Instructions for Reporting for the 2006 Partial Updating of the TSCA Chemical Inventory Database U. S. Environmental Protection Agency Office of Pollution Prevention and Toxics Economics, Exposure and Technology Division October 2003 Instructions for Reporting for the 2006 Partial Updating of the TSCA Chemical Inventory Database U. S. Environmental Protection Agency Office of Pollution Prevention and Toxics Economics, Exposure and Technology Division September 2003 HIGHLIGHTS OF THE 2006 IUR COLLECTION

Information from calendar year 2005 must be reported in the 2006 IUR ( 40 CFR 710.53).

The submission period is from August 25, 2006 to December 23, 2006 ( 40 CFR 710.53).

Reporting is required for all chemical substances, both organic and inorganic, other than polymers, microorganisms, naturally occurring chemical substances and certain forms of natural gas ( 40 CFR 710.46).

The production volume threshold which triggers reporting has been raised from 10,000 pounds to 25,000 pounds ( 40 CFR 710.48( a)).

For chemicals produced in amounts equal to or greater than 300,000 pounds, additional reporting of processing and use information is required ( 40 CFR 710.52( c)( 4)).

A partial reporting exemption is provided for certain chemical substances termed " petroleum process streams" and for specific chemical substances where EPA has identified a low current interest in processing and use information related to the chemical. Only site identification and manufacturing information is required to be reported for these chemicals ( 40 CFR 710.46).

Chemical substances which are subject to a proposed or final TSCA rule or order are not eligible for an exemption from reporting requirements; all required information must be reported for these chemical substances ( 40 CFR 710.46). Many of these substances are listed in Appendix C.

Reporting of additional specific information is required to assist in the accurate identification of plant sites reporting under the IUR ( 40 CFR 710.52).

New requirements for cleaning information submitted under the IUR as confidential are included. The production volume of a chemical and the range in which it falls may be independently claimed to be confidential. Additional information is required to claim the chemical identity and plant site identity as confidential ( 40 CFR 710.58).

A current version of the non confidential TSCA Inventory has been prepared in CD ROM and computer tape formats. Chapter 7 of this document provides additional details on obtaining a copy of the non confidential TSCA Inventory.

Companies are encouraged to report to EPA using the 2006 IUR Electronic Form. There is no minimum number of chemical substances required for electronic reporting. Chapter 6 discusses how to submit your Form U to EPA.

For questions concerning IUR reporting or to request additional forms, contact the TSCA Hotline, Monday through Friday, 8: 30 am to 5: 00 pm, East Coast time at ( 202) 554 1404. DRAFT iv TABLE OF CONTENTS PREFACE 1.0 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1 1.1 Recent Changes to IUR Reporting Requirements . . . . . . . . . . . . . . . . . . . . . . 1 1 1.2 Rationale for IUR Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 4 1.3 Use of IUR Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 4 1.3.1 Use of Exposure Related Information . . . . . . . . . . . . . . . . . . . . . . . . 1 5 1.3.2 Use of Processing and Use Data Elements . . . . . . . . . . . . . . . . . . . . . . 1 6 2.0 Reporting Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 1 2.1 Criterion I: Is Your Chemical Substance Reportable Under the IUR? . . . . . . . 2 2 2.1.1 Is Your Chemical Substance in the TSCA Inventory? . . . . . . . . . . . . . 2 3 <IP_ADDRESS> What is the TSCA Inventory? . . . . . . . . . . . . . . . . . . . . . . . . . 2 3 <IP_ADDRESS> How Do You Determine Whether a Chemical Substance is Listed on the TSCA Chemical Substance Inventory? . . . . . . . . . . . . . . . . . . . 2 3 <IP_ADDRESS> What Do You Do if You Cannot Find Your Chemical Substance in the TSCA Chemical Substance Inventory? . . . . . . . . . . . . . . . . . . . . . 2 4 2.1.2 Is Your Chemical Substance Excluded from Reporting? . . . . . . . . . . . 2 6 <IP_ADDRESS> Polymers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 6 <IP_ADDRESS> Microorganisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 7 <IP_ADDRESS> Certain Forms of Natural Gas . . . . . . . . . . . . . . . . . . . . . . . . . 2 7 <IP_ADDRESS> Naturally Occurring Substances . . . . . . . . . . . . . . . . . . . . . . . 2 7 2.1.3 Is Your Chemical Subject to a Special Regulatory Action Under TSCA? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 8 2.1.4 When is the Manufacture or Importation of Chemical Substances Subject to TSCA but not Included on the TSCA Chemical Substance Inventory ( 40 CFR 720.22)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 8 2.2 Criterion II: Are You a Manufacturer Who Is Required to Report? . . . . . . . . 2 9 2.2.1 Did You Manufacture the Reportable Substance in Quantities of 25,000 Pounds or More? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 9 <IP_ADDRESS> Meeting the 25,000 Pound Annual Production Volume Threshold . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 9 2.2.2 Are You a Small Manufacturer? . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 12 2.2.3 Do You Qualify for Any Additional Reporting Exemptions? . . . . . . . 2 13 2.3 Criterion III: What Information Do You Need to Report? . . . . . . . . . . . . . . 2 15 2.3.1 Do You Manufacture and/ or Import the Reportable Substance in Quantities of 300,000 Pounds or More? . . . . . . . . . . . . . . . . . . . . . . 2 16 2.3.2 Does Your Reportable Substance Qualify for a Partial Exemption? . . 2 17 TABLE OF CONTENTS ( Continued) DRAFT v <IP_ADDRESS> Petroleum Process Streams . . . . . . . . . . . . . . . . . . . . . . . . . 2 18 <IP_ADDRESS> Partial Exemption for Specific Chemical Substances. . . . . . . 2 18 <IP_ADDRESS> Partial Exemption for Inorganic Substances in 2006 . . . . . . . 2 18 3.0 When You Must Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 1 4.0 Completing Form U . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 1 4.1 Form of Submission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 1 4.2 Part I   Section I Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 1 4.2.1 Signature ( Block 1. A. 1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 1 4.2.2 Date ( Block 1. A. 2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 1 4.2.3 Name and Official Title ( Blocks 1. A. 3 and 1. A. 4) . . . . . . . . . . . . . . . . 4 1 4.3 Part I   Section II Parent Company and Technical Contact Information . . . . . 4 2 4.3.1 Parent Company Name ( Block 1. B. 1) . . . . . . . . . . . . . . . . . . . . . . . . . 4 2 4.3.2 Parent Company Dun & Bradstreet Number ( Block 1. B. 2) . . . . . . . . . 4 2 4.3.3 Technical Contact Name ( Block 1. B. 3) . . . . . . . . . . . . . . . . . . . . . . . . 4 2 4.3.4 Technical Contact Telephone Number and E mail Address ( Blocks 1. B. 4 and 1. B. 5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 2 4.3.5 Technical Contact Mailing Address ( Blocks 1. B. 6 through 1. B. 10) . . . 4 2 4.4 Part I   Section III Plant Site Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 2 4.4.1 Plant Site Name ( Block 1. C. 1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 3 4.4.2 Plant Site Dun & Bradstreet Number ( Block 1. C. 2) . . . . . . . . . . . . . . 4 3 4.4.3 Plant Site Street Address ( Blocks 1. C. 3 through 1. C. 8) . . . . . . . . . . . . 4 3 4.5 Part II   Section I Chemical Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 3 4.5.1 Chemical Identifying Number ( Block 2. A. 1) . . . . . . . . . . . . . . . . . . . . 4 3 <IP_ADDRESS> CAS Registry and Other Identifying Numbers . . . . . . . . . . . . . 4 4 EPA Accession Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 4 PMN Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 4 <IP_ADDRESS> Obtaining CAS Registry and Accession Numbers from EPA . . 4 4 4.5.2 ID Code ( Block 2. A. 2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 5 4.5.3 Chemical Name ( Block 2. A. 3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 6 4.6 Part II   Section II Manufacturing Information . . . . . . . . . . . . . . . . . . . . . . . . 4 6 4.6.1 Company Information CBI ( Block 2. B. 1) . . . . . . . . . . . . . . . . . . . . . . 4 6 4.6.2 Plant Site CBI ( Block 2. B. 2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 7 4.6.3 Site Limited Status ( Block 2. B. 3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 7 4.6.4 Activity ( Manufacture and/ or Import) ( Block 2. B. 4) . . . . . . . . . . . . . . 4 7 4.6.5 Production Volume ( Block 2. B. 5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 7 4.6.6 Production Volume Range ( Block 2. B. 6) . . . . . . . . . . . . . . . . . . . . . . 4 7 4.6.7 Number of Workers ( Block 2. B. 7) . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 8 4.6.8 Maximum Concentration ( Block 2. B. 8) . . . . . . . . . . . . . . . . . . . . . . . . 4 9 4.6.9 Physical Form and Percentage of Production Volume ( Blocks 2. B. 9 through 2. B. 14) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 10 4.7 Part III   Processing and Use Information . . . . . . . . . . . . . . . . . . . . . . . . . . 4 10 TABLE OF CONTENTS ( Continued) DRAFT vi 4.7.1 Part III   Section I Industrial Processing and Use Data ( Blocks 3. A. 1 through 3. A. 10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 11 <IP_ADDRESS> Type of Process or Use Code . . . . . . . . . . . . . . . . . . . . . . . . 4 11 <IP_ADDRESS> Five Digit NAICS Code . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 12 <IP_ADDRESS> Industrial Function Category ( IFC) Code . . . . . . . . . . . . . . . 4 12 <IP_ADDRESS> Percentage of Production Volume . . . . . . . . . . . . . . . . . . . . 4 13 <IP_ADDRESS> Number of Sites Code . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 14 <IP_ADDRESS> Number of Workers Code . . . . . . . . . . . . . . . . . . . . . . . . . . 4 15 4.7.2 Part III   Section II Consumer and Commercial End Use Exposure Related Data ( Blocks 3. B. 1 through 3. B. 10) . . . . . . . . . . . . . . . . . . . 4 16 <IP_ADDRESS> Consumer and Commercial Product Category Code . . . . . . . 4 16 <IP_ADDRESS> Use in Children's Product . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 17 <IP_ADDRESS> Percentage of Production Volume . . . . . . . . . . . . . . . . . . . . 4 19 <IP_ADDRESS> Maximum Concentration Code . . . . . . . . . . . . . . . . . . . . . . . 4 19 5.0 How to Assert Confidentiality Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 1 5.1 Chemical Identity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 2 5.2 Manufacturing Plant Site Identity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 3 5.3 Chemical Production Volume Information . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 4 5.4 Additional Data Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 5 6.0 How to Submit Your Form U to EPA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 1 6.1 Sending Forms to EPA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 1 6.2 Correcting Errors in Submissions for Original Inventory . . . . . . . . . . . . . . . . . 6 2 6.3 Recordkeeping Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 2 6.4 Special Instructions for Importers and Foreign Suppliers . . . . . . . . . . . . . . . . 6 3 7.0 How To Obtain Copies of Documents Cited in These Instructions . . . . . . . . . . . . . . . 7 1 7.1 Obtaining Copies of TSCA Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 1 7.2 Obtaining Copies of the Public Inventory . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 1 7.2.1 Printed Editions of the Public Inventory . . . . . . . . . . . . . . . . . . . . . . . 7 1 7.2.2 Obtaining the Public Inventory in Computer Readable Format . . . . . . . 7 1 7.3 Obtaining Copies of Form U . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 2 8.0 How To Request Assistance with Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 1 Appendix A  2006 Form U Appendix B  Definitions Appendix C  Inventory Chemical Substances Subject to Proposed or Final TSCA Rules or Orders ( as of May 14, 2002) Appendix D  Instructions for Submitting IUR Forms Electronically Appendix E  Partially Exempt Chemicals Appendix F  Explanation of Reporting Codes Used in Part III of Form U Appendix G  Case Studies DRAFT vii LIST OF FIGURES 2 1. Decision Logic Diagram for Determining Your Reporting Requirements . . . . . . . . . . . . 2 1 2 2. Decision Logic Diagram for Determining if Your Chemical Substance is Reportable . . . 2 2 2 3. Decision Logic Diagram for Evaluating Criterion II . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 10 2 4. Decision Logic Diagram for Evaluating Criterion III . . . . . . . . . . . . . . . . . . . . . . . . . . 2 16 DRAFT viii LIST OF TABLES 1 1. Changes Made to IUR Reporting Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2 2 1. Chemical Substances Covered by Natural Gas Exemption . . . . . . . . . . . . . . . . . . . . . . . 2 7 2 2. Examples of Evaluating Substances for the Naturally Occurring Exemption ( 40 CFR 710.4( b)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 8 2 3. Annual Production Volume Threshold Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 11 2 4. Small Manufacturer Exemption Examples ( 40 CFR 710.48) . . . . . . . . . . . . . . . . . . . . 2 13 2 5. Examples of Reporting Exemptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 14 2 6. Examples of Reporting Requirements for Form U, Part III ( 40 CFR 710.52( c)( 4)) . . . 2 17 4 1. ID Code for Chemical Identifying Numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 6 4 2. Production Volume Ranges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 8 4 3. Codes for Reporting Number of Industrial Workers Potentially Exposed . . . . . . . . . . . . 4 9 4 4. Codes for Reporting Maximum Concentration of Chemical Substance . . . . . . . . . . . . . . 4 9 4 5. Codes Corresponding to Processing or Use Operations . . . . . . . . . . . . . . . . . . . . . . . . 4 11 4 6. Codes for Reporting IFCs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 13 4 7. Examples of Reporting Industrial Processing and Use Information . . . . . . . . . . . . . . . 4 14 4 8. Codes for Reporting Numbers of Sites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 15 4 9. Codes for Reporting Number of Industrial Workers Potentially Exposed . . . . . . . . . . . 4 15 4 10. Codes for Reporting Commercial and Consumer Product Categories . . . . . . . . . . . . . 4 17 4 11. Examples of Use in Children's Product . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 18 5 1. Special Considerations for Asserting Confidentiality Claims . . . . . . . . . . . . . . . . . . . . . . 5 1 5 2. Substantiation Questions To Be Answered When Making Chemical Identity CBI Claims ( from 40 CFR 710.58( b)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 2 5 3. Substantiation Questions To Be Answered When Making Plant Site Identity CBI Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 4 5 4. Production Volume Ranges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 4 DRAFT ix PREFACE On January 7, 2003, the U. S. Environmental Protection Agency ( EPA) promulgated a final rule amending the Inventory Update Rule ( IUR) ( see 40 CFR Part 710). Sites affected by this rule are subject to the revised reporting requirements beginning in 2006 for manufacturing and/ or importing activities conducted during the 2005 calendar year. The first reports are due by December 26, 2006; sites are to use the revised 2006 Form U for reporting to EPA, and are encouraged to file electronically.

