ePMN_User Guide_Primary AO

User Fees for the Administration of the Toxic Substances Control Act (TSCA) (Final Rule)

ePMN_User Guide_Primary AO

OMB: 2070-0208

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Section 5 Notices and Supports User
Guide – Primary Authorized Official
Environmental Protection Agency
Office of Pollution Prevention and Toxics

EPA# EPA-705-G-2021-3734
New Chemical Data Collection: OMB Control
No. 2070-0012 and EPA ICR No. 0574
Existing Chemical Data Collection: OMB Control
No. 2070-0038 and EPA ICR No. 1188
TSCA Fees Payment: OMB Control No.
2070-0208; EPA ICR No. 2569

Table of Contents
Table of Contents......................................................................................................................... i
List of Exhibits ............................................................................................................................ vi
1

Introduction ........................................................................................................................ 1

2

System Requirements ........................................................................................................ 2
2.1

Supported Browsers ..................................................................................................... 2

2.2

Screen Resolution ........................................................................................................ 2

3

Primary Authorized Official (AO) Functions ........................................................................ 3
3.1

Log into Section 5 Notices and Supports Application .................................................... 4

3.2

Home Screen Navigation .............................................................................................. 7

3.3

User Management ........................................................................................................ 8

3.4

Section 5 Notices and Supports Forms ....................................................................... 10

3.5

Create Passphrase ..................................................................................................... 15

3.6

Attach Documents ...................................................................................................... 17

3.7

Enter Passphrase ....................................................................................................... 21

3.8

Navigation Tree .......................................................................................................... 22

3.9

Action Bar ................................................................................................................... 33

3.10

Search Substance Registry Services (SRS) ............................................................... 35

3.11

Add Facility ................................................................................................................. 38

4

Create Premanufacture Notice (PMN) Form ..................................................................... 41
4.1

Create PMN Form ...................................................................................................... 41

4.1.1

General Form Information ..................................................................................... 41

4.1.2

Fees Certification .................................................................................................. 46

4.1.3

Small Business Concern Definition ....................................................................... 51

4.1.4

Agent Information ................................................................................................. 53

4.1.5

Technical Contact Information .............................................................................. 58

4.1.6

Additional Submission Information ........................................................................ 61

4.1.7

Chemical Identification .......................................................................................... 64

4.1.8

Class 1 or 2 Chemical Substances ....................................................................... 66

4.1.9

Class 2 Substances .............................................................................................. 71

4.1.10

Additional Chemical Information ........................................................................... 74

4.1.11

Polymer Identification Information ......................................................................... 79

4.1.12

Monomers and Other Reactants ........................................................................... 83

4.1.13

Production Volume and Hazard/Safety Information ............................................... 88

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4.1.14

Use Information .................................................................................................... 91

4.1.15

Physical and Chemical Properties Worksheet ....................................................... 96

4.1.16

Physical and Chemical Properties Worksheet – Continued (Optional) ................ 104

4.1.17

Physical and Chemical Properties Worksheet – Continued (Optional) Attach
Documents ......................................................................................................... 106

4.1.18

Site Information................................................................................................... 110

4.1.19

Sites Controlled By Others .................................................................................. 111

4.1.20

Submitter Operation Information ......................................................................... 113

4.1.21

Occupational Exposures ..................................................................................... 118

4.1.22

Environmental Releases ..................................................................................... 122

4.1.23

Industrial Sites Controlled By Others .................................................................. 127

4.1.24

Exposures/Releases ........................................................................................... 131

4.1.25

Byproduct Information ......................................................................................... 136

4.1.26

Optional Pollution Prevention .............................................................................. 138

4.1.27

Additional Attachments ....................................................................................... 140

4.1.28

Attachment Summary ......................................................................................... 142

4.1.29

Optional Cover Letter .......................................................................................... 143

4.1.30

Joint Submitter Information ................................................................................. 144

4.1.31

Joint Submission Information .............................................................................. 146

4.1.32

Notify Joint Submitter of Joint Submission Information........................................ 148

4.1.33

Letter of Support Submitter Information .............................................................. 151

4.1.34

Notify Secondary Submitter of Letter of Support Information............................... 152

4.1.35

Submitting Official Information ............................................................................ 155

4.1.36

Upload XML ........................................................................................................ 156

5

Create Biotechnology Form ............................................................................................ 158
5.1

Create Biotechnology Form ...................................................................................... 158

5.1.1

General Form Information ................................................................................... 158

5.1.2

Fees Certification ................................................................................................ 161

5.1.3

Small Business Concern Definition ..................................................................... 165

5.1.4

Joint Submitter Information ................................................................................. 168

5.1.5

Joint Submission Information .............................................................................. 170

5.1.6

Notify Secondary Submitter of Joint Submission Information .............................. 172

5.1.7

Letter of Support Submitter Information .............................................................. 174

5.1.8

Letter of Support Submission Information ........................................................... 176

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5.1.9

Notify Secondary Submitter of Letter of Support Information............................... 178

5.1.10

Technical Contact Information ............................................................................ 180

5.1.11

Optional Cover Letter .......................................................................................... 184

5.1.12

Submitting Official Information ............................................................................ 186

6

Create Notice of Commencement (NOC) Form .............................................................. 187
6.1

Create NOC Form .................................................................................................... 187

6.1.1

General Form Information ................................................................................... 187

6.1.2

Technical Contact Information ............................................................................ 188

6.1.3

Chemical Information .......................................................................................... 191

6.1.4

Site Information................................................................................................... 194

6.1.5

CBI Substantiation Part 1 .................................................................................... 195

6.1.6

CBI Substantiation Part 2 .................................................................................... 198

6.1.7

CBI Substantiation Part 3 .................................................................................... 200

6.1.8

Optional Cover Letter .......................................................................................... 203

6.1.9

Submitting Official Information ............................................................................ 204

7

Create Support Form ...................................................................................................... 206
7.1

Create Support Form ................................................................................................ 206

7.1.1

General Form Information ................................................................................... 206

7.1.2

Original Submitter Information ............................................................................ 208

7.1.3

Submitting Official Information ............................................................................ 210

Create Bona Fide Form .................................................................................................. 212

8
8.1

Create Bona Fide Form ............................................................................................ 212

8.1.1

General Document Information ........................................................................... 212

8.1.2

Primary Contact Information ............................................................................... 214

8.1.3

Technical Contact Information ............................................................................ 217

8.1.4

Statement of Intent ............................................................................................. 219

8.1.5

Letter of Support Submitter Information .............................................................. 221

8.1.6

Letter of Support Submission Information ........................................................... 223

8.1.7

Notify Secondary Submitter of Letter of Support Information............................... 226

8.1.8

Chemical Identification Information ..................................................................... 227

8.1.9

Class 1 or 2/Biotechnology Chemical Substances .............................................. 229

8.1.10

Class 2/Biotechnology Substances ..................................................................... 233

8.1.11

Polymer Identification Information ....................................................................... 235

8.1.12

Monomers and Other Reactants ......................................................................... 238

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8.1.13

Use Information .................................................................................................. 241

8.1.14

Submitter Site Identification ................................................................................ 242

8.1.15

Document Management ...................................................................................... 244

8.1.16

Optional Cover Letter .......................................................................................... 245

8.1.17

Submitting Official Information ............................................................................ 246

9

Create Alternative Control Measures (ACM) Form ......................................................... 248
9.1

Create Alternative Control Measures Form ............................................................... 248

9.1.1

Contact Information ............................................................................................ 248

9.1.2

Attachments........................................................................................................ 251

9.1.3

Submitting Official Information ............................................................................ 253

10

Preview .......................................................................................................................... 255

11

Validate .......................................................................................................................... 259

12

Submitting Official Information ........................................................................................ 262

13

CBI Substantiation.......................................................................................................... 264

13.1
14

Instructions for Substantiating Confidential Business Information (CBI) Claims ........ 264

Submit to EPA via CDX .................................................................................................. 270

14.1

LVE Certification ....................................................................................................... 270

14.2

LOREX Certification ................................................................................................. 270

14.3

Biotech Certification .................................................................................................. 271

14.4

Submission Process: Validation ................................................................................ 272

14.5

Submission Process: Make a Payment ..................................................................... 273

14.6

CSPP Payment Processor ........................................................................................ 275

14.7

Make a Payment....................................................................................................... 278

14.8

Cross-Media Electronic Reporting Regulation (CROMERR) Certification ................. 281

14.9

Cross-Media Electronic Reporting Regulation (CROMERR) Certification ................. 282

14.10 Cross-Media Electronic Reporting Regulation (CROMERR) Login ........................... 283
14.11 Cross-Media Electronic Reporting Regulation (CROMERR) Security Question ........ 284
14.12 Submit to CDX .......................................................................................................... 285
14.13 Cross-Media Electronic Reporting Regulation (CROMERR) Submission .................. 286
15

Download Copy of Record .............................................................................................. 288

16

EPA Communications .................................................................................................... 296

16.1

Invoice Communications........................................................................................... 303

17

Create An Amendment ................................................................................................... 305

18

Resources ...................................................................................................................... 308

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Appendix A ............................................................................................................................. 311

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List of Exhibits
Exhibit 3-1 Section 5 Notices and Supports User Roles Matrix ................................................... 4
Exhibit 3-2 Chemical Information Submission System Screen (Scroll 1) ..................................... 5
Exhibit 3-3 Chemical Information Submission System Screen (Scroll 2) ..................................... 6
Exhibit 3-4 Section 5 Notices and Supports Home Screen .......................................................... 8
Exhibit 3-5 User Management Screen....................................................................................... 10
Exhibit 3-6 Section 5 Notices and Supports Forms Screen (Scroll 1) ........................................ 14
Exhibit 3-7 Section 5 Notices and Supports Forms Screen (Scroll 1) ........................................ 15
Exhibit 3-8 Create Passphrase Screen ..................................................................................... 16
Exhibit 3-9 Section 5 Document Types and Subtypes ............................................................... 18
Exhibit 3-10 Attach Documents Pop-Up Window....................................................................... 21
Exhibit 3-11 Enter Passphrase Screen ...................................................................................... 22
Exhibit 3-12 Navigation Prompt Pop-Up Window ...................................................................... 23
Exhibit 3-13 Premanufacture Notice (PMN) Navigation Tree (Scroll 1) ...................................... 25
Exhibit 3-14 Premanufacture Notice (PMN) Navigation Tree (Scroll 2) ...................................... 26
Exhibit 3-15 Premanufacture Notice (PMN) Navigation Tree (Scroll 3) ...................................... 27
Exhibit 3-16 Premanufacture Notice (PMN) Navigation Tree (Scroll 4) ...................................... 28
Exhibit 3-17 Biotechnology Navigation Tree .............................................................................. 29
Exhibit 3-18 Notice of Commencement (NOC) Navigation Tree ................................................ 30
Exhibit 3-19 Support Navigation Tree........................................................................................ 30
Exhibit 3-20 Bona Fide Navigation Tree (Class 1 or 2/Biotechnology Chemical Substance) ..... 31
Exhibit 3-21 Bona Fide Navigation Tree (Polymer) .................................................................... 32
Exhibit 3-22 Alternative Control Measures (ACM) Navigation Tree ........................................... 33
Exhibit 3-23 Action Bar - Validate .............................................................................................. 33
Exhibit 3-24 Action Bar - Save .................................................................................................. 34
Exhibit 3-25 Action Bar - Preview .............................................................................................. 34
Exhibit 3-26 Action Bar - Submit ............................................................................................... 34
Exhibit 3-27 Action Bar - Help Links .......................................................................................... 35
Exhibit 3-28 Search Substance Registry Services Pop-Up Window .......................................... 36
Exhibit 3-29 Chemical Not Found In Substance Registry Services Pop-Up Window ................. 37
Exhibit 3-30 Add Facility Message Pop-Up Window .................................................................. 39
Exhibit 3-31 Add Facility Pop-Up Window ................................................................................. 40
Exhibit 4-1 General Form Information Screen (PMN) (Scroll 1) ................................................. 44
Exhibit 4-2 General Form Information Screen (PMN) (Scroll 2) ................................................. 45
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Exhibit 4-3 User Fees Certification Screen (PMN or SNUN)...................................................... 47
Exhibit 4-4 PMN Fee Structure.................................................................................................. 47
Exhibit 4-5 Fees Certification Screen (PMN or SNUN, No Joint/LOS) ....................................... 48
Exhibit 4-6 Fees Certification Screen (PMN, SNUN, Pending Joint/LOS) .................................. 49
Exhibit 4-7 Fees Certification Screen (TMEA, Pending Joint/LOS) ............................................ 50
Exhibit 4-8 Small Business Concern Definition Window (Scroll 1) ............................................. 51
Exhibit 4-9 Small Business Concern Definition Window (Scroll 1) ............................................. 52
Exhibit 4-10 Small Business Concern Definition Window (Scroll 3) ........................................... 53
Exhibit 4-11 Agent Information Screen (PMN) ........................................................................... 55
Exhibit 4-12 Add Agent Pop-Up Window (PMN) ........................................................................ 57
Exhibit 4-13 Technical Contact Information Screen (PMN) ........................................................ 59
Exhibit 4-14 Add Technical Contact Pop-Up Window (PMN) ..................................................... 61
Exhibit 4-15 Additional Submission Information Screen (PMN) ................................................. 64
Exhibit 4-16 Chemical Identification Screen (PMN) ................................................................... 66
Exhibit 4-17 Class 1 or 2 Chemical Substances Screen (PMN) (Scroll 1).................................. 70
Exhibit 4-18 Class 1 or 2 Chemical Substances Screen (PMN) (Scroll 2).................................. 71
Exhibit 4-19 Class 2 Substances Screen (PMN) (Scroll 1) ........................................................ 73
Exhibit 4-20 Class 2 Substances Screen (PMN) (Scroll 2) ........................................................ 74
Exhibit 4-21 Additional Chemical Information Screen (PMN) (Scroll 1) ...................................... 78
Exhibit 4-22 Additional Chemical Information Screen (PMN) (Scroll 2) ...................................... 79
Exhibit 4-23 Polymer Identification Information Screen (PMN) (Scroll 1) ................................... 82
Exhibit 4-24 Polymer Identification Information Screen (PMN) (Scroll 2) ................................... 83
Exhibit 4-25 Monomers and Other Reactants Screen (PMN) (Scroll 1) ..................................... 87
Exhibit 4-26 Monomers and Other Reactants Screen (PMN) (Scroll 2) ..................................... 88
Exhibit 4-27 Production Volume and Hazard/Safety Information Screen (PMN) ........................ 91
Exhibit 4-28 Use Information Screen (PMN) (Scroll 1)............................................................... 95
Exhibit 4-29 Use Information Screen (PMN) (Scroll 2)............................................................... 96
Exhibit 4-30 Physical and Chemical Properties Worksheet Screen (PMN) (Scroll 1) ............... 103
Exhibit 4-31 Physical and Chemical Properties Worksheet Screen (PMN) (Scroll 2) ............... 104
Exhibit 4-32 Physical and Chemical Properties Worksheet - Continued (Optional) Screen ..... 106
Exhibit 4-33 Physical and Chemical Properties Worksheet - Continued (Optional) Attach
Documents Pop-Up Window (PMN) (Scroll 1) ................................................................ 108
Exhibit 4-34 Physical and Chemical Properties Worksheet - Continued (Optional) Attach
Documents Pop-Up Window (PMN) (Scroll 2) ................................................................ 109
Exhibit 4-35 Site Information Screen (PMN) ............................................................................ 111
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Exhibit 4-36 Sites Controlled By Others Screen (PMN) ........................................................... 113
Exhibit 4-37 Submitter Operation Information Screen (PMN) (Scroll 1) ................................... 117
Exhibit 4-38 Submitter Operation Information Screen (PMN) (Scroll 2) ................................... 118
Exhibit 4-39 Occupational Exposures Screen (PMN) (Scroll 1) ............................................... 121
Exhibit 4-40 Occupational Exposures Screen (PMN) (Scroll 2) ............................................... 122
Exhibit 4-41 Environmental Releases Screen (PMN) (Scroll 1) ............................................... 126
Exhibit 4-42 Environmental Releases Screen (PMN) (Scroll 2) ............................................... 127
Exhibit 4-43 Industrial Sites Controlled By Others Screen (PMN) (Scroll 1) ............................. 130
Exhibit 4-44 Industrial Sites Controlled By Others Screen (PMN) (Scroll 2) ............................. 131
Exhibit 4-45 Exposures/Releases Screen (PMN) (Scroll 1) ..................................................... 134
Exhibit 4-46 Exposures/Releases Screen (PMN) (Scroll 2) ..................................................... 136
Exhibit 4-47 Byproduct Information Screen (PMN) .................................................................. 137
Exhibit 4-48 Optional Pollution Prevention Screen (PMN) ....................................................... 140
Exhibit 4-49 Additional Attachments Screen (PMN) ................................................................ 141
Exhibit 4-50 Attachment Summary Screen (PMN) ................................................................... 143
Exhibit 4-51 Optional Cover Letter Screen (PMN) ................................................................... 144
Exhibit 4-52 Joint Submitter Information Screen (PMN) .......................................................... 146
Exhibit 4-53 Joint Submission Information Screen (PMN) ....................................................... 148
Exhibit 4-54 Joint Submission Unique Identifier Notification Pop-Up Window (PMN) .............. 150
Exhibit 4-55 Letter of Support Submitter Information Screen (PMN) ........................................ 152
Exhibit 4-56 Letter of Support Unique Identifier Notification Pop-Up Window (PMN) ............... 154
Exhibit 4-57 Submitting Official Information Screen (PMN)...................................................... 155
Exhibit 4-58 Upload XML Screen (PMN) ................................................................................. 157
Exhibit 5-1 General Form Information Screen (Biotech) .......................................................... 160
Exhibit 5-2 Biotechnology Fee Structure ................................................................................. 161
Exhibit 5-3 Fees Certification Screen (MCAN, Pending Joint/LOS) ......................................... 163
Exhibit 5-4 Fees Certification Screen (TME, Pending Joint/LOS) ............................................ 164
Exhibit 5-5 Small Business Concern Definition Window (Scroll 1) ........................................... 166
Exhibit 5-6 Small Business Concern Definition Window (Scroll 1) ........................................... 167
Exhibit 5-7 Small Business Concern Definition Window (Scroll 3) ........................................... 168
Exhibit 5-8 Joint Submitter Information Screen (Biotech) ........................................................ 170
Exhibit 5-9 Joint Submission Information Screen (Biotech) ..................................................... 172
Exhibit 5-10 Unique Identifier Notification Pop-Up Window (Biotech) ...................................... 174
Exhibit 5-11 Letter of Support Submitter Information Screen (Biotech) .................................... 176

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Exhibit 5-12 Letter of Support Submission Information Screen (Biotech) ................................ 178
Exhibit 5-13 Unique Identifier Notification Pop-Up Window (Biotech) ...................................... 180
Exhibit 5-14 Technical Contact Information Screen (Biotech) .................................................. 182
Exhibit 5-15 Add Technical Contact Pop-Up Window (Biotech) ............................................... 184
Exhibit 5-16 Optional Cover Letter Screen (Biotech) ............................................................... 185
Exhibit 5-17 Submitting Official Information Screen (Biotech).................................................. 186
Exhibit 6-1 General Form Information Screen (NOC) .............................................................. 188
Exhibit 6-2 Technical Contact Information Screen (NOC) ........................................................ 189
Exhibit 6-3 Add Technical Contact Pop-Up Window (NOC) ..................................................... 191
Exhibit 6-4 Chemical Information Screen (NOC) ..................................................................... 194
Exhibit 6-5 Site Information Screen (NOC) .............................................................................. 195
Exhibit 6-6 CBI Substantiation Part 1 Screen (NOC) (Scroll 1) ................................................ 197
Exhibit 6-7 CBI Substantiation Part 1 Screen (NOC) (Scroll 2) ................................................ 198
Exhibit 6-8 CBI Substantiation Part 2 Screen (NOC) (Scroll 1) ................................................ 199
Exhibit 6-9 CBI Substantiation Part 2 Screen (NOC) (Scroll 2) ................................................ 200
Exhibit 6-10 CBI Substantiation Part 3 Screen (NOC) (Scroll 1) .............................................. 202
Exhibit 6-11 CBI Substantiation Part 3 Screen (NOC) (Scroll 2) .............................................. 203
Exhibit 6-12 Optional Cover Letter Screen (NOC) ................................................................... 204
Exhibit 6-13 Submitting Official Information Screen (NOC)...................................................... 205
Exhibit 7-1 General Form Information Screen (Support).......................................................... 208
Exhibit 7-2 Original Submitter Information Screen (Support) ................................................... 210
Exhibit 7-3 Submitting Official Information Screen (Support) ................................................... 211
Exhibit 8-1 General Document Information Screen (Bona Fide) (Scroll 1) ............................... 213
Exhibit 8-2 General Document Information Screen (Bona Fide) (Scroll 2) ............................... 214
Exhibit 8-3 Primary Contact Information Screen (Bona Fide) .................................................. 216
Exhibit 8-4 Technical Contact Information Screen (Bona Fide) (Scroll 1) ................................ 218
Exhibit 8-5 Technical Contact Information Screen (Bona Fide) (Scroll 2) ................................ 219
Exhibit 8-6 Statement of Intent Screen (Bona Fide) ................................................................ 221
Exhibit 8-7 Letter of Support Submitter Information Screen (Bona Fide) ................................. 223
Exhibit 8-8 Letter of Support Submission Information Screen (Bona Fide) .............................. 225
Exhibit 8-9 Notify Letter of Support Submitter Pop-Up Window (Bona Fide) ............................ 227
Exhibit 8-10 Chemical Identification Information Screen (Bona Fide) ...................................... 229
Exhibit 8-11 Class 1 or 2/Biotechnology Chemical Substances Screen (Bona Fide) ............... 232
Exhibit 8-12 Class 2/Biotechnology Substances Screen (Bona Fide) (Scroll 1) ....................... 234

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Exhibit 8-13 Class 2/Biotechnology Substances Screen (Bona Fide) (Scroll 2) ....................... 235
Exhibit 8-14 Polymer Identification Information Screen (Bona Fide) ........................................ 238
Exhibit 8-15 Monomers and Other Reactants Screen (Bona Fide) .......................................... 241
Exhibit 8-16 Use Information Screen (Bona Fide) ................................................................... 242
Exhibit 8-17 Submitter Site Identification Screen (Bona Fide) ................................................. 243
Exhibit 8-18 Document Management Screen (Bona Fide) ....................................................... 245
Exhibit 8-19 Optional Cover Letter Screen (Bona Fide) ........................................................... 246
Exhibit 8-20 Submitting Official Information Screen (Bona Fide) ............................................. 247
Exhibit 9-1 Contact Information Screen (ACM) ........................................................................ 249
Exhibit 9-2 Add Contact Pop-Up Window (ACM) ..................................................................... 251
Exhibit 9-3 Attachments Screen (ACM) ................................................................................... 253
Exhibit 9-4 Submitting Official Information Screen (ACM) ....................................................... 254
Exhibit 10-1 Preview EPMN Form Screen (ACM) .................................................................... 255
Exhibit 10-2 Preview Biotechnology Form PDF ....................................................................... 256
Exhibit 10-3 Preview NOC Form PDF ..................................................................................... 257
Exhibit 10-4 Preview Support Form PDF ................................................................................. 258
Exhibit 11-1 Section 5 Notices and Supports Validation Pop-Up Window (Scroll 1) ................ 260
Exhibit 11-2 Section 5 Notices and Supports Validation Pop-Up Window (Scroll 2) ................ 261
Exhibit 12-1 Submitting Official Information Screen (PMN)...................................................... 263
Exhibit 13-1 Instructions for Substantiating Confidential Business Information (CBI) Claims
Screen (PMN) (Scroll 1) ................................................................................................. 266
Exhibit 13-2 Instructions for Substantiating Confidential Business Information (CBI) Claims
Screen (PMN) (Scroll 2) (Substantiation Upload Example) ............................................. 267
Exhibit 13-3 Instructions for Substantiating Confidential Business Information (CBI) Claims
Screen (PMN) (Scroll 3) (Sanitized Substantiation Upload Example) ............................. 268
Exhibit 13-4 Instructions for Substantiating Confidential Business Information (CBI) Claims
Screen (PMN) (Scroll 4) (Substantiation Opt-Out Example) ........................................... 269
Exhibit 14-1 LVE Certification Screen ..................................................................................... 270
Exhibit 14-2 LOREX Certification Screen ................................................................................ 271
Exhibit 14-3 Biotech Certification Screen ................................................................................ 272
Exhibit 14-4 Submission Process: Validation Screen .............................................................. 273
Exhibit 14-5 Make a Payment Screen ..................................................................................... 274
Exhibit 14-6 CSPP Payment Processor (Credit/Debit Card) .................................................... 276
Exhibit 14-7 CSPP Payment Processor (ACH Payment) ......................................................... 277
Exhibit 14-8 Successful Payment ............................................................................................ 278

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Exhibit 14-9 Payment Receipt Email ....................................................................................... 279
Exhibit 14-10 Joint Fee Notification Email ............................................................................... 280
Exhibit 14-11 Make a Payment Screen (Original after Paying) ................................................ 280
Exhibit 14-12 Make a Payment Screen (Amendment) ............................................................. 281
Exhibit 14-13 Submission Process: PDF Generation Screen .................................................. 282
Exhibit 14-14 Cross-Media Electronic Reporting Regulation (CROMERR) Certification
Screen............................................................................................................................ 283
Exhibit 14-15 Cross-Media Electronic Reporting Regulation (CROMERR) Login Screen ........ 284
Exhibit 14-16 Cross-Media Electronic Reporting Regulation (CROMERR) Security Question
Screen............................................................................................................................ 285
Exhibit 14-17 Submit to CDX Screen ...................................................................................... 286
Exhibit 14-18 Cross-Media Electronic Reporting Regulation (CROMERR) Submission
Screen............................................................................................................................ 287
Exhibit 15-1 Download Copy of Record Screen....................................................................... 289
Exhibit 15-2 Invoice Communication Email ............................................................................. 291
Exhibit 15-3 Fee Invoice PDF.................................................................................................. 292
Exhibit 15-4 CSPP Payment Processor (Credit/Debit Card) .................................................... 293
Exhibit 15-5 CSPP Payment Processor (ACH Payment) ......................................................... 294
Exhibit 15-6 Download Prompt Window .................................................................................. 295
Exhibit 16-1 New EPA Communication Email Notification ....................................................... 296
Exhibit 16-2 New EPA Communication CDX Inbox Notification ............................................... 297
Exhibit 16-3 Section 5 Notices and Supports Forms Screen ................................................... 298
Exhibit 16-4 Enter Passphrase Screen .................................................................................... 299
Exhibit 16-5 Cross-Media Electronic Reporting Regulation (CROMERR) Login Screen .......... 300
Exhibit 16-6 Cross-Media Electronic Reporting Regulation (CROMERR) Security Question
Screen............................................................................................................................ 301
Exhibit 16-7 Download Copy of Record Screen....................................................................... 302
Exhibit 16-8 Invoice Communication Email ............................................................................. 303
Exhibit 16-9 CDX Inbox Invoice Communication ..................................................................... 304
Exhibit 17-1 Section 5 Notices and Supports Forms Screen - Amendment ............................. 306
Exhibit 17-2 Unlock Prompt Message ..................................................................................... 307
Exhibit 18-1 Resources Screen (Scroll 1) ................................................................................ 309
Exhibit 18-2 Resources Screen (Scroll 2) ................................................................................ 310

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1

Introduction

This document presents the user guide for the Office of Pollution Prevention and Toxics (OPPT)
Section 5 Notices and Supports application submission process. This document is the user guide
for the Primary Authorized Official (AO) user of the Section 5 Notices and Supports application.
The Section 5 Notices and Supports application is the electronic, web-based tool provided by
Environmental Protection Agency (EPA) for the submission of Section 5 Notices and Supports
data. As a Primary AO, you can create, modify, and/or submit a Section 5 Notices and Supports
form. You can also delete Section 5 Notices and Supports forms, create amendments, and
download the Copy of Record (CoR).
This collection of information is approved by OMB under the Paperwork Reduction Act, 44
U.S.C. 3501 et seq. (OMB Control No. 2070-0038). Responses to this collection of information
are mandatory for certain persons, as specified at 40 CFR 713.7. An agency may not conduct or
sponsor, and a person is not required to respond to, a collection of information unless it displays
a currently valid OMB control number. The public reporting and recordkeeping burden for this
collection of information is estimated to be 30 hours per response. Send comments on the
Agency’s need for this information, the accuracy of the provided burden estimates and any
suggested methods for minimizing respondent burden to the Regulatory Support Division
Director, U.S. Environmental Protection Agency (2821T), 1200 Pennsylvania Ave., NW,
Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send
the completed form to this address.
For questions concerning the Toxic Substances Control Act (TSCA) Section 5 Notices and
Supports software requirements, please contact the Central Data Exchange (CDX) Help Desk at
helpdesk@epacdx.net or call 1-888-890-1995 between the hours of 8 am – 6 pm Eastern
Standard Time (EST). For questions concerning the TSCA Section 5 Notices and Supports
reporting requirements, please contact the TSCA Hotline at TSCA-Hotline@epamail.epa.gov or
call 202-554-1404 between the hours of 8:30 am – 5 pm EST.
The contents of this document do not have the force and effect of law and are not meant to bind
the public in any way. This document is intended only to provide clarity to the public regarding
existing requirements under the law or agency policies. The statements in this document are
intended solely as guidance to aid in complying with EPA regulation.

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Primary Authorized Official

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2

System Requirements

To use the Section 5 Notices and Supports application to submit a Section 5 Notices and
Supports form, the following are required:
 An e-mail account
 JavaScript enabled web browser
 Internet access
 Adobe Acrobat Reader 5.0 or higher
 CDX username and password
2.1

Supported Browsers

 Vendor supported versions of Internet Explorer (IE) or Edge
Go to the following link to download:
https://support.microsoft.com/en-us/help/17621/internet-explorer-downloads
 Vendor supported versions of Mozilla Firefox
Go to the following link to download:
https://www.mozilla.org/en-US/firefox/new/
 Vendor supported versions of Safari
Go to the following link to download:
https://support.apple.com/downloads/
 Vendor supported versions of Google Chrome
Go to the following link to download:
http://www.google.com/chrome
2.2

Screen Resolution

Screen resolution should be set to 1024 x 768 or greater.

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3

Primary Authorized Official (AO) Functions

This section describes how to:
 Access the application
 Navigate the Section 5 Notices and Supports ‘Home’ screen
 Assign Supports to complete a form
 Start and complete the Section 5 Notices and Supports forms – Premanufacture Notice
(PMN), Biotechnology, Notice of Commencement (NOC), Support, Bona Fide Notices,
Alternative Control Measures (ACM) 721.30, and Pre-Notice Communication
 Upload an extensible markup language (XML) file
 Download a Copy of Record
 Create an amendment
The Primary AO is responsible for the submission of original main forms, including PMN,
Biotechnology, NOC, Support, Bona Fide, ACM, or Pre-Notice Communication forms. As a
Primary AO, you can create a new form. You are also responsible for submitting amendments,
unlocking submissions, and deleting forms. You can assign Supports (or other authorized
individuals) to edit and complete a form on your behalf. The Primary AO can be thought of as a
primary company authorized official, specifically in regards to any sponsored individuals.
You can save the form at any point during the data entry process. The save functionality allows
you to return to that same form at any point in the future. You can print the form at any point;
however, the ‘Not for Submission’ watermark will be placed on the form anytime the form is
printed prior to actual submission.

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Exhibit 3-1 displays a table of the capabilities of user roles within the Section 5 Notices and
Supports application:
Exhibit 3-1 Section 5 Notices and Supports User Roles Matrix

3.1

Log into Section 5 Notices and Supports Application

After you create an account in CDX, click the ‘Primary Authorized Official’ link for the
Chemical Safety and Pesticide Programs (CSPP) data flow to navigate to the ‘Chemical
Information Submission System’ screen.

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Exhibit 3-2 shows a screen capture of the ‘Chemical Information Submission System’ screen
(Scroll 1):
Exhibit 3-2 Chemical Information Submission System Screen (Scroll 1)

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Exhibit 3-3 shows a screen capture of the ‘Chemical Information Submission System’ screen
(Scroll 2):
Exhibit 3-3 Chemical Information Submission System Screen (Scroll 2)

Navigation: To access the Section 5 Notices and Supports ‘Home’ screen, select ‘TSCA Section
5 Notices and Supports – ePMN’ from the submission type drop-down menu and click the ‘OK’
button.

