufacturing.IS8............................... Wood product manufacturing.IS9............................... Paper manufacturing.IS10.............................. Printing and related support
activities.IS11.............................. Petroleum refineries.IS12.............................. Asphalt paving, roofing, and coating
materials manufacturing.IS13.............................. Petroleum lubricating oil and grease
manufacturing.IS14.............................. All other petroleum and coal
products manufacturing.IS15.............................. Petrochemical manufacturing.IS16.............................. Industrial gas manufacturing.IS17.............................. Synthetic dye and pigment
manufacturing.IS18.............................. Carbon black manufacturing.IS19.............................. All other basic inorganic chemical
manufacturing.IS20.............................. Cyclic crude and intermediate
manufacturing.IS21.............................. All other basic organic chemical
manufacturing.IS22.............................. Plastics material and resin
manufacturing.IS23.............................. Synthetic rubber manufacturing.IS24.............................. Organic fiber manufacturing.IS25.............................. Pesticide, fertilizer, and other
agricultural chemical
manufacturing.IS26.............................. Pharmaceutical and medicine
manufacturing.IS27.............................. Paint and coating manufacturing.IS28.............................. Adhesive manufacturing.IS29.............................. Soap, cleaning compound, and toilet
preparation manufacturing.IS30.............................. Printing ink manufacturing.IS31.............................. Explosives manufacturing.IS32.............................. Custom compounding of purchased
resins.IS33.............................. Photographic film, paper, plate, and
chemical manufacturing.IS34.............................. All other chemical product and
preparation manufacturing.IS35.............................. Plastics product manufacturing.IS36.............................. Rubber product manufacturing.IS37.............................. Non-metallic mineral product
manufacturing (includes cement,
clay, concrete, glass, gypsum,
lime, and other non-metallic
mineral product manufacturing).IS38.............................. Primary metal manufacturing.IS39.............................. Fabricated metal product
manufacturing.IS40.............................. Machinery manufacturing.IS41.............................. Computer and electronic product
manufacturing.IS42.............................. Electrical equipment, appliance, and
component manufacturing.IS43.............................. Transportation equipment
manufacturing.IS44.............................. Furniture and related product
manufacturing.IS45.............................. Miscellaneous manufacturing.IS46.............................. Wholesale and retail trade.IS47.............................. Services.IS48.............................. Other (requires additional
information).------------------------------------------------------------------------
(C) For each sector reported under paragraph (b)(4)(i)(B) of this section, code(s) from Table 8 of this paragraph must be selected to designate the industrial function category(ies) that best represents the specific manner in which the chemical substance is used. A particular industrial function category may need to be reported more than once, to the extent that a submitter reports more than one industrial processing or use operation/sector combination (under paragraphs (b)(4)(i)(A) and (b)(4)(i)(B) of this section) that applies to a given industrial function category under this paragraph. If more than 10 unique combinations of industrial processing or use operations/sector/industrial function categories 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. If none of the listed industrial function categories accurately describes a use of a chemical substance, the category ``Other'' may be used, and must include a description of the use.