The primary goal of this document is to help the regulated community comply with the requirements of the IUR regulations. This document does not substitute for those regulations,

nor is it a regulation itself. It does not impose legally binding requirements on the regulated community or on EPA. Determinations regarding compliance with the IUR requirements will be based solely on the Toxic Substances Control Act 15 U. S. C. § 2607 and the IUR regulations ( 40 CFR Part 710). Interested parties are free to raise questions about the application of this guidance to a particular situation. Where appropriate, EPA retains the discretion to accept approaches on a case by case basis that differ from this guidance, to the extent that such approaches comply with TSCA and the implementing regulations.

This guidance document contains the following sections and appendices:

Chapter 1  Introduction to IUR reporting and changes made from the 2002 reporting requirements.

Chapter 2  Instructions on determining which chemical substances are reportable,

who must report, and what must be reported.

Chapter 3  When you must report.

Chapter 4  Step by step guidance on completing Form U.

Chapter 5  Asserting and reasserting your claims of Confidential Business Information ( CBI).

Chapter 6  Questions about submitting your report to EPA ( includes EPA contact telephone numbers and addresses).

Chapter 7  Instructions on obtaining copies of documents you may need to better understand the TSCA IUR.

Chapter 8  Requesting assistance with IUR reporting.

Appendix A  2006 Form U.

Appendix B  Definitions of terms used in this document. DRAFT x

Appendix C  List of CAS numbers of chemicals that are subject to a special regulatory action under TSCA.

Appendix D  Instructions for electronic IUR reporting.

Appendix E  Partially exempt chemicals.

Appendix F  Definitions of industrial function categories and commercial and consumer end use categories.

Appendix G  Case studies illustrating how to complete 2006 Form U. DRAFT: Chapter 1.0 Introduction 1 1 1.0 Introduction In 1977, the U. S. Environmental Protection Agency ( EPA) promulgated a rule under the Toxic Substances Control Act ( TSCA) section 8( a), 15 U. S. C. 2607( a), to compile and keep current an inventory of chemical substances in U. S. commerce. This inventory is called the TSCA Chemical Substance Inventory ( TSCA Inventory). In 1986, EPA promulgated the Inventory Update Rule ( IUR), also under TSCA section 8( a), to facilitate the periodic updating of the TSCA Inventory database and to support activities associated with implementing TSCA. When first promulgated, the IUR required chemical manufacturers ( including importers) to report to EPA every 4 years the identity of chemical substances manufactured ( including imported) annually in quantities of 10,000 pounds or greater at each plant site they owned or controlled. In 2003, EPA amended the IUR, adjusting the universe of chemicals and plant sites reporting, the type of data reported, and the Confidential Business Information ( CBI) claim procedures.

This document updates the 2002 guidance manual ( EPA 749 B 02 001) to incorporate the IUR Amendments ( IURA) reporting requirements for 2006 reporting. Manufacturers and importers of chemical substances are encouraged to carefully review the IUR reporting requirements in 40 CFR Part 710 to determine whether they are subject to these requirements and what information is to be reported.

Businesses required to comply with the IUR should have a thorough understanding of the TSCA Inventory and the criteria used to determine a substance's presence in the TSCA Inventory. Information on the scope and organization of the TSCA Inventory can be found in the introductory pages of the TSCA Chemical Substance Inventory: 1985 Edition ( a complete version of the Public Inventory current as of July 1985) and in the TSCA Chemical Substance Inventory: 1990 Supplement ( a supplement to the 1985 edition current as of February 1, 1990). Chapter 7 of this guidance document provides instructions on how to obtain copies of TSCA regulations and the TSCA Chemical Substance Inventory.

1.1 Recent Changes to IUR Reporting Requirements In 2003, EPA made several major changes to the IUR reporting requirements, which are highlighted in Table 1 1 and explained later in this document. In addition, Form U was revised to incorporate these changes. Appendix A contains the 2006 Form U. DRAFT: Chapter 1.0 Introduction 1 2 Table 1 1. Changes Made to IUR Reporting Requirements Reporting thresholds increased The manufacture and/ or import volume reporting threshold was raised from 10,000 lbs/ yr to 25,000 lbs/ yr ( 40 CFR 710.48( a)). A larger volume reporting threshold of 300,000 lbs/ yr was added for the reporting of exposure related processing and use information ( 40 CFR 710.52( c)( 4)).

Reporting of manufacturing exposure related information added New data elements include: ( 1) the number of workers ( in ranges) reasonably likely to be exposed to the chemical substance at the site of manufacture or import, ( 2) the physical form( s) of the substance as it leaves the submitter's possession, ( 3) the percentage ( rounded to the closest 10%) of the total production volume associated with each physical form, and ( 4) the maximum concentration ( within a range) of the chemical substance at the time it is reacted on site to produce a different chemical substance or as it leaves the submitter's possession ( 40 CFR 710.52( c)).

Reporting of industrial, commercial, and consumer exposure related information added New data elements to be reported by certain larger volume ( i. e., 300,000 lbs/ yr or more) manufacturers ( including importers) include: Industrial Processing and Use Information ( 40 CFR 710.52( c)( 4)( i))

Type of industrial processing or use operation at each site and at downstream sites

North American Industrial Classification System ( NAICS) codes that best describe the industrial activities associated with the processing or use of the substance

Industrial functions of the chemical substances during the processing or use operation for each NAICS code reported

Information associated with each processing or use operation/ NAICs/ industrial function category combination:   Percentage of production volume   Number of processing and use sites   Number of workers reasonably likely to be exposed Commercial and Consumer Use Information ( 40 CFR 710.52( c)( 4))

Commercial and consumer product uses of the chemical substance

Indication of the presence of the substance in consumer products intended for use by children

Percentage of production volume associated with each commercial and consumer product use

Maximum concentration of the chemical substance in each commercial and consumer product use.

Reporting requirements for site identity added Plant site's county or parish and an email address for the technical contact must now be reported ( 40 CFR 710.52( c)( 2)( i)).

Reporting of inorganic chemical substances added For 2006 reporting, a partial reporting exemption for inorganic chemical substances is in place, i. e., no reporting of industrial, commercial, and consumer exposure related information is required for these chemicals. For reporting in future years, manufacturers must fully report these substances, as required based on production volume ( 40 CFR 710.46( b)( 3)).

Natural gas exemption added A full exemption from IUR reporting for certain forms of natural gas was added ( 40 CFR 710.46( a)( 4)). Table 1 1 ( Continued) DRAFT: Chapter 1.0 Introduction 1 3 Petroleum process stream partial exemption added A partial reporting exemption was created for certain listed petroleum process streams ( 40 CFR 710.46( b)( 1)).

Specific chemical substances added partial exemption added A partial exemption was created for specific chemical substances where EPA identified that there is a low current interest in the IUR processing and use information related to the chemical ( 40 CFR 710.46( b)( 2)).

Records retention period extended The records retention period was extended from 4 to 5 years ( 40 CFR 710.57).

Reporting changed The period for which reporting is required was changed from a corporate fiscalyear basis to a calendar year basis ( 40 CFR 710.52).

CBI claims for production volume ranges allowed Submitters can now claim their production volume ranges as CBI, in addition to the existing requirement that submitters report a specific production volume number and the CBI status of that number ( 40 CFR 710.52( 3)( v)). This change allows submitters to assert a confidentiality claim for specific production volume information while releasing the more general production volume range as public information.

Up front substantiation for plant site CBI claims required Up front substantiation of plant site confidentiality claims is now required for IUR submissions to EPA ( 40 CFR 710.58( c)). This requirement is similar to the upfront substantiation requirement for chemical identity claims. Clear and concise substantiation information related to CBI compliance with the regulations under 710.58( c) should be submitted. See Chapter 5.0 for additional costs. DRAFT: Chapter 1.0 Introduction 1 4 1.2 Rationale for IUR Changes EPA amended the IUR on January 7, 2003 for three primary reasons:

To tailor the chemical substance reporting requirements to more closely match EPA's information needs;

To obtain new and updated information concerning potential exposures to a subset of chemical substances listed in the TSCA Inventory; and

To improve the utility of the information reported.

These goals are supported by the policy in TSCA § 2( b)( 1) that " adequate data should be developed with respect to the effect of chemical substances and mixtures on health and the environment and that the development of such data should be the responsibility of those who manufacture and those who process such chemical substances and mixtures." EPA believes that the data currently available to EPA are generally inadequate for risk screening purposes. TSCA § 8( a)( 2) authorizes EPA to require manufacturers and processors of chemical substances to report a wide variety of data, including exposure related information of the type that will be reported for certain chemical substances under the revised IUR. The IUR amendments removed certain reporting requirements and added others to allow the Agency to collect information that is most needed by EPA and other federal agencies for screening, assessing, and managing risk. The availability of these data will also enhance public awareness of basic information about chemical substances.

1.3 Use of IUR Data In the past, EPA has used the TSCA Inventory and IUR data to support many TSCA related activities and to provide overall support for a number of EPA and other federal health, safety, and environmental protection activities. In addition to the past uses, EPA will use the processing and use and exposure information reported in 2006 to help EPA, other agencies, and the general public more readily screen chemicals for exposure and risk. The information collected will enable EPA to develop a more systematic and comprehensive approach to the chemical prioritization process.

EPA will use the information to:

° Support priority setting and risk based screening of chemicals ( e. g., IUR data can be used to provide a risk based context for hazard information being submitted under the HPV Challenge Program);

° Empower resource allocation decisions by enabling EPA to make science based decisions about which chemicals to focus its limited resources;

° Provide a first place to look when a new concern is identified; DRAFT: Chapter 1.0 Introduction 1 5 ° Provide an overview of chemical use and exposure, over time, in a unique database;

° Inform a variety of Agency and other programs, such as the TSCA testing program and National Institute of Occupational Safety and Health ( NIOSH) and Consumer Product Safety Commission ( CPSC) programs;

Identify and manage human health and environmental risks by providing EPA with information on nationwide chemical manufacture and/ or importation production and exposure so that chemicals in commerce can be screened;

Identify chemicals to which large numbers of workers may be exposed   to the benefit of EPA, Occupational Safety and Health Administration, National Institute of Occupational Safety and Health, National Institutes of Health, organized labor, chemical industry, and other organizations' risk management programs; and

Identify chemicals to which large numbers of consumers are exposed   to the benefit of EPA, Consumer Product Safety Commission, and public consumer protection organizations' risk management programs.

The following sections discuss the use of the specific IUR data elements. For additional information, see " Inventory Update Rule Amendments Data Use Plan" located in the rulemaking record for this rule ( OPPT 2002 0054).