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3.2

Home Screen Navigation

You can access the Section 5 Notices and Supports ‘Home’ screen by selecting ‘TSCA Section 5
Notices and Supports – ePMN’ from the submission type drop-down menu on the ‘Chemical
Information Submission System’ screen and clicking the ‘OK’ button.
The Section 5 Notices and Supports ‘Home’ screen is the first screen within the Section 5
Notices and Supports application. It provides you with links and tabs to access the ‘Section 5
Notices and Supports Forms,’ ‘User Management,’ and ‘Resources’ screens. To navigate to any
of these screens, click the corresponding screen link (highlighted in blue text), or click the screen
tab (located within the application header). The links and tabs provide the same functionality.
There is a ten (10) minute logout timer for this application; the application will automatically log
you out after ten minutes of inactivity and navigate you back to the CDX login screen.
 Forms: Click the ‘Forms’ tab or link to navigate to the ‘Section 5 Notices and Supports
Forms’ screen. You can create, modify, or delete a Section 5 Notices and Supports form
using the ‘Section 5 Notices and Supports Forms’ screen. For additional details about the
‘Section 5 Notices and Supports Forms’ screen, please refer to Section 3.4.
 User Management: Click the ‘User Management’ link or tab to navigate to the ‘User
Management’ screen. You can manage the access rights of Supports per form alias using the
‘User Management’ screen. For additional details about the ‘User Management’ screen,
please refer to Section 3.3.
 Resources: Click the ‘Resources’ link or tab to navigate to the ‘Resources’ screen. You can
find the Section 5 Notices and Supports user guide, as well as useful links for guidance
documents on the ‘Resources’ screen. For additional details about the ‘Resources’ screen,
please refer to Section 18.

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Exhibit 3-4 shows a screen capture of the Section 5 Notices and Supports ‘Home’ screen:
Exhibit 3-4 Section 5 Notices and Supports Home Screen

Navigation: Click the ‘User Management’ link or tab to access the ‘User Management’ screen to
assign Supports or Primary Agents/Consultants (if applicable).
3.3

User Management

You can access the ‘User Management’ screen by clicking the ‘User Management’ link on the
Section 5 Notices and Supports ‘Home’ screen or by clicking the ‘User Management’ tab from
the application header.

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On the ‘User Management’ screen, you have the ability to assign one or more Supports or
Primary Agents/Consultants to have access to modify any of the Section 5 Notices and Support
forms you have created.
Form Alias: A form alias will not be available in this drop-down menu until one has been
created. Select a form alias from the drop-down menu to begin assigning Supports or Primary
Agents/Consultants. Once a form alias has been selected, the ‘Assign Users’ group box will
update to display only the Supports or Primary Agents/Consultants who have identified you as
their AO during CDX registration, or a user you have specified that is able to submit on your
behalf.
Form Information: This field set displays information pertaining to the form you selected from
the ‘Form Alias’ drop-down menu.
 Form Alias: Displays the form alias that a form is given.
 TS Number: Displays the toxic substances (TS) number that is entered for that specific form
(if applicable).
 Form Type/SubType: Displays the type of form, which may include ‘Primary PMN,’
‘Biotechnology,’ ‘NOC,’ ‘Support,’ ‘Bona Fide,’ ‘ACM,’ or ‘Pre Communication.’ This
field also displays the subtype of the form, if applicable. NOC, Bona Fide, ACM, and PreNotice Communication forms do not have subtype values.
 Last Modified: Displays the date and time the form was last modified.
Assign Users: This box shows all the Supports or Primary Agents/Consultants you can assign to
complete a Section 5 Notices and Supports form for the form alias selected. To move support
persons from the ‘Unassigned’ group box to the ‘Assigned’ group box, highlight an individual or
multiple Support(s) or Primary Agent(s)/Consultant(s) and click the ‘add >>’ button.
 Unassigned: This box/field contains the registered Support(s) and/or Primary
Agent(s)/Consultant(s) associated with the AO who can potentially be assigned to access and
edit the selected form. To move support persons from the ‘Unassigned’ group box to the
‘Assigned’ group box, highlight an individual or multiple support persons and click the ‘add
>>’ button. To highlight multiple support persons hold down the  key on your
keyboard while clicking each Support and/or Primary Agent/Consultant. To highlight
multiple consecutive support persons, hold down the  key on your keyboard while
clicking the first and last Support and/or Primary Agent/Consultant in the list.
 Assigned: This box/field contains the registered Support(s) and/or Primary
Agent(s)/Consultant(s) given permission, by the AO, to access and edit the selected form.
This group box shows all support persons assigned to complete the Section 5 Notices and
Supports form for a single form alias. To move Supports and/or Primary Agents/Consultants
from the ‘Assigned’ group box to the ‘Unassigned’ group box highlight individual or
multiple support persons and click the ‘<< remove’ button. To highlight multiple support
persons hold down the  key on your keyboard while clicking each Support and/or
Primary Agent/Consultant. To highlight multiple consecutive support persons, hold down the
 key on your keyboard while clicking the first and last Support and/or Primary
Agent/Consultant in the list.

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 Add >>: Click the button to move Supports and/or Primary Agents/Consultants from the
‘Unassigned’ box to the ‘Assigned’ box.
 << Remove: Click the button to move Supports and/or Primary Agents/Consultants from the
‘Assigned’ box to the ‘Unassigned’ box.
When you have finished assigning the Supports and/or Primary Agents/Consultants, click the
‘Save’ button that displays after selecting a form to save the selection.
Exhibit 3-5 shows a screen capture of the ‘User Management’ screen:
Exhibit 3-5 User Management Screen

Navigation: Click the ‘Forms’ tab located within the application header to navigate to the
‘Section 5 Notices and Supports Forms’ screen.
3.4

Section 5 Notices and Supports Forms

You can access the ‘Section 5 Notices and Supports Forms’ screen by clicking the ‘Forms’ link
from the Section 5 Notices and Supports ‘Home’ screen, or by clicking the ‘Forms’ tab located
within the application header.
Only one Section 5 Notices and Supports form is created per form alias, which helps differentiate
between forms. Each column within the table of the ‘Section 5 Notices and Supports Forms’
screen can be sorted by clicking the individual column headers.
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Start New Form: To create a new Section 5 Notices and Supports form, select one of the
following options from the ‘Form Type’ drop-down menu and click the ‘Start New Form’
button: ‘Premanufacture Notice (PMN),’ ‘Support,’ ‘Notice of Commencement (NOC),’
‘Biotechnology,’ ‘Bona Fide,’ ‘Alternative Control Measures (ACM),’ or ‘Pre-Notice
Communication.’ You are required to create a passphrase that will be associated with that
particular form. Make sure to create a passphrase that you will remember, as it cannot be
retrieved or reset. Refer to Section 3.5 for further instructions on creating a passphrase.
Edit an ‘In Progress’ Form: To modify an existing Section 5 Notices and Supports form, click
the ‘Alias’ link for a form with a status of ‘In Progress.’ You are required to enter the passphrase
associated with that particular form to access and edit the form. It is possible for more than one
user to modify a form simultaneously; the user that clicks the ‘Save’ button first will have his/her
changes saved. Refer to Section 16 for further instructions on viewing and modifying a form that
is ‘In Progress.’
Amend a submitted form: To edit an already submitted Section 5 Notices and Supports form
(i.e., to create an amendment), you must first unlock the particular submission by clicking the
‘Lock’ icon ( ) under the ‘Action’ column. You will be required to enter the passphrase
associated with that particular submission to gain access and continue amending the submission.
All further changes that are made will be submitted as an amendment. Refer to Section 16 for
further instructions on creating an amendment.
The ‘Section 5 Notices and Supports Forms’ screen displays the following columns of
information:
 Alias: Displays the form alias you provided on the ‘General Form Information’ screen within
a PMN, Biotechnology, NOC, or Support form; the ‘General Document Information’ screen
within a Bona Fide Notice; or the ‘Contact Information’ screen within an ACM form. The
‘Alias’ column will display a default alias comprised of a form type, date stamp, and time
stamp in the following format: 
 if you
accept the system-generated ‘Form Alias’ on the first screen in a Section 5 Notices and
Supports form. A form alias is helpful when a user or company has multiple forms and/or
when you must differentiate between forms. Click the form alias link to navigate to the
‘Enter Passphrase’ screen to access a form.
 Type: Displays the form type pertaining to the reported chemical substance or mixture. This
column can contain the following values: ‘Primary PMN,’ ‘Biotechnology,’ ‘Support,’
‘NOC,’ ‘Bona Fide,’ or ‘ACM.’
 Subtype: Displays the form subtype pertaining to the form type for the reported chemical
substance or mixture.
o This column contains one of the following values for a PMN form:
‘MOCK_SUBMISSION,’ ‘LOREX_MODIFICATION,’ (Low Release/Low
Exposure Exemption Modification) ‘LVE_MODIFICATION,’ (Low Volume
Exemption Modification) ‘LOREX,’ ‘LVE,’ ‘TMEA,’ (Test Marketing
Exemption Application) ‘SNUN,’ (Significant New Use Notice) or ‘PMN.’
o This column contains the following values for a Biotechnology form: ‘MCAN,’
(Microbial Commercial Activity Notice) ‘TERA,’ (TSCA Experimental Release

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Application) ‘TIER1,’ ‘TIER2,’ or ‘Biotechnology_TME’ (Biotechnology Test
Market Exemption).
o This column contains the following values for a Support form: ‘Amendment,’
‘Test Data,’ ‘Transfer Of Ownership,’ ‘Withdrawal Request,’ ‘Suspension
Request,’ or ‘Other Correspondence.’
o NOC forms, ACM forms, Bona Fide Notices, and Pre-Notice Communication
forms do not have subtypes.
 Case Number: Displays the form case number pertaining to the reported chemical substance
or mixture after EPA receives the submission. In all cases, the ‘XX’ represents the fiscal year
in which the form was submitted, and the ‘XXXX’ represents the order in which the form
was received. A consolidated submission will generate sequential case numbers for each
chemical identified within the form and will display all case numbers associated with that
specific form. If the form has not been submitted and received, the ‘Case Number’ field
remains blank.
o A PMN submission can have the following case number formats: P-XX-XXXX
for PMN, SN-XX-XXXX for SNUN, L-XX-XXXX for LVE, LM-XX-XXXX for
LVE Modifications, X-XX-XXXX for LOREX, XM-XX-XXXX for LOREX
Modifications, T-XX-XXXX for TMEA, and I-XX-XXXX for Mock PMN notice
types.
o A Biotechnology form can have the following case number formats: J-XX-XXXX
for MCAN, R-XX-XXXX for TERA, G-XX-XXXX for Tier I Exemption, and HXX-XXXX for Tier II.
o Bona Fide forms will have a case number format of BF-XX-XXXX.
o ACM forms will have a case number format of ACM-XX-XXXX.
o NOC and Support forms will display user-specified case numbers.
o Pre-Notice Communication forms will have a case number format of PC-XXXXXX.
 Status: Displays the status of the Section 5 Notices and Supports form. The values will
display as either ‘In Progress’ or ‘Submitted.’
 Modify Date: Displays the date the form was last modified.
 Submission Date: Displays the date the form was submitted to EPA via CDX. This date
populates only after the form has been submitted.
 Action: Click the ‘Copy of Record’ icon ( ) to access the ‘Copy of Record’ screen. The
‘Copy of Record’ icon ( ) displays only after the form has been completed. Refer to Section
15 for further instructions on downloading the Copy of Record. Click the ‘Delete’ icon ( )
to delete any form with a status of ‘In Progress.’ This column also displays a ‘Lock’ icon (
) for all forms that have been submitted and are not ‘In Progress.’ Only an AO or Primary
Agent/Consultant can unlock a form by clicking the ‘Lock’ icon ( ) and unlocking the
form. The form will remain unlocked and display the ‘Unlocked’ icon (
) until the form is
resubmitted by the AO. Click the red ‘Download and Pay Unpaid Invoices’ icon ( ) to
access the ‘Copy of Record’ screen to pay the fee. The ‘Download and Pay Unpaid Invoices’
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icon displays only after personnel sends an invoice. After a user pays the invoice, the icon
disappears.
 Items Per Page: Select a value (‘25,’ ‘50,’ ‘75,’ or ‘100’) from this drop-down menu to
specify the number of forms to display on a single page.
 Export Options: Displays ‘CSV,’ ‘Excel,’ ‘XML,’ and ‘PDF’ links for you to export the
‘Section 5 Notices and Supports Forms’ screen in one of the specified formats as a CommaSeparated Values (CSV) file, XML file, an Excel spreadsheet, XML file, or portable
document format (PDF). The export options section will not display until a form is created.
 Form Type: Select the form type that you would like to create from the drop-down menu.
This drop-down menu contains the following values: ‘Premanufacture Notice (PMN),’
‘Support,’ ‘Notice of Commencement (NOC),’ ‘Biotechnology,’ ‘Bona Fide,’ ‘Alternative
Control Measures (ACM),’ and ‘Pre-Notice Communication.’ This drop-down menu is only
available to Primary Authorized Officials and Primary Agents/Consultants.
 Start New Form: Click this button to start a new form after selecting a form type and
navigate to the ‘Create Passphrase’ screen.

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Exhibit 3-6 shows a screen capture of the ‘Section 5 Notices and Supports Forms’ screen:
Exhibit 3-6 Section 5 Notices and Supports Forms Screen (Scroll 1)

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Exhibit 3-7 shows a screen capture of the ‘Section 5 Notices and Supports Forms’ screen:
Exhibit 3-7 Section 5 Notices and Supports Forms Screen (Scroll 1)

Navigation: Select a form type from the ‘Form Type’ drop-down menu and click the ‘Start New
Form’ button to navigate to the ‘Create Passphrase’ screen.
3.5

Create Passphrase

To start a new Section 5 Notices and Supports form, select a form type from the ‘Form Type’
drop-down menu, and click the ‘Start New Form’ button on the ‘Section 5 Notices and Supports
Forms’ screen to navigate to the ‘Create Passphrase’ screen, which allows you to create a
passphrase and associate that passphrase with your newly created form.

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The application uses the passphrase as an encryption key to protect the contents of the form. You
are responsible for remembering the passphrase and distributing it to the appropriate individuals.
If you forget the passphrase, you will not have access to the form and will not be able to view,
print, submit, or make changes. If you lose or forget the passphrase, you must create a new form
and passphrase. For security reasons, the system administrator does not have access to the
passphrase and will not be able to retrieve it or reset it to a new one.
New Passphrase: To associate a passphrase with a form, enter a passphrase that is at least eight
(8) characters in length. To protect your account, your passphrase should contain a combination
of letters and numbers. The passphrase you create may include spaces, but should not contain
special characters (for example, +, ?, and *). You can associate the same passphrase with
multiple forms.
You will be responsible for remembering the passphrase and distributing it to only
authorized Supports for an individual form. If you forget the passphrase, you will not be
able to access the Section 5 Notices and Supports form to print, submit, or make changes.
Exhibit 3-8 shows a screen capture of the ‘Create Passphrase’ screen for a Primary Authorized
Official:
Exhibit 3-8 Create Passphrase Screen

Navigation: Create a passphrase and click the ‘Next’ button to navigate to the ‘General Form
Information’ screen in a PMN, Biotechnology, NOC, or Support form. Click the ‘Next’ button to

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navigate to the ‘General Document Information’ screen in a Bona Fide Notice. Click the ‘Next’
button to navigate to the ‘Contact Information’ screen in an ACM form.
3.6

Attach Documents

The ‘Attach Document’ button displays on various screens within a Section 5 Notices and
Supports form, and provides functionality for you to attach supporting documents where needed.
Click the ‘Attach Document’ button displayed on a screen to access the ‘Attach Documents’
pop-up window. You can attach a file and enter a description, number of pages, and indicate CBI
status. The size of the file that can be attached is unlimited; however, the application prevents a
user from uploading an empty document.
The system allows you to claim an uploaded document as CBI. If you claim a document as CBI,
the system requires you to upload a sanitized version of the attached document. If you wish to
change a CBI attachment to be non-CBI by un-checking the ‘CBI’ checkbox, a warning appears
to notify you that un-checking the ‘CBI’ checkbox will delete the sanitized file. If you neglect to
populate a required field and click the ‘OK’ button, an error message will display to indicate the
missing field and the application will delete the previously attached file.
After you upload a document to be attached, the ‘Attach Documents’ pop-up window will close
and the document’s information will display in a table format on the screen. Depending on the
screen, the attachment table may display the section of the page the file is associated with, the
file name and file extension of the document, a description of the document, the number of pages
in the document, and if the document was claimed CBI. The system allows you to delete
unwanted documents by clicking the ‘Delete’ icon ( ) located under the ‘Actions’ column. To
view, open, or edit previously attached documents, click the appropriate file name of the
document within the ‘File Name’ column of the document table to view previously entered
document information.
 Type: Select the document type from the drop-down menu of the document that you upload.
For additional information regarding document types, refer to Exhibit 3-9. This is a required
field.
 Subtype: Select the document subtype from the drop-down menu of the document that you
upload. For additional information regarding document subtypes, refer to Exhibit 3-9. This is
a required field when displayed.
 Attachment: Click the ‘Browse’ button to generate the ‘File Upload’ window to search for a
document on your hard drive. The application prevents the upload of empty documents. The
attached file can be one of the following file types: .pdf, .ppt, .pptx, .xls, .xlsx, .doc, .docx,
.rtf, .txt, .gif, .jpg, .png, .bpm, .fas, .gbk, or .embl.
 Description: Enter a description associated with the attached document. Submitters should
not include any CBI information in the document description. This is a required field.
 Number of Pages: Enter the number of pages in a document. This is a required field.
 Check to claim the attachment as CBI: Check the ‘CBI’ checkbox to claim the attached
document as confidential. Un-checking the ‘CBI’ checkbox for a CBI document generates a
warning notifying you that un-checking the CBI claim will delete the sanitized file.

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 Sanitized Attachment: Click the ‘Browse’ button to generate the ‘File Upload’ window to
search for a document on your hard drive. The attached file can be one of the following file
types: .pdf, .ppt, .pptx, .xls, .xlsx, .doc, .docx, .rtf, .txt, .gif, .jpg, .png, .bpm, .fas, .gbk, or
.embl. For any attached document claimed as CBI, you will be required to attach a sanitized
version of the document.
 Cancel: Click the ‘Cancel’ button to cancel the attach document process.
 OK: Click the ‘OK’ button to attach and link the document uploaded on the ‘Attach
Documents’ window to the form. If a field is missing, a warning message will display
notifying you that all attachments must be re-attached and the missing field must be
populated.
Exhibit 3-9 shows a table of the document types and subtypes for each Section 5 Notices and
Supports form:
Exhibit 3-9 Section 5 Document Types and Subtypes
Form Type
PMN, Support

Document Type
Aquatic Ecotoxicity

Document Subtypes

 Algae Toxicity
 Fish Acute Toxicity
 Fish Chronic Toxicity
 Invertebrate Acute Toxicity
 Invertebrate Chronic Toxicity

Chemical Structure Diagram

 Not applicable (N/A)

Correspondence

 N/A

Fate

 BCF/BAF (bioconcentration factors / bioaccumulation
factors)

 Biodegradation
 Fugacity
 Hydrolysis
 Monitoring data (e.g., air, water, soil, biota, human)
 Partitioning (e.g., Koc, Kd, Kow, Koa, Henry’s law
constant)

 Photolysis
GPC

 N/A

Genetic Toxicity

 Chromosomal Aberrations Assay
 Genetic Mutation Assay
 Unscheduled DNA (Deoxyribonucleic acid) Synthesis

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Form Type

Document Type
Health Toxicity

Document Subtypes

 Acute Toxicity
 Carcinogenicity
 Combined RepeatedDose/Developmental/Reproductive Toxicity

 Dermal Irritation
 Developmental Toxicity
 Eye Irritation
 Immunotoxicity
 Neurotoxicity
 Pharmacokinetics/Metabolism
 Repeated-Dose Toxicity
 Reproductive Toxicity
 Sensitization
IES Report

 N/A

Other

 A free text field generates for a user to provide a
description of the document type

Process Diagram - Other

 N/A

Process Diagram – Submitter

 N/A

Safety Datasheet

 MSDS/SDS (material safety data sheet / safety data
sheet)

 Technical Datasheet
Terrestrial Ecotoxicity

 Avian Toxicity
 Invertebrate Toxicity
 Plant Toxicity

Biotechnology

CBI Substantiation

 N/A

Published Literature

 N/A

Regs and Certifications

 N/A

ID

 Identification (ID) Sequence Data
 Other ID Data
 Strain History

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Form Type

Document Type

Document Subtypes

Construct

 Construct Methodology
 Construct Data
 Gene Sequence Data
 Plasmid Data

Effects

 Human Health Effects
 Environmental Effects
 Pathogenicity Data
 Antibiotic Resistance
 Metabolism
 Allergenicity Data

MSDS

 N/A

Manufacturing Details

 N/A

Use Details

 N/A

Inactivation Data

 N/A

CBI Substantiation

 N/A

Other

 A free text field generates for a user to provide a
description of the document type

Bona Fide

Spectrum of Substance

 N/A

Statement of
Commercialization

 N/A

Statement of Research and
Development

 N/A

CBI Substantiation

 N/A

Other

 A free text field generates for a user to provide a
description of the document type

NOC

ACM

CBI Substantiation K

 N/A

CBI Substantiation

 N/A

N/A

 N/A

CBI Substantiation

 N/A

Other

 A free text field generates for a user to provide a
description of the document type

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Exhibit 3-10 shows a screen capture of the ‘Attach Documents’ pop-up window that displays
within the majority of forms:
Exhibit 3-10 Attach Documents Pop-Up Window

Navigation: Click the ‘Cancel’ button or ‘X’ icon in the upper right-hand corner to cancel the
document attachment process. Click the ‘OK’ button to attach the document to the form and
navigate back to the original screen from which the document attachment process was initiated.
3.7

Enter Passphrase

To edit a form click the ‘Alias’ link for a Section 5 Notices and Supports form with a status of
‘In Progress’ on the ‘Section 5 Notices and Supports Forms’ screen. The ‘Enter Passphrase’
screen requires you to enter the passphrase that is associated with the form.
Enter Passphrase: Enter the passphrase that you originally created and associated with the
form.

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Exhibit 3-11 shows a screen capture of the ‘Enter Passphrase’ screen:
Exhibit 3-11 Enter Passphrase Screen

Navigation: Enter the passphrase that you originally created and associated with the form and
click the ‘Next’ button to navigate to the ‘General Form Information’ screen in a PMN,
Biotechnology, NOC, or Support form. Click the ‘Next’ button to navigate to the ‘General
Document Information’ screen in a Bona Fide Notice. Click the ‘Next’ button to navigate to the
‘Contact Information’ screen in an ACM form.
3.8

Navigation Tree

The navigation tree is located on the left hand side of each screen. It allows you to navigate
between the various screens within the application and the different sections of the form. You
can perform the following functions using the navigation tree:
 Open and close the navigation tree: A navigation arrow that opens and closes the
navigation tree is located to the right of the navigation tree to provide more visual form
space. Click the arrow ( ) on the open navigation tree to close the navigation tree and
increase the space of the form content. Likewise, click the arrow ( ) on the closed navigation
tree to open the navigation tree.
 Collapse and expand folders: Each section of the form falls under a collapsible folder
within the navigation tree, which allows you to save space or easily view items in the
navigation tree. When a folder is expanded, you can click the minus sign (-), the ‘Folder’
icon ( ), or the folder title link to collapse that section of the navigation tree. When a folder
is collapsed, you can click the plus sign (+), the ‘Folder’ icon ( ), or the folder title link to
expand that section of the navigation tree. When you place your cursor over a folder title
link, it will highlight in red.
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 Navigate between screens: You can use the navigation tree to navigate between the various
screens within the application and the different sections of the form. A ‘Form’ icon ( )
denotes each section of a form. Click a ‘Form’ icon ( ) or a section title link to navigate
between screens. You are required to save all information entered on a particular screen
before navigating to the next screen or all entered information will be lost. A prompt will
appear after you click a link in the navigation tree indicating, ‘Are you sure you want to leave
the current page? Any unsaved changes will be lost.’ Click the ‘OK’ button to navigate to the
requested screen without saving any of the data in the previous screen. Click the ‘Cancel’
button to close the prompt and remain on the current screen.
Exhibit 3-12 shows a screen capture of the navigation prompt pop-up window:
Exhibit 3-12 Navigation Prompt Pop-Up Window

 Add Joint Submission: Click the ‘Add Joint Submission’ link located under the ‘Joint
Submission’ folder within the navigation tree to add a Joint Submission. A maximum of two
Joint Submissions can be added to a PMN form.
 Add Letter of Support: Click the ‘Add Letter of Support’ link located under the ‘Letter of
Support’ folder within the navigation tree to add a Letter of Support (LOS). An unlimited
number of Letters of Support can be added to a PMN form.
 Add Consolidated Chemical: Click the ‘Add Consolidated Chemical’ link within the
navigation tree to add a chemical within a consolidated submission and select the ‘Class 1 or
2 Chemical Substance’ or ‘Polymer’ radio button on the ‘Chemical Identification’ screen. A
maximum of six (6) separate chemical folders can be added to a PMN form. The ability to
add a consolidated chemical within a PMN form is unavailable when creating a PMN
amendment.
 Delete chemical folders: Click the ‘Delete’ icon ( ) that displays at the bottom of each
chemical folder within the navigation tree of a PMN form to delete specific chemical folders.
When a chemical folder is deleted, all information entered within the deleted chemical folder
is lost and cannot be retrieved. Click the ‘Add Consolidated Chemical’ link and fill in all
corresponding data to add a new chemical report. This delete functionality is not applicable
to the Biotechnology, NOC, Support, Bona Fide Notice, or ACM forms, and is unavailable
when amending a PMN form.
 Copy chemical folders: Click the ‘Copy’ icon ( ) that displays at the bottom of each
chemical folder within the navigation tree of a PMN form to copy a specific chemical folder.
When a chemical folder is copied, the chemical name, Chemical Abstracts Service Registry
Number (CASRN), and attached documents are removed from the copied chemical. This

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copy functionality is not applicable to the Biotechnology, NOC, Support, Bona Fide, or ACM
forms, and is unavailable when amending a PMN form.
 Delete ‘Submitter Controlled Operations’ or ‘Operations Controlled By Others’
folders: Click the ‘Delete’ icon ( ) that displays at the bottom of each ‘Submitter
Controlled Operations’ or ‘Operations Controlled by Others’ folder within the navigation tree
to delete a specific operations folder. When a ‘Submitter Controlled Operations’ or
‘Operations Controlled by Others’ folder is deleted, all information entered within the deleted
operation is lost and cannot be retrieved. Click the ‘Add Operation’ link under the
appropriate operations folder and fill in all corresponding data to add a new ‘Submitter
Controlled Operations’ or ‘Operation Controlled by Others’ folder. The delete functionality
is not applicable while a user is navigating on a screen within the ‘Operations Controlled by
Others’ folder. This delete functionality is not applicable to the Biotechnology, NOC,
Support, Bona Fide Notices, or ACM forms.
 Upload XML: The system displays an ‘Upload XML’ button in the navigation tree to allow
a user to upload an XML file into a PMN form or joint PMN form, or to export an existing
PMN form into an XML file format. A user may also upload eTSCA thick client files into a
PMN form. If an XML file is uploaded into an existing form, the contents of that XML file
overwrite the contents within the PMN form. For more information about the upload XML
functionality, refer to Section 4.1.36.

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Exhibit 3-13 shows a screen capture of the Premanufacture Notice navigation tree (Scroll 1):
Exhibit 3-13 Premanufacture Notice (PMN) Navigation Tree (Scroll 1)

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Exhibit 3-14 shows a screen capture of the Premanufacture Notice navigation tree (Scroll 2):
Exhibit 3-14 Premanufacture Notice (PMN) Navigation Tree (Scroll 2)

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Exhibit 3-15 shows a screen capture of the Premanufacture Notice navigation tree (Scroll 3):
Exhibit 3-15 Premanufacture Notice (PMN) Navigation Tree (Scroll 3)

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Exhibit 3-16 shows a screen capture of the Premanufacture Notice navigation tree (Scroll 4):
Exhibit 3-16 Premanufacture Notice (PMN) Navigation Tree (Scroll 4)

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Exhibit 3-17 shows a screen capture of the Biotechnology navigation tree:
Exhibit 3-17 Biotechnology Navigation Tree

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Exhibit 3-18 shows a screen capture of the NOC navigation tree:
Exhibit 3-18 Notice of Commencement (NOC) Navigation Tree

Exhibit 3-19 shows a screen capture of the Support navigation tree:
Exhibit 3-19 Support Navigation Tree

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Exhibit 3-20 shows a screen capture of the Bona Fide navigation tree (Class 1 or
2/Biotechnology Chemical Substance):
Exhibit 3-20 Bona Fide Navigation Tree (Class 1 or 2/Biotechnology Chemical Substance)

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Exhibit 3-21 shows a screen capture of the Bona Fide navigation tree (Polymer):
Exhibit 3-21 Bona Fide Navigation Tree (Polymer)

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Exhibit 3-22 shows a screen capture of the ACM navigation tree:
Exhibit 3-22 Alternative Control Measures (ACM) Navigation Tree

3.9

Action Bar

The action bar is located at the bottom of the form on each screen. You can perform the
following functions using the action bar:
The following exhibits, Exhibit 3-23, Exhibit 3-24, Exhibit 3-25, and Exhibit 3-26, show screen
captures of the action bar:
 Validate: Click the ‘Validate’ icon ( ) at any stage of completing a Section 5 Notices and
Supports form. A ‘Section 5 Notices and Supports Validation’ pop-up window generates
when you click the ‘Validate’ icon ( ) if you disable the pop-up blocker within your
internet browser. The ‘Section 5 Notices and Supports Validation’ pop-up window displays a
report of all warning messages and validation errors. On screens that display an
expandable/collapsible field set, you must click the ‘Save’ button displayed within the
expandable/collapsible field set to save the information entered within the field set before the
‘Validate’ functionality initiates. Refer to Section 11 for more information on validating a
form.
Exhibit 3-23 Action Bar - Validate

 Save: Click the ‘Save’ icon ( ) at any stage of completing a Section 5 Notices and Supports
form to save the form. To generate and access links to other pages of the form within the
navigation tree, you must click the ‘Save’ icon ( ) within the action bar. After you click the
‘Save’ icon ( ), you will receive a prompt indicating that all data entered in the form has
been saved successfully. The save function does not validate any entered data. On screens
that display an expandable/collapsible field set, you must click the ‘Save’ button displayed
within the expandable/collapsible field set to save the information entered before being able
to click the ‘Save’ icon ( ) located within the action bar or use the ‘Previous’ and ‘Next’
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buttons to navigate to another page. Click the ‘Previous’ and ‘Next’ buttons on a form to save
the data entered within a form. Click the ‘X’ button in the upper right-hand corner of the
form in your browser to close the form without saving.
Exhibit 3-24 Action Bar - Save

 Preview: Click the ‘Preview’ icon ( ) at any stage of completing a Section 5 Notices and
Supports form to preview the form. After you click the ‘Preview’ icon ( ), you will be given
the option to view a regular version of the PDF (the confidential business information (CBI)
version of the form or the non-CBI version if the form contains no CBI) or a sanitized
version of the PDF. Choosing either option will generate and display a watermarked PDF of
the form in a separate tab of your internet browser. Please note that attachment header sheets
no longer generate within the PDF. Refer to Section 10 for further information on the
preview functionality.
Exhibit 3-25 Action Bar - Preview

 Submit: You can click the ‘Submit’ icon ( ) to submit a Section 5 Notices and Supports
form after you and/or an assigned Support have completed all sections of a Section 5 Notices
and Supports form. After you click the ‘Submit’ icon ( ) a pop-up message displays to
confirm the submission process. The form validates during the submission process and
displays any applicable warning or error messages. Refer to Section 11 for further
instructions on validation errors. You can continue with the submission process only after
clearing all validation errors. Validation warnings will not prevent you from submitting a
form. Upon successful submission of the form, the application generates and sends an email
indicating the successful submission of the form to the submitter’s email address. Refer to
Section 14 for more information on submitting a Section 5 Notices and Supports form.
Exhibit 3-26 Action Bar - Submit

 Help Links: You can click the ‘Help’ links, located at the bottom of each screen, at any stage
of completing a Section 5 Notices and Supports form.
- If you click the ‘CDX Homepage’ link, the application takes you to the CDX Homepage.

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-

If you click the ‘MyCDX Homepage’ link, the application takes you to the CDX Login
screen.
If you click the ‘EPA Homepage’ link, the application takes you to the EPA Homepage.
If you click the ‘Terms and Conditions’ link, the application takes you to the CDX Terms
and Conditions screen.
If you click the ‘Privacy Notice’ link, the application takes you to the CDX Privacy and
Security Notice screen.