Table 8--Codes for Reporting Industrial Function Categories------------------------------------------------------------------------
Code Category------------------------------------------------------------------------U001.............................. Abrasives.U002.............................. Adhesives and sealant chemicals.U003.............................. Adsorbents and absorbents.U004.............................. Agricultural chemicals (non-
pesticidal).U005.............................. Anti-adhesive agents.U006.............................. Bleaching agents.U007.............................. Corrosion inhibitors and anti-
scaling agents.U008.............................. Dyes.U009.............................. Fillers.U010.............................. Finishing agents.U011.............................. Flame retardants.U012.............................. Fuels and fuel additives.U013.............................. Functional fluids (closed systems).U014.............................. Functional fluids (open systems).U015.............................. Intermediates.U016.............................. Ion exchange agents.U017.............................. Lubricants and lubricant additives.U018.............................. Odor agents.U019.............................. Oxidizing/reducing agents.U020.............................. Photosensitive chemicals.U021.............................. Pigments.U022.............................. Plasticizers.U023.............................. Plating agents and surface treating
agents.U024.............................. Process regulators.U025.............................. Processing aids, specific to
petroleum production.U026.............................. Processing aids, not otherwise
listed.U027.............................. Propellants and blowing agents.U028.............................. Solids separation agents.U029.............................. Solvents (for cleaning or
degreasing).U030.............................. Solvents (which become part of
product formulation or mixture).U031.............................. Surface active agents.U032.............................. Viscosity adjustors.U033.............................. Laboratory chemicals.U034.............................. Paint additives and coating
additives not described by other
categories.U999.............................. Other (specify).------------------------------------------------------------------------
(D) The estimated percentage, rounded off to the closest 10%, of total production volume of the reportable chemical substance associated with each combination of industrial processing or use operation, sector, and industrial function category. Where a particular combination of industrial processing or use operation, sector, and industrial function category accounts for less than 5% of the submitter's site's total production volume of a reportable chemical substance, the percentage must not be rounded off to 0% if the production volume attributable to that industrial processing or use operation, sector, and industrial function category combination is 25,000 lb (11,340 kg) or more during the reporting year. Instead, in such a case, submitters must report the percentage, rounded off to the closest 1%, of the submitter's site's total production volume of the reportable chemical substance associated with the particular combination of industrial processing or use operation, sector, and industrial function category.
(E) For each combination of industrial processing or use operation, sector, and industrial function category, the submitter must estimate the number of sites at which each reportable chemical substance is processed or used. For each combination associated with each chemical substance, the submitter must select from among the ranges of sites listed in Table 9 of this paragraph and report the corresponding code (i.e., S1 through S7):
Table 9--Codes for Reporting Numbers of Sites------------------------------------------------------------------------
Code Range------------------------------------------------------------------------S1........................................ Fewer than 10 sites.S2........................................ At least 10 but fewer than
25 sites.S3........................................ At least 25 but fewer than
100 sites.S4........................................ At least 100 but fewer than
250 sites.S5........................................ At least 250 but fewer than
1,000 sites.S6........................................ At least 1,000 but fewer
than 10,000 sites.S7........................................ At least 10,000 sites.------------------------------------------------------------------------
(F) For each combination of industrial processing or use operation, sector, and industrial function category, the submitter must estimate the number of workers reasonably likely to be exposed to each reportable chemical substance. For each combination associated with each chemical substance, the submitter must select from among the worker ranges listed in paragraph (b)(3)(ii) of this section and report the corresponding code (i.e., W1 though W8).
(ii) Consumer and commercial use information--(A) Using the codes listed in Table 10 of this paragraph, submitters must designate the consumer and commercial product category or categories that best describe the consumer and commercial products in which each reportable chemical substance is used (whether the recipient site(s) are controlled by the submitter site or not). If more than 10 codes apply to a chemical substance, submitters need only report the 10 codes for the chemical substance that cumulatively represent the largest percentage of the submitter's production volume for that chemical, measured by weight. If none of the listed consumer and commercial product categories accurately describes the consumer and commercial products in which each reportable chemical substance is used, the category ``Other'' may be used, and must include a description of the use. Table 10--Codes for Reporting Consumer and Commercial Product Categories------------------------------------------------------------------------
Code Category------------------------------------------------------------------------
Chemical Substances in Furnishing, Cleaning, Treatment Care Products------------------------------------------------------------------------C101.............................. Floor coverings.C102.............................. Foam seating and bedding products.C103.............................. Furniture and furnishings not
covered elsewhere.C104.............................. Fabric, textile, and leather
products not covered elsewhere.C105.............................. Cleaning and furnishing care
products.C106.............................. Laundry and dishwashing products.C107.............................. Water treatment products.C108.............................. Personal care products.C109.............................. Air care products.C110.............................. Apparel and footwear care products.------------------------------------------------------------------------
Chemical Substances in Construction, Paint, Electrical, and Metal
Products------------------------------------------------------------------------C201.............................. Adhesives and sealants.C202.............................. Paints and coatings.C203.............................. Building/construction materials--
wood and engineered wood products.C204.............................. Building/construction materials not
covered elsewhere.C205.............................. Electrical and electronic products.C206.............................. Metal products not covered
elsewhere.C207.............................. Batteries.------------------------------------------------------------------------
Chemical Substances in Packaging, Paper, Plastic, Toys, Hobby Products------------------------------------------------------------------------C301.............................. Food packaging.
