Other Issues

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Recordkeeping requirements
Penalties for not Submitting a report
Additional regulatory information for CDR chemical substances

38. Recordkeeping Requirements

38.1. Are companies required to keep records related to CDR reporting?

Companies must maintain records that document any CDR information reported to EPA for a period of 5 years beginning on the last day of the submission period (40 CFR 711.25). For example, if a CDR report is submitted for a submission period ending September 30, 2016, the records on which the report is based must be retained until September 30, 2021. Persons submitting CDR information are encouraged to retain their records longer than 5 years to refer to when new Form Us are being prepared.

38.2. What must records maintained to document CDR reporting include?

As long as the records are maintained in a manner consistent with normal business practices, submitters may determine their exact format. Retained records should include all the information used to complete the Form U, such as those that show the production volume, plant site, and site-limited status of each chemical substance reported.

38.3. If a company’s annual production is less than the reporting threshold for a chemical substance, must records still be kept?

The CDR regulation does not itself require any company to maintain information upon which a decision not to report is based. Consistent with their own business practices, companies may elect to retain documentation of their conclusion that they were not subject to reporting requirements.

38.4. If a company qualifies for a small business exemption, does it need to keep CDR records?

39. Penalties for Not Submitting a Report

39.1. What are the consequences for failure to report when required to do so or failure to report on time?

Manufacturers or importers subject to the CDR rule would be in violation of TSCA if they fail to comply or are late in complying with the CDR rule and may be subject to enforcement action. If you are required to report, failure to do so is a violation of TSCA Section 15 and may subject you to penalties (40 CFR 711.1(c)).

For additional information, see EPA’s Audit Policy and Enforcement Response Policy for Reporting and Recordkeeping Rules and Requirements for TSCA Sections 8, 12, and 13.

39.2. What are the consequences if a company reports incomplete or incorrect information on the CDR report?

If EPA detects an error or omission on Form U, the Agency may send a letter requiring the company to correct the error within a specified time. If a timely correction is not received, the company may be subject to an enforcement action.

40. Additional Regulatory Information for CDR Chemical Substances

40.1. Where can I find more information about TSCA Section 4 proposed or final rules or orders?

For chemical substances subject to a final test rule, you can learn more about the requirements by viewing test rule requirements (Subparts B and D), as well as EPA’s sunset table to determine the sunset date of the rule and the applicable Federal Register citation. If your chemical substance is in an active final test rule, then you may be required to submit a letter of intent to conduct testing or submit an exemption application. For more information, see EPA’s website or contact the TSCA Hotline at (202)-554-1404.

To determine whether your chemical substance is in an active proposed or final test rule or order for CDR submission purposes, visit Substance Registry Services and view the “2020 CDR TSCA 4 TR” and “2020 CDR TSCA 4 order” list.

40.2. Where can I find more information about a TSCA Section 4 Enforceable Consent Agreement (ECA)?

You can learn more about the specific ECA, its requirements, and verify whether your company is subject to the ECA by viewing 40 CFR 799.5000 and 5025, as well as EPA’s sunset table to determine the sunset date of the ECA and its applicable Federal Register citation. In addition, even if your company is not a signatory to the ECA, your company may be subject to export notification requirements. For more information, contact the TSCA Hotline at (202)-554-1404. To determine whether your chemical substance is in an active ECA for CDR submission purposes, visit Substance Registry Services and view its “2020 CDR TSCA 4 ECA” list.

40.3. Where can I find more information about a TSCA Section 5(a) Significant New Use Rule (SNUR)?

To find out the requirements for a chemical substance that is the subject of a SNUR, visit ChemView. To determine whether your chemical substance is in a proposed or final SNUR for CDR submission purposes, visit Substance Registry Services and view the “2020 CDR TSCA 5(a) SNUR."

If you have questions on the applicability of an existing use, need a copy of the existing SNUR, or have other questions related to SNURs, please contact the appropriate individual on EPA’s New Chemicals Management Branch webpage.

40.4. Where can I find more information about a TSCA Section 5(e) Consent Order?

You can review the 5(e) consent order restrictions for the chemical substance(s) that you manufacture (including import). You should have the full version of the order, including confidential business information, on-site. If you need a copy or have other questions, then please contact the appropriate individual in EPA’s New Chemicals Management Branch for more information.

To determine whether your chemical is in a 5(e) consent order for 2020 CDR purposes, visit Substance Registry Services and view its “2020 CDR TSCA 5(e) Consent Orders” list.

40.5. Where can I find more information about a TSCA Section 5(f) rule?

Orders issued pursuant to TSCA section 5(f) may limit the amount of such substances that may be manufactured (including imported), processed, or distributed in commerce. For additional information, you can view applicable Federal Register notices for the chemical substances that you manufacture (including import), and verify that you are in compliance with any applicable restrictions. For more information, contact the TSCA Hotline at (202)-554-1404.

To determine whether your chemical is in a 5(f) rule for 2020 CDR purposes, visit Substance Registry Services and view its “2020 CDR TSCA 5(f) Specific Labeling” list.

40.6. Where can I find more information about a TSCA Section 6 rule?

You can review the TSCA section 6 restrictions (and proposed restrictions) in applicable Federal Register notices for the chemical substances that you manufacture (including import), and verify that you are in compliance with any applicable restrictions. For more information, contact the TSCA Hotline at (202)-554-1404.

To determine whether your chemical is in a section 6 rule for 2020 CDR purposes, visit Substance Registry Services and view its “2020 CDR TSCA 6 Unreasonable Risk” list.

40.7. What do I do if my chemical substance is not on the TSCA Inventory?

First confirm that your substance is identified correctly and is required to be on the TSCA Inventory. For example, substances that do not meet the TSCA Section 3(2)(B) definition of chemical substance* are not required to be listed on the TSCA Inventory. For additional information about what is required to be listed on the TSCA Inventory, view https://www.epa.gov/tsca-inventory/about-tsca-chemical-substance-inventory.

If your chemical substance is not on the TSCA Inventory, please see EPA’s Pre-Manufacture Notice (PMN) Requirement flowchart to determining if a Notice must be submitted to the Agency, prior to manufacture (including import). You can also phone the TSCA Hotline at (202)-554-1404 for assistance.

If a company discovers that it is manufacturing (including importing) a substance which is not on the TSCA Inventory and should have been reported to EPA as a new chemical substance, such manufacture or importation is in violation of Section 5 of TSCA and could subject the company to enforcement action. If a company finds that it has or may have manufactured or imported a chemical substance in violation of TSCA, it should consider using the automated web site for the Agency at the following address: https://www.epa.gov/compliance/epas-audit-policy.

Significant reductions in penalties may be given to persons who voluntarily disclose such information. Note, however, that continued manufacture, (including importation) or use of such chemical substances remains in violation per Section 15 of TSCA, even after a company has contacted EPA, until the requirements of TSCA Section 5 have been met. These reporting requirements are distinct from the CDR.

*The TSCA Section 3(2)(B) definition of chemical substance excludes: any pesticide as defined by the Federal Insecticide, Fungicide, and Rodenticide Act, when manufactured, processed, or distributed in commerce for use as a pesticide; any food, food additive, drug, cosmetic, or device, as defined by the Federal Food, Drug, and Cosmetic Act, when manufactured, processed, or distributed in commerce for use as a food, food additive, drug, cosmetic or device; tobacco or any tobacco product; any source material, special nuclear material, or byproduct material as such terms are defined in the Atomic Energy Act of 1954; and, any article the sale of which is subject to the tax imposed by Section 4181 of the Internal Revenue Code.