Exhibit 3-27 shows a screen capture of the action bar ‘Help Links’:
Exhibit 3-27 Action Bar - Help Links

3.10

Search Substance Registry Services (SRS)

The ‘Search SRS’ button displays on various screens within a Section 5 Notices and Supports
form to identify chemicals that may be stored in SRS.
Search SRS: Click the ‘Search SRS’ button to generate the ‘Search Substance Registry
Services’ pop-up window. You can search for the reported chemical(s) by either the ‘Chemical
Abstracts Service Registry Number (CASRN)’ or ‘CA Index Name or Other Synonym.’ The
application also offers the option of entering user-specified chemical information by clicking the
‘Create New Chemical’ button. Click the ‘Create New Chemical’ button to generate the
‘Chemical Not Found In Substance Registry Services’ pop-up window and enter chemical
information by filling in the ‘Chemical Name’ and ‘CASRN’ (if desired) field under the manual
entry field set.
The system allows you to enter each chemical by clicking the ‘OK’ button located at the bottom
of the ‘Search SRS’ pop-up window. Once you enter all known chemical information and click
the ‘OK’ button, the chemical information saves and populates into the chemical description
table. The ‘Actions’ column of the chemical table allows you to delete chemicals that have been
added.
The Section 5 Notices and Supports application contains functionality to prevent a user from
adding duplicate chemicals within a multi-component submission. The application checks
chemicals in the following order:
 If both chemicals have CASRNs, they will be compared.
 If only one chemical has a CASRN, they will not be compared and are considered different.
 If neither chemicals have a CASRN, their chemical names will be compared.
An error message generates within the expandable/collapsible field set if a user attempts to add a
duplicate chemical within a multi-component submission.
 CASRN: Enter the chemical abstracts service registry number of the chemical; this field
accommodates dashes. Either the ‘CASRN’ or ‘CA Index Name or Other Synonym’ field is
required when searching SRS.
 CA Index Name or Other Synonym: Enter the chemical abstract ‘(CA) Index Name or
Other Synonym’ of the chemical. This field displays the following options: ‘Matches
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Exactly,’ ‘Contains,’ and ‘Begins With.’ Either the ‘CASRN’ or ‘CA Index Name or Other
Synonym’ field is required when searching SRS.
 Search SRS: Click the ‘Search’ button to initiate the database search for the ‘CASRN’ or
‘CA Index Name or Other Synonym’ for the desired chemical.
 Create New Chemical: Click the ‘Create New Chemical’ button to generate the ‘Chemical
Not Found In Substance Registry Services’ pop-up window.
Exhibit 3-28 shows a screen capture of the ‘Search Substance Registry Services’ window:
Exhibit 3-28 Search Substance Registry Services Pop-Up Window

Navigation: Click the ‘Search SRS’ button on the ‘Search Substance Registry Services’ window
to initiate the database search for the ‘CASRN’ or ‘CA Index Name or Other Synonym.’ After
SRS returns results, select the radio button associated to a chemical, click the ‘OK’ button on the
‘Search SRS’ window, close the ‘Search Substance Registry Services’ window, and navigate
back to the screen from which the SRS search was initiated where the chemical information will
be populated.
If the chemical is not found in the ‘Search Substance Registry Services’ window, click the
‘Create New Chemical’ button to generate the ‘Chemical Not Found In Substance Registry
Services’ pop-up window.
 CBI: Check the ‘CBI’ checkbox to claim the entered chemical as confidential. The ‘CBI’
checkbox will not be displayed on the ‘Chemical Not Found In Substance Registry Services’
window for the ‘Class 1 or 2 Chemical Substances,’ ‘Polymer Identification Information,’ or
the ‘Monomers and Other Reactants’ screen.
 Chemical Name: Enter the chemical name. This is a required field.

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 CASRN: Enter the CASRN, if available.
 Maximum Percent: Enter the maximum percentage for the impurity. This field displays
only in the ‘Chemical Not Found In Substance Registry Services’ pop-up window on the
‘Additional Chemical Information’ screen.
 Cancel: Click the ‘Cancel’ button to navigate back to the ‘Search Substance Registry
Services’ pop-up window.
 OK: Click the ‘OK’ button to enter the manually entered chemical information into the fields
on the screen from which the SRS search was initiated.
Exhibit 3-29 shows a screen capture of the ‘Chemical Not Found In Substance Registry Services’
pop-up window:
Exhibit 3-29 Chemical Not Found In Substance Registry Services Pop-Up Window

Navigation: Click the ‘OK’ button to save the specified chemical information and navigate back
to the screen from which the SRS search was initiated where the chemical information will be
populated. Click the ‘Cancel’ button to navigate back to the ‘Search Substance Registry
Services’ pop-up window. Click the ‘X’ located in the upper right-hand corner to close the popup window and navigate back to the screen from which the SRS search was initiated.

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3.11

Add Facility

The ‘Add Facility’ button displays on the ‘Submitter Operation Information’ screen and the
‘Industrial Sites Controlled By Others’ screen within a PMN form. This button also displays on
the ‘Site Information’ screen within a NOC form and the ‘Submitter Site Identification’ screen
within a Bona Fide Notice. The ‘Add Facility’ button is used to generate the ‘Add Facility’ popup window and select the applicable sites for which you will be reporting. The ‘Add Facility’
drop-down menu contains the sites that all AO users within the same organization are registered
for within CDX registration; additional facilities can be added within CDX to populate this dropdown menu.
If you are not registered to any facilities within CDX registration, or you have finished
identifying all possible sites, a message displays within a pop-up window notifying you to add
additional sites within your CDX registration profile to add additional sites to a form.
Click the ‘Add Facility’ button to generate the ‘Add Facility’ pop-up window which displays the
following fields: ‘Select a site from the drop-down menu below,’ ‘CBI,’ ‘Alias,’ ‘EPA Registry
ID,’ ‘Facility Name,’ ‘Facility Address,’ ‘City,’ ‘State,’ and ‘Postal Code.’ Each individual site
may be claimed as CBI.
 Select a site from the drop-down menu below: Select a single or multiple sites from the
drop-down menu that you will be reporting on.
 CBI: Check the ‘CBI’ checkbox to claim the facility information as confidential.
 Alias: Enter the site alias. This is a required field if a Joint Submission or Letter of Support is
pending for the form.
 EPA Registry ID: Displays the EPA registry ID of the site selected from the drop-down
menu.
 Facility Name: Displays the name of the site selected from the drop-down menu.
 Facility Address: Displays the address of the site selected from the drop-down menu.
 City: Displays the city of the site selected from the drop-down menu.
 State: Displays the state of the site selected from the drop-down menu.
 Postal Code: Displays the postal code of the site selected from the drop-down menu.
 Add Facility: Click the button to add the selected site to the main page from which you are
initiating the search.
 Cancel: Click the button to cancel the process of adding a site.

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Exhibit 3-30 shows a screen capture of the ‘Add Facility’ pop-up window if there are no
additional sites contained within the ‘Select a site from the drop-down menu:’
Exhibit 3-30 Add Facility Message Pop-Up Window

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Exhibit 3-31 shows a screen capture of the ‘Add Facility’ pop-up window:
Exhibit 3-31 Add Facility Pop-Up Window

Navigation: Click the ‘Add Facility’ button to add the selected site to the screen from which you
initiated the site identification process.

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4

Create Premanufacture Notice (PMN) Form

Anyone who plans to manufacture or import a new chemical substance for a non-exempt
commercial purpose is required by Section 5 of TSCA to provide EPA with notice before
initiating the activity, known as a PMN form. A PMN must be submitted at least ninety (90) days
prior to the manufacture or import of the chemical.
4.1

Create PMN Form

To create a new PMN form, navigate to the ‘Section 5 Notices and Supports Forms’ screen and
select ‘Premanufacture Notice (PMN)’ from the ‘Form Type’ drop-down menu. Refer to Section
3.4 for additional details regarding the ‘Section 5 Notices and Supports Forms’ screen.
Refer to Section 3.5 for additional details regarding the create passphrase process.
4.1.1

General Form Information

You can navigate to the ‘General Form Information’ screen by clicking the ‘Start New Form’
button and creating a new passphrase, or by accessing a Section 5 Notices and Supports form
that is in progress and entering the passphrase associated with the selected form.
The ‘General Form Information’ screen provides fields to input identifying information for a
form. You will have the option to assign a ‘Form Alias’ to identify the form. A unique form alias
is helpful when a user or company has multiple forms and/or when you must differentiate
between forms to the help desk. Upon navigating to the ‘General Form Information’ screen, the
system auto-generates a default alias comprised of a form type, date stamp, and time stamp in the
following format: .
The application contains the following functionality and may generate additional screens for a
PMN form based on the type of notice selected from the ‘Type of Notice’ drop-down menu on
the ‘General Form Information’ screen:
 If you select ‘SNUN’ from the ‘Type of Notice’ drop-down menu, it is recommended that a
cover letter be provided. Otherwise, a warning message will display during validation of the
form.
 If you are filing a Mock Submission, click the ‘Next’ button to navigate to the ‘Agent
Information’ screen.
 If you are filing a LVE Modification or LoREX Modification, click the ‘Next’ button to
navigate to the ‘Fees Certification’ screen.
 If ‘Low Volume Exemption (LVE) @ 40 CFR 723.50(c)(1)’ or ‘LVE Modification’ is
selected from the ‘Type of Notice’ drop-down menu, a ‘LVE Certification’ screen generates
and displays during the submission process. The ‘LVE Modification’ form type requires a TS
Number, a fee certification selection, identification of a technical contact, and selection of a
‘Manufacture’ or ‘Import’ option.
 If ‘Low Release/Low Exposure Exemption (LOREX) @ 40 CFR 723.50(c)(2)’ or ‘LOREX
Modification’ is selected from the ‘Type of Notice’ drop-down menu, a ‘LOREX
Certification’ screen generates and displays during the submission process. The ‘LOREX
Modification’ form type requires a TS Number, a fee certification selection, identification of
a technical contact, and selection of a ‘Manufacture’ or ‘Import’ option.
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 The ‘TMEA’ form type requires a TS Number, a fee certification selection, identification of a
technical contact, and selection of a ‘Manufacture’ or ‘Import’ option.
The ‘PMN Identification’ section provides a field for you to enter information regarding other
communications with EPA by entering a ‘TS Number.’ The TS number is determined by a
company and is used to identify the form for both payments and connecting related submissions
when additional communications (Letters of Support, Joint Submissions, and corrections) are
sent before a PMN/LVE case number has been assigned. The TS number can be any six (6)
character alphanumeric combination. The TS number should include two (2), three (3), or four
(4) letters. Company names, recognizable words, and numerical series are not recommended.
The ‘TS Number’ field is required. A unique identification number for the form will generate
later if a Letter of Support or Joint Submission is being filed.
The ‘Test Data’ section provides checkboxes to identify data that is included in the notice
selected from the ‘Type of Notice’ drop-down menu. The following values will display as
checkboxes: ‘Environmental fate data,’ ‘Health effects data,’ ‘Environmental effects data,’
‘Physical/Chemical properties,’ ‘Risk assessments,’ ‘Structure/Activity relationships,’ ‘Test data
not in the possession or control of the submitter,’ and ‘Other data.’
You are required to submit all test data in your possession or control and to provide a description
of all other data known to or reasonably ascertainable by you if the data is related to the health
and environmental effects on the manufacture, processing, distribution in commerce, use, or
disposal of the new chemical substance. Standard literature citations may be submitted for data
in the open scientific literature. Complete test data (written in English), not summaries of data,
must be submitted if they do not appear in the open literature. You should clearly identify
whether test data is on the substance or on an analog. In addition, the chemical composition of
the tested material should be characterized. Data should be submitted according to the
requirements of §720.50 of the Premanufacture Notification Rule (40 Code of Federal
Regulations (CFR) Part 720).
The ‘Identify whether any of the below options apply’ section provides checkboxes for you to
indicate how interactions with other companies occur within the form. If the company is filing a
Joint Submission, a ‘Joint Submission’ folder generates within the navigation tree for you to
enter information concerning the Joint Submission. A unique identification number will be
generated and sent to the joint submitter by the primary submitter and will link the two forms
together. You will also be able to indicate that a Letter of Support submitted by a Secondary AO
is expected with the original PMN form.
 Form Alias: Enter the form alias. Upon navigating to the screen, the application displays an
auto-generated editable form alias in the following format: . This is a required field and is non-editable when amending a PMN
submission.
 Type of Notice: Select a value to indicate the type of notice for the PMN form. Valid values
include: ‘Premanufacture Notice (PMN),’ ‘Significant New Use Notice (SNUN),’ ‘Test
Marketing Exemption Application (TMEA),’ ‘Low Volume Exemption (LVE) @ 40 CFR
723.50 (c)(1),’ ‘Low Release/Low Exposure Exemption (LOREX) @ 40 CFR 723.50(c)(2),’
‘LVE Modification,’ ‘LOREX Modification,’ and ‘Mock Submission.’ Select ‘PMN’ if the
application is for a standard, fine-product new chemical substance for placement on the
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TSCA inventory. Select ‘Significant New Use Notice’ for any notice that is marked in
accordance with a Significant New Use Rule (SNUR). Select ‘TMEA’ for any notice
submitted in accordance with the criteria listed in 40 CFR §720.38. A ‘Mock Submission’ is
an enforcement case where the chemical was manufactured/imported in the past and is not
currently being manufactured/imported by the company. This is a required field and is noneditable when amending a PMN submission.
 TS Number: Enter the TS number related to the PMN form; this field accepts any six (6)
character alphanumeric combination. The financial institution that receives payment for EPA
when it notifies the Agency that the fee has been received uses it. The TS number should
include two (2), three (3), or four (4) letters. Company names, recognizable words, and
numerical series are not recommended. TS numbers should be unique to the submission and
should not be reused in subsequent submissions. This is a required field and is non-editable
when amending a PMN submission.
 Environmental fate data: Check the ‘Environmental fate data’ checkbox to indicate that the
form contains environmental fate data.
 Health effects data: Check the ‘Health effects data’ checkbox to indicate that the form
contains health effects data.
 Environmental effects data: Check the ‘Environmental effects data’ checkbox to indicate
that the form contains environmental effects data.
 Physical/Chemical properties: Check the ‘Physical/Chemical properties’ checkbox to
indicate that the form contains physical/chemical properties data.
 Test data not in the possession or control of the submitter: Check the ‘Test data not in the
possession or control of the submitter’ checkbox to indicate that the form contains test data
not in the possession or control of the submitter.
 Risk assessments: Check the ‘Risk assessments’ checkbox to indicate that the form contains
risk assessments data.
 Structure/Activity relationships: Check the ‘Structure/Activity relationships’ checkbox to
indicate that the form contains structure-activity relationships (SAR) data.
 Other data: Check the ‘Other data’ checkbox to indicate that the form contains other types
of data.
 Check here if you are filing a joint PMN: Check the ‘Check here if you are filing a joint
PMN’ checkbox to indicate that the form is pending a joint PMN form. A ‘Joint Submission’
folder generates within the navigation tree upon clicking the ‘Save’ icon located at the
bottom of the screen within the action bar or by clicking the ‘Next’ button on the ‘General
Form Information’ screen. This field is non-editable when creating a PMN amendment.
 Check here if you have a Letter of Support pending: Check the ‘Check here if you have a
Letter of Support pending’ checkbox to indicate that the form is pending a Letter of Support.
A ‘Letter of Support’ folder displays within the navigation tree upon clicking the ‘Save’ icon
located at the bottom of the screen within the action bar or by clicking the ‘Next’ button on
the ‘General Form Information’ screen. This field is non-editable when amending a PMN
submission.

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Exhibit 4-1 shows a screen capture of the ‘General Form Information’ screen (Scroll 1):
Exhibit 4-1 General Form Information Screen (PMN) (Scroll 1)

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Exhibit 4-2 shows a screen capture of the ‘General Form Information’ screen (Scroll 2):
Exhibit 4-2 General Form Information Screen (PMN) (Scroll 2)

Navigation: If you are filing a ‘PMN,’ ‘SNUN,’ ‘LoREX,’ ‘LVE,’ ‘LoREX Modification,’
‘LVE Modification,’ or ‘TMEA,’ click the ‘Next’ button to navigate to the ‘Fees Certification’
screen. You can also access this screen by clicking the ‘Fees Certification’ link within the
navigation tree for an in progress form. If you are filing a ‘Mock Submission,’ click the ‘Next’
button to navigate to the ‘Agent Information’ screen. You can also access this screen by clicking
the ‘Agent Information’ link within the navigation tree for an in progress form. The ‘Save’ icon
in the action bar or the ‘Next’ button must be clicked before the links within the navigation tree
generate and are available to a user.
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4.1.2

Fees Certification

The ‘Fees Certification’ screen presents radio buttons to indicate the applicable fee certification
statement.
You can access the ‘Fees Certification’ screen by selecting:
 Premanufacture Notice (PMN),
 Significant New Use Notice (SNUN),
 Low Release/Low Exposure Exemption (LOREX) @ 40 CFR 723.50(C)(2),
 LoREX Modification,
 Low Volume Exemption (LVE) @ 40 CFR 723.50(c)(1),
 LVE Modification,
 or Test Marketing Exemption Application (TMEA)
from the ‘Type of Notice’ drop-down menu and by clicking the ‘Next’ button from the ‘General
Form Information’ screen. You can also access this screen by clicking the ‘Fees Certification’
link within the navigation tree for an in progress form. If (a) joint submitter(s) is/are identified,
the joint submitter may be responsible for paying part of the fee. If more than one joint submitter
is identified, the last joint submitter that completes the joint form is responsible for paying the
remaining fee balance.
The purpose of the ‘Fees Certification’ screen is to inform EPA of the fee amount that a primary
submitter (and potential secondary submitters) pays on behalf of the reporting organization based
on the business size. For TMEAs, a user that reports as a graduate of the Sustainable Futures
program is exempt from fees. The certification statement selected on the ‘Fees Certification’
screen is non-editable when amending a PMN submission.
The ‘User Fees Certification’ screen used prior to the new Fees rule will still appear in
amendments to submissions made prior to the new rule’s effective date – October 1, 2018.

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Exhibit 4-3 shows a screen capture of the ‘User Fees Certification’ screen prior to the
implementation of the new Fees rule (PMN or SNUN):
Exhibit 4-3 User Fees Certification Screen (PMN or SNUN)

Exhibit 4-4 shows the fee structure implemented for the PMN form type:
Exhibit 4-4 PMN Fee Structure
Form Subtype

Business Size

Fee Amount

PMN,
Consolidated
PMN, SNUN

Average

 $16,000

Small

 $2,800

LoREX, LoREX
Modification,
LVE, LVE
Modification,
TMEA

Average

 $4,700

Small

 $940

TMEA

Sustainable Futures
Graduate

 N/A – Exempt From Fees

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If a user selects the PMN or SNUN form subtype, the following certification statements display:
 The Company named in Part I, Section A will remit the fee of $16,000.00 as specified in
40 CFR 700.45(c): Select this radio button to indicate that the primary submitter will submit
a fee of $16,000. One of the certification statements must be selected.
 The Company named in Part I, Section A is a "small business concern" as defined
under 40 CFR 700.43 and will remit the fee of $2,800.00 as specified in 40 CFR
700.45(c): Select this radio button to indicate that the primary submitter will submit a fee of
$2,800. One of the certification statements must be selected.
 This joint submission includes at least one Company which is a “small business
concern” and at least one Company which is not a “small business concern,” as defined
under 40 CFR 700.43. The $16,000.00 fee will be remitted with the joint submission.
Any remaining balance due for this joint submission is to be paid by the secondary
submitter(s): Select this radio button to indicate that a fee of $16,000 will be paid between
the primary and joint submitter(s). This displays if a joint/LOS submission is pending. One of
the certification statements must be selected.
Exhibit 4-5 shows a screen capture of the ‘Fees Certification’ screen (PMN or SNUN, no
Joint/LOS):
Exhibit 4-5 Fees Certification Screen (PMN or SNUN, No Joint/LOS)

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Exhibit 4-6 shows a screen capture of the ‘Fees Certification’ screen (PMN, SNUN, pending
Joint/LOS):
Exhibit 4-6 Fees Certification Screen (PMN, SNUN, Pending Joint/LOS)

If a LoREX, LoREX Modification, LVE, LVE Modification, or TMEA form subtype is selected,
the following certification statements display:
 The Company named in Part I, Section A will remit the fee of $4,700.00 as specified in
40 CFR 700.45(c): Select this radio button to indicate that the primary submitter will submit
a fee of $4,700. One of the certification statements must be selected.
 The Company named in Part I, Section A is a "small business concern" as defined
under 40 CFR 700.43 and will remit the fee of $940.00 as specified in 40 CFR 700.45(c):
Select this radio button to indicate that the primary submitter will submit a fee of $940. One
of the certification statements must be selected.
 This joint submission includes at least one Company which is a "small business
concern" and at least one Company which is not a "small business concern," as defined
under 40 CFR 700.43. The $4,700.00 fee will be remitted with the joint submission. Any
remaining balance due for this joint submission is to be paid by the secondary
submitter(s): Select this radio button to indicate that a fee of $4,700 will be paid between the

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primary and/or joint submitter(s). This displays if a joint/LOS submission is pending. One of
the certification statements must be selected.
 The company named in Part I, Section A is submitting a sustainable futures TME. The
company has graduated from EPA's Sustainable Futures program and is therefore
exempt from fees for this sustainable futures TME: Select this radio button to indicate
that the reporting company has graduated from EPA’s Sustainable Futures Program and is
therefore not responsible for paying fees. This displays if the form subtype is ‘TMEA.’ One
of the certification statements must be selected.
Exhibit 4-7 shows a screen capture of the ‘Fees Certification’ screen (TMEA, pending
Joint/LOS):
Exhibit 4-7 Fees Certification Screen (TMEA, Pending Joint/LOS)

Navigation: Click the ‘Next’ button to navigate to the ‘Agent Information’ screen. You can also
access this screen by clicking the ‘Agent Information’ link within the navigation tree.

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4.1.3

Small Business Concern Definition

Click the ‘View the updated definition of a small business concern’ link to generate the ‘Small
Business Concern Definition’ window. The window displays a table of the North American
Industry Classification System (NAICS) codes, NAICS descriptions, and applicable small
business concern size in number of employees.
If there are codes that are not listed within the NAICS table, a small business definition applies
to 500 or fewer employees that a company “owns or controls.”
Exhibit 4-8 shows a screen capture of the ‘Small Business Concern Definition’ window (Scroll
1):
Exhibit 4-8 Small Business Concern Definition Window (Scroll 1)

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Exhibit 4-9 shows a screen capture of the ‘Small Business Concern Definition’ window (Scroll
2):
Exhibit 4-9 Small Business Concern Definition Window (Scroll 1)

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Exhibit 4-10 shows a screen capture of the ‘Small Business Concern Definition’ window (Scroll
3):
Exhibit 4-10 Small Business Concern Definition Window (Scroll 3)

Navigation: Click the ‘X’ icon in the upper right-hand corner to close the ‘Small Business
Concern Definition’ window and navigate back to the ‘Fees Certification’ screen.
4.1.4

Agent Information

You can access the ‘Agent Information’ screen by clicking the ‘Next’ button from the ‘General
Form Information’ screen if you are filing a ‘Mock Submission.’ You can also access this screen
by clicking the ‘Next’ button from the ‘Fees Certification’ screen if you are filing a ‘PMN,’
‘SNUN,’ ‘TMEA,’ ‘LVE,’ ‘LVE Modification, ‘LoREX Modification,’ or ‘LoREX.’ You can
also navigate to this screen by clicking the ‘Agent Information’ link within the navigation tree.
The ‘Agent Information’ screen provides fields for you to enter information regarding all parties
involved in representing the PMN form. The agent should be a person who can answer questions

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about the form. The ‘Agent Information’ screen displays an ‘Add Agent’ button that generates
the ‘Add Agent’ pop-up window for you to input the contact information on behalf of whom the
submission is being made. You will be able to enter multiple agents; if the agent is the same
individual who is filling out the form, click the ‘Copy CDX Registration’ button to retrieve user
information entered during CDX registration. The system provides a checkbox for you to claim
entered contact information as confidential by checking the ‘Check here to claim this
information as CBI’ checkbox. Each agent will have an individual CBI claim. You will be able
to enter contact information for each agent, and click the ‘OK’ button, which will populate the
agent table located on the ‘Agent Information’ screen. Click the ‘Delete’ icon ( ) located under
the ‘Actions’ column to delete agents. To edit agent information, click the agent name link
within the ‘Last Name’ column, which will generate the ‘Add Agent’ pop-up window with the
previously entered agent information.
 Add Agent: Click the ‘Add Agent’ button to generate the ‘Add Agent’ pop-up window to
enter information for multiple agents.
 Last Name: Displays the last name of the reported agent. Click the ‘Last Name’ link to
generate the ‘Add Agent’ pop-up window and edit the agent information.
 First Name: Displays the first name of the reported agent.
 Address: Displays the mailing address of the reported agent.
 CBI: Indicates the CBI status of the agent information by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete specific agents; a warning message displays to
confirm deletion of the agent information.

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Exhibit 4-11 shows a screen capture of the ‘Agent Information’ screen:
Exhibit 4-11 Agent Information Screen (PMN)

Navigation: Click the ‘Add Agent’ button to begin the process of adding agent information.
Click the ‘Next’ button to navigate to the ‘Technical Contact Information’ screen. You can also
access this screen by clicking the ‘Technical Contact Information’ link within the navigation
tree.
4.1.4.1

Add Agent

Click the ‘Add Agent’ button to generate the ‘Add Agent’ pop-up window. Enter agent
information into the fields displayed on the ‘Add Agent’ pop-up window. Click the ‘Cancel’
button to close the ‘Add Agent’ pop-up window. Click the ‘OK’ button after entering agent
information to populate the information on the main ‘Agent Information’ screen.
The identification of an agent is optional.
 Copy CDX Registration: Click the ‘Copy CDX Registration’ button to display a prompt
confirming the import of CDX registration information and allow the system to populate the
agent information fields with your contact information provided during CDX registration.
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 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim agent information as confidential. If the ‘CBI’
checkbox is checked before clicking the ‘Copy CDX Registration’ button, the ‘CBI’
checkbox will become unchecked upon navigating back to the pop-up window after copying
CDX registration information. Check the ‘CBI’ checkbox after importing CDX registration
information to claim agent information as confidential.
 First Name: Enter the agent’s first name. Click the ‘Copy CDX Registration’ button to
populate the fields with CDX registration information. This is a required field only if agent
information will be added to the form.
 Last Name: Enter the agent’s last name. Click the ‘Copy CDX Registration’ button to
populate the fields with CDX registration information. This is a required field only if agent
information will be added to the form.
 Position: Enter the agent’s job title.
 Company Name: Enter the agent’s company name. Click the ‘Copy CDX Registration’
button to populate the fields with CDX registration information. This is a required field only
if agent information will be added to the form.
 Phone Number: Enter the agent’s daytime phone number: U.S. or international. This field
does not allow dashes. Click the ‘Copy CDX Registration’ button to populate the fields with
CDX registration information. This is a required field only if agent information will be added
to the form.
 Phone Extension: Enter the agent’s daytime phone number extension. Click the ‘Copy CDX
Registration’ button to populate the fields with CDX registration information.
 Email Address: Enter the agent’s email address. The email address must follow the standard
email address format: John.Doe@abc.com. Click the ‘Copy CDX Registration’ button to
populate the fields with CDX registration information.
 Mailing Address 1: Enter the first line of the agent’s mailing address. Click the ‘Copy CDX
Registration’ button to populate the fields with CDX registration information. This is a
required field only if agent information will be added to the form.
 Mailing Address 2: Enter the second line of the agent’s mailing address. Click the ‘Copy
CDX Registration’ button to populate the fields with CDX registration information.
 City: Enter the city of the agent’s mailing address. Click the ‘Copy CDX Registration’
button to populate the fields with CDX registration information. This is a required field only
if agent information will be added to the form.
 State: Select the state of the agent’s mailing address from the drop-down menu. Click the
‘Copy CDX Registration’ button to populate the fields with CDX registration information.
This is a required field only if agent information will be added to the form and if the
‘Country’ field is set to ‘United States.’ This field is disabled if a non-US country is selected
from the ‘Country’ drop-down menu.
 Postal Code: Enter the postal code of the agent’s mailing address. Click the ‘Copy CDX
Registration’ button to populate the fields with CDX registration information. This is a
required field only if agent information will be added to the form and if the ‘Country’ field is
set to ‘United States.’
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 Country: Select the country of the agent’s mailing address from the drop-down menu. Click
the ‘Copy CDX Registration’ button to populate the fields with CDX registration
information. This field is automatically set to ‘United States’ if a value is selected from the
‘State’ drop-down menu. This is a required field only if agent information will be added to
the form.
Exhibit 4-12 shows a screen capture of the ‘Add Agent’ pop-up window:
Exhibit 4-12 Add Agent Pop-Up Window (PMN)

Navigation: Click the ‘Cancel’ button or the ‘X’ icon in the upper right-hand corner to close the
‘Add Agent’ window and navigate back to the ‘Agent Information’ screen. Click the ‘OK’
button to populate the entered agent information and navigate back to the ‘Agent Information’
screen.

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4.1.5

Technical Contact Information

You can access the ‘Technical Contact Information’ screen by clicking the ‘Next’ button from
the ‘Agent Information’ screen. You can also access this screen by clicking the ‘Technical
Contact Information’ link within the navigation tree.
The technical contact should be able to answer, or obtain answers to, questions related to the
chemical submitted to EPA within the PMN form. The technical contact does not have to
physically work at the site reported on the form, but must be readily available by phone or email.
It is required to identify at least one technical contact.
The system provides functionality to enter multiple technical contacts. If the contact is the same
person who is filling out the form, the system presents a ‘Copy CDX Registration’ button for you
to retrieve your user information from CDX. You will enter the contact information for each
technical contact within the ‘Add Technical Contact’ window and click the ‘OK’ button at the
bottom of the window, which will populate the technical contacts table located on the ‘Technical
Contact Information’ screen. Click the ‘Delete’ icon ( ) located under the ‘Actions’ column to
delete a technical contact. Click the technical contact name within the ‘Last Name’ column to
edit technical contact information.
 Add Technical Contact: Click the ‘Add Technical Contact’ button to generate the ‘Add
Technical Contact’ pop-up window, which provides fields for you to enter technical contact
information.
 Last Name: Displays the last name of the reported technical contact. Click the ‘Last Name’
link to generate the ‘Add Technical Contact’ pop-up window that contains previously
identified technical contact information to edit the technical contact information.
 First Name: Displays the first name of the reported technical contact.
 Address: Displays the address of the reported technical contact.
 CBI: Indicates the CBI status of the technical contact information by displaying either a ‘Y’
or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete specific technical contacts. A pop-up
generates to confirm the deletion of the technical contact information.

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Exhibit 4-13 shows a screen capture of the ‘Technical Contact Information’ screen:
Exhibit 4-13 Technical Contact Information Screen (PMN)

Navigation: Click the ‘Add Technical Contact’ button to begin the process of adding technical
contact information. Click the ‘Next’ button to navigate to the ‘Additional Submission
Information’ screen. You can also access this screen by clicking the ‘Additional Submission
Information’ link within the navigation tree.
4.1.5.1

Add Technical Contact

Click the ‘Add Technical Contact’ button to generate the ‘Add Technical Contact’ pop-up
window. Enter technical contact information into the fields displayed on the ‘Add Technical
Contact’ pop-up window. Click the ‘Cancel’ button to stop populating technical contact
information. Click the ‘OK’ button to populate the entered technical contact information on the
main ‘Technical Contact Information’ screen.
 Copy CDX Registration: Click the ‘Copy CDX Registration’ button to populate the fields
with your contact information provided during CDX registration. A prompt will display
confirming the import of CDX registration information.