1.3.1 Use of Exposure Related Information EPA uses exposure information in a wide variety of analyses and decision making, including that associated with projects within the Existing Chemicals Program and Design for the Environment ( DfE). ( Further information on these projects can be found at http:// www. epa. gov/ opptintr/.) Often under these programs, EPA completes an initial review of chemical substances to identify those substances that raise particular concerns as to the potential risks they present to human health and the environment. The new IUR reporting requirements for exposure related information are related to, or are indicative of, three components of exposure:

The number of ecosystems or size of human populations potentially exposed ( e. g., data elements concerning number of sites, number of workers, and use in consumer products);

The potential routes, magnitudes, and concentrations of exposures experienced by the environment or by humans ( e. g., data elements concerning function of chemical substances in industrial processes, physical form of chemical substances, industrial sectors where chemical substances are manufactured and used, and maximum concentration); and

The frequency and duration of potential exposures ( e. g., data elements concerning industrial function categories and commercial and consumer use categories). DRAFT: Chapter 1.0 Introduction 1 6 Effective risk screening and risk management depend on both exposure information and hazard information. The IUR will provide EPA with data that will more accurately and realistically gauge potential exposure. The exposure related information reported under the IUR will be used in combination with hazard information such as that developed under TSCA section 4 test rules and enforceable consent agreements/ orders, through voluntary efforts such as the HPV Challenge Program, and other sources. Because of the limitations of the data available from past information collections such as the one time reporting of information by a subset of the manufacturers of a small number of selected high production volume chemicals, as was included in EPA's voluntary Use and Exposure Information Project ( UEIP), EPA is collecting the information necessary to develop an exposure database. The new data elements included in the 2006 IUR collection improve EPA's ability to evaluate exposure. This new exposure related information will facilitate a more efficient and effective screening of chemical substances based either on exposure or on risk.

1.3.2 Use of Processing and Use Data Elements Under the new IUR requirements, manufacturers and importers producing 300,000 pounds or greater must report industrial processing and use and commercial and consumer enduse information.

Submitters must report the following industrial processing and use data:

° Type of Process or Use; ° North American Industrial Classification System ( NAICS) code; ° Industrial Function Category; ° Percent Production Volume; ° Number of Sites; and ° Number of Workers.

This information provides basic information to EPA to develop potential exposure scenarios. These data elements affect EPA's decision making during risk screening exercises. For example, a process and use code of repackaging potentially indicates lower exposures than if the chemical is used to formulate a mixture. The number of sites directly affects the distribution of general population exposures. Without these data, EPA would have to conservatively assume that chemicals are processed and used in operations that result in higher exposures and releases.

Submitters must also report the following commercial and consumer end use data:

° Commercial and Consumer Product Categories; ° Use in Children's Products; ° Percent Production Volume Associated with Each Category; and ° Maximum Concentration Associated with Each Category.

The information indicates the types of products to which consumers and nonindustrial workers may be exposed. Some of the most vulnerable populations, such as children, could be exposed to chemicals that have primarily commercial and consumer uses. DRAFT: Chapter 1.0 Introduction 1 7 Specific examples of the type of reports that can be prepared from the IUR data can be found in " Inventory Update Rule Amendments Data Use Plan" located in the rulemaking record for this rule ( OPPT 2002 0054). DRAFT: Chapter 2.0 Reporting Requirements 2 1 2.0 Reporting Requirements This chapter explains the reporting requirements for the 2006 IUR reporting cycle. Reporting requirements have changed since the last IUR reporting cycle in 2002. There are three criteria to consider in determining your reporting requirements for each chemical substance that you manufacture in the United States or import into the United States:

Criterion I: Is your substance reportable under the IUR?

Criterion II: Are you a manufacturer ( or importer) who is required to report?

Criterion III: What information do you need to report?

Figure 2 1 is a decision tree summarizing reporting criteria.

CRITERION II: Are you a manufacturer required to report? YOU DO NOT NEED TO REPORT. CRITERION I: Is your chemical substance reportable?

YOU MUST REPORT. Evaluate CRITERION III to determine what information you should complete. Yes Yes No No Figure 2 1. Decision Logic Diagram for Determining Your Reporting Requirements This chapter will discuss each of these criteria and associated reporting obligations in more detail. Appendix B provides definitions of terms used for IUR reporting. DRAFT: Chapter 2.0 Reporting Requirements 2 2 Is your chemical substance excluded from reporting ( 710.46a)? YOU DO NOT NEED TO REPORT. Is your substance on the TSCA Inventory? ( 710.45 and 710.53)

EVALUATE CRITERION II. Yes Yes No No CRITERION I: Is your chemical substance reportable under IUR?

Is your substance subject to a special regulatory action under TSCA? ( 710.46)

Yes No 2.1 Criterion I: Is Your Chemical Substance Reportable Under the IUR?

A chemical substance is reportable under the IUR if it is in the TSCA Inventory as of August 25, 2006, and not specifically exempted by 40 CFR 710.46. To determine if your chemical substance is reportable under the IUR, you should answer the following three questions:

Is your substance on the TSCA Inventory?

Is your substance excluded from reporting because it is a polymer, a microorganism, a natural gas, or naturally occurring?

Is your substance subject to a special regulatory action?

Figure 2 2 presents a decision logic diagram to assist you in answering these questions. The following subsections explain each question in greater detail.

Figure 2 2. Decision Logic Diagram for Determining if Your Chemical Substance is Reportable DRAFT: Chapter 2.0 Reporting Requirements 2 3 Hydrates are not listed in the TSCA Inventory. However, you are required to report the CAS registry number of the corresponding anhydrous form. Adjust the reported production volume to exclude water. 2.1.1 Is Your Chemical Substance in the TSCA Inventory?

The following subsections provide information to determine if your chemical substance is listed in the TSCA Inventory.

<IP_ADDRESS> What is the TSCA Inventory? Authorized by § 8( b) of TSCA, the TSCA Inventory is a list of chemical substances manufactured, imported, or processed for commercial purposes in the United States. The TSCA Inventory was originally compiled from reports submitted in 1978 and 1979 by manufacturers, importers, and certain processors of chemicals in commerce during those years. Subpart A of 40 CFR Part 710 prescribes criteria for including a substance in the TSCA Inventory. New chemical substances are added to the TSCA Inventory when companies that have submitted Premanufacture Notifications ( PMNs) to EPA under section 5 of TSCA notify EPA that they have begun to manufacture or import the chemical substance ( under 40 CFR 720.102).

EPA keeps a Master Inventory File, which is the authoritative list of all the eligible chemical substances that have been reported to EPA for inclusion in the TSCA Inventory. EPA also makes the non confidential portion of the inventory file, commonly referred to as the Public Inventory, available to the general public. The Public Inventory does not contain the specific identities of chemical substances that have been claimed as CBI; it only contains generic chemical names for these confidential business information chemical substances. See Chapter 7 of this document for information on obtaining copies of the Public Inventory.

<IP_ADDRESS> How Do You Determine Whether a Chemical Substance is Listed on the TSCA Chemical Substance Inventory? The following methods may help you determine if your chemical substance is listed in the TSCA Inventory:

Locate the substance in the Public Inventory ( see Chapter 7 for more information);

Search company records to determine if the substance was previously reported to EPA under the IUR;

Search company records for a PMN or other communication that confirmed with EPA the substance was in the TSCA Inventory; and

Search company records for a Notice of Commencement of manufacture or import for a PMN substance that was submitted to EPA.

Several commercial databases have incorporated the Public Inventory ( which excludes substances with confidential identities) and indicate whether a given chemical substance is included in the TSCA Inventory. Because these databases are not generated or peer reviewed by EPA, the Agency cannot guarantee the accuracy of the information in these databases. Thus, there is no penalty for reporting a substance that may be listed on a commercial database, but is not required to be reported. However, if a commercial database that you use fails to include all reportable chemicals and, as a result, you fail to report information for these chemicals, you may be in violation of TSCA ( 40 CFR 710.1( c)). Please note that DRAFT: Chapter 2.0 Reporting Requirements 2 4 hydrates are not listed in the TSCA Inventory; however, you are required to report the CAS registry number of the corresponding anhydrous form ( 40 CFR 710.3). You should adjust the reported production volume to exclude water.

For example, Company A manufactures 50,000 pounds of copper ( II) sulfate pentahydrate, CuSO 4  5H 2 O. This chemical should be reported under the anhydrous form of copper ( II) sulfate, CuSO 4. To calculate the production volume, multiply the mass of hydrated compound by the weight fraction ( ratio of molecular weights) of anhydrous copper ( II) sulfate, CuSO 4, in the hydrated copper ( II) sulfate, CuSO 4  5H 2 O. The molecular weights of CuSO 4 and CuSO 4  5H 2 O are 159.6 pounds per pound mole and 249.7 pounds per pound mole, respectively. Company A should report 31,958 pounds of anhydrous copper ( II) sulfate on Form U based on the following calculation:

50,000 lbs. CuSO 5H O 159.6 lbs / lb mole CuSO 249.7 lbs / lb mole CuSO 5H O = 31, 958 lbs. CuSO 4 2 4 4 2 4   ×

Since 31,958 pounds is greater than or equal to 25,000 pounds but less than 300,000 pounds, Company A should complete Parts I and II of Form U.

<IP_ADDRESS> What Do You Do if You Cannot Find Your Chemical Substance in the TSCA Chemical Substance Inventory? If after having checked the above sources, you are still uncertain as to whether a chemical substance is listed on the TSCA Inventory, write a letter to EPA at the following address:

ATTN: Inventory Update Rule OPPT Document Control Officer U. S. Environmental Protection Agency Office of Pollution Prevention and Toxics ( 7407M) Ariel Rios Building 1200 Pennsylvania Avenue, N. W. Washington, DC 20460.

Your letter should request that EPA search the Master Inventory File, including confidential substances, to determine whether the substance is listed. Because searches of the Master Inventory File are labor intensive, you are urged to request such a search only if your search of the Public Inventory, commercial databases, and your company's records fails to resolve your question. Moreover, if your request is not received prior to October 25, 2006, EPA cannot guarantee that you will receive a response in time for you to complete the reporting form before the end of the submission period.

In communicating with EPA, you must substantiate the fact that you are manufacturing or importing the substance in question by providing the following information ( 40 CFR 720.25):

Company identification, address, and telephone number; DRAFT: Chapter 2.0 Reporting Requirements 2 5

Specific chemical identity of the substance, preferably a Chemical Abstracts Service ( CAS) Preferred or Index Name, a CAS Registry Number ( if available), and a structural diagram ( if available);

A statement signed by a company officer that your company is manufacturing and/ or importing the chemical substance for commercial purposes;

A statement signed by a company officer that your company is requesting this search pursuant to the IUR; and

An elemental analysis of the substance.

Your letter may be claimed CBI if you have reason to believe that release of the information would reveal trade secrets or confidential commercial or financial information ( as provided by section 14 of TSCA and 40 CFR Part 2). If you assert that any of the information contained in the letter is CBI, you must clearly identify the information that is claimed confidential by marking the specific information on each page with a label as " confidential business information," " proprietary," or " trade secret" ( 40 CFR 2 Subpart B). EPA's procedures for processing and reviewing confidentiality claims are set forth at 40 CFR Part 2, subpart B. EPA strongly encourages you to review confidentiality claims carefully to ensure that the information in question falls within the protection of TSCA section 14 and to limit confidentiality claims as much as possible.

If you claim information which you submit to EPA as CBI, EPA recommends that you place your letter and any accompanying materials in a double wrapped package for maximum security. The inner wrapper should be labeled with the recipient's name and the statement " TSCA Confidential Business Information." The outer wrapper should be labeled only with the name and address of the recipient and your return address. Nothing on the outer wrapper should indicate that the package contains CBI. This package should be sent to EPA by certified or registered mail, return receipt requested, or sent by courier service or U. S. Postal Service Express Mail. Regular first class mail should never be used to send CBI to EPA. Failure to follow proper procedures regarding CBI materials may result in EPA making the information available to the public without further notice to you.

After processing your response, EPA will inform you whether the chemical substance is in the TSCA Inventory and whether the substance is subject to reporting under the IUR. If the chemical substance is found on the confidential TSCA Inventory, EPA will notify the person( s) who originally reported the substance that another person has requested information pursuant to the IUR procedures and was told that the chemical substance is in the TSCA Inventory and that it is subject to reporting. Your identity will not be revealed to the person originally reporting the substance.

If you are an importer and cannot provide all of the required information because your foreign manufacturer/ supplier is maintaining it as confidential, the manufacturer/ supplier can send the information directly to EPA. Be advised that it is the obligation of the importer to ensure that the foreign manufacturer complies with the IUR requirements ( 40 CFR 720.25( b)). See DRAFT: Chapter 2.0 Reporting Requirements 2 6 Polymers, certain natural gas streams, and microorganisms are not excluded from reporting when they are subject to a rule proposed or promulgated under certain sections of TSCA. See Section 2.1.3 for more details.

The " XU" Flag and Polymers Please note that a few of the polymerization gases that are not considered polymers might have been incorrectly flagged because of the inclusion of the word fragment " polym" in the chemical name. These substances are reportable under the IUR. Chapter 6, Section 6.4 of this document for more details related to foreign manufacturers/ suppliers.

2.1.2 Is Your Chemical Substance Excluded from Reporting?

Four categories of substances, though included in the TSCA Inventory, are largely excluded from reporting under the IUR. These categories are polymers, certain natural gas streams, microorganisms, and naturally occurring substances. Refer to section 710.46 of the IUR and to the preamble of the Federal Register notice announcing the rule ( Federal Register Vol. 68 No. 4, January 7, 2003) for precise definitions of these categories. Polymers, certain natural gas streams, and microorganisms are not excluded from reporting when they are subject to a rule proposed or promulgated under certain sections of TSCA. See Section 2.1.3 for more details.