C302.............................. Paper products.C303.............................. Plastic and rubber products not
covered elsewhere.C304.............................. Toys, playground, and sporting
equipment.C305.............................. Arts, crafts, and hobby materials.C306.............................. Ink, toner, and colorant products.C307.............................. Photographic supplies, film, and
photochemicals.------------------------------------------------------------------------
Chemical Substances in Automotive, Fuel, Agriculture, Outdoor Use
Products------------------------------------------------------------------------C401.............................. Automotive care products.C402.............................. Lubricants and greases.C403.............................. Anti-freeze and de-icing products.C404.............................. Fuels and related products.C405.............................. Explosive materials.C406.............................. Agricultural products (non-
pesticidal).C407.............................. Lawn and garden care products.------------------------------------------------------------------------
Chemical Substances in Products not Described by Other Codes------------------------------------------------------------------------C980.............................. Non-TSCA use.C909.............................. Other (specify).------------------------------------------------------------------------
(B) An indication, within each consumer and commercial product category reported under paragraph (b)(4)(ii)(A) of this section, whether the use is a consumer or a commercial use.
(C) Submitters must determine, within each consumer and commercial product category reported under paragraph (b)(4)(ii)(A) of this section, whether any amount of each reportable chemical substance manufactured (including imported) by the submitter is present in (for example, a plasticizer chemical substance used to make pacifiers) or on (for example, as a component in the paint on a toy) any consumer products intended for use by children age 14 or younger, regardless of the concentration of the chemical substance remaining in or on the product. Submitters must select from the following options: The chemical substance is used in or on any consumer products intended for use by children, the chemical substance is not used in or on any consumer products intended for use by children, or information as to whether the chemical substance is used in or on any consumer products intended for use by children is not known to or reasonably ascertainable by the submitter.
(D) The estimated percentage, rounded off to the closest 10%, of the submitter's site's total production volume of the reportable chemical substance associated with each consumer and commercial product category. Where a particular consumer and commercial product category accounts for less than 5% of the total production volume of a reportable chemical substance, the percentage must not be rounded off to 0% if the production volume attributable to that commercial and consumer product category is 25,000 lb (11,340 kg) or more during the reporting year. Instead, in such a case, submitters must report the percentage, rounded off to the closest 1%, of the submitter's site's total production volume of the reportable chemical substance associated with the particular consumer and commercial product category.
(E) Where the reportable chemical substance is used in consumer or commercial products, the estimated typical maximum concentration, measured by weight, of the chemical substance in each consumer and commercial product category reported under paragraph (b)(4)(ii)(A) of this section. For each chemical substance in each commercial and consumer product category reported under paragraph (b)(4)(ii)(A) of this section, submitters must select from among the ranges of concentrations listed in Table 5 in paragraph (b)(3)(viii) of this section and report the corresponding code (i.e., M1 through M5).
(F) Where the reportable chemical substance is used in a commercial product, the submitter must estimate the number of commercial workers reasonably likely to be exposed to each reportable chemical substance. For each combination associated with each substance, the submitter must select from among the worker ranges listed in Table 4 in paragraph (b)(3)(vii) of this section and report the corresponding code (i.e., W1 though W8).