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 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim the technical contact information as confidential. If
the ‘CBI’ checkbox is checked before clicking the ‘Copy CDX Registration’ button, the
‘CBI’ checkbox will become unchecked upon navigating back to the pop-up window after
copying CDX registration information. Check the ‘CBI’ checkbox after importing CDX
registration information to claim a technical contact as confidential.
 First Name: Enter the technical contact’s first name. Click the ‘Copy CDX Registration’
button to populate the fields with CDX registration information. This is a required field.
 Last Name: Enter the technical contact’s last name. Click the ‘Copy CDX Registration’
button to populate the fields with CDX registration information. This is a required field.
 Position: Enter the technical contact’s job title.
 Company Name: Enter the technical contact’s company name. Click the ‘Copy CDX
Registration’ button to populate the fields with CDX registration information. This is a
required field.
 Phone Number: Enter the technical contact’s daytime phone number. Click the ‘Copy CDX
Registration’ button to populate the fields with CDX registration information. This is a
required field.
 Phone Extension: Enter the technical contact’s phone number extension. Click the ‘Copy
CDX Registration’ button to populate the fields with CDX registration information.
 Email Address: Enter the technical contact’s email address. The email address must follow
the standard email address format: John.Doe@abc.com. Click the ‘Copy CDX Registration’
button to populate the fields with CDX registration information.
 Mailing Address 1: Enter the first line of the technical contact’s mailing address. Click the
‘Copy CDX Registration’ button to populate the fields with CDX registration information.
This is a required field.
 Mailing Address 2: Enter the second line of the technical contact’s mailing address. Click
the ‘Copy CDX Registration’ button to populate the fields with CDX registration
information.
 City: Enter the technical contact’s U.S. city of the mailing address. Click the ‘Copy CDX
Registration’ button to populate the fields with CDX registration information. This is a
required field.
 State: Select the state of the technical contact’s mailing address from the drop-down menu.
Click the ‘Copy CDX Registration’ button to populate the fields with CDX registration
information. This is a required field.
 Postal Code: Enter the postal code of the technical contact’s mailing address. Click the
‘Copy CDX Registration’ button to populate the fields with CDX registration information.
This is a required field.
 Country: Displays ‘United States.’

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Exhibit 4-14 shows a screen capture of the ‘Add Technical Contact’ pop-up window:
Exhibit 4-14 Add Technical Contact Pop-Up Window (PMN)

Navigation: Click the ‘Cancel’ button or ‘X’ icon at the upper right-hand corner of the window
to return to the ‘Technical Contact Information’ screen without saving the technical contact
information. Click the ‘OK’ button to save and populate the entered technical contact
information and navigate back to the ‘Technical Contact Information’ screen.
4.1.6

Additional Submission Information

You can access the ‘Additional Submission Information’ screen by clicking the ‘Next’ button
from the ‘Technical Contact Information’ screen. You can also access this screen by clicking the
‘Additional Submission Information’ link within the navigation tree.
The ‘Additional Submission Information’ screen gathers information concerning the PMN form
that references generic information allowing EPA to set a base point for the project.

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The ‘Prenotice Communication Number’ is a number given to a user during past communication
with EPA. The ‘Prenotice Communication Number’ is required if you are filing a consolidated
PMN. EPA must approve all consolidated PMN forms prior to submission. The system will
require that you either enter a number into the text field or check the ‘None’ checkbox. You may
declare the entered identification number(s) confidential by checking the ‘CBI’ checkbox.
EPA uses the ‘Previously Submitted Notice Number’ to link past, current, and future forms. This
number allows EPA to associate previous renditions of the current submission in the PMN
process. The system will require that you either enter a case number into the text field or check
the ‘None’ checkbox. You may declare the entered identification number(s) confidential by
checking the ‘CBI’ checkbox.
The ‘Bona Fide Intent Notice Number’ is listed to show the company previously contacted EPA
to determine whether the chemical in question was previously listed on the TSCA inventory. The
system will require that you either enter a number into the text field or check the ‘None’
checkbox. You may declare the entered identification number(s) confidential by checking the
‘CBI’ checkbox.
On this screen, a company must also declare whether the newly registered chemical will be
manufactured or imported. You will have the option to select ‘Manufacture’ and/or ‘Import’ and
depending on whether the company only intends to do one of the available options, the system
provides ‘Binding’ checkboxes to indicate a binding option. If the ‘Manufacture’ checkbox is
checked, the screens within the ‘Submitter Controlled Operations’ folder automatically generates
upon clicking the ‘Save’ button located in the bottom action bar.
The binding option demonstrates that you intend to execute the selected option and would be
legally bound to that situation if EPA chooses to regulate that chemical. The purpose of the
binding option is to enable EPA (if necessary) to efficiently negotiate with a PMN submitter the
development of §5(e) consent orders and promulgate SNUR for those new chemical substances
that the Agency determines may present an unreasonable risk if certain control actions are not
implemented. This option is intended to reduce delays that can slow the development of consent
orders. At one time, SNUR were limited to environmental release activities and certain
industrial, commercial, or consumer activities, but now they can include other important
activities, such as protection in the workplace and hazard communications. Control measures
instituted by the submitter to reduce exposures and/or releases of the substance may have a direct
bearing on the Agency's conclusions regarding risk. Therefore, you may wish to indicate your
willingness to be bound to certain submitted information on the form, which relates to the issue
of potential risk such as use, production volume, protective equipment, engineering controls,
and/or process description. By indicating your willingness to make these commitments, you
would be indicating an interest in future negotiations if EPA deems them necessary.
 Prenotice Communication Number – None: Check the ‘None’ checkbox for the ‘Prenotice
Communication Number’ to indicate that there is no Prenotice Communication Number.
Check the ‘None’ checkbox to remove the ‘Prenotice Communication #’ fields and
associated actions. Un-check the ‘None’ checkbox to re-generate a ‘Prenotice
Communication Number’ field and enter a value.
 Prenotice Communication Number: Enter the Prenotice Communication Number to
associate with a previous contact with EPA. Click the ‘Save’ icon ( ) to save an individual
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entry. Click the ‘Form’ icon ( ) that displays after saving to edit an individual entry. Click
the ‘Delete’ icon ( ) to delete individual entries. Click the ‘Add’ icon ( ) to generate blank
text fields to provide additional entries. This field is required if a form is a consolidated
submission, regardless of whether the ‘None’ checkbox is checked.
 Prenotice Communication Number – CBI: Check the ‘CBI’ checkbox to claim all
identified Prenotice Communication Numbers as confidential.
 Previously Submitted Notice Number – None: Check the ‘None’ checkbox for the
‘Previously Submitted Notice Number’ to indicate that there is no previously submitted
notice number. Check the ‘None’ checkbox to remove the ‘Previously Submitted Notice
Number’ fields and associated actions. Un-check the ‘None’ checkbox to re-generate a
‘Previously Submitted Notice Number’ field and enter a value.
 Previously Submitted Notice Number: Enter the previously submitted notice number to
associate with a previous contact with EPA. Enter this number in a case number format (a
PMN, SNUN, LVE, LVE Modification, LoREX, LoREX Modification, or TMEA case
number format); this value accepts alphanumeric characters and dashes. Click the ‘Save’ icon
( ) to save an individual entry. Click the ‘Form’ icon ( ) that displays after saving to edit
an individual entry. Click the ‘Delete’ icon ( ) to delete individual entries. Click the ‘Add’
icon ( ) to generate blank text fields to provide additional entries. This field is required, or
the ‘None’ checkbox must be checked.
 Previously Submitted Notice Number – CBI: Check the ‘CBI’ checkbox to claim all
identified previously submitted notice numbers as confidential.
 Bona Fide Intent Notice Number – None: Check the ‘None’ checkbox for the ‘Bona Fide
Intent Notice Number’ to indicate that there is no bona fide intent notice number. Check the
‘None’ checkbox to remove the ‘Bona Fide Intent Notice Number’ fields and associated
actions. Un-check the ‘None’ checkbox to re-generate a ‘Bona Fide Intent Notice Number’
field and enter a value.
 Bona Fide Intent Notice Number: Enter the bona fide intent notice number to associate
with a previous contact with EPA. Click the ‘Save’ icon ( ) to save an individual entry.
Click the ‘Form’ icon ( ) that displays after saving to edit an individual entry. Click the
‘Delete’ icon ( ) to delete individual entries. Click the ‘Add’ icon ( ) to generate blank
text fields to provide additional entries. This field is required, or the ‘None’ checkbox must
be checked.
 Bona Fide Intent Notice Number – CBI: Check the ‘CBI’ checkbox to claim all identified
bona fide intent notice numbers as confidential.
 Manufacture: Check the ‘Manufacture’ checkbox to claim the intent to manufacture. The
screens within the ‘Submitter Controlled Operations’ folder automatically generate when the
‘Manufacture’ checkbox is checked.
 Binding: Check the ‘Binding’ checkbox to claim intent to manufacture information as
binding.
 Import: Check the ‘Import’ checkbox to claim the intent to import.
 Binding: Check the ‘Binding’ checkbox to claim intent to import information as binding.

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Exhibit 4-15 shows a screen capture of the ‘Additional Submission Information’ screen:
Exhibit 4-15 Additional Submission Information Screen (PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Chemical Identification’ screen. You
may also access this screen by clicking the ‘Add Consolidated Chemical’ link within the
navigation tree.
4.1.7

Chemical Identification

You can access the ‘Chemical Identification’ screen by clicking the ‘Next’ button from the
‘Additional Submission Information’ screen. You may also click the ‘Add Consolidated
Chemical’ link within the navigation tree to access the ‘Chemical Identification’ screen.
The ‘Chemical Identification’ screen identifies the type of chemical the submitter will be
entering into the application. You will be able to file a PMN form for a class 1 or 2 chemical
substance or a polymer. Based on your selection, the appropriate screens for the respective
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chemical will appear. If you select the ‘Class 1 or 2 Chemical Substance’ radio button, click the
‘Save’ icon ( ) within the bottom action bar, or click the ‘Next’ button to generate the ‘Class 1
or 2 Chemical Substances’ screen within the navigation tree. If you identify the chemical as a
polymer by selecting the ‘Polymer’ radio button, click the ‘Save’ icon ( ) within the bottom
action bar, or click the ‘Next’ button to generate the ‘Polymer Identification Information’ screen
and the ‘Monomers and Other Reactants’ screen within the navigation tree.
This screen provides a field to identify an alias for the chemical substance, and allows you to
identify chemicals in a consolidated chemical submission. The chemical alias is required if a
Joint Submission or Letter of Support is being filed and renames the chemical folder within the
navigation tree.
 Class 1 or 2 Chemical Substance: Select the ‘Class 1 or 2 Chemical Substance’ radio button
to indicate that the chemical is a class 1 or 2 substance. If you select the ‘Polymer’ radio
button after initially selecting the ‘Class 1 or 2 Chemical Substance’ radio button, the
application generates a confirmation message warning you that you will lose all data for this
chemical if the chemical type changes. Selecting either the ‘Class 1 or 2 Chemical Substance’
or ‘Polymer’ radio button is required.
 Polymer: Select the ‘Polymer’ radio button to indicate that the chemical is a polymer. If you
select the ‘Class 1 or 2 Chemical Substance’ radio button after initially selecting the
‘Polymer’ radio button, the application generates a confirmation message warning you that
you will lose all data for this chemical if the chemical type changes. Selecting either the
‘Class 1 or 2 Chemical Substance’ or ‘Polymer’ radio button is required.
 Chemical Alias: Enter the chemical alias to associate with a chemical. This field will autogenerate a chemical alias in the navigation tree upon leaving the screen if this field is left
blank. This field is required if the form is pending a Joint Submission or a Letter of Support.

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Exhibit 4-16 shows a screen capture of the ‘Chemical Identification’ screen:
Exhibit 4-16 Chemical Identification Screen (PMN)

Navigation: If you selected the ‘Class 1 or 2 Chemical Substance’ radio button, click the ‘Next’
button to navigate to the ‘Class 1 or 2 Chemical Substances’ screen. You can also access this
screen by clicking the ‘Class 1 or 2 Chemical Substances’ link within the navigation tree.
If you selected the ‘Polymer’ radio button, click the ‘Next’ button to navigate to the ‘Polymer
Identification Information’ screen. You can also navigate to this screen by clicking the ‘Polymer
Identification Information’ link within the navigation tree.
4.1.8

Class 1 or 2 Chemical Substances

You can access the ‘Class 1 or 2 Chemical Substances’ screen if you selected the ‘Class 1 or 2
Chemical Substance’ radio button on the ‘Chemical Identification’ screen and clicked the ‘Next’
button. You can also access this screen by clicking the ‘Class 1 or 2 Chemical Substances’ link
within the navigation tree for an in progress form.
The ‘Class 1 or 2 Chemical Substances’ screen provides fields for you to enter information
describing the chemical for which the PMN is to be filed. This screen will outline the unique
chemical properties that show the name, composition, and structure of the chemical. The system
provides fields for you to identify several key aspects concerning a chemical’s identity.
For a single component submission, create the field set by clicking the ‘Add New Chemical’
button. Upon clicking the ‘Add New Chemical’ button, the application generates an
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expandable/collapsible field set containing numerous fields for you to enter information
pertaining to that particular chemical.
For a multi-component submission, create another field set by clicking the ‘Add New Chemical’
button. Multi-component chemical submissions occur when two or more chemicals are always
generated together in a single pot and are never isolated. Upon clicking the ‘Add New Chemical’
button, the application generates a field set containing numerous fields for you to enter
information pertaining to that particular chemical. Enter additional chemical components, each
with unique identifying information, by clicking the ‘Add New Chemical’ button for each
additional chemical that is part of the multi-component mixture. All multi-component chemicals
will reside in one chemical folder in the navigation tree. Duplicate chemicals are not allowed
within a multi-component submission.
For a consolidated submission, create and identify chemicals in separate chemical folders by
clicking the ‘Add Consolidated Chemical’ link within the navigation tree.
If you select the ‘Class 1’ radio button on the ‘Class 1 or 2 Chemical Substances’ screen, click
the ‘Next’ button to navigate to the ‘Additional Chemical Information’ screen. If you select the
‘Class 2’ radio button on the ‘Class 1 or 2 Chemical Substances’ screen, click the ‘Next’ button
to navigate to the ‘Class 2 Substances’ screen.
For a class 1 substance chemical structure diagram, provide a complete and correct chemical
structure diagram. A class 1 structural diagram clearly and completely indicates the identity of
the atoms and the nature and location of the bonds joining the atoms. Provide ionic charges and
known stereo chemical details. Carbon atoms in ring systems do not need to be explicitly shown.
For a class 2 substance chemical structure diagram:
1) List the immediate precursor substances with their respective CASRN.
2) Describe the nature of the reaction or process.
3) Indicate the range of composition and the typical composition (where appropriate).
4) Provide a correct representative or partial chemical structure diagram, as complete as can
be known, if one can be reasonably ascertained.
Provide partial, complete, or representative structural diagrams to the extent possible. The
diagram should indicate the characteristic or variable compositional structural components of the
substance. If you are unsure of the exact structure, provide the best information you have and
indicate that it is your best estimate of the chemical structure.
 Add New Chemical: Click the button to generate the class 1 or 2 chemical substances
expandable/collapsible field set.
 Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the
expandable/collapsible field set to prevent edits from saving and to remove a field set. The
‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A
confirmation message displays to confirm the action.
 Edit: Click the ‘Edit’ link located in the upper right-hand corner of the
expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’

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link displays when the expandable/collapsible field set has been saved and the data is not
currently editable.
 Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the
expandable/collapsible field set to delete the field set. A confirmation message displays to
confirm the deletion.
 Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to expand a series of field sets.
 Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to collapse a series of field sets.
 B.1.a. Class of Substance: In section B.1.a., select the ‘Class 1’ or ‘Class 2’ radio button to
identify whether a ‘Class 1’ or ‘Class 2’ chemical substance is being reported. Selecting the
‘Class 2’ chemical substance radio button indicates that some portions of the structure may
not be known and a ‘Class 2 Substances’ screen will appear within the navigation tree after
clicking the ‘Next’ button for you to enter information concerning how the chemical was
created. If multiple ‘Class 2’ chemical components are added, only one ‘Class 2 Substances’
screen will generate that applies to all the components. Check the ‘CBI’ checkbox to claim
the chemical substance class as confidential. Either the ‘Class 1’ or ‘Class 2’ radio button
must be selected.
 Class 1: Select the ‘Class 1’ radio button to identify the chemical as a ‘Class 1’ substance. A
‘Class 1’ substance is a single molecular entity that can be represented by a single, definite
structural diagram. Either the ‘Class 1’ or the ‘Class 2’ radio button in the ‘B.1.a. Class of
Substance’ section is required.
 Class 2: Select the ‘Class 2’ radio button to identify the chemical as a ‘Class 2’ substance. A
‘Class 2’ substance is a substance whose composition cannot be represented by a single,
definite chemical structural diagram. Class 2 substances include substances of unknown,
variable, or uncertain composition, complex mixtures or reaction products, or well-defined
substances without specific structures. Either the ‘Class 1’ or the ‘Class 2’ radio button in the
‘B.1.a. Class of Substance’ section is required.
 CBI: Check the ‘CBI’ checkbox to claim the ‘Class of Substance’ as confidential.
 Search SRS: Click the ‘Search SRS’ button to generate the ‘Search Substance Registry
Services’ pop-up window. Refer to Section 3.10 for additional details regarding the search
SRS functionality.
 CASRN: Displays the CASRN of the chemical identified on the ‘Search Substance Registry
Services’ pop-up window, if applicable.
 Chemical Name: Displays the chemical name of the chemical identified on the ‘Search
Substance Registry Services’ pop-up window. For class 1 substances, a ‘Chemical Abstracts
(CA) Index Name’ must be provided. For class 2 substances either a ‘CA Index Name’ or
‘CA Preferred Name’ must be provided, whichever is appropriate based on current CA
nomenclature rules and conventions. This is a required field.
 CBI: Check the ‘CBI’ checkbox to claim the ‘Chemical Name’ field as confidential and
generate the ‘Generic Chemical Name’ text field.

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 B.6. Generic Chemical Name: Enter the generic name to associate with a chemical. This
field only displays when ‘CASRN’ and ‘Chemical Name’ are marked as ‘CBI.’ This is a
required field if there is no pending Letter of Support or Joint Submission for the form.
 Method 1 (CAS Inventory Expert Service): Select the ‘Method 1 (CAS Inventory Expert
Service)’ radio button to identify the ID method as the CAS Inventory Expert Service (IES)
method and generate the ‘IES Order #’ field. A copy of the identification report obtained
from the CAS Inventory Expert Services must be submitted as an attachment to this notice;
an IES report is required. For a consolidated submission, each chemical must be ‘Method 1’
except when the submission is pending a Letter of Support for that chemical. In the case of
an LVE/LOREX modification form type, this ‘Method 1’ requirement is not applicable. A
single response option in the ‘B.1.c. ID Method’ section is required if there is no pending
Letter of Support or Joint Submission for the form.
 Method 2 (Other Method): Select the ‘Method 2 (Other Method)’ radio button to identify
the ID method as ‘Other Method.’ An alternative method of providing a name, such as a
Scientific and Technical Information Network (STN) database report or a CAS Client
Services report, qualifies as ‘Method 2.’ The chemical can be ‘Method 2’ if the consolidated
submission is pending a Letter of Support. A single response option in the ‘B.1.c. ID
Method’ section is required if there is no pending Letter of Support or Joint Submission for
the form.
 IES Order #: Enter the IES order number of the report. This field only displays when the
‘Method 1 (CAS Inventory Expert Service)’ radio button is selected. This is a required field
if the ‘Method 1 (CAS Inventory Expert Service)’ radio button is selected and if there is no
pending Letter of Support or Joint Submission for the form.
 B.1.d. Molecular Formula: Enter the molecular formula associated with a chemical. The
molecular formula must give the correct identity and number of atoms of each element
contained in the PMN molecule or a description if the substance is a class 2 material. The
system will not allow subscripts and superscripts to be used. This is a required field if there is
no pending Letter of Support or Joint Submission for the form.
 CBI: Check the ‘CBI’ checkbox to claim the ‘Molecular Formula’ data as confidential.
 Attachments: Select the section of the page the file is associated with that you intend to
attach from the drop-down menu. This drop-down menu contains the following values:
‘Chemical Structure Diagram’ and ‘ID Method.’ This is a required field to upload an
attachment.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window. Refer to Section 3.6 for further details regarding the attach document
functionality.
 Section: Displays the section associated with a document.
 File Name: Displays the file name and file extension of the file that is uploaded on the
‘Attach Documents’ pop-up window.
 Description: Displays the description associated with a document.
 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
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 Actions: Click the ‘Delete’ icon ( ) to delete the entire document row permanently from the
system; a warning message displays to confirm the deletion of the document.
 Save: Click the button to save the information entered within the expandable/collapsible field
set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom
action bar to successfully save the entered information within the field set before being able
to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section
3.9 for more information regarding the save functionality in an expandable/collapsible field
set.
Exhibit 4-17 shows a screen capture of the ‘Class 1 or 2 Chemical Substances’ screen (Scroll 1):
Exhibit 4-17 Class 1 or 2 Chemical Substances Screen (PMN) (Scroll 1)

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Exhibit 4-18 shows a screen capture of the ‘Class 1 or 2 Chemical Substances’ screen (Scroll 2):
Exhibit 4-18 Class 1 or 2 Chemical Substances Screen (PMN) (Scroll 2)

Navigation: If you select the ‘Class 1’ radio button, click the ‘Next’ button to navigate to the
‘Additional Chemical Information’ screen. You can also access this screen by clicking the
‘Additional Chemical Information’ link within the navigation tree. If you select the ‘Class 2’
radio button, click the ‘Next’ button to navigate to the ‘Class 2 Substances’ screen. You can also
access this screen by clicking the ‘Class 2 Substances’ link within the navigation tree for an in
progress form.
4.1.9

Class 2 Substances

You can access the ‘Class 2 Substances’ screen by clicking the ‘Next’ button from the ‘Class 1
or 2 Chemical Substances’ screen when you select the ‘Class 2’ radio button for the ‘Class of
Substance’ field. You can also access this screen by clicking the ‘Class 2 Substances’ link within
the navigation tree for an in progress form.

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The ‘Class 2 Substances’ screen captures information regarding a class 2 chemical substance. A
class 2 chemical substance is a substance that may not have a defined chemical structure that has
been identified. This screen provides fields to identify specific elements in the creation of the
chemical using the following fields: ‘Precursor Substances,’ ‘Nature of Reaction,’ and ‘Range of
Composition.’
Enter precursor substances by searching SRS or using manual entry when the substance is not in
SRS. The selected substances will display in a table listing the ‘Chemical Name’ and ‘CASRN.’
The system provides fields to capture ‘Nature of Reaction’ and ‘Range of Composition’ in text
boxes. The ‘Nature of Reaction’ and ‘Range of Composition’ text boxes can be claimed as CBI.
 B.1.e.1. Precursor Substances: This table captures the chemicals identified as immediate
precursor substances, along with the respective CASRNs, if applicable.
 CBI: Check the ‘CBI’ checkbox to claim the precursor substances information as
confidential.
 Search SRS: Click the ‘Search SRS’ button to generate the ‘Search Substance Registry
Services’ pop-up window. Refer to Section 3.10 for additional details regarding the search
SRS functionality.
 Chemical Name: Displays the chemical name associated with a precursor substance. Click
the chemical name link to generate the ‘Search SRS’ pop-up window to make edits.
 CASRN: Displays the CASRN, if applicable, associated with a precursor substance.
 Actions: Click the ‘Delete’ icon ( ) to delete the entire chemical row permanently from the
system; a warning message displays to confirm the deletion of the chemical.
 B.1.e.2. Nature of Reaction: Enter the nature of the reaction or process description.
 CBI: Check the ‘CBI’ checkbox to claim the nature of reaction information as confidential.
 B.1.e.3. Range of Composition: Enter the range of composition and the typical composition
description. Provide the range of composition in weight percent for each specific component
or class of components that you intend to manufacture for commercial purposes.
 CBI: Check the ‘CBI’ checkbox to claim the range of composition information as
confidential.
 Attachments: Select the section of the page the document you intend to attach is associated
with from the drop-down menu. This drop-down menu contains the following values:
‘B.1.e.1. Precursor Substances,’ ‘B.1.e.2. Nature of Reaction,’ and ‘B.1.e.3. Range of
Composition.’ This is a required field.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window and initiate the document upload process. Refer to Section 3.6 for further
details regarding the attach document functionality.
 Section: Displays the section associated with a document.
 File Name: Displays the file name and file extension of a file that is uploaded on the ‘Attach
Documents’ window.
 Description: Displays the description associated with a document.

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 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the entire document row permanently from the
system; a warning message displays to confirm the deletion.
Exhibit 4-19 shows a screen capture of the ‘Class 2 Substances’ screen (Scroll 1):
Exhibit 4-19 Class 2 Substances Screen (PMN) (Scroll 1)

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Exhibit 4-20 shows a screen capture of the ‘Class 2 Substances’ screen (Scroll 2):
Exhibit 4-20 Class 2 Substances Screen (PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Additional Chemical Information’
screen. You can also access this screen by clicking the ‘Additional Chemical Information’ link
within the navigation tree.
4.1.10

Additional Chemical Information

You can navigate to the ‘Additional Chemical Information’ screen by selecting the ‘Class 1’
radio button on the ‘Class 1 or 2 Chemical Substances’ screen and clicking the ‘Next’ button, by
clicking the ‘Next’ button on the ‘Class 2 Substances’ screen, or clicking the ‘Next’ button from
the ‘Monomers and Other Reactants’ screen. You can also access this screen by clicking the
‘Additional Chemical Information’ link within the navigation tree.
The ‘Additional Chemical Information’ screen captures information regarding the chemicals
produced as byproducts and impurities when a chemical is manufactured. This screen also

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captures other names for the chemical at hand in the ‘Synonyms’ and ‘Trade Identification’
tables.
An ‘Impurities’ table displays information regarding the impurities that may be reasonably
anticipated to be in the respective chemical or polymer as manufactured for commercial purpose.
Click the ‘Search SRS’ button to access the ‘Search SRS’ pop-up window and populate the
‘Impurities’ table. You will also be able to enter a chemical using the ‘Chemical Name’ and
‘CASRN’ field (if applicable) on the ‘Chemical Not Found In Substance Registry Services’ popup window. If there are unidentified impurities, enter “unidentified.” You also have the option of
claiming the chemical as confidential by checking the ‘CBI’ checkbox. A ‘Maximum %’ field is
also displayed which captures the maximum percentage for the impurity. Documents may be
attached for the ‘Impurities’ section if necessary.
A ‘Byproducts’ table provides fields to capture information regarding the byproducts that may be
produced from the manufacture of the respective chemical or polymer. Click the ‘Search SRS’
button to access the ‘Search SRS’ pop-up window and populate the ‘Byproducts’ table. You may
associate a CASRN with a byproduct (if applicable) and check the ‘CBI’ checkbox to claim a
byproduct as confidential. Documents may be attached for the ‘Byproducts’ section if necessary.
A ‘Synonyms’ table provides fields to capture the synonyms that the respective chemical or
polymer may be referred to in the documentation. A maximum of five synonyms can be entered
in the table. The search SRS functionality cannot be used to populate the ‘Synonyms’ table. You
may attach documents associated with the ‘Synonyms’ section to provide additional synonyms if
necessary.
A ‘Trade Identification’ table provides fields to capture information about the trade names by
which the respective chemical or polymer may be referred in documentation. The number of
trade names that may be added is unlimited. You may attach documents associated with the
‘Trade Identification’ section to provide additional information if necessary.
The ‘Attach Documents’ pop-up window provides fields to upload documents related to the
‘Impurities,’ ‘Byproducts,’ ‘Synonyms,’ and/or ‘Trade Identification’ section(s). Select the
section of the page the document is associated with from the ‘Section’ drop-down menu, and
click the ‘Attach Document’ button to generate the ‘Attach Documents’ pop-up window and
attach a document. The system provides a ‘CBI’ checkbox to claim the uploaded document as
confidential. If you claim a document as CBI, the system requires you to upload the sanitized
version of the attached document.
If the sanitized version of the document is not provided, the Section 5 Notices and Supports form
will fail validation upon navigating away from the ‘Attach Documents’ window. To view or edit
previously attached documents, click the appropriate file name of the document within the ‘File
Name’ column of the attachments table.
The attachments table displays the section of the page the document is associated with, the file
name and file extension of the document, the document description, the number of pages in the
document, and if the document was claimed CBI. Click the ‘Delete’ icon ( ) located under the
‘Actions’ column to delete unwanted documents. Click a file name link in the ‘File Name’
column to generate the ‘Attach Documents’ pop-up window to view and/or edit an attached
document.

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 B.3. Impurities – Search SRS: Click the ‘Search SRS’ button to display the ‘Search
Substance Registry Services’ pop-up window. Refer to Section 3.10 for further details
regarding the search SRS functionality.
 Impurity: Displays the name of the impurity. An impurity is a chemical substance that you
did not intend to be present with your PMN substance. List all known impurities that are
present, regardless of their weight percent. List the expected maximum percentage of each
impurity and indicate its confidentiality status. An impurity may be suggestive of chemical
precursors or chemical processes. Click the ‘Impurity’ link to navigate to the ‘Search
Substance Registry Services’ pop-up window to edit chemical information for an impurity.
 CASRN: Displays the Chemical Abstracts Service Registry Number for the impurity (if
applicable).
 Maximum %: Displays the maximum percentage for the impurity; decimal values are
accepted.
 CBI: Indicates the CBI status of the impurity by displaying either a ‘Y’ or an ‘N.’
 Action: Click the ‘Delete’ icon ( ) to delete the entire impurity entry permanently from the
system; a warning message displays to confirm the deletion.
 B.7. Byproducts - Search SRS: Click the ‘Search SRS’ button to generate the ‘Search
Substance Registry Services’ pop-up window. Refer to Section 3.10 for further details
regarding the search SRS functionality.
 Byproduct Name: Displays the name of the byproduct. Describe any byproducts resulting
from the manufacture, processing, use, or disposal of the new chemical substance. List any
byproducts that you reasonably anticipate will result from the manufacture, processing, use
and disposal of the new chemical substance at sites under your control. Click the ‘Byproduct
Name’ link to generate the ‘Search Substance Registry Services’ pop-up window to view
and/or edit byproduct information. Provide the specific chemical name, CAS numbers if they
can be determined, and the confidential status of the byproducts formed. If no byproducts are
formed, enter “None” or leave the section blank.
 CASRN: Displays the CASRN for the byproduct (if applicable).
 CBI: Indicates the CBI status of the byproduct by displaying either a ‘Y’ or an ‘N.’
 Action: Click the ‘Delete’ icon ( ) to delete the entire byproduct entry permanently from
the system; a warning message displays to confirm the deletion.
 B.4. Synonyms - CBI: Check the ‘CBI’ checkbox to claim the ‘Synonym’ field set as
confidential.
 Synonym: Enter the synonym of the chemical; there is a maximum of five chemical
synonyms that can be added in the ‘Synonyms’ table. Additional synonyms can be provided
in an attachment. Synonyms include common chemical names used in scientific or technical
literature, and code numbers or code names referenced in the PMN and its attachments.
Indicate which synonyms may be proprietary and require CBI protection. Chemical name
synonyms must be consistent with the chemical structure and thus not misleading. If you add
a blank, editable line in this table and click the ‘Next’ button, no error will display indicating
that the blank line should be saved or deleted. If text is entered in a blank field and you click
the ‘Next’ button, the application will save the entered value. If you click the ‘Form’ icon
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( ), edit the entered values and click the ‘Next’ button without saving the changed value, an
error will generate.
 Actions: Click the ‘Add’ icon ( ) to add a new text field to enter additional synonyms.
Click the ‘Save’ icon ( ) to save a chemical synonym. Click the ‘Form’ icon ( ) that
appears after saving to edit a chemical synonym. Click the ‘Delete’ icon ( ) to delete a
previously added chemical synonym. To cancel changes to a field, simply clear the data
entered in the field.
 B.5. Trade Identification – CBI: Check the ‘CBI’ checkbox to claim the trade identification
section as confidential.
 Trade Name: Enter the trade identification name. List any trade name that is used, or will be
used, for the neat chemical substance, whether or not they are registered brands/trademarks.
The number of trade names that can be added is unlimited. Check the ‘CBI’ checkbox to
indicate the CBI status of trade names. If you add a blank, editable line in this table and click
the ‘Next’ button, no error will display indicating that the blank line should be saved or
deleted. If text is entered in a blank field and you click the ‘Next’ button, the application will
save the entered value. If you click the ‘Form’ icon ( ), change the entered value(s) and
click the ‘Next’ button without saving the changed value(s), an error message will generate.
 Actions: Click the ‘Add’ icon ( ) to add a new text field to enter additional trade
identification names. Click the ‘Save’ icon ( ) to save a trade identification name. Click the
‘Form’ icon ( ) to edit a trade identification name. Click the ‘Delete’ icon ( ) to delete a
previously added trade identification name.
 Attachments: Select the section of the page with which the document is associated from the
drop-down menu. This drop-down menu contains the following values: ‘Byproducts
Section,’ ‘Impurities Section,’ ‘Synonyms Section,’ and ‘Trade Identification Section.’
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window. Refer to Section 3.6 for further details regarding the attach document
functionality.
 Section: Displays the section of the page with which the document is associated.
 File Name: Displays the file name and file extension of the file that is uploaded on the
‘Attach Documents’ pop-up window.
 Description: Displays the description associated with a document.
 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Action: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system; a warning message displays to confirm deletion of the document.