Certain petroleum process streams and other specifically listed substances are exempted from reporting processing and use information. Inorganic substances, which were previously excluded, are no longer excluded from IUR reporting; however, inorganic substances are exempted from reporting processing and use information for the 2006 submission period. See Section 2.3.2 for further information.

To help identify excluded substances, EPA has labeled most of these substances in the printed and electronic versions of the TSCA Inventory with an " XU" flag. Note that you are advised to use the flag only as a guide; submitters are responsible for verifying exemptions. If a substance does not bear an " XU" flag and section 710.46 of the IUR does not provide sufficient guidance to determine whether the substance is excluded, contact the TSCA Hotline at ( 202) 554 1404 for assistance.

<IP_ADDRESS> Polymers. Polymers are exempt from IUR reporting. The IUR definition of polymer is sufficiently broad to include virtually all those substances that are generally considered polymers. These include siloxanes and silicones, rubber, lignin, polysaccharides ( such as starch and gums), proteins ( such as gelatin and hemoglobin), and enzymes. However, substances that result from hydrolysis, depolymerization, or chemical modification, regardless of the extent of these processes, of polymers so that the final products are no longer polymeric ( e. g., a mixture of amino acids that is the result of hydrolysis of a polypeptide) are not considered to be polymers and must be reported if not otherwise excluded ( 40 CFR 710.46( a)( 1)). For reporting purposes, salts of polymers are also considered to be polymers. Please note that a few of the polymerization gases that are not considered polymers might have been incorrectly flagged with " XU" because of the inclusion of the word fragment DRAFT: Chapter 2.0 Reporting Requirements 2 7 " polym" in the chemical name. These substances are reportable under the IUR. See 40 CFR 710.46( a)( 1) for the regulatory definition of polymers.

<IP_ADDRESS> Microorganisms. Microorganisms are exempt from IUR reporting. A microorganism is any combination of chemical substances that is a living organism and that meets the definition of " microorganism" at 40 CFR 725.3. Any chemical substance produced from a living microorganism is reportable unless otherwise excluded ( 40 CFR 710.46( a)( 2)).

<IP_ADDRESS> Certain Forms of Natural Gas. Table 2 1 identifies certain forms of natural gas that are exempt from IUR reporting; the natural gas exemption is new for the 2006 reporting cycle.

Table 2 1. Chemical Substances Covered by Natural Gas Exemption Form of Natural Gas CAS Number Natural gas ( petroleum), raw liquid mix 64741 48 6 Natural gas condensates 68919 39 1 Gasoline natural 8006 61 9 Gasoline ( natural gas), natural 68425 31 0 Natural gas 8006 14 2 Natural gas, dried 68410 63 9 <IP_ADDRESS> Naturally Occurring Substances. Chemical substances that are described in 40 CFR 710.4( b) of the TSCA Inventory Reporting Regulations are considered " naturally occurring" and are automatically on the TSCA Inventory but are not reportable under IUR. Examples of substances that are typically naturally occurring materials are raw agricultural commodities, water, air, natural gas, crude oil, rocks, ores, and minerals. However, since the section 710.4( b) exclusion is a process specific exclusion rather than a chemical specific one, if you produce any substance in a manner other than as described in section 710.4( b), you are required to report unless otherwise excluded ( 40 CFR 710.46( a)( 3)). For this reason minerals and certain agricultural products are sometimes considered not to be naturally occurring because of their method of production.

Further, section 710.46( a)( 3) intentionally exempts from IUR reporting any chemical substance that is isolated/ removed from nature for a commercial purpose by the means specified in section 710.4( b). It also exempts any other chemical substance derived or separated from the substance originally removed from nature, provided such derivation involved only the means specified in that section ( e. g., being obtained by aqueous extraction or flotation or by pressing). Whether a substance is considered " naturally occurring" depends on the manner in which it is produced and isolated. Table 2 2 presents some examples of evaluating the naturally occurring substance exemption. DRAFT: Chapter 2.0 Reporting Requirements 2 8 Table 2 2. Examples of Evaluating Substances for the Naturally Occurring Exemption ( 40 CFR 710.4( b))

° Calcined clays that are formed by heating naturally occurring clay must be reported because such heating is not done solely to remove water; a chemical change is primarily intended.

° The naturally occurring substance category contains only those substances that are removed/ isolated from nature essentially by physical or natural means. Using water to extract a chemical substance from a naturally occurring substance is considered a natural means of removal. However, using any other solvent is not considered a natural means of removal.

° In an electrostatic separation, small particles are removed from a liquid or gas stream. The process is essentially analogous to a filtration or gravitational separation. Substances that are processed by this means fall within the naturally occurring substances category.

° The mining of coal is included in the naturally occurring chemical substances category. However, heating coal to produce light oils or other chemical substances is not included in this category and must be reported.

° Ammonia and nitric acid are generally produced by chemical synthesis and are, therefore, not considered naturally occurring.

2.1.3 Is Your Chemical Subject to a Special Regulatory Action Under TSCA?

With the exception of naturally occurring substances, a chemical substance that falls into one of the excluded categories must still be reported if it is the subject of any of the following: a rule proposed or promulgated under sections 4, 5( a)( 2), 5( b)( 4), or 6 of TSCA; an order issued under TSCA sections 5( e) or 5( f); or relief that has been granted under a civil action under TSCA sections 5 or 7 ( 40 CFR 710.46). Appendix C lists the chemical substances that fall into these categories. However, if you are unable to determine whether the specific chemical substance you manufacture or import is listed in Appendix C, you can contact EPA to see if the specific substance is reportable ( see Chapter 8 for contact information).

2.1.4 When is the Manufacture or Importation of Chemical Substances Subject to TSCA but not Included on the TSCA Chemical Substance Inventory ( 40 CFR 720.22)?

When checking the chemical substances you manufacture or import against the TSCA Inventory, you may discover that you are manufacturing or importing substances that are not in the TSCA Inventory but should be listed. Such manufacture or importation is in violation of section 15 of TSCA and could subject you to administrative or criminal penalties. Similarly, if you are manufacturing or importing a substance that was previously in the TSCA Inventory but has subsequently been delisted, then you are also in violation of section 15 of TSCA. If either of these situations applies to you, you should send a letter to EPA at the following address:

Director Toxics and Pesticides Enforcement Division Office of Regulatory Enforcement ( 2245) U. S. Environmental Protection Agency 1200 Pennsylvania Avenue, N. W. Washington, DC 20460 DRAFT: Chapter 2.0 Reporting Requirements 2 9 Information in your letter may be claimed as confidential by circling or bracketing the text to be protected and marking the page " Confidential." Failure to so mark this information may result in EPA making the information available to the public without further notice to you. See Section <IP_ADDRESS> for CBI packaging instructions.

Significant reductions in penalties are given for people who voluntarily disclose such information. Note, however, that continued manufacture or importation of such chemical substances remains in violation of section 15 of TSCA, even after you have contacted EPA, until the reporting requirements of TSCA have been met.

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

If you manufacture ( including companies that manufacture solely for export) or import a chemical substance reportable under the IUR, you may be exempt from the reporting requirements for that substance. To determine whether you must report, you should answer the following questions:

Did you manufacture or import 25,000 pounds or more of the reportable substance at any single site during the reporting year ( e. g., during 2005)?

Do you qualify as a small manufacturer with respect to the chemical substance?

Did you manufacture or import the reportable substance under circumstances that do not require reporting ( e. g., considering other reporting exemptions)?

Figure 2 3 presents a decision logic diagram to assist you in answering these questions. The following subsections explain each question in greater detail.

2.2.1 Did You Manufacture the Reportable Substance in Quantities of 25,000 Pounds or More?

If you manufactured ( including imported) 25,000 pounds or more of a reportable chemical substance at any single site you owned or controlled during the calendar year immediately preceding the submission period, you are subject to reporting ( 40 CFR 710.48( a)).

Manufacture means to import, produce, or manufacture with the purpose of obtaining an immediate or eventual commercial advantage. This includes, for example, manufacturing or importing any amount of a chemical substance for commercial distribution ( including test marketing) manufacturing solely for export, or manufacturing for use by the manufacturer, including use for product research and development or as an intermediate ( 40 CFR 710.3)).

<IP_ADDRESS> Meeting the 25,000 Pound Annual Production Volume Threshold. You must report a chemical substance only if you manufactured ( including imported) 25,000 pounds or more of the substance at any single site you owned or controlled during the calendar year immediately preceding the submission period. Moreover, if during the year you manufactured 25,000 pounds or more of the substance at some sites and less than 25,000 pounds at other sites, you will need to report the substance only for those sites at which you manufactured ( including imported) 25,000 pounds or more ( 40 CFR 710.48). Some companies may both manufacture and import the same substance. These companies should add together the manufacturing and DRAFT: Chapter 2.0 Reporting Requirements 2 10 Do you qualify as a small manufacturer? ( 710.49) YOU DO NOT NEED TO REPORT. Did you manufacture 25,000 pounds or more of the substance? ( 710.48)

YOU MUST REPORT. Evaluate CRITERION III to determine what parts of Form U you should complete. Yes Yes No No CRITERION II: Are you a manufacturer required to report?

Is your substance subject to a special regulatory action under TSCA? ( 710.46)

Yes No Do you qualify for additional reporting exemptions ( see Section 2.2.3)? ( 710.50) Yes No Figure 2 3. Decision Logic Diagram for Evaluating Criterion II importation volumes at each site to determine whether they meet or exceed the 25,000 pound threshold, based on the definition of manufacture.

Table 2 3 provides some examples of how the annual production volume reporting requirement applies. DRAFT: Chapter 2.0 Reporting Requirements 2 11 Table 2 3. Annual Production Volume Threshold Examples Description 2006 Reporting Requirement Company A, which has only one manufacturing site, manufactured 26,000 pounds of Chemical X, which is not exempt from reporting, at its site in 2005. Company A must report for Chemical X because it manufactured 25,000 pounds or more of Chemical X in 2005.

Company B, which has only one manufacturing site, manufactured 26,000 pounds of Chemical X at its site in 2004 and 20,000 pounds of Chemical X in 2005. Company B is not required to report for Chemical X because it manufactured less than 25,000 pounds of Chemical X in 2005.

Company C has two manufacturing sites for Chemical X. In 2005, Site 1 manufactured 13,000 pounds of Chemical X and Site 2 manufactured 15,000 pounds of Chemical X. Company C is not required to report for Chemical X at either site because 2005 production was less than 25,000 pounds at each site.

Company D has two manufacturing sites for Chemical X. In 2005, Site 1 manufactured 10,000 pounds of Chemical X and Site 2 manufactured 150,000 pounds of Chemical X. Company D is not required to report for Chemical X for Site 1 because 2005 production was less than 25,000 pounds, but must report for Chemical X at Site 2 because at this location production was 25,000 pounds or more in 2005.

Company E has one site where it imports and manufactures Chemical X. Company E manufactured 21,000 pounds of Chemical X and imported 5,000 pounds of Chemical X in 2005. Company E must report for Chemical X because the total produced and imported in 2005 was 25,000 pounds or more.

In many cases, reportable substances are contained within a mixture. Although mixtures are not reportable, the chemical substances making up a mixture are reportable ( 40 CFR 710.3). If you manufacture the substances as part of a mixture, you should determine whether the production volume for each substance in the mixture was 25,000 pounds or more. Similarly, if you import a mixture, you should determine whether its importation volume for each substance in the mixture is 25,000 pounds or more. Note, however, that a person who produces a mixture by combining existing substances without a chemical reaction is not a manufacturer of those substances and, therefore, does not have to report those substances under the IUR.

<IP_ADDRESS> Special Provisions for Importers. The site where you import a chemical substance is considered the site of the operating unit within your organization that is directly responsible for importing the substance and controls the import transaction. In some cases, the import site may be the organization's headquarters in the United States ( 40 CFR 710.48( b)).

Example 2 1. The headquarters of your company is located in New Town. You have a plant site located in Old Town, which is in a different state. A headquarters employee purchases and arranges to have 500,000 pounds of Chemical X imported from Japan to your Old Town plant site. An Old Town employee is also involved with making arrangements to receive Chemical X. The headquarters employee should report for IUR.

Example 2 2. The headquarters of your company is located in New Town. Your company controls three manufacturing sites, Sites 1, 2, and 3, all located in different states. An employee DRAFT: Chapter 2.0 Reporting Requirements 2 12 Small manufacturers are still required to report on substances subject to a rule proposed or promulgated under certain sections of TSCA. See Section 2.1.3 for more details. based at headquarters purchases and arranges to have 500,000 pounds of Chemical X imported from Japan. 20,000 pounds is delivered to Site 1; 180,000 pounds is delivered to Site 2; and 300,000 pounds is delivered to Site 3. The headquarters in New Town should report all 500,000 pounds imported.