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Exhibit 4-21 shows a screen capture of the ‘Additional Chemical Information’ screen (Scroll 1):
Exhibit 4-21 Additional Chemical Information Screen (PMN) (Scroll 1)

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Exhibit 4-22 shows a screen capture of the ‘Additional Chemical Information’ screen (Scroll 2):
Exhibit 4-22 Additional Chemical Information Screen (PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Production Volume and Hazard/Safety
Information’ screen. You can also access this screen by clicking the ‘Production Volume and
Hazard/Safety Information’ link within the navigation tree.
4.1.11

Polymer Identification Information

You can access the ‘Polymer Identification Information’ screen by clicking the ‘Next’ button
from the ‘Chemical Identification’ screen if you select the ‘Polymer’ radio button. You can also
access this screen by clicking the ‘Polymer Identification Information’ link within the navigation
tree after selecting the ‘Polymer’ radio button on the ‘Chemical Identification’ screen.
The ‘Polymer Identification Information’ screen captures information describing the polymer(s)
for which the PMN will be filed. This screen outlines the unique chemical properties that show
the name, composition, and structure of the polymer. The system will provide fields for you to
identify several key aspects concerning a polymer’s identity.
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To reference a monomer cleared with an LVE, comments should be included in an attachment
(for example, on a reaction scheme).
Click the ‘Add New Chemical’ button to create a chemical field set. Upon clicking the ‘Add
New Chemical’ button, an expandable/collapsible field set generates that contains numerous
fields that pertain to the particular polymer. You are able to enter multiple chemical substances,
each with unique information, by clicking the ‘Add New Chemical’ button for each chemical
you wish to identify.
For a single component submission, create the field set by clicking the ‘Add New Chemical’
button. Upon clicking the ‘Add New Chemical’ button, the application generates a field set
containing numerous fields that captures information pertaining to that particular chemical.
For a multi-component submission, click the ‘Add New Chemical’ button to create a field set.
Multi-component chemical submissions occur when two or more chemicals always generate
together in a single pot and are never isolated. Upon clicking the ‘Add New Chemical’ button,
the application generates a field set that provides numerous fields to enter information pertaining
to that particular chemical. Enter additional chemical substances, each with unique identifying
information, by clicking the ‘Add New Chemical’ button for each additional chemical that is part
of the multi-component mixture. All multi-component chemicals will reside in one chemical
folder in the navigation tree.
For a consolidated submission, create separate chemical folders by clicking the ‘Add
Consolidated Chemical’ link within the navigation tree. A form may contain a maximum of six
(6) separate chemical folders.
 Add New Chemical: Click the ‘Add New Chemical’ button to generate a polymer
identification information expandable/collapsible field set.
 Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the
expandable/collapsible field set to prevent edits from saving and to remove a field set. The
‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A
confirmation message displays to confirm the action.
 Edit: Click the ‘Edit’ link located in the upper right-hand corner of the
expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’
link displays when the expandable/collapsible field set has been saved and the data is not
currently editable.
 Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the
expandable/collapsible field set to delete the field set; a confirmation message displays to
confirm the deletion.
 Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to expand a series of field sets.
 Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to collapse a series of field sets.
 Search SRS: Click the button to generate the ‘Search SRS’ pop-up window. Refer to Section
3.10 for additional details regarding the search SRS functionality.

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 CASRN: Displays the CASRN of the chemical identified on the ‘Search SRS’ pop-up
window, if applicable.
 Chemical Name: Displays the name of the chemical that has been identified on the ‘Search
SRS’ pop-up window.
 CBI: Check the ‘CBI’ checkbox to identify the chemical as confidential.
 Generic chemical name: Enter the generic name to associate with a chemical. This field
displays when ‘Chemical Name’ and ‘CASRN’ are claimed CBI. This is a required field if
there is no pending Letter of Support or Joint Submission for the form.
 Method 1 (CAS Inventory Expert Service): Select the ‘Method 1 (CAS Inventory Expert
Service)’ radio button to identify the ID method as the ‘CAS Inventory Expert Service’
method. Submit a copy of the identification report obtained from the CAS Inventory Expert
Services as an attachment to this notice. For a consolidated submission, each chemical must
be ‘Method 1’ except when the submission is pending a Letter of Support for that chemical.
Select the ‘Method 1 (CAS Inventory Expert Service)’ radio button to generate the ‘IES
Order #’ field. A single response option in the ‘ID Method’ section is required if there is no
pending Letter of Support or Joint Submission for the form.
 IES Order #: Select the ‘Method 1 (CAS Inventory Expert Service)’ radio button to generate
this field. Enter the IES order number. This is a required field if the ‘Method 1 (CAS
Inventory Expert Service)’ radio button is selected.
 Method 2 (Other Method): Select the ‘Method 2 (Other Method)’ radio button to identify
the ID method as ‘Other Method.’ An alternative method of providing a name, such as a STN
database report or a CAS Client Services report, qualifies as ‘Method 2.’ If the chemical is
pending a Letter of Support, the method can only be ‘Method 2.’ A single response option in
the ‘ID Method’ section is required if there is no pending Letter of Support or Joint
Submission for the form.
 Attachments: Select the section of the page with which the document is associated from the
drop-down menu. This drop-down menu contains the following values: ‘Chemical Structure
Diagram’ and ‘ID Method.’ It is required that a document be attached for the ID Method if
there is no pending Letter of Support or Joint Submission for the form.
 Attach Document: Click the button to generate the ‘Attach Documents’ pop-up window.
Refer to Section 3.6 for additional details regarding the attach document functionality.
 Section: Displays the section of the page with which the file is associated.
 File Name: Displays the file name and file extension of a document that is uploaded on the
‘Attach Documents’ pop-up window.
 Description: Displays the description of a document.
 Pages: Displays the number of pages in a document.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm the deletion.

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 Save: Click the button to save the information entered within the expandable/collapsible field
set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom
action bar to successfully save the entered information within the field set before being able
to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section
3.9 for more information regarding the save functionality in an expandable/collapsible field
set.
Exhibit 4-23 shows a screen capture of the ‘Polymer Identification Information’ screen (Scroll
1):
Exhibit 4-23 Polymer Identification Information Screen (PMN) (Scroll 1)

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Exhibit 4-24 shows a screen capture of the ‘Polymer Identification Information’ screen (Scroll
2):
Exhibit 4-24 Polymer Identification Information Screen (PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Monomers and Other Reactants’ screen.
You can also access this screen by clicking the ‘Monomers and Other Reactants’ link within the
navigation tree.
4.1.12

Monomers and Other Reactants

You can navigate to the ‘Monomers and Other Reactants’ screen by clicking the ‘Next’ button
from the ‘Polymer Identification Information’ screen. You can also access this screen by clicking
the ‘Monomers and Other Reactants’ link within the navigation tree.
The ‘Monomers and Other Reactants’ screen is used to identify the chemical measurements and
monomers that make up a polymer. The screen is divided into two sections to identify different
elements describing a polymer, ‘Polymer Weight Information’ and ‘Monomers and Other
Reactants.’
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In the ‘Monomers and Other Reactants’ section, enter the typical weight percent of each
monomer or other reactant in the polymer. Enter the maximum weight percent of each monomer
or other reactant that may be present as a residual in the polymer as manufactured for
commercial purposes. The maximum residual should be less than the typical composition. Do
not use parts per million (ppm) units (1 ppm = 0.0001 wt%).
To reference a monomer cleared with an LVE, include an attachment detailing any specifics.
 CBI: Check the ‘CBI’ checkbox to claim the ‘Polymer Weight Information’ section as
confidential.
 Method of Measurement: Only a single response option can be selected for ‘Method of
Measurement:’ valid values include ‘GPC’ and ‘Other (Specify).’ Gel-permeation
chromatography (GPC) is a well-established method for establishing the number average
molecular weight (Mn) and weight fractions below 500 and 1,000 Daltons. It may not be
useful for all polymer evaluations; however, solubility problems and misleading calibration
standards can lead to questionable GPC data. Correction estimates can be documented and
presented in cases where only a soluble fraction of the polymer can be analyzed. This is a
required field if there is no pending Letter of Support or Joint Submission for the form.
 Specify other method of measurement: Enter the method of measurement when you select
the ‘Other (Specify)’ radio button as the method of measurement. This is a required field
when the ‘Other (Specify)’ radio button is selected.
 (i) lowest number avg. molecular weight: Enter the lowest number average molecular
weight; the entered value must be a positive numerical value and can contain decimal values.
This is a required field if there is no pending Letter of Support or Joint Submission.
 (ii) max. weight % below 500 molecular weight: Enter the maximum weight percentage
below 500 molecular weight. The value entered must be a positive numerical value greater
than or equal to zero (0), but less than or equal to one hundred (100) and can contain decimal
values. This value must be less than or equal to the value specified in the ‘(iii) max. weight %
below 1000 molecular weight’ field. This is a required field if there are no pending Joint
Submissions or Letters of Support.
 (iii) max. weight % below 1000 molecular weight: Enter the maximum weight percentage
below 1,000 molecular weight. The value entered must be a positive numerical value greater
than or equal to zero (0) but less than or equal to one hundred (100) and can contain decimal
values. This value must be greater than or equal to the value specified in the ‘(ii) max. weight
% below 500 molecular weight’ field. This is a required field if there are no pending Joint
Submissions or Letters of Support.
 Add Monomer: Click the ‘Add Monomer’ button to generate the monomer
expandable/collapsible field set.
 Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the
expandable/collapsible field set to prevent edits from saving and to remove a field set. The
‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A
confirmation message displays to confirm the action.
 Edit: Click the ‘Edit’ link located in the upper right-hand corner of the
expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’
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link displays when the expandable/collapsible field set has been saved and the data is not
currently editable.
 Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the
expandable/collapsible field set to delete the field set. A confirmation message displays to
confirm the deletion.
 Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to expand a series of field sets.
 Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to collapse a series of field sets.
 Search SRS: Click the ‘Search SRS’ button to generate the ‘Search Substance Registry
Services’ pop-up window. Refer to Section 3.10 for additional details regarding the search
SRS functionality.
 Monomer or Other Reactant: Displays the monomer or other reactant name; this field
populates based on information entered on the ‘Search SRS’ pop-up window. This is a
required field.
 Include in Identity: Check the ‘Include in Identity’ checkbox to claim the value for
‘Monomer or Other Reactant’ as part of the monomer identification. This checkbox is most
applicable for monomers that are less than or equal to 2% since the monomer is not
considered to be included in the identity unless this checkbox is checked. This checkbox
appears when a value of ‘2’ or less is entered into the ‘Typical Composition’ text field.
 CBI: Check the ‘CBI’ checkbox to claim the monomer or other reactant name and CASRN
as confidential.
 CAS Registry Number: Displays the CASRN for the specified monomer; this field
populates based on information entered on the ‘Search SRS’ pop-up window.
 Chemical Name: Displays the name of the chemical identified on the ‘Search SRS’ pop-up
window.
 Typical Composition: Enter the typical composition value that a monomer contributes to a
polymer; the value entered must be a positive numerical value greater than zero (0) and less
than or equal to one hundred (100) and can contain decimal values. If the value entered is
less than or equal to ‘2’ a warning will be displayed in the global ‘Validate’ function or
during the submission process indicating that the typical composition is a value that is less
than or equal to 2 percent and asking you whether it should be included in the chemical
identity. This is a required field, and the value must be greater than zero (0).
 CBI: Check the ‘CBI’ checkbox to claim the ‘Typical Composition’ and ‘Include In Identity’
fields as confidential.
 Maximum Residual: Enter the maximum residual value. Indicate the maximum weight
percent of each monomer or other reactant that may be present as a residual in the polymer as
manufactured for commercial purposes. Enter a percent value less than or equal to the
maximum weight; do not use ppm units (1 ppm = 0.0001 wt%). The value entered must be a
positive numerical value that is less than or equal to the typical composition value. This is a
required field.

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 CBI: Check the ‘CBI’ checkbox to claim the ‘Maximum Residual’ field as confidential.
 Save: Click the button to save the information entered within the expandable/collapsible field
set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom
action bar to successfully save the entered information within the field set before being able
to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section
3.9 for more information regarding the save functionality in an expandable/collapsible field
set.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window. Refer to Section 3.6 for additional details regarding the attach document
functionality.
 File Name: Displays the file name and file extension of the document that is uploaded on the
‘Attach Documents’ pop-up window. Click the file name link to navigate to the ‘Attach
Documents’ pop-up window to make any edits.
 Description: Displays the description associated with a document.
 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm the deletion of the document.

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Exhibit 4-25 shows a screen capture of the ‘Monomers and Other Reactants’ screen (Scroll 1):
Exhibit 4-25 Monomers and Other Reactants Screen (PMN) (Scroll 1)

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Exhibit 4-26 shows a screen capture of the ‘Monomers and Other Reactants’ screen (Scroll 2):
Exhibit 4-26 Monomers and Other Reactants Screen (PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Additional Chemical Information’
screen. You can also access this screen by clicking the ‘Additional Chemical Information’ link
within the navigation tree.
4.1.13

Production Volume and Hazard/Safety Information

You can navigate to the ‘Production Volume and Hazard/Safety Information’ screen by clicking
the ‘Next’ button from the ‘Additional Chemical Information’ screen. You can also access this
screen by clicking the ‘Production Volume and Hazard/Safety Information’ link within the
navigation tree.
The ‘Production Volume and Hazard/Safety Information’ screen collects different information
regarding a chemical’s production and hazard elements.

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Production Volume: The ‘Production Volume’ section captures information about production
for the respective chemical or polymer for the ‘Maximum first 12-month production’ and the
‘Maximum 12-month production.’ The ‘Maximum first 12-month production’ value should be
less than or equal to the ‘Maximum 12-month production’ value. The maximum volume may not
exceed 100,000,000,000,000 kg/year for either field. The entered values will automatically
display decimal points upon navigating away from the page. Decimals are allowed up to the
milligram (.000001). Estimates should be on a 100% new chemical substance basis. Your
production volumes should be estimated as accurately as possible, but you are not bound to your
estimates unless you check the ‘Binding’ checkbox and are creating an LVE or LVE
modification submission. Include amounts you intend to produce for export. Provide an estimate
of the first 12 months of production and the maximum production volume for any consecutive
12-month period during the first three (3) years of commercial manufacture. You may upload an
attachment to enter additional production information.
Hazard Information: The ‘Hazard Information’ section captures information regarding hazards
that the company chooses to disclose. For EPA to take respirator use into account when
evaluating risks posed by a new chemical, the MSDS (material safety data sheet) for the
substance must specify a respirator that is appropriate for the types of anticipated exposures. For
the same reason, all respirators must be certified by the National Institute for Occupational
Safety and Health (NIOSH), and be referenced in the MSDS as “NIOSH certified” respirators.
If any type of risk assessment is prescribed to determine personal protective equipment (PPE)
requirements, such risk assessment must be performed by a qualified Industrial Hygienist (IH) or
other authorized occupational safety and health specialist.
Engineering controls are the preferred methods for managing workplace exposures to hazards. If
these controls are inadequate or lacking, personal protective equipment must be used.
For EPA to take glove use into account when evaluating risks posed by a new chemical, the
MSDS for the substance must specify gloves that are impervious to the substances of concern, as
well as suitable for the type of tasks.
Close-fitting goggles or a full-face piece facemask are preferred for vapor, mist, or fume
exposures, or wherever workplace contaminants can readily bypass loose-fitting equipment.
The information is collected in a file attachment. The system will display instructional text for
you to identify which forms should be uploaded.
Provide the MSDS for the PMN substance or intermediate or product mixture (that contains it) as
an attachment to the PMN. Also, include hazard warning statements or labels, if relevant. The
personal protection requirements of the MSDS become integral requirements of an LVE notice.
 CBI: Check the ‘CBI’ checkbox to claim the production volume information as confidential.
 Binding: Check the ‘Binding’ checkbox to claim the production volume information as
binding. This checkbox is enabled for LVE or LVE modifications only.
 Maximum first 12-month production: Provide an estimate of the first 12 months of
production. The entered value must be a numerical value and must be greater than zero but
less than 100,000,000,000,000 kg/year. This field accepts decimals to the milligram and is a
required field if you do not have a pending Joint Submission and/or Letter of Support.

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 Maximum 12-month production: Enter the data associated with the production volume.
Provide an estimate of the maximum production volume for any consecutive 12-month
period during the first three (3) years of commercial manufacture. The entered value must be
a numerical value and must be greater than zero but less than 100,000,000,000,000 kg/year.
This value must be greater than or equal to the ‘Maximum first 12-month production’ value.
This field accepts decimals to the milligram and is a required field if you do not have a
pending Joint Submission and/or Letter of Support.
 Binding: Check the ‘Binding’ checkbox to claim the hazard information as binding.
 Attachments: Select the section of the page with which the attached document is associated.
This drop-down menu contains the following value: ‘Production Information Section’ and
‘Hazard Information Section.’
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window. Refer to Section 3.6 for additional details regarding the attach document
functionality.
 Section: Displays the section with which the document is associated.
 File Name: Displays the file name and file extension of the file that is uploaded on the
‘Attach Documents’ pop-up window. Click the file name link to navigate to the ‘Attach
Documents’ pop-up window to make any edits.
 Description: Displays the description associated with a document.
 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm the deletion.

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Exhibit 4-27 shows a screen capture of the ‘Production Volume and Hazard/Safety Information’
screen:
Exhibit 4-27 Production Volume and Hazard/Safety Information Screen (PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Use Information’ screen. You can also
access this screen by clicking the ‘Use Information’ link within the navigation tree.
4.1.14

Use Information

You can navigate to the ‘Use Information’ screen by clicking the ‘Next’ button from the
‘Production Volume and Hazard/Safety Information’ screen. You can also access this screen by
clicking the ‘Use Information’ link within the navigation tree.
The ‘Use Information’ screen captures data about how the new chemical substance is intended to
be used by function and application. Function refers to the chemical purpose for which the
substance is designed and is often based on the physical and chemical properties of the
substance. Application refers to how the substance is used in particular processes or products. An
example of a function and application would be as a dispersive dye for finishing polyester fibers.
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When you navigate to the screen, the screen contains instructional text and an ‘Add Use’ button.
When you click the ‘Add Use’ button, an expandable/collapsible field set opens and displays the
‘Use Information’ fields. Upon saving the entry, the expandable/collapsible field set collapses
and displays the ‘Category of Use’ and ‘Production %’ values.
You will first enter a description for the ‘Category of Use’ field. Each use will center on the
‘Category of Use’ and the different variables surrounding it. The category of use information
should be specific enough to allow EPA reviewers to anticipate potential exposure patterns for
the new substance (e.g. merely indicating “Dye” is not sufficient – is it photographic dye, a
reactive dye for nylon fibers, or a dye to be incorporated in a polymer making film?). LVE
notices limit you to your stated category of use(s), so make sure your description fully
encompasses all intended uses for any LVE. When you claim the ‘Category of Use’ as CBI, you
are required to enter a ‘Generic Use Description.’ The generic use description will be available
publicly.
The table captures the different elements of use that the PMN form captures. The ‘Production %’
and ‘% in Formulation’ values will be captured to indicate how the product will be used and at
what percent in that use. Each use must capture the percent of the production and percent in
formulation for each category of use. The ‘Production %’ must equal up to 100% for all uses if
there is no pending Letter of Support or Joint Submission for the form, and the field can be
declared CBI. The ‘% in Formulation’ value can equal up to 100%, and the field can be declared
CBI.
The ‘% of substance expected’ per use is captured for the following categories: ‘Site Limited,’
‘Consumer,’ ‘Industrial,’ and ‘Commercial.’ The ‘% of substance expected’ value must total
100%. The ‘% of substance expected’ values can be claimed as CBI or listed as binding. These
use types are used to determine the risks that the chemical will place on society.
 Add Use: Click the ‘Add Use’ button to add a new use information expandable/collapsible
field set.
 Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the
expandable/collapsible field set to prevent edits from saving and to remove a field set. The
‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A
confirmation message displays to confirm the action.
 Edit: Click the ‘Edit’ link located in the upper right-hand corner of the
expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’
link displays when the expandable/collapsible field set has been saved and the data is not
currently editable.
 Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the
expandable/collapsible field set to delete the field set. A confirmation message displays to
confirm the deletion.
 Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to expand a series of field sets.
 Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to collapse a series of field sets.

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 Category of Use: Enter the category of use for the specific chemical substance by function
and application. This is a required field.
 CBI: Check the ‘CBI’ checkbox to claim the category of use information as confidential and
generate the ‘Generic Use Description’ field. Claiming the ‘Category of Use’ field as CBI
and then un-checking the ‘CBI’ checkbox generates a confirmation message that all attached
documents will be deleted.
 Binding: Check the ‘Binding’ checkbox to claim the category of use information as binding.
 C.2.b. Generic Use Description: Enter the generic use description of the chemical. This
field displays when the ‘Category of Use’ field is claimed CBI. If you claim any category of
use description as confidential, enter a generic description of that category. This field is
required when the ‘Category of Use’ field is claimed CBI.
 Total Production for this Use %: Enter an estimate of the percent of total production for
the first three years devoted to each category of use for the specific chemical. The entered
value must be a value greater than zero (0) but less than or equal to one hundred (100). The
‘Production %’ must equal up to 100% for all uses if there is no pending Letter of Support or
Joint Submission for the form. This field allows for decimal values. This is a required field.
 CBI: Check the ‘CBI’ checkbox to claim the ‘Total Production for this Use’ information as
confidential.
 In Formulation %: Estimate the percent of the new substance as formulated in mixture,
suspensions, emulsions, solutions, or gels as manufactured for commercial purposes at sites
under your control associated with each category of use. The entered value must be a value
greater than zero (0) but less than or equal to one hundred (100) and can include decimal
values. This is a required field.
 CBI: Check the ‘CBI’ checkbox to claim the ‘Percentage in Formulation’ information as
confidential.
 CBI: Check the ‘CBI’ checkbox to claim the percentage of substance expected per use
information as confidential.
 Binding: Check the ‘Binding’ checkbox to claim the percentage of substance expected per
use information as binding.
 Site Limited %: Enter the site limited percentage of substance expected per use for the
submitted substance. Blank fields are recognized as zeroes. This field allows for decimal
values. Break down the use(s) by percentage for the indicated end user categories. For
example, site-limited means the substance will only be used on the adjacent property unit
where manufactured and will not intentionally be removed from the site except for waste
disposal.
 Consumer %: Enter the consumer percentage of substance expected per use for the
submitted substance. Blank fields are recognized as zeroes. This field allows for decimal
values. Break down the use(s) by percentage for the indicated end user categories. Consumer
use means that private individuals will use the chemical substance or products containing the
substance for personal use or enjoyment.
 Industrial %: Enter the industrial percentage of substance expected per use for the
submitted substance. Blank fields are recognized as zeroes. This field allows for decimal
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values. Break down the use(s) by percentage for the indicated end user categories. Industrial
use means that the chemical substance or product containing the substance will be used at the
locations of other manufacturers or processors.
 Commercial %: Enter the commercial percentage of substance expected per use for the
submitted substance. Blank fields are recognized as zeroes. This field allows for decimal
values. Break down the use(s) by percentage for the indicated end user categories. Indicate
percentage of product volume expected for the listed “use” sectors. Commercial use refers to
the chemical substance or product containing the chemical substance being used by a
company to provide a consumer service.
 If you have provided a “consumer” use, provide details: Enter consumer use details.
Provide a detailed description of the use(s) of this chemical substance in consumer products.
In addition, include estimates of the concentration of the new chemical substance as expected
in consumer products and describe the chemical reactions by which this substance loses its
identity in the consumer product. This is a required field if the ‘Consumer % of substance
expected per use’ field is populated and is a value greater than zero (0).
 CBI: Check the ‘CBI’ checkbox to claim the ‘If you have provided a ‘consumer’ use,
provide details’ information as confidential.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window. Refer to Section 3.6 for additional details regarding the attach document
functionality.
 File Name: Displays the file name and file extension of the file uploaded on the ‘Attach
Documents’ pop-up window. Click the ‘File Name’ link to navigate to the ‘Attach
Documents’ pop-up window to make any edits.
 Description: Displays the description associated with a document.
 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm deletion of the document.
 Save: Click the button to save the information entered within the expandable/collapsible field
set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom
action bar to successfully save the entered information within the field set before being able
to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section
3.9 for more information regarding the save functionality in an expandable/collapsible field
set.
 Production Total: Displays the total production percentage for all uses. This value must be
equal to 100, unless a Joint Submission or Letter of Support is pending, in which case the
total value requirement is not immediately applicable.

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Exhibit 4-28 shows a screen capture of the ‘Use Information’ screen (Scroll 1):
Exhibit 4-28 Use Information Screen (PMN) (Scroll 1)

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Exhibit 4-29 shows a screen capture of the ‘Use Information’ screen (Scroll 2):
Exhibit 4-29 Use Information Screen (PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Physical and Chemical Properties
Worksheet’ screen. You can also access this screen by clicking the ‘Physical and Chemical
Properties Worksheet’ link within the navigation tree.
4.1.15

Physical and Chemical Properties Worksheet

You can navigate to the ‘Physical and Chemical Properties Worksheet’ screen by clicking the
‘Next’ button from the ‘Use Information’ screen. You can also access this screen by clicking the
‘Physical and Chemical Properties Worksheet’ link within the navigation tree.
The ‘Physical and Chemical Properties Worksheet’ screen is used to capture optional
information about a chemical’s properties. EPA uses the chemical properties to determine
additional safety data about a chemical; the properties are used to determine potential risks and
exposures of the chemicals.

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The properties for a chemical are captured in an expandable/collapsible field set format. The
following categories may apply to a chemical: ‘Physical state of neat substance,’ ‘Vapor Pressure
@ temperature,’ ‘Density/relative density,’ ‘Solubility @ temperature ___ solvent ___,’
‘Solubility in water @ temperature ___,’ ‘Melting temperature,’ ‘Boiling/sublimation
temperature @ ____,’ ‘Spectra,’ ‘Dissociation constant,’ ‘Particle size distribution,’
‘Octanol/water partition coefficient,’ ‘Henry’s Law constant,’ ‘Volatilization from water,’
‘Volatilization from soil,’ ‘pH @ concentration [concentration],’ ‘Flammability,’
‘Explodability,’ and ‘Adsorption/coefficient.’ All of the properties will capture the relevant
values for a chemical. Each property may be claimed individually as CBI.
To enter physical/chemical property information, select a physical/chemical property from the
drop-down menu and click the ‘Add Property’ button. The expandable/collapsible field set
expands and displays all fields that should be entered for that property. You are then able to enter
all relevant information regarding that property. Value fields are able to accept ‘<’ or ‘>’
symbols. When all information is entered, click the ‘Save’ button. Each property may only be
entered once per chemical.
You may also enter an option for ‘Other.’ The ‘Other’ option will allow you to enter a userspecified property and any relevant values. The property will capture the relevant values for the
chemical and the property measurement can be identified as ‘Measured’ or ‘Estimate.’ The
‘Other’ option may be claimed individually as CBI. You may enter multiple properties as
‘Other.’
You may upload attachments for the chemical properties on the ‘Physical and Chemical
Properties Worksheet – Continued (Optional)’ screen.
EPA’s risk assessment process does utilize physiochemical properties, as some of the attributes
listed here can relate directly to chemical risks. Among the most useful parameters of a new
substance to EPA are the boiling point, the melting point, vapor pressure, the Octanol/water
partition coefficient, water solubility, Henry’s Law Constant, hydrolysis, spectral data, mass
spectrometry (MS), proton and C13 Nuclear Magnetic Resonance (NMR), Infrared (IR), and
Ultraviolet (UV) absorption, and the soil/sediment absorption coefficient. In the absence of this
data, EPA will estimate to the extent possible physiochemical data to aid in their risk
evaluations.
Indicate whether the value you provide is based on an actual test measurement (‘Measured’) or is
based on an estimate (‘Estimate’). Note that EPA staffers indicate that data qualifiers such as
‘negligible’ or ‘soluble’ are not useful descriptions.
You are not required to generate the listed test data if you do not have it.
Physical/chemical properties data may be so unique that they could in the future link the PMN
substance to a commercial product or may tend to identify unique classes of chemical substance,
and therefore some data elements may represent confidential business information. Review the
CBI status of each entry carefully, and avoid making unsupportable claims.
 Add Property: Click the ‘Add Property’ button to add and open a new ‘Property’
expandable/collapsible field set for a selected property.
 Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of an
expandable/collapsible field set to prevent edits from saving and to remove a field set. The
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‘Cancel’ link displays when an expandable/collapsible field set is open for editing. A
confirmation message displays to confirm the action.
 Edit: Click the ‘Edit’ link located in the upper right-hand corner of an expandable/collapsible
field set to modify the information entered in the fields. The ‘Edit’ link displays when the
expandable/collapsible field set has been saved and the data is not currently editable.
 Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of an
expandable/collapsible field set to delete the field set. A confirmation message displays to
confirm the deletion.
 Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to expand a series of field sets.
 Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to collapse a series of field sets.
 Adsorption/Coefficient - Value: Enter the adsorption/coefficient value of the chemical
substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the
‘Adsorption/coefficient’ property is selected.
 Adsorption/Coefficient - Measured or Estimate: Indicate whether the property value is
‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down
menu. This is a required field if the ‘Adsorption/coefficient’ property is selected.
 Adsorption/Coefficient – CBI: Check the ‘CBI’ checkbox to claim the
adsorption/coefficient property as confidential.
 Boiling/sublimation temperature @ – Value: Enter the boiling/sublimation temperature in
°C of the chemical substance. This is a required field if the ‘Boiling/sublimation temperature
@’ property is selected.
 Boiling/sublimation temperature @ [pressure] torr: Enter the value of the pressure in torr
for which the boiling/sublimation of the chemical substance was determined. Value fields are
able to accept ‘<’ or ‘>’ symbols. This is a required field if the ‘Boiling/sublimation
temperature @’ property is selected.
 Boiling/sublimation temperature @ - Measured or Estimate: Indicate whether the
property value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value
from the drop-down menu. This is a required field if the ‘Boiling/sublimation temperature @’
property is selected.
 Boiling/sublimation temperature @ - CBI: Check the ‘CBI’ checkbox to claim the
‘Boiling/sublimation temperature @’ property as confidential.
 Density/relative density - Value: Enter the density/relative density value of the chemical
substance in g/cm3. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field
if the ‘Density/relative density’ property is selected.
 Density/relative density - Measured or Estimate: Indicate whether the property value is
‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down
menu. This is a required field if the ‘Density/relative density’ property is selected.
 Density/relative density - CBI: Check the ‘CBI’ checkbox to claim the ‘Density/relative
density’ property as confidential.
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 Dissociation constant - Value: Enter the dissociation constant value of the chemical
substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the
‘Dissociation constant’ property is selected.
 Dissociation constant - Measured or Estimate: Indicate whether the property value is
‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down
menu. This is a required field if the ‘Dissociation constant’ property is selected.
 Dissociation constant - CBI: Check the ‘CBI’ checkbox to claim the ‘Dissociation constant’
property as confidential.
 Explodability - Value: Enter the explodability value of the chemical substance. This field
allows text or numbers to be entered and is also able to accept ‘<’ or ‘>’ symbols. This is a
required field if the ‘Explodability’ property is selected.
 Explodability - Measured or Estimate: Indicate whether the property value is ‘Measured’
or based on an ‘Estimate’ by selecting the appropriate value from the drop-down menu. This
is a required field if the ‘Explodability’ property is selected.
 Explodability - CBI: Check the ‘CBI’ checkbox to claim the ‘Explodability’ property as
confidential.
 Flammability - Value: Enter the flammability value of the chemical substance. This field
allows text and is also able to accept ‘<’ or ‘>’ symbols. This is a required field if the
‘Flammability’ property is selected.
 Flammability - Measured or Estimate: Indicate whether the property value is ‘Measured’
or based on an ‘Estimate’ by selecting the appropriate value from the drop-down menu. This
is a required field if the ‘Flammability’ property is selected.
 Flammability - CBI: Check the ‘CBI’ checkbox to claim the ‘Flammability’ property as
confidential.
 Henry’s Law constant - Value: Enter the Henry’s law constant value of the chemical
substance in atm-m3/mole. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a
required field if the ‘Henry’s Law constant’ property is selected.
 Henry’s Law constant - Measured or Estimate: Indicate whether the property value is
‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down
menu. This is a required field if the ‘Henry’s Law constant’ property is selected.
 Henry’s Law - CBI: Check the ‘CBI’ checkbox to claim the ‘Henry’s Law constant’
property as confidential.
 Melting Temperature - Value: Enter the melting temperature of the chemical substance in
°C. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the ‘Melting
Temperature’ property is selected.
 Melting Temperature - Measured or Estimate: Indicate whether the property value is
‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down
menu. This is a required field if the ‘Melting Temperature’ property is selected.
 Melting Temperature - CBI: Check the ‘CBI’ checkbox to claim the ‘Melting
Temperature’ property as confidential.

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 Octanol/water partition coefficient - Value: Enter the Octanol/water partition coefficient
value of the chemical substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a
required field if the ‘Octanol/water partition coefficient’ property is selected.
 Octanol/water partition coefficient - Measured or Estimate: Indicate whether the property
value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the
drop-down menu. This is a required field if the ‘Octanol/water partition coefficient’ property
is selected.
 Octanol/water partition coefficient - CBI: Check the ‘CBI’ checkbox to claim the
‘Octanol/water partition coefficient’ property as confidential.
 Particle size distribution - Value: Enter the particle size distribution value of the chemical
substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the
‘Particle size distribution’ property is selected.
 Particle size distribution - Measured or Estimate: Indicate whether the property value is
‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down
menu. This is a required field if the ‘Particle size distribution’ property is selected.
 Particle size distribution - CBI: Check the ‘CBI’ checkbox to claim the ‘Particle size
distribution’ property as confidential.
 Physical state of neat substance - Value: Select the physical state of a neat substance of
chemicals, which can be either a ‘Solid,’ ‘Liquid,’ or ‘Gas.’ This is a required field if the
‘Physical state of neat substance’ property is selected.
 Physical state of neat substance - Measured or Estimate: Indicate whether the property
value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the
drop-down menu. This is a required field if the ‘Physical state of neat substance’ property is
selected.
 Physical state of neat substance - CBI: Check the ‘CBI’ checkbox to claim the ‘Physical
state of neat substance’ property as confidential.
 pH @ concentration [concentration]: Enter the concentration at which the pH was
measured. This field allows for text. This is a required field if the ‘pH @ concentration
[concentration]’ property is selected.
 pH @ concentration [concentration] - Value: Enter the pH value. This field allows text
and is also able to accept ‘<’ or ‘>’ symbols. This is a required field if the ‘pH @
concentration [concentration]’ property is selected.
 pH @ concentration [concentration] - Measured or Estimate: Indicate whether the
property value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value
from the drop-down menu. This is a required field if the ‘pH @ concentration
[concentration]’ property is selected.
 pH @ concentration [concentration] - CBI: Check the ‘CBI’ checkbox to claim the ‘pH @
concentration [concentration]’ property as confidential.
 Solubility @ temperature solvent: Enter the temperature value in °C for which the
solubility was measured. This field allows text and is also able to accept ‘<’ or ‘>’ symbols.
This is a required field if the ‘Solubility @ temperature solvent’ property is selected.
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 Solubility @ temperature solvent - Solvent: Enter the solvent that will be used for the
chemical substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field
if the ‘Solubility @ temperature solvent’ property is selected.
 Solubility @ temperature solvent - Value: Enter the solubility of the chemical substance in
g/L.
 Solubility @ temperature solvent - Measured or Estimate: Indicate whether the property
value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the
drop-down menu. This is a required field if the ‘Solubility @ temperature solvent’ property is
selected.
 Solubility @ temperature solvent - CBI: Check the ‘CBI’ checkbox to claim the ‘Solubility
@ temperature solvent’ property as confidential.
 Solubility in Water @ temperature: Enter the temperature value in °C of the chemical for
which the solubility in water was measured. This is a required field if the ‘Solubility in Water
@ temperature’ property is selected.
 Solubility in Water @ temperature - Value: Enter the solubility in water of the chemical
substance in g/L. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if
the ‘Solubility in Water @ temperature’ property is selected.
 Solubility in Water @ temperature - Measured or Estimate: Indicate whether the
property value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value
from the drop-down menu. This is a required field if the ‘Solubility in Water @ temperature’
property is selected.
 Solubility in Water @ temperature - CBI: Check the ‘CBI’ checkbox to claim the
‘Solubility in Water @ temperature’ property as confidential.
 Spectra - Value: Enter the spectra value of the chemical substance. Value fields are able to
accept ‘<’ or ‘>’ symbols. This is a required field if the spectra property is selected.
 Spectra - Measured or Estimate: Indicate whether the property value is ‘Measured’ or
based on an ‘Estimate’ by selecting the appropriate value from the drop-down menu. This is
a required field if the ‘Spectra’ property is selected.
 Spectra - CBI: Check the ‘CBI’ checkbox to claim the ‘Spectra’ property as confidential.
 Vapor Pressure @ temperature: Enter the temperature value in °C of the chemical for
which the vapor pressure was measured. This is a required field if the ‘Vapor Pressure @
temperature’ property is selected.
 Vapor Pressure @ temperature - Value: Enter the value of the Vapor Pressure in torr units
of the chemical substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a
required field if the ‘Vapor Pressure @ temperature’ property is selected.
 Vapor Pressure @ temperature - Measured or Estimate: Indicate whether the property
value is ‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the
drop-down menu. This is a required field if the ‘Vapor Pressure @ temperature’ property is
selected.
 Vapor Pressure @ temperature - CBI: Check the ‘CBI’ checkbox to claim the ‘Vapor
Pressure @ temperature’ property as confidential.
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 Volatilization from water - Value: Enter the volatilization from water value of the chemical
substance. Value fields are able to accept ‘<’ or ‘>’ symbols. This is a required field if the
‘Volatilization from water’ property is selected.
 Volatilization from water - Measured or Estimate: Indicate whether the property value is
‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down
menu. This is a required field if the ‘Volatilization from water’ property is selected.
 Volatilization from water - CBI: Check the ‘CBI’ checkbox to claim the ‘Volatilization
from water’ property as confidential.
 Volatilization from soil - Value: Enter the volatilization from soil value. Value fields are
able to accept ‘<’ or ‘>’ symbols. This is a required field if the ‘Volatilization from soil’
property is selected.
 Volatilization from soil - Measured or Estimate: Indicate whether the property value is
‘Measured’ or based on an ‘Estimate’ by selecting the appropriate value from the drop-down
menu. This is a required field if the ‘Volatilization from soil’ property is selected.
 Volatilization from soil - CBI: Check the ‘CBI’ checkbox to claim the ‘Volatilization from
soil’ property as confidential.
 Other: Enter any ‘Other’ property that you may specify.
 Other - Value: Enter an ‘Other’ property value. Value fields are able to accept ‘<’ or ‘>’
symbols. This is a required field if the ‘Other’ property was selected.
 Other - Measured or Estimate: Indicate whether the property value is ‘Measured’ or based
on an ‘Estimate’ by selecting the appropriate value from the drop-down menu. This is a
required field if the ‘Other’ property is selected.
 Other - CBI: Check the ‘CBI’ checkbox to claim the property as confidential.

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Exhibit 4-30 shows a screen capture of the ‘Physical and Chemical Properties Worksheet’ screen
(Scroll 1):
Exhibit 4-30 Physical and Chemical Properties Worksheet Screen (PMN) (Scroll 1)

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Exhibit 4-31 shows a screen capture of the ‘Physical and Chemical Properties Worksheet’ screen
(Scroll 2):
Exhibit 4-31 Physical and Chemical Properties Worksheet Screen (PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Physical and Chemical Properties
Worksheet – Continued (Optional)’ screen. You can also access this screen by clicking the
‘Physical and Chemical Properties Worksheet – Continued (Optional)’ link within the navigation
tree.
4.1.16

Physical and Chemical Properties Worksheet – Continued (Optional)

You can navigate to the ‘Physical and Chemical Properties Worksheet – Continued (Optional)’
screen by clicking the ‘Next’ button from the ‘Physical and Chemical Properties Worksheet’
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screen. You can also access this screen by clicking the ‘Physical and Chemical Properties
Worksheet – Continued (Optional)’ link within the navigation tree.
The ‘Physical and Chemical Properties Worksheet – Continued (Optional)’ screen is used to
capture all the studies and attachments that refer to the chemical properties captured on the
‘Physical and Chemical Properties Worksheet’ screen. When you first access the ‘Physical and
Chemical Properties Worksheet – Continued (Optional)’ screen, instructional text, an ‘Attach
Document’ button, and an attachments table displays.
When you attach a document, the properties that were selected on the ‘Physical and Chemical
Properties Worksheet’ screen will be listed with checkboxes in the ‘Attach Documents’ pop-up
window for you to select which properties an attachment is associated with. Check the properties
that are relevant to the document, and then select a type and subtype value for the document.
You will be able to attach a document, enter a description of the document, and list the number
of pages.
The system provides functionality to claim an uploaded document as CBI. If a document is
claimed as CBI, the system requires you to upload the sanitized version of the attached
document. To view, open, or edit previously attached documents, click the appropriate file name
of the document within the ‘File Name’ column of the attachment table.
The attachment table displays the ‘File Name,’ ‘Properties,’ ‘Description,’ ‘Pages,’ ‘CBI,’ and
‘Actions’ columns. Click the ‘Delete’ icon ( ) located under the ‘Actions’ column to delete
unwanted documents.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window. Refer to Section 3.6 for additional details regarding the attach document
functionality.
 File Name: Displays the file name and file extension of the original file that is uploaded on
the ‘Attach Documents’ pop-up window. Click the ‘File Name’ link to navigate to the
‘Attach Documents’ pop-up window to make any edits.
 Properties: Displays the chemical properties associated with a document.
 Description: Displays the description associated with a document.
 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm the deletion.

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Exhibit 4-32 shows a screen capture of the ‘Physical and Chemical Properties Worksheet –
Continued (Optional)’ screen:
Exhibit 4-32 Physical and Chemical Properties Worksheet - Continued (Optional) Screen

Navigation: Click the ‘Next’ button to navigate to the ‘Site Information’ screen if you have not
identified another chemical. You can also access this screen by clicking the ‘Site Information’
link within the navigation tree. If you would like to add a consolidated chemical, click the ‘Add
Consolidated Chemical’ link within the navigation tree.
4.1.17

Physical and Chemical Properties Worksheet – Continued (Optional) Attach
Documents

You can navigate to the ‘Attach Documents’ window by clicking the ‘Attach Document’ button
on the ‘Physical and Chemical Properties Worksheet – Continued (Optional)’ screen.
When attaching a document, the properties selected on the ‘Physical and Chemical Properties
Worksheet’ screen will display with checkboxes to allow the properties to which the attachment

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refers to be selected. Select the type and subtype for the attachment and the properties relevant to
the document, attach the document, and enter the number of pages.
The system allows the uploaded document to be claimed as CBI. If a document is claimed as
CBI, the system requires the sanitized version of the attached document to be uploaded. To
access or edit previously attached documents, click the appropriate file name of the document
within the ‘File Name’ column of the attachment table.
 Type: Select the document type from the drop-down menu.
 Subtype: Select the document subtype from the drop-down menu.
 Chemical Properties: Displays the physical and/or chemical properties identified on the
‘Physical and Chemical Properties Worksheet’ screen that can be potentially associated with
a document. Check the appropriate chemical properties that are associated with a document
that is being attached. These checkboxes are enabled only if ‘Physical Chemical Property’ is
selected from the ‘Type’ drop-down menu.
 Attachment: Displays the ‘Browse’ button to search for and identify documents on your
local hard drive to be attached that can be associated with the physical/chemical properties
identified on the ‘Physical and Chemical Properties Worksheet’ screen.
 Description: Enter the description associated with a document.
 Pages: Enter the number of pages a document contains.
 CBI: Check the ‘CBI’ checkbox to claim the document as confidential.
 Sanitized Attachment: Click the ‘Browse’ button to generate the ‘File Upload’ window to
search for a particular file on your hard drive. For any attached document claimed as CBI,
you are required to attach a sanitized version of the document.

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Exhibit 4-33 shows a screen capture of the ‘Attach Documents’ pop-up window from the
‘Physical and Chemical Properties Worksheet – Continued (Optional)’ screen (Scroll 1):
Exhibit 4-33 Physical and Chemical Properties Worksheet - Continued (Optional) Attach
Documents Pop-Up Window (PMN) (Scroll 1)

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Exhibit 4-34 shows a screen capture of the ‘Attach Documents’ pop-up window on the ‘Physical
and Chemical Properties Worksheet – Continued (Optional)’ screen (Scroll 2):
Exhibit 4-34 Physical and Chemical Properties Worksheet - Continued (Optional) Attach
Documents Pop-Up Window (PMN) (Scroll 2)

Navigation: Click the ‘Cancel’ button or ‘X’ icon located in the upper right-hand corner to stop
the process of adding document information. Click the ‘OK’ button to save the entered
information and navigate back to the ‘Physical and Chemical Properties Worksheet – Continued
(Optional)’ screen.
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4.1.18

Site Information

You can navigate to the ‘Site Information’ screen by clicking the ‘Next’ button from the
‘Physical and Chemical Properties Worksheet – Continued (Optional)’ screen. You can also
access this screen by clicking the ‘Site Information’ link within the navigation tree.
The ‘Site Information’ screen captures information about the identification of submittercontrolled sites and sites controlled by others. If a user indicates there are submitter-controlled
sites, the ‘Submitter Operation Information,’ ‘Occupational Exposures,’ and ‘Environmental
Releases’ screens are automatically generated within the ‘Submitter Controlled Operations’
folder of the navigation tree. If a user indicates there are sites controlled by others, the ‘Industrial
Sites Controlled By Others,’ ‘Exposures/Releases,’ and ‘Byproduct Information’ screens
automatically generate within the ‘Operations Controlled By Others’ folder within the navigation
tree upon clicking the ‘Next’ button. Toll manufacturing sites are considered sites controlled by
the submitter.
 Do you have sites controlled by the submitter?: Select the ‘Yes’ radio button to indicate
that you have submitter controlled sites to identify; this response automatically generates the
screens within the ‘Submitter Controlled Operations’ folder in the PMN navigation tree upon
clicking the ‘Next’ button. Select the ‘No’ radio button if you do not have any submittercontrolled sites to identify. An error message displays if a submitter-controlled site displays
within the navigation tree and the ‘No’ radio button is selected.
 Do you have sites controlled by others?: Select the ‘Yes’ radio button to indicate that you
have sites controlled by others to identify; this response automatically generates the screens
within the ‘Operations Controlled by Others’ folder in the PMN navigation tree upon clicking
the ‘Next’ button. Select the ‘No’ radio button if you do not have any sites controlled by
others to identify. An error message displays if a site controlled by others displays within the
navigation tree and the ‘No’ radio button is selected.

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Exhibit 4-35 shows a screen capture of the ‘Site Information’ screen:
Exhibit 4-35 Site Information Screen (PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Sites Controlled By Others’ screen. You
can also access this screen by clicking the ‘Sites Controlled By Others’ link within the
navigation tree.
4.1.19

Sites Controlled By Others

You can navigate to the ‘Sites Controlled By Others’ screen by clicking the ‘Next’ button from
the ‘Site Information’ screen. You can also access this screen by clicking the ‘Sites Controlled
By Others’ link within the navigation tree.
The ‘Sites Controlled By Others’ screen captures information about known and/or unknown sites
not controlled by the submitter. Complete the ‘Operations Controlled By Others’ section within
the navigation tree for typical processing or use operations involving the new chemical substance
at sites not controlled by the submitter. Importers do not have to complete this section for
operations outside the U.S.; however, you must report any processing or use activities after
import. Complete a separate ‘Operations Controlled By Others’ section for each type of
processing, or use operation involving the new chemical substance. If the same operation is
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performed at more than one site, describe the typical operation common to these sites. The
screen first captures whether there is any data for other controlled sites. If there is no data for
sites controlled by others, the screen will not update and the option of selecting the ‘Next’ button
is available. If there is data for sites controlled by others, an additional question will appear. The
screen then captures whether site-specific data for the chemical is known for ‘Sites Controlled
By Others.’ If you indicate that there is site-specific data by selecting the ‘Yes’ radio button, the
screen will generate a text field to enter the ‘# of unknown sites’ and a ‘CBI’ checkbox to claim
the number of unknown sites as confidential. If there is no site-specific data, the screen displays
a text box to capture the number of unknown sites.
 Do you have any sites controlled by others for which you have information to report?: If
you select ‘Yes’ the screen will display the question ‘Do you have site-specific information?’
If you select ‘No’ only the listed navigation options will display. If an operation controlled
by others displays within the navigation tree, the ‘Yes’ radio button must be selected for this
question.
 Do you have site-specific information?: If you select ‘Yes’ the screen generates fields to
capture specific site information. If you select ‘No,’ a confirmation message displays
indicating that any other sites you have will be deleted.
 # of unknown sites: Enter the number of unknown sites; zero (0) is an acceptable value. This
is a required field.
 CBI: Check the ‘CBI’ checkbox to claim the number of unknown sites as confidential.

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Exhibit 4-36 shows a screen capture of the ‘Sites Controlled By Others’ screen:
Exhibit 4-36 Sites Controlled By Others Screen (PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Submitter Operation Information’ screen.
You can also click the ‘Add Operation’ link under the ‘Submitter Controlled Operations’ folder
within the navigation tree to generate the submitter controlled operation screens or click the
‘Submitter Operation Information’ link under the ‘Submitter Controlled Operations’ folder
within the navigation tree.
4.1.20

Submitter Operation Information

You can navigate to the ‘Submitter Operation Information’ screen by clicking the ‘Next’ button
from the ‘Sites Controlled By Others’ screen. You can also access this screen by clicking the
‘Submitter Operation Information’ link under the ‘Submitter Controlled Operations’ folder
within the navigation tree. You can add additional sites by clicking the ‘Add Operation’ link
within the navigation tree under the ‘Submitter Controlled Operations’ folder.
The ‘Submitter Operation Information’ screen captures information about an operation that
occurs at a particular site or group of sites. You are asked a series of questions and based on the

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responses, a series of fields displays regarding a specific operation. The guided approach is
designed to eliminate errors and ensure the completion of all relevant sections for a site. You will
be able to enter an operation alias to identify the operation. Importers are not required to
complete this section for operations outside the U.S.; however, any industrial processing or use
operation that takes place after import must be described. It should be noted that Toll
manufacturing sites are considered to be sites controlled by the submitter.
You will first be asked to select the site(s) and chemical(s) for the operation and will then select
the applicable operation type checkboxes.
If you select an option other than ‘Use’ for the operation type, you will be asked whether the
chemical is manufactured or processed as a ‘batch’ or ‘continuous’ process. Based on the
property selected, fill in the relevant information. If you select the ‘Use’ operation type, then
there will be no further options on this screen. The follow-up screens are used to capture specific
information about the operation type process.
The system provides a text box for describing the process description. Additional process
information may also be included in an attachment. In the process description, include the
following information: (1) Diagram the major unit operation steps and chemical conversions.
Include interim storage and specify transport containers (e.g., 5-gallon pails, 55-gallon drum, rail
car, tank truck, etc.). (2) Provide the identity, approximate weight (by kilograms (kg) kg/day or
kg/batch on a new chemical substance basis), and entry point of all starting materials, feedstocks
(including reactants, solvents, catalysts, etc.), products, recycle streams, and wastes. Include
cleaning chemicals (note frequency if not used daily or per batch). (3) Identify by number the
points of release, including small or intermittent releases, to the environment of the new
chemical substance. If releasing to two media at the same step, assign a second release number
for the second medium.
You may claim the process description or attachment as CBI. If an attached document is claimed
as CBI, the system requires a sanitized version of the attached document to be uploaded. To
access or edit previously attached documents, click the file name of the document within the
‘File Name’ column of the document table.
The document table displays the file name and file extension of the document, the document
description, the number of pages in the document, and whether a sanitized copy of the document
was attached. Click the ‘Delete’ icon ( ) under the ‘Actions’ column to delete unwanted
documents.
 Operation Alias: Enter the operation alias. This field makes it easier to distinguish between
operations in the navigation tree when there is more than one operation. This is a required
field if the form is pending a Joint Submission or a Letter of Support.
 Add Facility: Click the button to generate the ‘Add Facility’ pop-up window and select a site
from the drop-down menu to add to the ‘Submitter Operation Information’ screen. Refer to
Section 3.11 for additional details regarding the add facility functionality.
 Site Name: Displays the site name.
 Address: Displays the site address.
 City: Displays the site city.

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 State: Displays the site state.
 Postal Code: Displays the site postal code.
 CBI: Indicates the CBI status of the site by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete a site from the table. A warning message
displays to confirm the deletion of the site.
 Select the chemical(s) that this submission pertains to: Displays all consolidated
chemicals in a PMN submission with associated checkbox(es).
 CBI: Check the ‘CBI’ checkbox to claim the operation type as confidential.
 Manufacturing: Check the ‘Manufacturing’ checkbox to indicate that manufacturing is
taking place at the site. Checking the ‘Manufacturing’ checkbox generates the ‘Is it batch or
continuous’ radio buttons.
 Processing: Check the ‘Processing’ checkbox to indicate that processing is taking place at
the site. Checking the ‘Processing’ checkbox generates the ‘Is it batch or continuous’ radio
buttons.
 Use: Check the ‘Use’ checkbox to indicate that chemical use is taking place at the site.
 CBI: Check the ‘CBI’ checkbox to claim the amount and duration information as
confidential.
 Is it batch or continuous?: Select the ‘Batch’ radio button to indicate that the chemical is
produced in a batch process. Select the ‘Continuous’ radio button to indicate that the
chemical is produced on a continuous basis. Either the ‘Batch’ or ‘Continuous’ radio button
is required to be selected.
 Max kg/batch: Enter the maximum number of kilograms produced per batch. This field only
displays when you select the ‘Batch’ radio button and is a required field. This field accepts
decimal values.
 Hours/batch: Enter the hours of manufacturing or processing time needed per batch. This
field only displays when you select the ‘Batch’ radio button and is a required field. This field
accepts decimal values.
 Batches/year: Enter the number of batches produced per year. This field only displays when
you select the ‘Batch’ radio button and is a required field. This field accepts decimal values.
 Max kg/day: Enter the maximum number of kg of a chemical produced per day. This field
only displays when you select the ‘Continuous’ radio button and is a required field. This field
accepts decimal values.
 Hours/day: Enter the number of hours per day that the chemical is processed or
manufactured; this value cannot exceed 24. This field only displays when you select the
‘Continuous’ radio button and is a required field. This field accepts decimal values.
 Days/year: Enter the number of days per year that the chemical is processed or
manufactured; this value cannot exceed 365. This field only displays when you select the
‘Continuous’ radio button, and is a required field. This field accepts decimal values.
 CBI: Check the ‘CBI’ checkbox to claim the process description as confidential.

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 Binding: Check the ‘Binding’ checkbox to claim the process description as binding.
 Process Description: Enter the process description. In the ‘Process Description’ text box, or
an attachment, address the following items: (1) Diagram the major unit operation steps and
chemical conversions. Include interim storage and transport containers (specify – e.g., 5gallon pails, 55-gallon drum, rail car, tank truck, etc.). (2) Provide the identity, the
approximate weight (by kg/day or kg/batch on a 100% new chemical substance basis), and
entry point of all starting materials and feedstocks (including reactants, solvents, catalysts,
etc.), and of all products, recycle streams, and wastes. Include cleaning chemicals (note
frequency if not used daily or per batch). (3) Identify by number the points of release,
including small or intermittent releases, to the environment of the new chemical substance. If
releasing to two media at the same step, assign a second release number for the second
medium. Either this field is required or a document must be attached.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window. Refer to Section 3.6 for additional details regarding the attach document
functionality.
 File Name: Displays the file name and file extension of the file that is uploaded on the
‘Attach Documents’ pop-up window.
 Description: Displays the description associated with a document.
 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm the deletion.

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Exhibit 4-37 shows a screen capture of the ‘Submitter Operation Information’ screen (Scroll 1):
Exhibit 4-37 Submitter Operation Information Screen (PMN) (Scroll 1)

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Exhibit 4-38 shows a screen capture of the ‘Submitter Operation Information’ screen (Scroll 2):
Exhibit 4-38 Submitter Operation Information Screen (PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Occupational Exposures’ screen. You
can also access this screen by clicking the ‘Occupational Exposures’ link within the navigation
tree.
4.1.21

Occupational Exposures

You can navigate to the ‘Occupational Exposures’ screen by clicking the ‘Next’ button from the
‘Submitter Operation Information’ screen. You can also access this screen by clicking the
‘Occupational Exposures’ link within the navigation tree.
Click the ‘Add’ button to generate an expandable/collapsible field set to enter occupational
exposure information. The application displays fields for you to enter information for ‘Worker
Category (1),’ ‘Worker Activity (1),’ ‘Protective Equipment/Engineering Controls (3),’ ‘Physical
Form(s) (5),’ ‘% New Substance (5),’ ‘# Workers Exposed (8),’ ‘Maximum Duration Hours/Day
(10),’ and ‘Maximum Duration Days/Year (11).’ EPA is attempting to estimate exposure levels,
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the number of workers potentially exposed, and possible routes and duration of exposure to the
PMN substance. Work with your plant engineers to develop accurate data; review the CBI status
of data you provide.
Information entered into the ‘Maximum Duration Hours/Day (10)’ and ‘Maximum Duration
Days/Year (11)’ fields must be a positive whole number or decimal. The system does not allow
special characters to be saved in these fields. If further explanation is required regarding duration
of exposure, please provide this in an attachment.
 Add: Click the ‘Add’ button to generate the ‘Occupational Exposure – Submitter Controlled
Sites’ expandable/collapsible field set.
 Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the
expandable/collapsible field set to prevent edits from saving and remove the field set. The
‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A
confirmation message displays to confirm the action.
 Edit: Click the ‘Edit’ link located in the upper right-hand corner of the
expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’
link displays when the expandable/collapsible field set has been saved and the data is not
currently editable.
 Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the
expandable/collapsible field set to delete the field set. A confirmation message displays to
confirm the deletion. The ‘Delete’ icon ( ) displays when the user has clicked the ‘Add’
button.
 Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to expand a series of field sets.
 Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to collapse a series of field sets.
 Worker Category (1): Select the category of work from the drop-down menu in which a
worker may be exposed to a chemical substance. This is a required field.
 CBI: Check the ‘CBI’ checkbox to claim worker category information as confidential.
 Worker Activity (1): Select the worker activity (e.g. bag dumping, tote filling, unloading
drums, sampling, cleaning, etc.) in which workers may be exposed to a chemical substance.
Please note that if you are populating this field via an XML file created from the ePMN thick
client, this drop-down menu will not populate. This is a required field.
 User Defined Worker Activity: Enter the worker activity in which workers may be exposed
to a chemical substance. This field displays only for certain worker activity values.
 Protective Equipment/Engineering Controls (3): Enter the protective
equipment/engineering controls used to protect workers. This is a required field.
 CBI: Check the ‘CBI’ checkbox to claim the protective equipment/engineering controls,
physical form(s), and % new substance information as confidential.
 Binding: Check the ‘Binding’ checkbox to claim the protective equipment/engineering
controls information as binding.

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 Physical Form(s) (5): Enter the physical forms(s) of the new chemical substance (e.g., solid,
crystal, granule, powder, or dust) at the time of exposure. Be as specific as possible on the
physical form (e.g., is the PMN substance isolated as a crystalline or amorphous powder, wet
cake, flake solid, granular solid, or a fused solid?). If data on particle size of solids are
available, it should be included as an attachment. For wet cakes, a percent moisture estimate
may prevent EPA from making an estimate that is too conservative. Please pay particular
attention to the information within if this field is populated via XML file. The information
contained within the ‘Physical Forms and % New Substance’ field in the thick client
separates into two (2) separate fields, the ‘Physical Form(s)’ field and ‘% New Substance’
field when these fields are populated via an XML file generated from the ePMN thick client.
This is a required field.
 Binding: Check the ‘Binding’ checkbox to claim the physical form(s) information as
binding.
 % New Substance (5): Enter the percentage of new chemical substance (if part of a mixture)
at the time of exposure. A value of zero (0) entered in this field will display an error. Please
pay particular attention to the information if this field is populated via XML file. The
information contained within the ‘Physical Forms and % New Substance’ field in the thick
client separates into two (2) separate fields, the ‘Physical Form(s)’ field and ‘% New
Substance’ field when these fields are populated via an XML file generated from the ePMN
thick client. This is a required field that accepts decimal values.
 Binding: Check the ‘Binding’ checkbox to claim the percentage new substance information
as binding.
 # Workers Exposed (8): Enter the number of workers exposed. Estimate the maximum
number of all workers involved in each activity for all sites combined. This is a required
field.
 CBI: Check the ‘CBI’ checkbox to claim the number of workers exposed as confidential.
 Hours/Day (10): Enter the maximum duration occupational exposure occurs for the activity
for any worker in hours per day; this field allows decimal values. A value of zero (0) entered
in this field will display an error. This is a required field.
 Days/Year (11): Enter the maximum duration occupational exposure occurs for the activity
for any worker in days per year; this field allows decimal values. A value of zero (0) entered
in this field will display an error. This is a required field.
 CBI: Check the ‘CBI’ checkbox to claim the maximum duration values as confidential.
 Save: Click the button to save the information entered within the expandable/collapsible field
set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom
action bar to successfully save the entered information within the field set before being able
to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section
3.9 for more information regarding the save functionality in an expandable/collapsible field
set.

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Exhibit 4-39 shows a screen capture of the ‘Occupational Exposures’ screen (Scroll 1):
Exhibit 4-39 Occupational Exposures Screen (PMN) (Scroll 1)

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Exhibit 4-40 shows a screen capture of the ‘Occupational Exposures’ screen (Scroll 2):
Exhibit 4-40 Occupational Exposures Screen (PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Environmental Releases’ screen. You can
also access this screen by clicking the ‘Environmental Releases’ link within the navigation tree.
4.1.22

Environmental Releases

You can navigate to the ‘Environmental Releases’ screen by clicking the ‘Next’ button from the
‘Occupational Exposures’ screen. You can also access this screen by clicking the ‘Environmental
Releases’ link within the navigation tree.
The ‘Environmental Releases’ screen captures information about the environmental release and
disposal status of a particular site. The information on exposure and environmental release is
related to the flow diagram/process description on the ‘Submitter Operation Information’ screen.
This page is duplicated and populated for each flow diagram supplied in the PMN
(manufacturing, each processing description, and any use diagrams). The information provided
should focus on the PMN substance. EPA reviewers pay particular attention to human exposure
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and environmental release date under their TSCA mandate to protect against unreasonable risks
from new chemical substances. In the absence of this information, EPA will make its own
estimates of worker exposure and environmental release, which are usually conservative. You
should present data that is accurate and as complete as possible.
The page displays an ‘Add’ button to add an expandable/collapsible field set to enter
‘Environmental Release and Disposal – Submitter Controlled Sites’ information. The page
displays fields to enter information for ‘Release Number,’ the amount of the new substance
released ‘to environment’ and the amount of new substance released ‘to control technology,’
‘Media of Release,’ ‘Control Technology Description,’ and ‘Release after Control Technology.’
You will be asked to enter information concerning the release to water, such as Publicly Owned
Treatment Works (POTW), navigable waterways, and others.
 Add: Click the ‘Add’ button to generate the ‘Environmental Release and Disposal –
Submitter Controlled Sites’ expandable/collapsible field set.
 Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the
expandable/collapsible field set to prevent edits from saving and remove the field set. The
‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A
confirmation message displays to confirm the action.
 Edit: Click the ‘Edit’ link located in the upper right-hand corner of the
expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’
link displays when the expandable/collapsible field set has been saved and the data is not
currently editable.
 Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the
expandable/collapsible field set to delete the field set. A confirmation message displays to
confirm the deletion. The ‘Delete’ icon ( ) displays when the user clicks the ‘Add’ button.
 Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to expand a series of field sets.
 Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to collapse a series of field sets.
 Release Number (1): Enter the number of each release point identified in the process
description on the ‘Submitter Operation Information’ screen. This is a required field.
 CBI: Check the ‘CBI’ checkbox to claim the release number information and amount of new
substance information as confidential.
 Amount of new substance released to Environment (2a): Select the applicable radio
button and enter the amount of new substance released to environment. Release estimates
should be consistent with the release levels shown on the preceding flow diagram on the
‘Submitter Operation Information’ screen. Include intermittent release estimates from
cleaning of equipment and transportation containers, even if cleaned off-site. Either the
‘Amount of new substance released to Environment’ or the ‘Amount of new substance
released to Control Technology’ field should be populated.