2.2.2 Are You a Small Manufacturer?

Small manufacturers ( including both manufacturers and importers) are usually exempt from reporting under the IUR. Small manufacturers are still required to report on substances subject to a rule proposed or promulgated under certain sections of TSCA. See Section 2.1.3 for more details. You qualify as a small manufacturer if you meet either one of the following criteria:

Your total annual sales, combined with those of your parent company, domestic or foreign ( if any), do not exceed $ 4 million regardless of annual production volume ( 40 CFR 704.3).

Your total annual sales, combined with those of your parent company, domestic or foreign ( if any), are less than $ 40 million and you annual production volume of that substance does not exceed 100,000 pounds at any individual plant site ( 40 CFR 704.3). If the annual production volume of the substance at any of your sites is over 100,000 pounds, you are required to report only for those sites. Note that it is possible to qualify as a small manufacturer with respect to some substances and not others or with respect to some plant sites and not others.

If you qualify as a small manufacturer, you must still report if you produce 25,000 pounds or more in a year of a reportable substance that is the subject of a rule proposed or promulgated under sections 4, 5( b)( 4), or 6 of TSCA; an order under TSCA section 5( e); or relief granted under a civil action under TSCA sections 5 or 7 ( 40 CFR 710.46). Appendix C lists all substances that fall into these categories.

Table 2 4 provides some examples of how the small manufacturing exemption applies. DRAFT: Chapter 2.0 Reporting Requirements 2 13 Table 2 4. Small Manufacturer Exemption Examples ( 40 CFR 710.48)

Description 2006 Reporting Requirement Site 1, which is one of several sites owned by Company A, had a production volume of 120,000 pounds of Chemical X in 2005. The total annual sales of Company A ( all sites combined) were $ 1,250,000 in 2005. Site 1 is not required to report for Chemical X because combined sales in 2005 did not exceed $ 4 million. The annual production volume for a specific chemical is immaterial.

Site 2, which is one of several sites owned by Company B, had a production volume of 90,000 pounds of Chemical X in 2005. The total annual sales of Company B ( all sites combined) were $ 20,000,000 in 2005. Site 2 is not required to report for Chemical X because annual production volume of that chemical did not exceed 100,000 pounds and Company B had total annual sales of less than $ 40 million.

Site 3, which is one of several sites owned by Company C, had a production volume of 200,000 pounds of Chemical X in 2005. Site 4, another site owned by Company C, had a production volume of 75,000 pounds of Chemical X in 2005. The total annual sales of Company C ( all sites combined) were $ 30,000,000 in 2005. Company C must report for Chemical X at Site 3 because annual production volume at Site 3 exceeded 100,000 pounds. Company C is not required to report for Chemical X at Site 4 because annual production volume at site 4 did not exceed 100,000 pounds and total annual sales were less than $ 40 million.

Site 5, which is one of several sites owned by Company D, had a production volume of 50,000 pounds of Chemical X in 2005. The total annual sales of Company D ( all sites combined) were $ 100,000,000 in 2001. Company D must report for Chemical X at Site 5 because total annual sales in 2005 exceeded $ 40 million.

Site 6, which is one of several sites owned by Company A, had a production volume of 120,000 pounds of Chemical X in 2005. The total annual sales of Company A ( all sites combined) were $ 1,250,000 in 2005. Chemical X is subject to a test rule and is listed in Appendix C of this Guidance document. Site 6 is required to report for Chemical X. Even though combined sales are less than $ 4 million, this chemical is subject to a test rule and therefore must be reported.

2.2.3 Do You Qualify for Any Additional Reporting Exemptions?

If you manufacture or import reportable substances under the following circumstances, you are not required to report for those substances under the IUR:

The chemical substance is imported as an article or part of an article. An article is defined in 40 CFR 710.3( d) as " a manufactured item ( 1) which is formed to a specific shape or design during manufacture, ( 2) which has end use function( s) dependent in whole or in part upon its shape or design during end use, and ( 3) which has either no change of chemical composition during its end use or only those changes resulting in compositions which have no commercial purpose separate from that of the article and that may occur as described in section 710.4( d)( 5), except that fluids and particles are not considered articles regardless DRAFT: Chapter 2.0 Reporting Requirements 2 14 of shape or design." EPA considers imported items as articles if they are manufactured in a specific shape or design for a particular end use application and this design is maintained as an essential feature in the finished product. Thus, EPA views materials such as metal or plastic sheets, wire, coated fabric, rolled carpet, sheets of plywood, and other similar materials as articles, even if, for example, subsequent to import they are rolled or drawn thinner, cut, printed, laminated, or thermoformed, so long as they meet the above criteria. Substances that are part of such articles are not subject to reporting under the IUR. If an item is manufactured in a particular shape for the purpose of shipping convenience and the shape has no function in the end use, it would not be considered an article. Thus, chemical substances that are part of items such as metal ingots, billets, and blooms are subject to reporting under the IUR.

The chemical substance is manufactured as an impurity, by product, or nonisolated intermediate. Sections 40 CFR 710.3( d), 40 CFR 710.23, and 40 CFR 720.30( g) provide the regulatory definitions of these terms.

If between August 25, 2005, and August 24, 2006, you submitted the information required by the IUR in response to another rule promulgated under TSCA, such as the Preliminary Assessment Information Rule, Subpart B, you are not required to report under the IUR for the same substance during 2006.

Table 2 5 shows examples of these reporting exemptions.

Table 2 5. Examples of Reporting Exemptions Description 2006 Reporting Requirement Company A manufactures 400,000 pounds of a chemical intermediate called Chemical X during the production of a polymer. Chemical X is manufactured in Reactor 1 and is subsequently destroyed when reacted with other chemicals. Chemical X never leaves Reactor 1, except for sampling purposes. Company A does not need to report a Form U for Chemical X because it is considered to be a non isolated intermediate and is therefore fully exempt.

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

Company C imports 10,000,000 pounds of Chemical Z in the form of thin sheets. Company C cuts these sheets into the desired size and shape, which are sold to consumers. Company C is not required to report Chemical Z because it is considered to be an article and therefore exempt from reporting. Table 2 5 ( Continued) DRAFT: Chapter 2.0 Reporting Requirements Description 2006 Reporting Requirement 2 15 Company D imports 10,000,000 pounds of Chemical W in the form of pellets. Company D subsequently melts and molds Chemical W into the desired shape, which is sold directly to consumers. Company D is required to report Chemical W because they imported pellets which cannot be considered articles.

Company D manufactures 10,000,000 pounds of Chemical W. Company D subsequently sells Chemical W to Company E located in the U. S. in the form of pellets. Company E melts and molds the pellets. Company D is required to report. Company E is not required to report since they are neither manufacturing nor importing Chemical W.

2.3 Criterion III: What Information Do You Need to Report?

Now that you have determined that you need to file a Form U for a chemical substance, you should determine what information you need to report. All persons required to report must complete and submit Parts I and II of Form U ( see Appendix A for a copy of the form) ( 40 CFR 710.52( c)). Part I collects basic company and facility identification information. Part II collects chemical identification and occupational exposure information related to manufacturing and importing chemical substances. Submitters reporting information for more than one chemical should make the necessary number of photocopies of Part II and report information for only one chemical on each photocopy. Submitters using electronic forms should use the directions provided in Appendix D.

To determine if you need to complete Part III of Form U, you should answer the following questions:

Did you manufacture or import 300,000 pounds or more of the reportable substance at any single site during the reporting year ( e. g., during 2005)?

Is your substance inorganic, listed as a petroleum process stream, or listed as a chemical substance partially exempt from reporting?

Figure 2 4 presents a decision logic diagram to assist you in answering these questions. The following subsections explain each question in greater detail. Detailed instructions for completing Form U are found in Chapter 4 of this document. DRAFT: Chapter 2.0 Reporting Requirements 2 16 Is your substance inorganic or listed as a petroleum process stream or listed as a partial exemption? ( 710.46) Did you manufacture 300,000 pounds or more of the substance? ( 710.52)

COMPLETE PARTS I, II, AND III OF FORM U. Yes No No CRITERION III: What information do you need to report?

Yes COMPLETE PARTS I AND II OF FORM U.

Figure 2 4. Decision Logic Diagram for Evaluating Criterion III .

2.3.1 Do You Manufacture and/ or Import the Reportable Substance in Quantities of 300,000 Pounds or More?

If you produce 300,000 pounds or more in calendar year 2005 of a reportable substance at a single facility, you must also complete Part III of Form U for each chemical meeting the 300,000 pound threshold ( 40 CFR 710.52( c)( 4)). Part III collects information on the industrial, commercial, and consumer uses of the chemical substance and other use related exposure information. Submitters reporting information for more than one chemical should make the necessary number of photocopies of Part III and report information for only one chemical on each photocopy. Submitters using electronic forms should use the directions provided in Appendix D. Table 2 6 provides some examples of when Form U, Part III reporting requirements apply. DRAFT: Chapter 2.0 Reporting Requirements 2 17 Table 2 6. Examples of Reporting Requirements for Form U, Part III ( 40 CFR 710.52( c)( 4))

Description 2006 Reporting Requirement Company A, which has only one manufacturing site, manufactured 300,000 pounds of Chemical X, which is not exempt from reporting, at its site in 2005. Company A must complete Parts I, II, and III for Chemical X because it manufactured 300,000 pounds or more of Chemical X in 2005.

Company B, which has only one manufacturing site, manufactured 300,000 pounds of Chemical X at its site in 2004 and 200,000 pounds of Chemical X in 2005. Company B is not required to complete Part III for Chemical X because it manufactured less than 300,000 pounds of Chemical X in 2005. Company B must complete Parts I and II for Chemical X.

Company C has two manufacturing sites for Chemical X. In 2005, Site 1 manufactured 130,000 pounds of Chemical X and Site 2 manufactured 170,000 pounds of Chemical X. Company C is not required to complete Part III for Chemical X at either site because 2005 production was less than 300,000 pounds at each site. Company C should complete Parts I and II for Chemical X at both sites.

Company D has three manufacturing sites for Chemical X. In 2005, Site 1 manufactured 10,000 pounds of Chemical X, Site 2 manufactured 30,000 pounds of Chemical X, and Site 3 manufactured 350,000 pounds of Chemical X. Company D is not required to report for Chemical X for Site 1 because 2005 production was less than 25,000 pounds. Company D must complete Parts I and II for Chemical X at Site 2 because at this location production was 25,000 pounds or more in 2005. Company D must complete Parts I, II, and III for Chemical X at Site 3 because production was 300,000 pounds or more at this location.

Company E has one site where it imports and manufactures Chemical X. Company E manufactured 210,000 pounds of Chemical X and imported 100,000 pounds of Chemical X in 2005. Company E must complete Parts I, II, and III for Chemical X because the combined manufactured and imported in 2005 was 300,000 pounds or more.

In 2005, Company F manufactured 700,000 pounds of a liquid that contains Chemical X at 50% by weight. Company F manufactured Chemical X via a chemical reaction; it did not combine existing chemicals to form a mixture. Company F must complete Parts I, II, and III for Chemical X, because it manufactured 350,000 pounds of Chemical X in 2005 and Chemical X was formed by a chemical reaction.

2.3.2 Does Your Reportable Substance Qualify for a Partial Exemption?

Three categories of substances are exempt from this reporting requirement. First, manufacturers and importers of certain petroleum process streams, regardless of the production volume, are partially exempt and do not need to complete Part III of Form U for these substances. Second, EPA created a partial exemption for specific chemical substances where EPA has identified that there is a low current interest in the IUR processing and use information related to DRAFT: Chapter 2.0 Reporting Requirements 2 18 the chemical. Third, for the 2006 submission period only, inorganic substances are also partially exempt. These three categories are described in more detail below.

<IP_ADDRESS> Petroleum Process Streams. For purposes of this rule, the petroleum process streams included in the exemption are the multicomponent complex chemical substances listed by CAS Registry Number at 40 CFR Part 710.46( b)( 1) and in Appendix E.

The chemical substances listed as petroleum process streams were derived from the 1983 publication of the American Petroleum Institute ( API) entitled Petroleum Process Stream Terms Included in the Chemical Substances Inventory Under the Toxic Substances Control Act ( TSCA). Chemical substances listed in the API document consisting of a single component chemical, except for water, are not considered petroleum process streams for IUR reporting purposes ( 68FR 853, January 7, 2003). If you think additional petroleum process streams should be added to the list, you can file a written request for EPA to update the list. Each petition should only address petroleum process streams that have a CAS Registry Number. A petition process for revising the list of exempted chemical substances allows anyone to submit a written request for EPA to update the list of chemical substances covered under this partial exemption. Additionally, EPA may revise the list on its own initiative.

<IP_ADDRESS> Partial Exemption for Specific Chemical Substances. EPA created a partial exemption for the specific chemical substances listed at 40 CFR 710.46( b)( 2)( iv) and in Appendix E. EPA determined there is a low current interest in the IUR processing and use information related to these chemicals. Manufacturers ( including importers) of these substances are exempt from reporting the information requested on Part III of Form U but must still report the information requested on Parts I and II of Form U if other reporting criteria are met ( 40 CFR 710.46( b)). A petition process for revising the list of exempted chemical substances allows anyone to submit a written request for EPA to update the list of chemical substances covered under this partial exemption. Additionally, EPA may revise the list on its own initiative.

<IP_ADDRESS> Partial Exemption for Inorganic Substances in 2006. For the 2006 reporting cycle, manufacturers ( including importers) of inorganic substances, as defined in 40 CFR 710.46.( b)( 3), are exempt from reporting the information collected by Part III of Form U for those substances. Manufacturers ( including importers) of inorganic substances must report the information collected by Parts I and II of Form U if other reporting criteria are met ( 40 CFR 710.46( b)). You must complete Part III for inorganic chemicals you manufacture and/ or import in quantities equal to or greater than 300,000 pounds for all reporting cycles following the 2006 reporting cycle ( 40 CFR 710.46( b)( 3)). DRAFT: Chapter 3.0 When You Must Report 3 1 3.0 When You Must Report For the year 2006 reporting cycle, as in previous reporting cycles, you are required to report during the submission period, which is between August 25 and December 23 ( 40 CFR 710.53). However, in the previous reporting cycles, you reported information from the latest complete corporate fiscal year prior to the submission period. EPA has changed the reporting year to a calendar year basis. This means that the information to be reported during the submission period from August 25 to December 23 in the year 2006 would be for calendar year 2005. Subsequent recurring submission periods are from August 25 to December 23 at 4 year intervals after the first submission period ( 2010, 2014, 2018, etc.) ( 40 CFR 710.53).

Your submissions must be postmarked no later than December 23, 2006 ( 40 CFR 710.53). If you are required to report, failure to file your report during this period is a violation of section 15 of TSCA and may subject you to penalties ( 40 CFR 710.1( c)).

Requests for searches of the Master Inventory File ( Section <IP_ADDRESS>) should be made at least 60 days prior to the close of the submission period ( e. g., October 25, 2006). Otherwise, EPA cannot guarantee a timely response. If you have made your request in time, you will be allowed 15 business days from the date of receipt of EPA's answer or until the end of the submission period, whichever is later, to submit the report for the substance that was searched. Any other reports received after the end of the submission period will be considered late and will be subject to enforcement action. DRAFT: Chapter 4.0 Completing Form U 4 1 4.0 Completing Form U 4.1 Form of Submission Information reported for the IUR must be submitted either on electronic media ( not email or on a printed copy of Form U ( 40 CFR 710.52). Separate forms are required for each plant site ( 40 CFR 710.52). If you report information for more than one chemical at your site, you should make the necessary number of photocopies of Parts II and III and report information for only one chemical on each photocopy. If you submit electronically, follow the instruction in Appendix D. Each preprinted copy of 2006 Form U bears an individual report number. EPA will assign report numbers to electronic submissions and forms obtained from the Internet when they are received. You should not enter any information in the report number box in the upper right hand corner of Form U. See Chapter 7 for information on obtaining copies of Form U. Appendix G provides sample case studies to illustrate how to complete Part I and Part II of Form U.

4.2 Part I   Section I Certification 4.2.1 Signature ( Block 1. A. 1)

The certification statement must be signed by an authorized official of your company ( 40 CFR 710.52( 1)( a)). This statement certifies to the truth and accuracy of the information reported and of the confidentiality claims made on the form. By certifying to the truth and accuracy of the information, you acknowledge that knowingly providing false or misleading statements may be punishable by fine or imprisonment or both under TSCA section 15. Signatures should be made in black ink to ensure that the form bears a legible signature that can be microfiched or otherwise archived.

A certification statement is also on the electronic Form U. Appendix D provides more detail on how to sign and submit all electronic documentation.

4.2.2 Date ( Block 1. A. 2)

Enter the month, day, and year that the form was signed.

4.2.3 Name and Official Title ( Blocks 1. A. 3 and 1. A. 4)

Enter the name and title of the person who signed the certification in the respective blocks. DRAFT: Chapter 4.0 Completing Form U 4 2 4.3 Part I   Section II Parent Company and Technical Contact Information 4.3.1 Parent Company Name ( Block 1. B. 1)

Enter the full name of the parent company. Include any add on terms such as Inc., Ltd., L. L. C., etc.

4.3.2 Parent Company Dun & Bradstreet Number ( Block 1. B. 2)

Dun & Bradstreet assigns separate numbers to plant sites and parent companies; make sure that the number you provide EPA belongs to the parent company for which you are reporting. If the parent company does not have a Dun & Bradstreet number, you can request one from your local office of Dun & Bradstreet. There is no charge for this service and you are not required to disclose sensitive financial information to get a number. For more information on obtaining a Dun & Bradstreet number, see www. dnb. com/ us. If you are already listed with Dun & Bradstreet, but do not know your number, you can call 1 888 814 1435 for assistance.

4.3.3 Technical Contact Name ( Block 1. B. 3)

Enter the name of the person whom EPA may contact for clarification of information submitted on Form U. The technical contact need not be located at the site for which information is reported, but should be located in the United States. The technical contact also need not be the person that signed the certification statement. If you wish to identify more than one person as a technical contact, please include the extra name( s) in a separate cover letter along with title( s), telephone number( s), and e mail address( es).

4.3.4 Technical Contact Telephone Number and E mail Address ( Blocks 1. B. 4 and 1. B. 5)

Enter the technical contact's telephone number, including the area code, and their e mail address ( if one is available).

4.3.5 Technical Contact Mailing Address ( Blocks 1. B. 6 through 1. B. 10)

Enter your technical contact mailing address, using standard addressing techniques as established by the U. S. Postal Service. Post office box numbers are acceptable only if accompanied by a street address. If a post office box is listed, it should be listed after the street address in Block 1. B. 7 ( Address Line 2).

4.4 Part I   Section III Plant Site Identification EPA requires the following information to be reported for each plant site at which a reportable chemical substance is manufactured ( including imported) in amounts greater than the reporting threshold: the plant site name, plant site Dun & Bradstreet number, street address, city, county ( or parish), state, and zip code. The site for a chemical substance importer is the site of the operating unit within the importer's organization that is directly responsible for importing the substance and that controls the import transaction; in some cases, it may be the organization's DRAFT: Chapter 4.0 Completing Form U 4 3 headquarters in the United States. EPA will assign a Facility Identification Number. You should leave this part blank.

4.4.1 Plant Site Name ( Block 1. C. 1)

Enter the full name of the plant site. Include any add on terms such as Inc., Ltd., L. L. C., etc. In some cases, this information may be the same as that reported in Block 1. B. 1.

4.4.2 Plant Site Dun & Bradstreet Number ( Block 1. C. 2)

Dun & Bradstreet gives separate numbers to plant sites and parent companies; make sure that the number you provide EPA belongs to the individual plant site for which you are reporting. If the plant site does not have a Dun & Bradstreet number, you can request one from your local office of Dun & Bradstreet. There is no charge for this service and you are not required to disclose sensitive financial information to get a number. For more information on obtaining a Dun & Bradstreet number, see www. dnb. com/ us. If you are already listed with Dun & Bradstreet, but do not know your number, you can call 1 888 814 1435 for assistance.

4.4.3 Plant Site Street Address ( Blocks 1. C. 3 through 1. C. 8)

Enter your plant site mailing address, including the appropriate county or parish, using standard addressing techniques as established by the U. S. Postal Service. Post office box numbers are acceptable only if accompanied by a street address. If a post office box is listed, it should be listed after the street address in Block 1. C. 4 ( Address Line 2).

4.5 Part II   Section I Chemical Identification If you are reporting information for more than one chemical, make the necessary number of photocopies of Part II and report information for only one chemical on each photocopy. If you are using electronic forms, follow the directions provided in Appendix D.

4.5.1 Chemical Identifying Number ( Block 2. A. 1)

The IUR currently requires manufacturers ( including importers) to report both the specific chemical substance name and the CAS Registry Number ( or other identifying number) of each reportable chemical substance manufactured ( including imported) in amounts over 25,000 pounds per year ( 40 CFR 710.52( c)).

You may claim the identity of a substance that is listed as confidential on the TSCA Inventory as confidential by checking the CBI box. EPA will not honor a chemical identity CBI claim for a substance that is listed on the nonconfidential Public Inventory. No CBI claim for chemical identity will be accepted unless accompanied by a separate written substantiation for each chemical substance claimed as CBI; see Section 5.1 for more details on substantiating CBI claims. Checking this box does not protect the link between your company and the substance; it only asserts a CBI claim for the specific identity of the substance. To claim company and/ or plant DRAFT: Chapter 4.0 Completing Form U 4 4 The CAS Registry Number is the preferred identifier for chemical substances being reported as part of the IUR. site identities as CBI, check the CBI boxes in Part II, Section II, Blocks 2. B. 1 and 2. B. 2 ( see Sections 4.6.1 and 4.6.2 below).

<IP_ADDRESS> CAS Registry and Other Identifying Numbers. Every chemical substance reported on Form U must be accompanied by its CAS Registry Number ( entered into Block 2. A. 1 of Part II) or other identifying number ( 40 CFR 710.52( c)( 3)). The printed edition of the TSCA Inventory contains detailed instructions on how to locate the CAS Registry Number for a substance listed. When you report a CAS Registry Number, please verify that the number you are reporting is the correct number for your substance.

The CAS Registry Number is the preferred identifier for chemical substances being reported as part of the IUR. If you are unable to find a CAS Registry Number in the Public Inventory, then the substance was not in the TSCA Inventory as of the date of printing or the substance is listed as confidential ( in which case the specific identity is not listed and the chemical substance has an Accession Number rather than a CAS Registry Number). If this is the case, you can use one of the following acceptable identifying numbers:

EPA Accession Number; or

PMN Number.

EPA Accession Number. If the identity of a chemical substance in the TSCA Inventory is confidential, the printed Inventory lists an Accession Number for that substance and uses a generic name rather than a specific identity. You can use an Accession Number as an identifying number only if EPA has communicated the appropriate Accession Number to you ( e. g., following your report for the original Inventory in 1978 or 1979, or following commencement of manufacture or import of a substance for which you filed a PMN). You may be reporting for the wrong substance if you find a generic chemical identity in the printed Inventory that you think belongs to your substance and report using the Accession Number that pertains to that substance. An Accession Number may not be used for a nonconfidential chemical substance. A typical Accession Number is a 5 digit number such as " 29735."

PMN Number. If you filed a PMN for a substance that is now reportable under the IUR and that PMN was assigned a PMN number, you can use that as an identifying number. A typical PMN number looks like this: " P 85 0243" or " P 83 0001A."

Please be aware that a chemical substance that has a PMN number is not automatically reportable under the IUR. A PMN substance is reportable under the IUR only if it is included in the TSCA Inventory. A PMN substance is included in the TSCA Inventory only if a Notice of Commencement was received by EPA for the substance.

<IP_ADDRESS> Obtaining CAS Registry and Accession Numbers from EPA. If you previously reported on a chemical to EPA but are unable to locate an identification number for that chemical ( following the procedures described in Chapter 2), it is possible that the chemical is DRAFT: Chapter 4.0 Completing Form U 4 5 no longer in the TSCA Inventory. In this case, you can request an identifying number from EPA. Send a letter to the following address:

ATTN: Inventory Update Rule OPPT Document Control Officer U. S. Environmental Protection Agency Office of Pollution Prevention and Toxics ( 7407M) Ariel Rios Building 1200 Pennsylvania Avenue, N. W. Washington, DC 20460 The letter should include the specific identity of the chemical substance, should be signed by an officer of the company, and should designate a technical contact ( include name, title, address, telephone number, and email address). You should provide the structure of the substance, if available. You can use this procedure only when you have previously reported the substance to the Agency. If you need EPA to tell you whether the substance is in the TSCA Inventory, follow the procedures outlined in Chapter 2.

You can claim information in this letter itself as confidential by circling or bracketing the text to be protected and marking the page " CONFIDENTIAL." Failure to so mark this information may result in EPA making the information available to the public without further notice to you. See Section <IP_ADDRESS> for CBI packaging instructions.

EPA will release information in response to these letters only to the company that originally submitted the information. If company ownership has changed or the technical contact authorized to receive CBI has changed since you reported the substance to EPA between 1978 and 1980, you must include a notarized letter by an officer of the current surviving company certifying to the change and designating the new technical contact.

EPA will send the technical contact a CAS Registry Number ( if the substance is listed as nonconfidential in the TSCA Inventory) or an EPA Accession Number ( if the substance is confidential).

EPA will release CAS Registry Numbers or Accession Numbers in response to these letters only for substances that are reportable under the IUR. Your letter should be received no later than November 12, 2006. Otherwise, EPA cannot guarantee a response in time for you to meet your reporting obligations.