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 Amount of new substance released to Environment kg/day: Select the radio button to
claim that the amount of new substance released to the environment is measured in kilograms
per day.
 Amount of new substance released to Environment kg/batch: Select the radio button to
claim that the amount of new substance released to the environment is measured in kilograms
per batch.
 Amount of new substance released to Control Technology (2b): Enter the amount of new
substance released to control technology. Release estimates should be consistent with the
release levels shown on the proceeding flow diagram on the ‘Submitter Operation
Information’ screen. Include intermittent release estimates from cleaning of equipment and
transportation containers, even if cleaned off-site. Either the ‘Amount of new substance
released to environment’ or the ‘Amount of new substance released to Control Technology’
field should be populated.
 Amount of new substance released to Control Technology kg/day: Select the radio button
to claim that the amount of new substance released to control technology is measured in
kilograms per day.
 Amount of new substance released to Control Technology kg/batch: Select the radio
button to claim that the amount of new substance released to control technology is measured
in kilograms per batch.
 Media of Release (4): Identify the media of release (i.e., stack air, fugitive air, surface water,
on-site or off-site land or incineration, POTW, or other (please specify)) to which the new
substance will be released from that release point from the drop-down menu. This is a
required field.
 CBI: Check the ‘CBI’ checkbox to claim the media of release, control technology
description, and release after control technology information as confidential.
 If Other, specify: Enter the other media of release when you select ‘Other’ from the ‘Media
of Release’ drop-down menu.
 Control Technology Description (5a): Enter the control technology description. Describe
control technology, if any, and control efficiency used to limit the release of the new
substance to the environment. For releases disposed of on land, characterize the disposal
method and state whether it is approved for disposal of Resource Conservation and Recovery
Act (RCRA) hazardous waste. For each site, describe any additional disposal methods that
will be used and whether the waste is subject to secondary or tertiary on-site treatment.
Indicate if you want this information to bind. Check the ‘CBI’ checkbox if the information is
confidential. This is a required field.
 Binding: Check the ‘Binding’ checkbox to claim the control technology description as
binding.
 Release after Control Technology (5b): Enter the release after control technology. Estimate
the amount released to the environment after control technology (in kilograms per day). This
is a required field.
 Save: Click the button to save the information entered within the expandable/collapsible field
set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom
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action bar to successfully save the entered information within the field set before being able
to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section
3.9 for more information regarding the save functionality in an expandable/collapsible field
set.
 POTW Name: Enter the POTW (publicly owned treatment works) name.
 POTW NPDES #: Enter the POTW National Pollutant Discharge Elimination System
(NPDES) number.
 POTW CBI: Check the ‘CBI’ checkbox to claim the POTW as confidential.
 Navigable Waterway Name: Enter the navigable waterway name.
 Navigable Waterway NPDES #: Enter the navigable waterway NPDES number.
 Navigable Waterway CBI: Check the ‘CBI’ checkbox to claim the navigable waterway as
confidential.
 Other (Specify) Name: Enter the name of the other destination of release to water.
 Other (Specify) CBI: Check the ‘CBI’ checkbox to claim the other destination of release to
water as confidential.

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Exhibit 4-41 shows a screen capture of the ‘Environmental Releases’ screen (Scroll 1):
Exhibit 4-41 Environmental Releases Screen (PMN) (Scroll 1)

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Exhibit 4-42 shows a screen capture of the ‘Environmental Releases’ screen (Scroll 2):
Exhibit 4-42 Environmental Releases Screen (PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Industrial Sites Controlled By Others’
screen. You can also access this screen by clicking the ‘Industrial Sites Controlled By Others’
link within the navigation tree. Click the ‘Add Operation’ link under the ‘Operations Controlled
By Others’ folder within the navigation tree to generate the screens for an operation controlled
by others.
4.1.23

Industrial Sites Controlled By Others

Click the ‘Add Operation’ link under the ‘Operations Controlled By Others’ folder within the
navigation tree to generate the screens for an operation controlled by others. You can navigate to
this screen by clicking the ‘Next’ button from the ‘Environmental Releases’ screen. You can also
access this screen by clicking the ‘Industrial Sites Controlled By Others’ link within the
navigation tree under the ‘Operations Controlled by Others’ folder.

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The ‘Industrial Sites Controlled By Others’ screen captures information about activities
occurring at a particular site or group of sites. You will be able to enter an operation alias to
identify the operation. Importers are not required to complete this section for operations outside
the U.S.; however, any industrial processing or use operation that takes place after import must
be described.
You will first be asked to select the site(s) and chemical(s) for the operation. You will then
proceed to the next screen to enter resources concerning the operation. The system provides a
field to add an operation process description.
The site(s) and chemical(s) for the operation must be identified. The system then navigates to the
next screen to enter resources concerning the operation. The ‘Industrial Sites Controlled By
Others’ screen also displays a field to add an operation process description. In the operation
description, include the following information: (1) Diagram the major unit operation steps and
chemical conversions, including interim storage and specify transport containers (e.g., 5-gallon
pails, 55-gallon drums, rail cars, tank trucks, etc.). On the diagram, identify by letter and briefly
describe each worker activity. (2) Either in the diagram or in the text field, provide the identity,
the approximate weight (by kg/day or kg/batch, on a 100% new chemical substance basis), and
entry point of all feedstocks (including reactants, solvents and catalysts, etc.), products, recycle
streams, and wastes. Include cleaning chemicals (note frequency if not used daily or per batch).
(3) Either in the diagram or in the text field, identify by number the points of release, including
small or intermittent releases, to the environment of the new chemical substance.
 Operation Alias: Enter the operation alias. This is a required field if the form is pending a
Joint Submission or a Letter of Support.
 Add Facility: Click the button to generate the ‘Add Facility’ pop-up window and select a site
from the drop-down menu to add to the ‘Industrial Sites Controlled By Others’ screen. Refer
to Section 3.11 for additional details regarding the add facility functionality.
 Site Name: Displays the site name.
 Address: Displays the site address.
 City: Displays the site city.
 State: Displays the site state.
 Postal Code: Displays the site postal code.
 CBI: Indicates the CBI status of the site by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete a site from the table. A warning message
confirming deletion of the site displays.
 Select the chemical(s) that this submission pertains to: Displays all consolidated
chemicals in a PMN form.
 Operation Description: Enter the operation process description. Cover the following items:
(1) Diagram the major unit operation steps and chemical conversions, including interim
storage and transport containers (specify – e.g., 5-gallon pails, 55-gallon drums, rail cars,
tank trucks, etc.). On the diagram, identify by letter and briefly describe each worker activity.
(2) Either in the diagram or in the text field, provide the identity, the approximate weight (by
kg/day or kg/batch, on a 100% new chemical substance basis), entry point of all feedstocks
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(including reactants, solvents and catalysts, etc.), all products, recycle streams, and wastes.
Include cleaning chemicals (note frequency if not used daily or per batch). (3) Either in the
diagram or in the text field, identify by number the points of release, including small or
intermittent releases, to the environment of the new chemical substance. Either this field is
required or a document must be attached.
 CBI: Check the ‘CBI’ checkbox to claim the operation description as confidential.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window. Refer to Section 3.6 for additional details regarding the attach document
functionality.
 File Name: Displays the file name and file extension of the document that was uploaded on
the ‘Attach Documents’ pop-up window.
 Description: Displays the description associated with a document.
 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm deletion of the document.

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Exhibit 4-43 shows a screen capture of the ‘Industrial Sites Controlled By Others’ screen (Scroll
1):
Exhibit 4-43 Industrial Sites Controlled By Others Screen (PMN) (Scroll 1)

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Exhibit 4-44 shows a screen capture of the ‘Industrial Sites Controlled By Others’ screen (Scroll
2):
Exhibit 4-44 Industrial Sites Controlled By Others Screen (PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Exposures/Releases’ screen. You can
also access this screen by clicking the ‘Exposures/Releases’ link within the navigation tree.
4.1.24

Exposures/Releases

You can navigate to the ‘Exposures/Releases’ screen by clicking the ‘Next’ button from the
‘Industrial Sites Controlled By Others’ screen. You can also access this screen by clicking the
‘Exposures/Releases’ link within the navigation tree under the ‘Operations Controlled By
Others’ folder.
The screen provides buttons to add expandable/collapsible field sets for worker exposure release
information and environmental disposal information. The screen displays fields in the worker
exposure expandable/collapsible field set to enter information for ‘Letter of Activity (1),’ ‘#
Workers Exposed (2),’ ‘Duration of Exposure Hours/Day (4a),’ ‘Duration of Exposure
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Days/Year (4b),’ ‘Protective Equipment/Engineering Controls (6),’ ‘Physical Form (6),’ ‘% New
Substance (6),’ and ‘% in Formulation (7).’ The screen displays fields in the environmental
release expandable/collapsible field set to enter information for ‘Release Number (9),’ the
amount of the new substance released directly ‘to environment (10a),’ the amount of new
substance released ‘into control technology (10b),’ ‘Media of Release (12),’ and ‘Control
Technology (12).’
Information entered into the ‘Duration of Exposure Hours/Day (4a)’ and ‘Duration of Exposure
Days/Year (4b)’ fields must be a positive whole number or decimal. The system does not allow
special characters to be saved in these fields. If further explanation is required regarding duration
of exposure, please provide this in an attachment.
 Add: Click the ‘Add’ button to generate the ‘Worker Exposure’ expandable/collapsible field
set.
 Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the
expandable/collapsible field set to prevent edits from saving and to remove a field set. The
‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A
confirmation message displays to confirm the action.
 Edit: Click the ‘Edit’ link located in the upper right-hand corner of the
expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’
link displays when the expandable/collapsible field set has been saved and the data is not
currently editable.
 Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the
expandable/collapsible field set to delete the field set. A confirmation message displays to
confirm the deletion.
 Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to expand a series of field sets.
 Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to collapse a series of field sets.
 Letter of Activity (1): Indicate the activities in which workers may be exposed to the
specified substance.
 CBI: Check the ‘CBI’ checkbox to claim the letter of activity as confidential.
 # Workers Exposed (2): Enter an estimate of the number of workers exposed for all sites
combined.
 CBI: Check the ‘CBI’ checkbox to claim the number of workers exposed as confidential.
 Duration of Exposure Hours/Day (4a): Enter an estimate of the typical duration of
exposure per worker in hours/day. This field allows decimal values.
 Duration of Exposure Days/Year (4b): Enter an estimate of the typical duration of
exposure per worker in days/year. This field allows decimal values.
 CBI: Check the ‘CBI’ checkbox to claim the duration of exposure hours/day and days/year
as confidential.

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 Protective Equipment/Engineering Controls (6): Enter a description of any protective
equipment and engineering controls, if any, used to protect workers. Please pay particular
attention to the information within if this field is populated via XML file. The information
contained within the ‘Protective Equipment/Engineering Controls/Physical Forms’ field in
the thick client separates into two (2) separate fields, the ‘Protective Equipment/Engineering
Controls’ and ‘Physical Forms’ field when these fields are populated via an XML file
generated from the ePMN thick client.
 CBI: Check the ‘CBI’ checkbox to claim the protective equipment/engineering controls,
physical form(s), % new substance, and % in formulation information as confidential.
 Physical Form (6): Enter a description of physical forms of exposure. Please pay particular
attention to the information populated in this field if this field is populated via XML file. The
information contained within the ‘Protective Equipment/Engineering Controls/Physical
forms’ field in the thick client separates into two (2) separate fields, the ‘Protective
Equipment/Engineering Controls’ and ‘Physical Forms’ field when these fields are populated
via an XML file generated from the ePMN thick client.
 % New Substance (6): Describe percentage of new chemical substance (if in mixture).
 % in Formulation (7): Estimate the percent of the new substance as formulated when
packaged or used as a final product.
 Save: Click the button to save the information entered within the expandable/collapsible field
set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom
action bar to successfully save the entered information within the field set before being able
to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section
3.9 for more information regarding the save functionality in an expandable/collapsible field
set.

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Exhibit 4-45 shows a screen capture of the ‘Exposures/Releases’ screen (Scroll 1):
Exhibit 4-45 Exposures/Releases Screen (PMN) (Scroll 1)

 Add: Click the ‘Add’ button to generate the ‘Environmental Disposal’
expandable/collapsible field set.
 Release Number (9): Enter the number of each release point from the process diagram
previously entered.
 CBI: Check the ‘CBI’ checkbox to claim the release number information as confidential.

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 Amt New Substance Released Directly into Environment (10a): Enter an estimate of the
amount of the new substance released directly to the environment in Kg/day or Kg/batch.
 Amt New Substance Released Directly into Environment – Kg/Day: Select the ‘Kg/Day’
radio button to indicate that the amount of substance released into environment measures in
kilograms per day.
 Amt New Substance Released Directly into Environment – Kg/Batch: Select the
‘Kg/Batch’ radio button to indicate that the amount of substance released into environment
measures in kilograms per batch.
 Amt New Substance Released Directly into Control Technology (10b): Estimate the
amount of the new substance released into control technology in Kg/Day or Kg/Batch.
 Amt New Substance Released Directly into Control Technology – Kg/Day: Select the
‘Kg/Day’ radio button to indicate that the amount of substance released into control
technology measures in kilograms per day.
 Amt New Substance Released Directly into Control Technology – Kg/Batch: Select the
‘Kg/Batch’ radio button to indicate that the amount of substance released into control
technology measures in kilograms per batch.
 Media of Release (12): Select a value from the drop-down menu to capture the media of
release. The ‘Media of Release’ drop-down menu contains the following values: ‘Fugitive
Air,’ ‘Off-Site Incineration,’ ‘On-site Incineration,’ ‘On-site WWT,’ ‘POTW,’ ‘Stack Air,’
‘Surface Water,’ and ‘Other,’ that will be used to limit the release of the new substance to the
environment. Please pay particular attention to the information within if this field is
populated via XML file. The information contained within the ‘Media of Release & Control
Technology’ field in the thick client separates into two (2) separate fields, the ‘Media of
Release’ drop-down menu and ‘Control Technology’ field when these fields are populated
via an XML file generated from the ePMN thick client.
 (If Other, specify): Enter the other media of release.
 CBI: Check the ‘CBI’ checkbox to claim the media of release and control technology
information as confidential.
 Control Technology (12): Enter the control technology, if any, which will be used to limit
the release of the new substance to the environment. Please pay particular attention to the
information within if this field is populated via XML file. The information contained within
the ‘Media of Release & Control Technology’ field in the thick client separates into two (2)
distinct fields, the ‘Media of Release’ drop-down menu and ‘Control Technology’ field when
these fields are populated via an XML file generated from the ePMN thick client.
 Save: Click the button to save the information entered within the expandable/collapsible field
set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom
action bar to successfully save the entered information within the field set before being able
to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section
3.9 for more information regarding the save functionality in an expandable/collapsible field
set.

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Exhibit 4-46 shows a screen capture of the ‘Exposures/Releases’ screen (Scroll 2):
Exhibit 4-46 Exposures/Releases Screen (PMN) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Byproduct Information’ screen. You can
also access this screen by clicking the ‘Byproduct Information’ link within the navigation tree.
4.1.25

Byproduct Information

You can navigate to the ‘Byproduct Information’ screen by clicking the ‘Next’ button from the
‘Exposures/Releases’ screen. You can also access this screen by clicking the ‘Byproduct
Information’ link under the ‘Operations Controlled By Others’ folder within the navigation tree.
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The ‘Byproduct Information’ screen captures byproducts resulting from a particular site. The
system displays fields to enter byproducts.
 CBI: Check the ‘CBI’ checkbox to claim all byproducts as confidential.
 Byproduct: Enter byproducts that may result from the operation.
 Actions: Click the ‘Save’ icon ( ) to save an entered byproduct. Click the ‘Delete’ icon ( )
to delete a byproduct. Click the ‘Add’ icon ( ) to add a byproduct. Click the ‘Form’ icon (
) to edit a saved byproduct.
Exhibit 4-47 shows a screen capture of the ‘Byproduct Information’ screen:
Exhibit 4-47 Byproduct Information Screen (PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Optional Pollution Prevention’ screen.
You can also access this screen by clicking the ‘Optional Pollution Prevention’ link within the
navigation tree.

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4.1.26

Optional Pollution Prevention

You can navigate to the ‘Optional Pollution Prevention’ screen by clicking the ‘Next’ button
from the ‘Byproduct Information’ screen. You can also access this screen by clicking the
‘Optional Pollution Prevention’ link within the navigation tree.
The ‘Optional Pollution Prevention’ screen provides fields for companies to enter data about
their pollution prevention efforts. The company has the option of entering information as a free
text field or as an attachment. The company can claim the information as confidential by
checking the ‘CBI’ checkbox.
The system allows an uploaded document to be claimed as CBI. If a document is claimed as
CBI, the system requires the sanitized version of the attached document to be uploaded. To
access or edit previously attached documents, click the appropriate file name of the document
within the ‘File Name’ column of the document table.
The attachment table displays the file name and file extension of the document, the document
description, the number of pages the document contains, and the CBI status of the document.
Click the ‘Delete’ icon ( ) located within the ‘Actions’ column to delete unwanted documents.
You may provide information not reported elsewhere in this form regarding your efforts to
reduce or minimize potential risks associated with activities surrounding manufacturing,
processing, use, and disposal of the PMN substance on the ‘Optional Pollution Prevention’
screen. Include new information pertinent to pollution prevention, including source reduction,
recycling activities and safer processes or products available due to the new chemical substance.
Source reduction includes the reduction in the amount or toxicity of chemical wastes by
technological modification, process and procedure modification, product reformulation, and/or
raw materials substitution. Recycling refers to the reclamation of useful chemical components
from wastes that would otherwise be treated or released as air emissions or water discharges, or
land disposal. Quantitative or qualitative descriptions of pollution prevention, source reduction
and recycling should emphasize potential risk reduction in addition to compliance with existing
regulatory requirements. EPA is interested in the information to assess overall net reductions in
toxicity or environmental releases and exposures, not the shifting of risks to other media (e.g., air
to water) or non-environmental areas (e.g., occupational or consumer exposure). To the extent
known, information about the technology being replaced will assist EPA in its relative risk
determination. In addition, information on the relative cost or performance characteristics of the
PMN substance to potential alternatives may be provided.
Describe the expected net benefits, such as:
(1) An overall reduction in risk to human health or the environment;
(2) A reduction in the generation of waste materials through recycling, source reduction or
other means;
(3) A reduction in the use of hazardous starting materials, reagents, or feedstocks;
(4) A reduction in potential toxicity, human exposure and/or environmental release; or
(5) The extent to which the new chemical substance may be a substitute for an existing
substance that poses a greater overall risk to human health or the environment.

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EPA strongly encourages submitters to provide pollution prevention data in their notices, as this
information assists the Agency in balancing the benefits of a PMN substance against its unique
risks.
While Agency staffers frequently receive information on the benefits of the PMN substance with
respect to its use(s), data on pollution prevention effects are rarely included. This section should
be utilized to indicate to EPA benefits in terms of the raw materials incorporated, the
manufacturing process, emission reductions, less toxic waste byproducts, or lower risks upon end
use and disposal. You should consider the entire life cycle of the PMN substance in your
evaluation.
Also consider opportunities for product stewardship or other risk management controls that could
significantly reduce risk characteristics of the new substance (e.g., disposal techniques that can
be easily implemented and substantially reduce waste toxicity).
Initiatives in the New Chemicals Program such as Environmental Technology Initiative (ETI) for
Chemicals, and the Pollution Prevention Recognition Project, are geared towards incorporating
this type of information into the Agency’s risk management decision making and recognizing
innovative chemical design or technological innovation that shows potential for environmental
and human health benefits.
Describe any pollution prevention benefits here, and indicate if this information is confidential
business information. Attempt to quantify the expected benefits to the extent possible and avoid
exaggeration and highly speculative statements. The following questions can be used to assess
pollution prevention benefits:
(1) Are there pollution prevention benefits associated with the new PMN chemical?
(2) Does it allow reduction of elimination of (more) toxic solvents?
(3) Does it reduce disposal to land, or in safer forms, compared to the chemistry it replaces?
(4) Can it be recycled more easily than existing materials?
(5) Does your manufacturing process eliminate or reduce the use/release of hazardous
substances?
 Please click here to review additional information that should be included on this page:
Click the link to display additional information regarding the pollution information.
 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim the pollution prevention information as confidential.
 Optional Pollution Prevention text box: Enter information about pollution prevention in
this field.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window. Refer to Section 3.6 for additional details regarding the attach document
functionality.
 File Name: Displays the file name and file extension of a document that is uploaded on the
‘Attach Documents’ pop-up window. Click the file name link to navigate to the ‘Attach
Documents’ pop-up window to make any edits to an attached document.
 Description: Displays the description associated with a document.
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 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm the deletion.
Exhibit 4-48 shows a screen capture of the ‘Optional Pollution Prevention’ screen:
Exhibit 4-48 Optional Pollution Prevention Screen (PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Additional Attachments’ screen. You can
also access this screen by clicking the ‘Additional Attachments’ link within the navigation tree.
4.1.27

Additional Attachments

You can navigate to the ‘Additional Attachments’ screen by clicking the ‘Next’ button from the
‘Optional Pollution Prevention’ screen. You can also access this screen by clicking the
‘Additional Attachments’ link within the navigation tree.
The ‘Additional Attachments’ screen provides a table for you to add additional attachments that
have not been incorporated into the form. This screen allows documents that did not have a
suitable place in the application to be uploaded.

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 Please click here to view a list of commonly attached documents and where they should
be attached: Click the link to display a list of documents and where they should be attached.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window. Refer to Section 3.6 for additional details regarding the attach document
functionality.
 File Name: Displays the file name and file extension of a document that is uploaded on the
‘Attach Documents’ pop-up window.
 Description: Displays the description associated with a document.
 Pages: Displays the number of pages a document contains.
 Date: Displays the date a document was uploaded.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Action: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm the deletion.
Exhibit 4-49 shows a screen capture of the ‘Additional Attachments’ screen:
Exhibit 4-49 Additional Attachments Screen (PMN)

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Navigation: Click the ‘Next’ button to navigate to the ‘Attachment Summary’ screen. You can
also access this screen by clicking the ‘Attachment Summary’ link within the navigation tree.
4.1.28

Attachment Summary

You can navigate to the ‘Attachment Summary’ screen by clicking the ‘Next’ button from the
‘Additional Attachments’ screen. You can also access this screen by clicking the ‘Attachment
Summary’ link within the navigation tree.
The ‘Attachment Summary’ screen displays a summary of the documents attached to the PMN
form. The attachment table displays the section of the form a document is associated with, file
name and file extension of a document, the document description, number of pages in a
document, date attached, and whether the document is CBI.
 Section: Displays the section of the PMN form that the attached document is associated.
 File Name: Displays the file name and file extension of a document that is uploaded on the
‘Attach Documents’ pop-up window.
 Description: Displays the description of a document that was uploaded on the ‘Attach
Documents’ pop-up window.
 Pages: Displays the number of pages a document contains.
 Date: Displays the upload date of a document that was uploaded on the ‘Attach Documents’
pop-up window.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’

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Exhibit 4-50 shows a screen capture of the ‘Attachment Summary’ screen:
Exhibit 4-50 Attachment Summary Screen (PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Optional Cover Letter’ screen. You can
also access this screen by clicking the ‘Optional Cover Letter’ link within the navigation tree.
4.1.29

Optional Cover Letter

You can navigate to the ‘Optional Cover Letter’ screen by clicking the ‘Next’ button from the
‘Attachment Summary’ screen. You can also access this screen by clicking the ‘Optional Cover
Letter’ link within the navigation tree.
The ‘Optional Cover Letter’ screen is used to communicate information with EPA that is not
collected elsewhere in the form. The cover letter is used to give OPPT resources and special
instructions regarding the application.
 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim the information as confidential.
 Optional Cover Letter: Enter the description and any additional special instructions
regarding the form.
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Exhibit 4-51 shows a screen capture of the ‘Optional Cover Letter’ screen:
Exhibit 4-51 Optional Cover Letter Screen (PMN)

Navigation: If you are not filing a Joint or Letter of Support submission, please refer to Section
3.9 for the functionality available within the bottom action bar. If you are submitting a Joint
Submission, click the ‘Next’ button to navigate to the ‘Joint Submitter Information’ screen. You
can also access this screen by clicking the ‘Joint Submitter Information’ link within the
navigation tree. If you have a Letter of Support pending and are not submitting a Joint
Submission, click the ‘Next’ button to navigate to the ‘Letter of Support Submitter Information’
screen. You can also navigate to this screen by clicking the ‘Letter of Support Submitter
Information’ link within the navigation tree.
4.1.30

Joint Submitter Information

You can access the ‘Joint Submitter Information’ screen by clicking the ‘Next’ button from the
‘Optional Cover Letter’ screen. You can also access this screen by clicking the ‘Joint Submitter
Information’ link within the navigation tree. Click the ‘Add Joint Submission’ link within the
navigation tree to add an additional joint submitter; a maximum of two joint submitters may be
listed in a PMN form.
The ‘Joint Submitter Information’ screen captures contact information regarding the joint
submitter that will be submitting separate information regarding the PMN form. The joint
submitter will be sent the unique identification number by the primary submitter.
 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim the joint submitter contact information as
confidential.
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 First Name: Enter the joint submitter’s first name. This is a required field.
 Last Name: Enter the joint submitter’s last name. This is a required field.
 Position: Enter the joint submitter’s job title.
 Company Name: Enter the joint submitter’s company name. This is a required field.
 Phone Number: Enter the joint submitter’s daytime phone number. This field does not
accept dashes. This is a required field.
 Phone Extension: Enter the joint submitter’s U.S. phone number extension if applicable.
 Email Address: Enter the joint submitter’s email address. The email address must follow the
standard email address format: John.Doe@abc.com. This is a required field.
 Mailing Address 1: Enter the first line of the joint submitter’s mailing address. This is a
required field.
 Mailing Address 2: Enter the second line of the joint submitter’s mailing address.
 City: Enter the city of the joint submitter’s mailing address. This is a required field.
 State: Select the state of the joint submitter’s mailing address from the drop-down menu.
This is a required field.
 Postal Code: Enter the postal code of the joint submitter’s mailing address. This is a required
field.
 Country: Displays ‘United States.’

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Exhibit 4-52 shows a screen capture of the ‘Joint Submitter Information’ screen:
Exhibit 4-52 Joint Submitter Information Screen (PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Joint Submission Information’ screen.
You can also access this screen by clicking the ‘Joint Submission Information’ link within the
navigation tree.
4.1.31

Joint Submission Information

You can access the ‘Joint Submission Information’ screen by clicking the ‘Next’ button from the
‘Joint Submitter Information’ screen. You can also access this screen by clicking the ‘Joint
Submission Information’ link within the navigation tree.
The ‘Joint Submission Information’ screen is used as a communication point between two
companies. The ‘Joint Submission Information’ screen displays fields that capture information to
pass to the joint submitter. A text box captures information to send to the joint submitter in an
unencrypted email sent by the primary submitter. A ‘Unique Identifier for Joint Submissions’
box will also display on this screen. The unique identification number auto-generates when a
user declares a joint submission is being established.

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Joint Submission Process: When you designate that a Joint Submission is being filed, you will
be asked to enter all the information within the ‘Joint Submission’ folder. When the primary
submitter navigates to the ‘Joint Submission Information’ screen, the primary submitter must
send an email to the joint submitter identified on the ‘Joint Submitter Information’ screen. The
email will contain the unique identification number that will link the two forms.
When the joint submitter accesses the ‘Section 5 Notices and Supports Forms’ screen and creates
a new form, the joint submitter will be prompted to enter the unique identification number on the
‘Create Passphrase’ screen. Once the unique identification number has been entered, the system
will link the primary and joint forms. The original notice will not undergo a review process until
all forms are received.
 Joint Submission Information Instructions: Enter the information that the primary
submitter is sending to the joint submitter.
 Joint Submission Informational Text: Displays instructional text provided by OPPT, the
unique identification number automatically generated for the form, and provides functionality
to email the unique identification number to the joint submitter by clicking the ‘Notify the
Secondary Submitter of the Joint Submission’ link.
 Unique Identification Number: The unique identification number is a random, autogenerated number that must be provided to the joint submitter to create a joint submission.

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Exhibit 4-53 shows a screen capture of the ‘Joint Submission Information’ screen:
Exhibit 4-53 Joint Submission Information Screen (PMN)

Navigation: Click the ‘Notify the Secondary Submitter of the Joint Submission’ link to access
the unique identifier notification pop-up window. Click the ‘Next’ button to navigate to the
‘Letter of Support Submitter Information’ screen if you are submitting a Letter of Support. You
can also access this screen by clicking the ‘Letter of Support Submitter Information’ link within
the navigation tree. Click the ‘Next’ button to navigate to the ‘Submitting Official Information’
screen if you are not submitting a Letter of Support. A warning generates on this screen after
clicking the ‘Next’ or ‘Previous’ button if you have not sent an email notification to the Joint
Submitter.
4.1.32

Notify Joint Submitter of Joint Submission Information

You can access the unique identifier notification window by clicking the ‘Notify the Secondary
Submitter of the Joint Submission’ link from the ‘Joint Submission Information’ screen.
The unique identifier notification window is used to provide the unique identification number to
the joint submitter. The unique identifier notification window displays a ‘CC’ field for you to
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add other email addresses to the notification (including the original submitter), a ‘To’ field, and
an ‘Additional Comments’ text box.
 Chemical Checkbox (es): The chemical(s) identified within a form displays on the unique
identifier notification pop-up window. Check the checkbox (es) for the chemical(s) identified
within the form for which the secondary submitter should provide supporting information.
 From: Displays the email address of the user that created the form.
 CC: This editable field automatically populates with the email address of the user that
created the original form and the email address (es) of the technical contact(s) identified
within the form.
 To: Contains instructional text for you to enter multiple email addresses. Contains the
editable email address of the joint submitter specified on the ‘Joint Submitter Information’
screen; this email address will be pre-populated upon navigating to the window. Enter any
additional email addresses to which the email should be sent.
 Subject: Displays ‘YYYY Primary PMN.’
 Message: Contains a pre-determined message that will display in the email sent to a joint
submitter.
 Additional Comments: Enter any other additional comments or instructions that should be
passed onto the joint submitter.
 Send: Click the ‘Send’ button to generate and send the email to the email addresses
identified in the ‘CC’ and ‘To’ fields.

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Exhibit 4-54 shows a screen capture of the Joint Submission unique identifier notification pop-up
window:
Exhibit 4-54 Joint Submission Unique Identifier Notification Pop-Up Window (PMN)

Navigation: Click the ‘Send’ button to send the email to the joint submitter and navigate back to
the ‘Joint Submission Information’ screen.