4.5.2 ID Code ( Block 2. A. 2)

Enter the type of identifying number you entered in Block 2. A. 1, as shown in Table 4 1. DRAFT: Chapter 4.0 Completing Form U 4 6 Table 4 1. ID Code for Chemical Identifying Numbers If the Number You are Reporting in Block 2. A. 1 is a( n) Enter This Code in Block 2. A. 2 Accession Number A CAS Registry Number C PMN Number P 4.5.3 Chemical Name ( Block 2. A. 3)

Enter the specific chemical identity of the chemical substance you are reporting in Block 2. A. 3. Enough space has been provided so that the chemical name should fit. Use Chemical Abstracts Index/ Preferred names if available. You can find names of nonconfidential substances in the Public Inventory. If such names are not available, use nomenclature that completely and accurately describes the chemical substance.

Trade names should not be used except where a trade name describes a chemical in which part of the identity is a chemical substance you are reporting and your supplier will not disclose to you the specific identity of the trade name ingredient. Report all such chemical substances on separate copies of Part II and III of the Form, entering the specific identities of chemical where you know them and the trade names where you do not. You should also submit along with Form U a letter certifying that your supplier will not disclose to you the specific identity of the trade name reactant and identifying the supplier of each trade name ingredient reported.

You may claim information in this letter as confidential by circling or bracketing the text to be protected and marking the page " CONFIDENTIAL." Failure to so mark this information may result in EPA making the information available to the public without further notice to you. See Section <IP_ADDRESS> for CBI packaging instructions.

If you are an importer whose foreign supplier will not reveal to you the identity of the substance you are reporting, follow the procedures in Section 6.4.

4.6 Part II   Section II Manufacturing Information The following subsections describe the manufacturing information required to be reported for each chemical substance.

4.6.1 Company Information CBI ( Block 2. B. 1)

Checking the CBI box in this block asserts a confidentiality claim for the link between your company and the chemical substance. Checking other CBI boxes on the form will not protect this link. You may claim this connection CBI for some chemical substances for which you are reporting, while not making the claim for others ( each chemical substance is reported on a separate copy of Parts II and III of the Form). DRAFT: Chapter 4.0 Completing Form U 4 7 4.6.2 Plant Site CBI ( Block 2. B. 2)

To claim the link between the site of manufacture/ import and the chemical identity as confidential, check the " Plant Site CBI" box. You may claim this connection CBI for some chemical substances for which you are reporting, while not making the claim for others ( each chemical substance is reported on a separate copy of Parts II and III of the form. To assert a claim of confidentiality for plant site information, you are required to substantiate the claim in writing for each Part II of the form submitted ( 40 CFR 710.58( c)) ( see Section 5.2). If you fail to substantiate the plant site CBI claim in accordance with the applicable regulations, EPA may make the information available to the public without further notice to you.

4.6.3 Site Limited Status ( Block 2. B. 3)

If you manufacture the chemical substance at the plant site identified and do not distribute the chemical substance or any mixture containing that substance outside the plant site for commercial purposes, enter " Y" in the space next to the CBI box. Otherwise, enter " N." Note: you cannot report an imported chemical substance as site limited ( 40 CFR 710.43). To claim this information as confidential for the substance, enter " X" in the CBI box. You may claim the fact that a substance is not site limited as confidential, if appropriate.

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

Check all boxes that describe the activities at your site. For the purpose of IUR, manufacture means to manufacture or produce for commercial purposes. Import is defined as bringing any chemical substance or any chemical substance as part of a mixture or article into the customs territory of the United States. If you both manufacture and import the same chemical substance, please check both boxes. Check the CBI box to claim the nature of the activity ( i. e., manufacture vs. importation) as confidential for the substance. Claiming activity as CBI does not protect the link between your company and the substance; that link will not be protected unless you check the CBI box next to the company name ( see Section 4.6.1).

4.6.5 Production Volume ( Block 2. B. 5)

Enter the production volume, in pounds. If you both manufacture and import a particular substance, add the manufacture and import volumes together and report the total volume ( 40 CFR 710.52( c)( 3)( iv)). Report the quantity to at least two significant figures; it should be accurate to the extent known to or reasonably ascertainable by you. Production volumes should be reported in numeric format ( i. e., 50,000 or 6,352,000) since the Agency's automated equipment cannot read volumes other than numeric format. For example," 2 million" or " Ex10" are not acceptable, nor are abbreviations such as M ( 12,000,000 = 12M) or K ( 50,000 = 50K). Check the CBI box to claim production volume as confidential.

4.6.6 Production Volume Range ( Block 2. B. 6)

If you made a CBI claim for production volume, you are allowed to claim the production volume range corresponding to the reported production volume number as CBI; check the CBI box to claim this range as CBI. This claim is separate from a CBI claim for the specific DRAFT: Chapter 4.0 Completing Form U 4 8 production volume. Table 4 2 lists the production volume ranges. EPA will assign a range to the specific production volume number reported in Part II, Block 2. B. 5.

Table 4 2. Production Volume Ranges Production Volume Ranges ( in pounds)

At least 25,000 but less than 300,000 At least 300,000 but less than 1,000,000 At least 1,000,000 but less than 10,000,000 At least 10,000,000 but less than 50,000,000 At least 50,000,000 but less than 100,000,000 At least 100,000,000 but less than 500,000,000 At least 500,000,000 but less than 1,000,000,000 1,000,000,000 or greater Note: These ranges are similar to those used in developing the original TSCA Inventory; however, the new ranges start at the IUR reporting threshold of 25,000 pounds rather than the old 10,000 pound threshold.

4.6.7 Number of Workers ( Block 2. B. 7)

EPA requires that you report your estimate of the total number of workers reasonably likely to be exposed to the chemical substance at each reporting site ( 40 CFR 710.52( c)( 3)( vi)). For Block 2. B. 7, report the total number of workers reasonably likely to be exposed at the manufacturing site. For each substance, report the range code that corresponds to the appropriate number of workers as shown in Table 4 3. When an import site aggregates and reports the quantity of chemical imported, the administrative site should likewise aggregate and report the number of exposed workers. For imported substances, your site may not have any workers reasonably likely to be exposed. You should report code W1 to reflect fewer than ten workers exposed.

EPA defines " reasonably likely to be exposed" as an exposure to a chemical substance that, under foreseeable conditions of manufacture, processing, distribution in commerce, or use of the chemical substance, is more likely to occur than not to occur ( 40 CFR 710.43). Such exposures during manufacturing would normally include, but not be limited to: charging reactor vessels; drumming; bulk loading; cleaning equipment; maintenance operations; materials handling and transfers; sampling; and analytical operations. Covered exposures include exposures through any route of entry ( inhalation, ingestion, skin contact or absorption, etc.), but exclude accidental exposures. Workers that would be exposed if not for the use of personal protective equipment and engineering controls should be included in the reported estimate. For example, if a worker wears a dust mask and gloves while handling a powdered chemical substance, then that worker should be reported as a worker reasonably likely to be exposed. Check the CBI box to claim the number of workers as confidential. DRAFT: Chapter 4.0 Completing Form U 4 9 Table 4 3. Codes for Reporting Number of Industrial Workers Potentially Exposed Code Range of Workers Potentially Exposed W1 Fewer than 10 W2 At least 10 but fewer than 25 W3 At least 25 but fewer than 50 W4 At least 50 but fewer than 100 W5 At least 100 but fewer than 500 W6 At least 500 but fewer than 1,000 W7 At least 1,000 but fewer than 10,000 W8 10,000 or greater 4.6.8 Maximum Concentration ( Block 2. B. 8)

You are required to report the maximum concentration, measured by weight, of your reportable chemical substance at the time it is reacted on site to produce a different chemical substance or as it leaves the plant site ( 40 CFR 710.52( c)( 3)( vii)). The quantity should be accurate to the extent known or reasonably obtainable by you.

For each substance, select the maximum concentration of the substance from the ranges listed in Table 4 4. If the maximum concentration falls between two ranges, round estimates to the nearest 1 percent using standard rounding procedures. Report the code that corresponds to the appropriate range. Report the maximum concentration regardless of the various physical forms in which the chemical may be sent off site. Check the CBI box to claim the maximum concentration as confidential.

Table 4 4. Codes for Reporting Maximum Concentration of Chemical Substance Codes Concentration Range ( weight percent)

M1 Less than 1% by weight M2 From 1% to 30% by weight M3 From 31% to 60% by weight M4 From 61% to 90% by weight M5 Greater than 90% by weight DRAFT: Chapter 4.0 Completing Form U 4 10 Information regarding processing or use activities occurring at sites not under your control must be reported only to the extent that it is readily obtainable by you ( 40 CFR 710.52( c)( 4)). Readily obtainable information may include estimates that use your best professional judgment based on past experience for similar chemical substances in the same or similar markets, and/ or any reasonable projections of likely processing and use scenarios for the chemical substance. 4.6.9 Physical Form and Percentage of Production Volume ( Blocks 2. B. 9 through 2. B. 14)

You are required to report all physical forms of the chemical substance at the time it is reacted or as it leaves your site and the percentage of production volume for each physical form ( 40 CFR 710.52( c)( 3)). The six types of physical forms are listed in Example 4 1 and on Form U. You must report the percentage of each physical form reacted on site or sent off site rounded off to the closest 10 percent and the sum of all percentages must not add up to greater than 100 percent ( 40 CFR 710.52 ( c)( 3)( ix)). If the reported chemical substance is sent off site in more than one physical form, you must report all the physical forms ( 40 CFR 710.52( c)( 3)( viii)). In Section " a" of the physical form question, check the box for each physical form that applies to the chemical substance. Check the CBI box to claim the physical form as confidential. In Section " b" of the physical form question, report the percentage of production volume for each physical form reported in Section a. Check the CBI box to claim the percentage of production volume as confidential.

Example 4 1. Determining Percentage of Production Volume Company A manufactures 100,000 pounds of Chemical X. 48% of the production volume is produced as dry powder, 24% is produced as a pellets, 24% as a liquid solution, and 4% as a water wet solid. Company A should submit the following:

Dry Powder 50% Pellets or Large Crystals 20% Water Wet Solid 0% Other Solid 0% Gas or Vapor 0% Liquid 20% Total 90%

4.7 Part III   Processing and Use Information You must complete Part III of Form U for reportable chemical substances manufactured ( including imported) for commercial purposes in an amount of 300,000 pounds or more at any one site during calendar year 2005, or during the calendar year at 4 year intervals thereafter ( 40 CFR 710.52( c)( 4)). If you manufacture the chemical substance in an amount less than 300,000 pounds, you do not need to complete Section III; instead, check the N/ A box. If you report information for more than one chemical, make the necessary number of photocopies of Part III and report information for only one chemical on each photocopy. You must report industrial processing and use information for each reportable chemical substance at sites under your control, and at sites that receive a reportable chemical substance from you directly or indirectly DRAFT: Chapter 4.0 Completing Form U 4 11 ( including through a broker/ distributor, from a customer of yours, etc.) ( 40 CFR 710.52( c)( 4)). You must report information regarding processing or use activities occurring at sites not under your control only to the extent that it is readily obtainable by you ( 40 CFR 710.52( c)( 4)). Readily obtainable information may include estimates that use your best professional judgment based on past experience for similar chemical substances in the same or similar markets, and/ or any reasonable projections of likely processing and use scenarios for the chemical substance. EPA defines readily obtainable information as information known by management and supervisory employees of the submitter company who are associated with manufacturing, processing, technical services, or marketing of the reportable chemical substance. Extensive file searches are not required.

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

In Section I, you are required to report for the chemical substance up to 10 unique combinations of the following data elements: process or use code ( described in Section <IP_ADDRESS>), five digit NAICS code ( described in Section <IP_ADDRESS>), and industrial function category code ( IFC code, described in Section <IP_ADDRESS>) ( 40 CFR 710.52( c)( 4)( i)( C)). Table 4 7 provides examples of reporting these codes. A processing and use code, NAICS code, and industrial function category code combination sufficiently defines a potential exposure scenario for risk screening and prioritysetting purposes. For each of these unique combinations, you are also required to report the percentage of production volume ( described in Section <IP_ADDRESS>), a number of sites code ( described in Section <IP_ADDRESS>), and a number of workers code ( described in Section <IP_ADDRESS>) for each specific combination ( 40 CFR 710.52( c)( 4)( i)). If more than 10 unique combinations apply to a chemical substance, you need only report the 10 combinations for the chemical substance that cumulatively represent the largest percentage of production volume, measured by weight ( 40 CFR 710.52( c)( 4)( i)( C)). If any information is not readily obtainable, the block corresponding to that data element should be left blank.

<IP_ADDRESS> Type of Process or Use Code. To the extent that it is readily obtainable, report the process or use code, shown in Table 4 5, that corresponds to the appropriate processing or use operation for the particular combination of process/ use code, NAICS code, and IFC code. Check the CBI box to claim the process or use code as confidential.

Table 4 5. Codes Corresponding to Processing or Use Operations Code Operation PC Processing as a reactant PF Processing   incorporation into formulation, mixture, or reaction product PA Processing   incorporation into article PK Processing   repackaging U Use   nonincorporative activities DRAFT: Chapter 4.0 Completing Form U 4 12 The definitions of the codes are presented below and in Appendix F:

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

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

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

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

U: Chemical substance is otherwise used. For example as a chemical processing or manufacturing aid.

<IP_ADDRESS> Five Digit NAICS Code. The North American Industry Classification System ( NAICS) codes published by the Office of Management and Budget ( OMB) have superceded the 1987 Standard Industrial Classification ( SIC) code system. Report the five digit NAICS code that corresponds to the appropriate industrial setting for the particular combination of process/ use code, NAICS code, and IFC code. The NAICS code classification system is being used to describe the industrial setting in which chemical exposures may occur. You are required to report the five digit NAICS code( s) corresponding to your sites, as well as at the sites that receive a reportable chemical substance from you either directly or indirectly ( including through a broker/ distributor, from a customer of yours, etc.) and that process and use the reportable chemical substance to the extent that it is readily obtainable ( 40 CFR 710.52( c)( 4)( i)( B)). However, EPA does not intend for you to survey your customers or distributors to precisely identify the appropriate NAICS codes at your " downstream" sites. Check the CBI box to claim the NAICS code as confidential.

For additional information on NAICS codes and tables cross referencing the NAICS codes and SIC codes, refer to the following website: http:// www. census. gov/ epcd/ www/ naics. html. The NAICS codes can contain a maximum of 6 digits, although you are only required to report to the first five digits for the IUR.

<IP_ADDRESS> Industrial Function Category ( IFC) Code. Report the IFC code, shown in Table 4 6, that corresponds to the appropriate function for the particular combination of process/ use code, NAICS code, and IFC code ( 40 CFR 710.52( c)( 4)( i)( C)). Definitions of each category are available in Appendix F. Check the CBI box to claim the IFC code as confidential. DRAFT: Chapter 4.0 Completing Form U 4 13 Table 4 6. Codes for Reporting IFCs Codes Industrial Function Categories U01 Adsorbents and absorbents U02 Adhesives and binding agents U03 Aerosol propellants U04 Agricultural chemicals ( nonpesticidal) U05 Anti adhesive agents U06 Bleaching agents U07 Coloring agents, dyes U08 Coloring agents, pigments U09 Corrosion inhibitors and antiscaling agents U10 Fillers U11 Fixing agents U12 Flame retardants U13 Flotation agents U14 Fuels U15 Functional fluids U16 Intermediates U17 Lubricants U18 Odor agents U19 Oxidizing agents U20 pH regulating agents U21 Photosensitive chemicals U22 Plating agents and metal surface treating agents U23 Processing aid, not otherwise listed U24 Process regulators, used in vulcanization or polymerization processes U25 Process regulators, other than polymerization or vulcanization processes U26 Reducing agents U27 Solvents ( for cleaning or degreasing) U28 Solvents ( which become part of product formulation or mixture) U29 Solvents ( for chemical manufacture and processing and are not part of product at greater than 1 percent by weight) U30 Stabilizers U31 Surface active agents U32 Viscosity adjustors U33 Other <IP_ADDRESS> Percentage of Production Volume. Estimate the percentage of production volume that is attributable to each unique combination of process/ use code, NAICS code, and IFC code. The quantity should be accurate to the extent known or readily obtainable by you. Round the estimates to the nearest 10 percent of production volume ( 40 CFR 710.52( c)( 4)( i)( D)). You may not round a particular combination that accounts for 5 percent or less of the total production volume of a reportable chemical substance to 0 percent if the production volume attributable to that combination is greater than or equal to 300,000 pounds ( 40 CFR 710.52( c)( 4)( i)( D)). In such cases, you must report the percentage of production volume DRAFT: Chapter 4.0 Completing Form U 4 14 attributable to that combination to the nearest 1 percent of production volume ( 40 CFR 710.52( c)( 4)( i)( D)). This exception to the general rounding rule is to ensure that adequate use information is reported for gross production volumes of chemical substances. EPA selected the 300,000 pound level for consistency with the proposed threshold for reporting exposure and use data. To claim this information as confidential, check the CBI box.

The total percentage of production volumes associated with the NAICS code/ IFC combinations may add up to more than 100 percent, given that you are reporting on distribution of a chemical to sites in your control as well as downstream sites, some of which are not immediate purchasers from your original manufacturing site. Additionally, the total percentage of production volume may add up to less than 100 percent if you cannot readily obtain information about how all of your production volume is processed or used by industry.

Table 4 7. Examples of Reporting Industrial Processing and Use Information Description 2006 Reporting Requirement Site 1 manufactures 500,000 pounds of Chemical X for processing for incorporation into a mixture. All of the production is for use under industrial NAICS code 32519. 67% of the production ( 335,000 pounds) is used as a dye and 33% ( 165,000 pounds) of the production is used as a pigment. On line 2. A. 1 of Form U, enter PF for type of process or use, 32519 for NAICS code, U07 for IFC, and 70% for production volume. On line 2. A. 2 of Form U, enter PF for type of process or use, 32519 for NAICS code, U08 for IFC, and 30% for production volume.

Site 1 manufactures 500,000 pounds of Chemical X for processing for incorporation into a mixture. All of the production is for use under NAICS code 32519. 97% of the production ( 485,000 pounds) is used as a coloring agent for dyes and 3% of the production ( 15,000 pounds) is used as a coloring agent for pigments. On line 2. A. 1 of Form U, enter PF for type of process or use, 32519 for NAICS code, U07 for IFC, and 100% for production volume. The 3% of production used for pigments, IFC U08, does not need to be reported since production volume because that case is less than 300,000 pounds.

Site 1 manufactures 12,000,000 pounds of Chemical X for processing for incorporation into a mixture. All of the production is for use under NAICS code 32519. 97% ( 11,640,000 pounds) of the production is used as a coloring agent for dyes and 3% of the production ( 360,000 pounds) is used as a coloring agent for pigments. On line 2. A. 1 of Form U, enter PF for type of process or use, 32519 for NAICS code, U07 for IFC, and 100% for production volume. Since the use in pigments, IFC U08, accounts for 300,000 pounds or more, on line 2. A. 2 of Form U, enter PF for type of process or use, 32519 for NAICS code, U08 for IFC, and 3% for production volume.

<IP_ADDRESS> Number of Sites Code. Report an estimate of the total number of industrial sites, including those beyond your control, that process or use each reported chemical substance manufactured ( including imported) by you, as described by each unique combination of process/ use code, NAICS code, and IFC code to the extent that it is readily obtainable ( 40 CFR 710.52( c)( 4)( i)( E)). In the event you both manufacture ( including import) and process or use the same reportable chemical substance at the reporting plant site, your site must be counted as both a manufacturing site in Part II of Form U and a processing or use site reported in Part III of Form U ( 40 CFR 710.52( c)( 4)). For each substance, report the code listed in Table 4 8 that DRAFT: Chapter 4.0 Completing Form U 4 15 corresponds to the appropriate number range. To claim this information as confidential, check the CBI box.

Table 4 8. Codes for Reporting Numbers of Sites Codes Range S1 Less than 10 S2 From 10 to 25 S3 From 26 to 100 S4 From 101 to 250 S5 From 251 to 1,000 S6 From 1,001 to 10,000 S7 Greater than 10,000 <IP_ADDRESS> Number of Workers Code. EPA requires that you report your estimate of the total number of workers, including those at sites not under your control, that are reasonably likely to be exposed to the chemical substance at facilities that process or use the substance in a manner that corresponds to each unique combination of process/ use code, NAICS code, and IFC code ( 40 CFR 710.52( c)( 4)( i)( F)). You need only report this information to the extent that it is readily obtainable. If this information is not readily obtainable, leave the box corresponding to this data element blank. For each substance, report the range code listed in Table 4 9 that corresponds to the appropriate number of workers.

Table 4 9. Codes for Reporting Number of Industrial Workers Potentially Exposed Code Range of Workers Potentially Exposed W1 Fewer than 10 W2 At least 10 but fewer than 25 W3 At least 25 but fewer than 50 W4 At least 50 but fewer than 100 W5 At least 100 but fewer than 500 W6 At least 500 but fewer than 1,000 W7 At least 1,000 but fewer than 10,000 W8 10,000 or greater EPA defines " reasonably likely to be exposed" as an exposure to a chemical substance under foreseeable conditions of manufacture, processing, distribution in commerce, or use of the chemical substance ( 40 CFR 710.43). Activities in which a worker is reasonably likely to be exposed to a chemical substance include, but are not limited to: charging reactor vessels; drumming; bulk loading; cleaning equipment; maintenance operations; materials handling and transfers; sampling; and analytical operations. Such exposures during industrial uses could include, but not be limited to, inhalation of vapors, deposition of chemicals on the skin during spray applications of the chemical ( paints, coatings, etc.), and, misting during roll coating/ printing DRAFT: Chapter 4.0 Completing Form U 4 16 operations. Covered exposures include exposures through any route of entry ( inhalation, ingestion, skin contact or absorption, etc.), but exclude accidental exposures. Workers that would be exposed if not for the use of personal protective equipment and engineering controls should be included in the reported estimate. For example, if a worker wears a dust mask and gloves while handling a powdered chemical substance, then that worker should be reported as a worker reasonably likely to be exposed. Check the CBI box to claim the number of workers as confidential.

4.7.2 Part III   Section II Consumer and Commercial End Use Exposure Related Data ( Blocks 3. B. 1 through 3. B. 10)

For purposes of IUR reporting, a commercial use means the use of a chemical substance or mixture in a commercial enterprise providing saleable goods or a service ( such as painting contractors using paint products) ( 40 CFR 710.43). A consumer use, on the other hand, means the use of a chemical substance that is directly, or as part of a mixture, sold to or made available to consumers for their own use in or around a permanent or temporary household or residence or in or around a school or recreational area ( 40 CFR 710.43).

You are required to report information concerning the commercial and consumer end uses of each reportable chemical substance manufactured ( including imported) at sites you control and at sites controlled by people to whom you have either directly or indirectly ( including through a broker/ distributor, from a customer, etc.) distributed the reportable chemical substance ( 40 CFR 710.52( c)( 4)). As with the industrial processing and use information, this requirement applies only to each chemical substance manufactured ( including imported) in annual quantities of 300,000 pounds or more, and you are required only to report information to the extent that it is readily obtainable. If this information is not readily obtainable, leave the box corresponding to this data element blank.

<IP_ADDRESS> Consumer and Commercial Product Category Code. You must designate up to 10 commercial and consumer product categories for which the reportable chemical substance is used by selecting from the codes listed in Table 4 10 ( 40 CFR 710.52( c)( 4)( ii)( A)). The definitions of these categories are listed in Appendix F. Information regarding product category codes at sites beyond your control must be reported only to the extent that it is readily obtainable by you ( 40 CFR 710.52( c)( 4)( ii)( A)). If more than 10 codes apply, you need report only the codes for the chemical substance that cumulatively represent the largest percentage of production volume, measured by weight ( 40 CFR 710.52( c)( 4)( ii)( A)). To claim this information as confidential, check the CBI box. If the information is not readily obtainable leave the box corresponding to this data element blank. Readily obtainable information may include estimates that use your best professional judgment based on past experience for similar chemical substances in the same or similar markets, and/ or any reasonable projections of likely processing and use scenarios for the chemical substance. DRAFT: Chapter 4.0 Completing Form U 4 17 Table 4 10. Codes for Reporting Commercial and Consumer Product Categories Codes Category C01 Artists' supplies C02 Adhesives and sealants C03 Automotive care products C04 Electrical and electronic products C05 Glass and ceramic products C06 Fabrics, textiles and apparel C07 Lawn and garden products ( nonpesticidal)

C08 Leather products C09 Lubricants, greases and fuel additives C10 Metal products C11 Paper products C12 Paints and coatings C13 Photographic chemicals C14 Polishes and sanitation goods C15 Rubber and plastic products C16 Soaps and detergents C17 Transportation products C18 Wood and wood furniture C19 Other <IP_ADDRESS> Use in Children's Product. You must determine, within each commercial and consumer product category reported, whether any amount of each reportable chemical substance manufactured ( including imported) by you is present in or on any consumer products intended for use by children age 14 or younger, regardless of the concentration of the substance remaining in or on the product ( 40 CFR 710.52( c)( 4)( ii)( B)). If you determine, based on readily obtainable information, that your chemical substance or mixture is used in a consumer product intended for use by children, then you would report a " Y" in the appropriate box in the Children's Product column. If you determine, based on readily obtainable information, that your chemical substance or mixture is not used in a consumer product intended for use by children, then you would report an " N" in the appropriate box in the Children's Product column. If this information is not readily obtainable, please enter a "?" in the appropriate box. To claim this information as confidential, check the CBI box.

EPA defines " intended for use by children" to mean the chemical substance or mixture is used in a product that is specifically intended for use by children age 14 or younger ( 40 CFR 710.43). Your chemical substance or mixture is intended for use by children when you answer " yes" to at least one of the following questions for the product into which your chemical substance or mixture is incorporated: DRAFT: Chapter 4.0 Completing Form U 4 18 ( 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?

Using this definition, if you determine, based on readily obtainable information, that your chemical substance or mixture is used in a product that is intended to be used by children age 14 or younger, you must report this on the Form U.