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4.1.33

Letter of Support Submitter Information

Click the ‘Next’ button from the ‘Joint Submission Information’ screen to access the ‘Letter of
Support Submitter Information’ screen if a Letter of Support is pending. You can also access this
screen by clicking the ‘Letter of Support Submitter Information’ link within the navigation tree.
If you are only filing a Letter of Support, click the ‘Next’ button from the ‘Optional Cover
Letter’ screen to navigate to the ‘Letter of Support Submitter Information’ screen. Click the ‘Add
Letter of Support’ link within the navigation tree to add extra Letters of Support.
The ‘Letter of Support Submitter Information’ screen captures contact information for the Letter
of Support submitter who will enter separate information for the PMN form. The unique
identification number will be sent to the Letter of Support submitter via the email address
provided.
An unlimited number of Letters of Support can be identified for each form.
 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim the Letter of Support submitter contact information as
confidential.
 First Name: Enter the Letter of Support submitter’s first name. This is a required field.
 Last Name: Enter the Letter of Support submitter’s last name. This is a required field.
 Position: Enter the Letter of Support submitter’s job title.
 Company Name: Enter the Letter of Support submitter’s company name. This is a required
field.
 Phone Number: Enter the Letter of Support submitter’s daytime phone number, U.S. or
international. This field does not accept dashes. This is a required field.
 Phone Extension: Enter the Letter of Support submitter’s phone number extension if
applicable.
 Email Address: Enter the Letter of Support submitter’s email address. The email address
must follow the standard email address format: John.Doe@abc.com. This is a required field.
 Mailing Address 1: Enter the first line of the Letter of Support submitter’s mailing address.
This is a required field.
 Mailing Address 2: Enter the second line of the Letter of Support submitter’s mailing
address.
 City: Enter the city of the Letter of Support submitter’s mailing address. This is a required
field.
 State: Select the state of the Letter of Support submitter’s mailing address from the dropdown menu. This is a required field if ‘United States’ is selected from the ‘Country’ dropdown menu.
 Postal Code: Enter the postal code of the Letter of Support submitter’s mailing address. This
is a required field if the ‘Country’ field is set to ‘United States.’
 Country: Select the country of the Letter of Support submitter’s mailing address from the
drop-down menu. This is a required field. If a non-U.S. country is selected, a primary

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submitter is responsible for collecting fees from non-U.S. joint submitters; the primary
submitter is responsible for the full payment or the joint submitter must have an
Agent/Consultant with the ability to pay his/her portion of the fee.
Exhibit 4-55 shows a screen capture of the ‘Letter of Support Submitter Information’ screen:
Exhibit 4-55 Letter of Support Submitter Information Screen (PMN)

Navigation: Click the ‘Next’ button to navigate to the ‘Letter of Support Submission
Information’ screen. You can also access this screen by clicking the ‘Letter of Support
Submission Information’ link within the navigation tree.
4.1.34

Notify Secondary Submitter of Letter of Support Information

You can access the unique identifier notification window by clicking the ‘Notify the Secondary
Submitter of the letter of support submission’ link from the ‘Letter of Support Submission
Information’ screen.
The unique identifier notification window is used to notify the Letter of Support submitter of the
unique identification number. The unique identifier notification window displays a ‘CC’ field for

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you to add other email addresses to the notification (including the original submitter), a ‘To’
field, and an ‘Additional Comments’ text box.
 Chemical Checkbox(es): The chemical(s) identified within a form displays on the unique
identifier notification pop-up window. Check the checkbox (es) for the chemical(s) identified
within the form for which the secondary submitter should provide supporting information.
 From: Displays the email address of the logged in user that created the form.
 CC: This field automatically populates with the email address of the logged in user that
created the form and the email address (es) of the technical contact(s).
 To: This field contains instructional text for you to enter multiple email addresses. Contains
the editable email address of the Letter of Support submitter specified on the ‘Letter of
Support Submitter’ screen; this field is pre-populated with an email address upon navigating
to the unique identifier notification window.
 Subject: Displays ‘YYYY Primary PMN.’
 Message: Displays a pre-determined message in the email sent to a Letter of Support
submitter.
 Additional Comments: Enter any other additional comments or instructions to pass onto the
Letter of Support submitter.
 Send: Click the ‘Send’ button to generate and send the email to the email addresses
identified in the ‘CC’ and ‘To’ fields.

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Exhibit 4-56 shows a screen capture of the Letter of Support unique identifier notification pop-up
window:
Exhibit 4-56 Letter of Support Unique Identifier Notification Pop-Up Window (PMN)

Navigation: Click the ‘Send’ button to send the email to the Letter of Support submitter and
navigate back to the ‘Letter of Support Submission Information’ screen.

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4.1.35

Submitting Official Information

You can navigate to the ‘Submitting Official Information’ screen by clicking the ‘Next’ button
from the ‘Optional Cover Letter’ screen if neither a Letter of Support nor a joint submission was
identified. If applicable, click the ‘Next’ button from the ‘Letter of Support Submission
Information’ screen if a letter of support was identified on the ‘Joint Submission Information’
screen if a joint submission was identified. You can also access this screen by clicking the
‘Submitting Official Information’ link within the navigation tree.
Refer to Section 12 for further information on the ‘Submitting Official Information’ screen.
Exhibit 4-57 shows a screen capture of the ‘Submitting Official Information’ screen:
Exhibit 4-57 Submitting Official Information Screen (PMN)

Navigation: Click the ‘Submit’ button to proceed to the submission process. Click the ‘Next’
button to navigate to the ‘Instructions for Substantiating CBI Claims’ screen if any CBI claims

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were made in the form. Refer to Section 12 for further information on the ‘Submitting Official
Information’ screen. Refer to Section 13 for more information on the CBI substantiation process.
4.1.36

Upload XML

You can access the ‘Upload XML’ screen by clicking the ‘Upload XML’ button within the
lower-left side of the bottom action bar.
The ‘Upload XML’ screen is used to upload a PMN XML file (created from the PMN thick
client with a file type of .pmn_tsca or the ZIP file generated from a CoR) into a current PMN
form for PMN forms with numerous chemicals. You also have the option to export a current
PMN form into an XML file using the ‘Export XML’ link. The upload XML functionality is
only available for a PMN form.
If you upload an XML file into a pre-populated form, the XML file overwrites the contents of the
pre-populated form. In addition, uploading any file removes the attached documents within a
form, which must be re-attached. You must also add any sites identified within the form to your
CDX registration profile.
After uploading a file, click the ‘Preview’ icon ( ) located in the bottom action bar to view a
PDF preview of the form ensuring that all the data has populated correctly and any other
information is displayed accurately. In particular, review the ‘Letter of Activity (1),’ ‘Protective
Equipment/Engineering Controls,’ ‘Physical Form,’ ‘Media of Release,’ ‘Control Technology,’
and ‘% New Substance’ fields of entry to confirm that they have been populated correctly.
 Upload archive file: Click the button to generate the ‘File Upload’ window to search for the
ZIP copy of record archive file populated with PMN information. The copy of record archive
file must contain the XML form in a file labeled ‘formdata.xml.’ The application processes
the ZIP copy of record archive file and displays any applicable error messages.
 Export XML: Click the button to generate the XML file of the current PMN form that a user
can download.

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Exhibit 4-58 shows a screen capture of the ‘Upload XML’ screen:
Exhibit 4-58 Upload XML Screen (PMN)

Navigation: Click the ‘Validate’ icon ( ) located in the bottom action bar to validate the form.
Click the ‘Save’ icon ( ) located in the bottom action bar to perform a global save on the form.
Click the ‘Preview’ icon ( ) located in the bottom action bar to view a PDF preview of the
form. Click the ‘Submit’ icon ( ) located in the bottom action bar to begin the submission
process.

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5

Create Biotechnology Form

The Biotechnology form is used to collect information about “intergeneric” microorganisms that
will be manufactured or imported into the United States. EPA collects the information provided
in a Biotechnology form through a free text box and attachments. The Biotechnology form does
not have a structured data format, but there are several types of Biotechnology notices that can
be filed. The different types are as follows: ‘Microbial Commercial Activity Notice (MCAN),’
‘TSCA Experimental Release Application (TERA),’ ‘Tier I Exemption,’ ‘Tier II Exemption,’
and ‘Biotechnology Test Market Exemption (TME)’ forms. All the forms have the same upload
requirements, and EPA will retain responsibility for verifying the correct information is received.
5.1

Create Biotechnology Form

To create a new Biotechnology form, navigate to the ‘Section 5 Notices and Supports Forms’
screen and select ‘Biotechnology’ from the ‘Form Type’ drop-down menu. Refer to Section 3.4
for additional details regarding the ‘Section 5 Notices and Supports Forms’ screen.
Refer to Section 3.5 for additional details regarding the create passphrase process.
5.1.1

General Form Information

You can access the ‘General Form Information’ screen by creating a passphrase on the ‘Create
Passphrase’ screen or by entering the passphrase on the ‘Enter Passphrase’ screen.
The ‘General Form Information’ screen presents a list of text fields and drop-down menus for
you to input identifying information for the specific form. You will have the option to assign a
‘Form Alias’ to help you identify the form. A form alias is helpful when a user or company has
multiple forms and/or when you must differentiate between forms to the help desk. Upon
navigating to the ‘General Form Information’ screen, the system auto-generates a default alias in
the following format: .
Select the submission type from the ‘Type of Submission’ drop-down menu. The ‘Type of
Submission’ drop-down menu displays the following values:
 MCAN (Microbial Commercial Activity Notice)
 TERA (TSCA Experimental Release Application)
 Tier I Exemption
 Tier II Exemption
 Biotechnology TME (Text Market Exemption)
The system will provide a ‘TS Number’ field for you to enter a TS number to tie support forms
or Joint Submissions to the original Biotechnology form. The TS number must be a six (6)
character alphanumeric combination and should include two (2), three (3), or four (4) letters.
Company names, recognizable words, and numerical series are not recommended.
The ‘Text/Comments’ text box captures information regarding the submission/attachment. A
‘CBI’ checkbox displays above the ‘Text/Comments’ text box to claim the information as
confidential.

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The ‘General Form Information’ screen displays the option to attach a document by clicking the
‘Attach Document’ button. For more information regarding the attach document functionality,
please refer to Section 3.6.
 Form Alias: Enter a custom form alias, if applicable. Upon navigating to the screen, the
system auto-generates an editable alias comprised of . This is a required field and is non-editable when amending a
Biotechnology submission.
 Type of Submission: Select the submission type from the drop-down menu. This drop-down
menu contains the following values: ‘MCAN (Microbial Commercial Activity Notice),’
‘TERA (TSCA Experimental Release Application),’ ‘Tier I Exemption,’ ‘Tier II Exemption,’
and ‘Biotechnology TME (Test Market Exemption).’ This is a required field and is noneditable when amending a Biotechnology submission.
 TS Number: Enter the TS number. The TS number can be any six (6) character
alphanumeric combination and should include two (2), three (3), or four (4) letters. Company
names, recognizable words and numerical series are not recommended. This is a required
field and is non-editable when amending a Biotechnology submission.
 Text/Comments: Enter a description of the form and/or attachment.
 CBI: Check the ‘CBI’ checkbox to claim the ‘Text/Comments’ information as confidential.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window. Upload attachments including published literature, regulations and
certifications, ID data, construct data, effects data, MSDS, manufacturing details, use details,
inactivation data, and/or other types of documents. At least one document is required to be
uploaded even if a Letter of Support or Joint Submission is claimed. Please refer to Section
3.6 for additional details regarding the attach document process.
 File Name: Displays the file name and file extension of a document that is uploaded on the
‘Attach Documents’ pop-up window.
 Description: Displays the description of a document.
 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm the deletion.
 Check here if you are filing a consolidated Biotechnology form: Check the ‘Check here if
you are filing a consolidated Biotechnology form’ checkbox to indicate you will be
submitting a consolidated form. Checking this field will generate the ‘Number of
Microorganisms’ text field. This field is non-editable when amending a Biotechnology
submission.
 Number of Microorganisms: Enter the number of microorganisms in the consolidated
submission; this number should be a value from two (2) through twenty (20). This field is
required if the ‘Check here if you are filing a consolidated Biotechnology form’ checkbox is
checked. This field is non-editable when amending a Biotechnology submission.

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 Check here if you are filing a joint Biotechnology form: Check the ‘Check here if you are
filing a joint Biotechnology form’ checkbox to indicate you will be submitting a joint form.
This field is non-editable when amending a Biotechnology submission.
 Check here if you have a Letter of Support pending: Check the ‘Check here if you have a
Letter of Support pending’ checkbox to indicate the form is pending a Letter of Support. This
field is non-editable when amending a Biotechnology submission.
Exhibit 5-1 shows a screen capture of the ‘General Form Information’ screen:
Exhibit 5-1 General Form Information Screen (Biotech)

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Navigation: Click the ‘Next’ button to navigate to the ‘Fees Certification’ screen for an MCAN,
Biotechnology TME, Tier II Exemption, or TERA form subtype. Click the ‘Next’ button to
navigate to the ‘Joint Submitter Information’ or ‘Letter of Support Submitter Information’ screen
if a joint submitter or LOS submitter, respectively, is identified for a Tier I Exemption subtype.
Click the ‘Next’ button to navigate to the ‘Technical Contact Information’ screen for a Tier I
Exemption form subtype if (a) secondary submitter(s) are not identified. You can also access this
screen by clicking the ‘Fees Certification’ link within the navigation tree after clicking the ‘Save’
icon within the bottom action bar.
5.1.2

Fees Certification

The ‘Fees Certification’ screen presents radio buttons for you to indicate the applicable fee
certification statement.
You can access the ‘Fees Certification’ screen by selecting:
 MCAN (Microbial Commercial Activity Notice),
 Biotechnology TME (Test Market Exemption),
 Tier II Exemption,
 or TERA (TSCA Experimental Release Application)
from the ‘Type of Submission’ drop-down menu and clicking the ‘Next’ button from the
‘General Form Information’ screen. You can also access this screen by clicking the ‘Fees
Certification’ link within the navigation tree for an in progress form. If (a) joint submitter(s)
is/are identified, the joint submitter(s) may be responsible for paying part of the fee. If more than
one secondary submitter is identified, the last secondary submitter that completes a joint form is
required to pay the remaining fee balance.
The purpose of the ‘Fees Certification’ screen is to inform EPA of the fee amount that a primary
submitter (and potential secondary submitters) pays on behalf of the reporting organization based
on the business size. For TMEs, a user that reports as a graduate of the Sustainable Futures
program is exempt from fees. The certification statement selected on the ‘Fees Certification’
screen is non-editable when amending a Biotechnology submission.
The ‘User Fees Certification’ screen used prior to the new Fees rule will still appear in
amendments to submissions made prior to the new rule’s effective date – October 1, 2018.
Exhibit 5-2 shows the fee structure implemented for the Biotechnology form type:
Exhibit 5-2 Biotechnology Fee Structure
Form Subtype
MCAN

TME, Tier II
Exemption, TERA

Business Size

Fee Amount

Average

 $16,000

Small

 $2,800

Average

 $4,700

Small

 $940

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Form Subtype
TME

Business Size
Sustainable Futures
Graduate

Fee Amount

 N/A – Exempt From Fees

If the MCAN form subtype is selected, the following certification statements display:
 The Company named in Part I will remit the fee of $16,000.00 as specified in 40 CFR
700.45(c): Select this radio button to indicate that the primary submitter will submit a fee of
$16,000. One of the certification statements must be selected.
 The Company named in Part I is a "small business concern" as defined under 40 CFR
700.43 and will remit the fee of $2,800.00 as specified in 40 CFR 700.45(c): Select this
radio button to indicate that the primary submitter will submit a fee of $2,800. One of the
certification statements must be selected.
 This joint submission includes at least one Company which is a "small business
concern" and at least one Company which is not a "small business concern," as defined
under 40 CFR 700.43. The $16,000.00 fee will be remitted with the joint submission.
Any remaining balance due for this joint submission is to be paid by the secondary
submitter(s): Select this radio button to indicate that a fee of $16,000 will be paid between
the primary and joint submitter(s). This displays if a joint/LOS is pending. One of the
certification statements must be selected.

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Exhibit 5-3 shows a screen capture of the ‘Fees Certification’ screen (MCAN, pending
Joint/LOS):
Exhibit 5-3 Fees Certification Screen (MCAN, Pending Joint/LOS)

If the TME, Tier II Exemption, or TERA form subtype is selected, the following certification
statements display:
 The Company named in Part I will remit the fee of $4,700.00 as specified in 40 CFR
700.45(c): Select this radio button option to indicate an average business size. One of the
certification statements must be selected.
 The Company named in Part I is a "small business concern" as defined under 40 CFR
700.43 and will remit the fee of $940.00 as specified in 40 CFR 700.45(c): Select this radio
button option to indicate a small business size. One of the certification statements must be
selected.
 This joint submission includes at least one Company which is a "small business
concern" and at least one Company which is not a "small business concern," as defined
under 40 CFR 700.43. The $4,700.00 fee will be remitted with the joint submission. Any

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remaining balance due for this joint submission is to be paid by the secondary
submitter(s): Select this radio button option to indicate that the fee will be paid between the
main and joint submitter(s). One of the certification statements must be selected.
 The company named in Part I is submitting a sustainable futures TME. The company
has graduated from EPA's Sustainable Futures program and is therefore exempt from
fees for this sustainable futures TME: Select this radio button to indicate that the reporting
company has graduated from EPA’s Sustainable Futures Program and is therefore not
responsible for paying fees. This displays if the form subtype is ‘TME.’ One of the
certification statements must be selected.
Exhibit 5-4 shows a screen capture of the ‘Fees Certification’ screen (TME, pending Joint/LOS):
Exhibit 5-4 Fees Certification Screen (TME, Pending Joint/LOS)

Navigation: If you are filing a joint Biotechnology form, click the ‘Next’ button to navigate to
the ‘Joint Submitter Information’ screen. You can also access this screen by clicking the ‘Joint
Submitter Information’ link within the navigation tree after clicking the ‘Save’ icon within the
bottom action bar. If you are filing a Letter of Support and not a joint Biotechnology form, click
the ‘Next’ button to navigate to the ‘Letter of Support Submitter Information’ screen. You can
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also access this screen by clicking the ‘Letter of Support Submitter Information’ link within the
navigation tree after clicking the ‘Save’ icon within the bottom action bar. Click the ‘Next’
button to navigate to the ‘Technical Contact Information’ screen if you are not filing either a
Letter of Support or a Joint Biotechnology form. You can also navigate to this screen by clicking
the ‘Technical Contact Information’ link within the navigation tree.
5.1.3

Small Business Concern Definition

Click the ‘View the updated definition of a small business concern’ link to generate the ‘Small
Business Concern Definition’ window. The window displays a table of the North American
Industry Classification System (NAICS) codes, NAICS descriptions, and applicable small
business concern size in number of employees.
If there are codes that are not listed within the NAICS table, a small business definition applies
to 500 or fewer employees that a company “owns or controls.”

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Exhibit 5-5 shows a screen capture of the ‘Small Business Concern Definition’ window (Scroll
1):
Exhibit 5-5 Small Business Concern Definition Window (Scroll 1)

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Exhibit 5-6 shows a screen capture of the ‘Small Business Concern Definition’ window (Scroll
2):
Exhibit 5-6 Small Business Concern Definition Window (Scroll 1)

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Exhibit 5-7 shows a screen capture of the ‘Small Business Concern Definition’ window (Scroll
3):
Exhibit 5-7 Small Business Concern Definition Window (Scroll 3)

Navigation: Click the ‘X’ icon in the upper right-hand corner to close the ‘Small Business
Concern Definition’ window and navigate back to the ‘Fees Certification’ screen.
5.1.4

Joint Submitter Information

You can access the ‘Joint Submitter Information’ screen by clicking the ‘Next’ button from the
‘Fees Certification’ screen if you are filing a MCAN, TERA, TME, or TIER II Exemption. If
you are filing a TIER I Exemption, you can access this screen by clicking the ‘Next’ button from
the ‘General Form Information’ screen. You can also access this screen by clicking the ‘Joint
Submitter Information’ link within the navigation tree after clicking the ‘Save’ icon within the
bottom action bar. You may add a maximum of two (2) total Joint Submissions by clicking the
‘Add Joint Submission’ link within the navigation tree. Click the ‘Remove’ link ( ) within the
navigation tree to remove a Joint Submission.
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The ‘Joint Submitter Information’ screen presents a list of text fields and drop-down menus used
to enter contact information for the joint submitter who will be submitting separate information
for the Biotechnology form. The provided email address will be used to send the joint submitter
the unique identification number.
 Check here to claim this information as CBI: Check the ‘CBI’ checkbox to claim the joint
submitter information as confidential. When you claim CBI, you are stating that the
information is confidential and should not be released to the public.
 First Name: Enter the joint submitter’s first name. This is a required field.
 Last Name: Enter the joint submitter’s last name. This is a required field.
 Position: Enter the joint submitter’s job title.
 Company Name: Enter the joint submitter’s company name. This is a required field.
 Phone Number: Enter the joint submitter’s U.S. phone number. This is a required field.
 Phone Extension: Enter the joint submitter’s U.S. phone number extension if applicable.
 Email Address: Enter the joint submitter’s email address. The email address must follow the
standard email address format: John.Doe@abc.com. This is a required field.
 Mailing Address 1: Enter the first line of the mailing address of the joint submitter. This is a
required field.
 Mailing Address 2: Enter the second line of the mailing address of the joint submitter.
 City: Enter the U.S. city of the mailing address of the joint submitter. This is a required field.
 State: Select the state of the mailing address of the joint submitter from the drop-down
menu. This is a required field.
 Postal Code: Enter the postal code of the mailing address of the joint submitter. This is a
required field.
 Country: Displays ‘United States.’

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Exhibit 5-8 shows a screen capture of the ‘Joint Submitter Information’ screen:
Exhibit 5-8 Joint Submitter Information Screen (Biotech)

Navigation: Click the ‘Next’ button to navigate to the ‘Joint Submission Information’ screen.
You can also access this screen by clicking the ‘Joint Submission Information’ link within the
navigation tree.
5.1.5

Joint Submission Information

You can access the ‘Joint Submission Information’ screen by clicking the ‘Next’ button from the
‘Joint Submitter Information’ screen. You can also access this screen by clicking the ‘Joint
Submission Information’ link within the navigation tree.
The ‘Joint Submission Information’ screen is used as a communication point between two
companies. The ‘Joint Submission Information’ screen displays fields that capture information to
pass to the joint submitter. A text box captures information to send to the joint submitter in an
unencrypted email sent by the primary submitter. A ‘Unique Identifier for Joint Submissions’
box will also display on this screen. The unique identification number auto-generates when a
user declares a joint submission is being established.

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Joint Submission Process: A ‘Special Information’ field will be used to send information to the
joint submitter in an email sent by the primary submitter.
When the secondary submitter accesses the ‘Section 5 Notices and Supports Forms’ screen and
creates a new form, the secondary submitter will be prompted to enter the unique identification
number on the ‘Create Passphrase’ screen.
 Joint Submission Information Instructions: Enter the information that the primary
submitter is sending to the joint submitter.
 Joint Submission Informational Text: Displays instructional text provided by OPPT, the
unique identification number automatically generated for the form, and provides functionality
to email the unique identification number to the joint submitter by clicking the ‘Notify the
Secondary Submitter of the Joint Submission’ link.
 Unique Identification Number: The unique identification number is a random number autogenerated to pass on to the joint submitter to create a joint submission.

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Exhibit 5-9 shows a screen capture of the ‘Joint Submission Information’ screen:
Exhibit 5-9 Joint Submission Information Screen (Biotech)

Navigation: If you are filing a Letter of Support, click the ‘Next’ button to navigate to the
‘Letter of Support Submitter Information’ screen. You can also access this screen by clicking the
‘Letter of Support Submitter Information’ link within the navigation tree. If you are not filing a
Letter of Support, click the ‘Next’ button to navigate to the ‘Technical Contact Information’
screen. You can also navigate to this screen by clicking the ‘Technical Contact Information’ link
within the navigation tree.
5.1.6

Notify Secondary Submitter of Joint Submission Information

You can access the unique identifier notification pop-up window by clicking the ‘Notify the
Secondary Submitter of the Joint Submission’ link from the ‘Joint Submission Information’
screen.
The unique identifier notification pop-up window is used to notify the secondary submitter of the
unique identification number. The unique identifier notification window displays a ‘CC’ field to
add other email addresses to the notification (including the original submitter), a ‘To’ field, and
an ‘Additional Comments’ text box.
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 From: Displays the email address of the original submitter.
 CC: Contains the email address from CDX registration information, and the editable email
address of the technical contact.
 To: Contains instructional text to enter multiple email addresses. Contains the editable email
address of the joint submitter specified on the ‘Joint Submitter Information’ screen; this
email address will be automatically populated upon navigating to the window.
 Subject: Displays ‘YYYY Biotechnology.’
 Message: Displays a pre-determined message that will display in the email sent to a
secondary submitter.
 Additional Comments: Enter any other additional comments or instructions that should be
passed onto the secondary submitter.
 Send: Click the button to generate and send an email to the email addresses identified in the
‘CC’ and ‘To’ fields.

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Exhibit 5-10 shows a screen capture of the ‘Unique Identifier Notification’ pop-up window:
Exhibit 5-10 Unique Identifier Notification Pop-Up Window (Biotech)

Navigation: Click the ‘Send’ button to send the email to the Joint Submitter and navigate back
to the ‘Joint Submission Information’ screen. Click the ‘X’ button in the upper right-hand corner
to cancel the process of notifying a Joint Submitter and navigate back to the ‘Joint Submission
Information’ screen.
5.1.7

Letter of Support Submitter Information

You can access the ‘Letter of Support Submitter Information’ screen by clicking the ‘Next’
button from the ‘Fees Certification’ screen if you are not filing a Joint Submission or Tier I
Exemption. If you are filing a Tier I Exemption, you can access this screen by clicking the
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‘Next’ button from the ‘General Form Information’ screen. You can also access this screen by
clicking the ‘Next’ button from the ‘Joint Submission Information’ screen if you are filing a joint
submission. You can also access this screen by clicking the ‘Letter of Support Submitter
Information’ link within the navigation tree when you have indicated that a Letter of Support
form is pending. Click the ‘Add Letter of Support’ link within the navigation tree to add a Letter
of Support. The system will allow an unlimited number of Letters of Support to be filed. Remove
a Letter of Support by clicking the ‘Remove’ link ( ) within the navigation tree.
The ‘Letter of Support Submitter Information’ screen presents a list of text fields and drop-down
menus used to enter contact information for the Letter of Support submitter who will be
submitting separate information for the Biotechnology form. The provided email address will be
used to send the Letter of Support submitter the unique identification number to create the Letter
of Support at the discretion of the primary submitter.
 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim the Letter of Support submitter information as
confidential. When you claim the Letter of Support submitter contact information as CBI,
you are stating that the information is confidential and should not be released to the public.
 First Name: Enter the Letter of Support submitter’s first name. This is a required field.
 Last Name: Enter the Letter of Support submitter’s last name. This is a required field.
 Position: Enter the Letter of Support submitter’s job title.
 Company Name: Enter the Letter of Support submitter’s company name. This is a required
field.
 Phone Number: Enter the Letter of Support submitter’s phone number. This is a required
field.
 Phone Extension: Enter the Letter of Support submitter’s phone number extension if
applicable.
 Email Address: Enter the Letter of Support submitter’s email address. The email address
must follow the standard email address format: John.Doe@abc.com. This is a required field.
 Mailing Address 1: Enter the first line of the Letter of Support submitter’s mailing address.
This is a required field.
 Mailing Address 2: Enter the second line of the Letter of Support submitter’s mailing
address.
 City: Enter the city of the mailing address of the Letter of Support submitter. This is a
required field.
 State: Select the state of the mailing address of the Letter of Support submitter from the
drop-down menu. This is a required field if the ‘Country’ field is set to ‘United States.’
 Postal Code: Enter the postal code of the mailing address for the Letter of Support submitter.
 Country: Select the country of the mailing address for the Letter of Support submitter. This
is a required field. If a non-U.S. country is selected, a primary submitter is responsible for
collecting fees from non-U.S. joint submitters; the primary submitter is responsible for the

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full payment or the joint submitter must have an Agent/Consultant with the ability to pay
his/her portion of the fee.
Exhibit 5-11 shows a screen capture of the ‘Letter of Support Submitter Information’ screen:
Exhibit 5-11 Letter of Support Submitter Information Screen (Biotech)

Navigation: Click the ‘Next’ button to navigate to the ‘Letter of Support Submission
Information’ screen. You can also access this screen by clicking the ‘Letter of Support
Submission Information’ link within the navigation tree.
5.1.8

Letter of Support Submission Information

You can navigate to the ‘Letter of Support Submission Information’ screen by clicking the
‘Next’ button from the ‘Letter of Support Submitter Information’ screen. You can also access
this screen by clicking the ‘Letter of Support Submission Information’ link within the navigation
tree.
The ‘Letter of Support Submission Information’ screen is used as a communication point
between two companies. The ‘Letter of Support Submission Information’ screen presents fields
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to enter information to pass to the secondary submitter. A text box is used to send information in
an email to the secondary submitter. A ‘Unique Identifier for Letter of Support Submissions’ box
will also display on this screen. The unique identifier auto-generates when a Letter of Support
submission is being established.
Letter of Support Submission Process: A field titled ‘Special Information’ will be used to send
information to the Joint Submitter in an email sent at the discretion of the primary submitter.
When the secondary submitter accesses the ‘Section 5 Notices and Supports Forms’ screen and
creates a new form, the secondary submitter will be prompted to enter the unique identifier on
the ‘Create Passphrase’ screen. Once the unique identifier has been entered, the application will
tie the two forms together.
 Letter of Support Submission Information Instructions: Enter the information that the
primary submitter is sending to the Letter of Support submitter.
 Letter of Support Submission Informational Text: Displays instructional text provided by
EPA, the unique identification number generated for the form, and provides functionality to
email the unique identification number to the Letter of Support submitter by clicking the
‘Notify the Secondary Submitter of the Letter of Support submission’ link.
 Unique Identification Number: The unique identification number is a random number autogenerated to pass on to the Letter of Support submitter to create a Letter of Support.

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Exhibit 5-12 shows a screen capture of the ‘Letter of Support Submission Information’ screen:
Exhibit 5-12 Letter of Support Submission Information Screen (Biotech)

Navigation: Click the ‘Next’ button to navigate to the ‘Technical Contact Information’ screen.
You can also access this screen by clicking the ‘Technical Contact Information’ link within the
navigation tree.
5.1.9

Notify Secondary Submitter of Letter of Support Information

You can access the unique identifier notification pop-up window by clicking the ‘Notify the
Secondary Submitter of the Letter of Support submission’ link from the ‘Letter of Support
Submission Information’ screen.
The unique identifier notification pop-up window is used to notify the secondary submitter of the
unique identification number. The unique identifier notification window displays a ‘CC’ field to
add other email addresses to the notification (including the original submitter), a ‘To’ field, and
an ‘Additional Comments’ text box.
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 From: Displays the email address of the original submitter.
 CC: This editable text field automatically populates with the email address from CDX
registration information, and the email address of the technical contact.
 To: Contains instructional text to enter multiple email addresses. Contains the editable email
address of the joint submitter specified on the ‘Joint Submitter Information’ screen; this
email address automatically populates upon navigating to the window.
 Subject: Displays ‘YYYY Biotechnology.’
 Message: Displays a pre-determined message that will display in the email sent to a
secondary submitter.
 Additional Comments: Enter any other additional comments or instructions that can be
passed onto the secondary submitter.
 Send: Click the button to generate and send the email to the email addresses identified in the
‘CC’ and ‘To’ fields.

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Exhibit 5-13 shows a screen capture of the unique identifier notification pop-up window:
Exhibit 5-13 Unique Identifier Notification Pop-Up Window (Biotech)

Navigation: Click the ‘Send’ button to send the email to the secondary submitter and navigate
back to the ‘Letter of Support Submission Information’ screen. Click the ‘X’ in the upper righthand corner to cancel the unique identification number notification process and navigate back to
the ‘Letter of Support Submission Information’ screen.
5.1.10

Technical Contact Information

You can access the ‘Technical Contact Information’ screen by clicking the ‘Next’ button from
the ‘General Form Information’ screen if you are not filing a Joint Submission or Letter of
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Support. You can also access this screen by clicking the ‘Next’ button from the ‘Joint
Submission Information’ screen if you are not filing a Letter of Support. You can also access this
screen by clicking the ‘Next’ button from the ‘Letter of Support Submission Information’ screen
if you are filing a Letter of Support. You can also navigate to the ‘Technical Contact
Information’ screen by clicking the ‘Technical Contact Information’ link within the navigation
tree.
The ‘Technical Contact Information’ screen displays an ‘Add Technical Contact’ button. Click
the ‘Add Technical Contact’ button to generate an ‘Add Technical Contact’ pop-up window to
enter information into the text fields. Click the ‘Copy CDX Registration’ button to populate the
text fields using your CDX registration information. Check the ‘Check here to claim this
information as CBI’ checkbox to indicate that the information is confidential and will not be
released to the public.
 Add Technical Contact: Click the ‘Add Technical Contact’ button to generate the ‘Add
Technical Contact’ pop-up window.
 Last Name: Displays the last name of the reported technical contact.
 First Name: Displays the first name of the reported technical contact.
 Address: Displays the address of the reported technical contact.
 CBI: Indicates the CBI status of the reported technical contact information by displaying
either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the technical contact information from the
table. A warning message displays to confirm the deletion.

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Exhibit 5-14 shows a screen capture of the ‘Technical Contact Information’ screen:
Exhibit 5-14 Technical Contact Information Screen (Biotech)

Navigation: Click the ‘Next’ button from the ‘Technical Contact Information’ screen to navigate
to the ‘Optional Cover Letter’ screen. You can also access this screen by clicking the ‘Optional
Cover Letter’ link within the navigation tree.
5.1.10.1

Add Technical Contact

You can access the ‘Add Technical Contact’ pop-up window by clicking the ‘Add Technical
Contact’ button on the ‘Technical Contact Information’ screen.
 Copy CDX Registration: Click the ‘Copy CDX Registration’ button to copy your
information from CDX registration; a message displays confirming the import of CDX
registration information.
 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim the technical contact information as confidential.
 First Name: Enter the technical contact’s first name. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration. This is a
required field.

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 Last Name: Enter the technical contact’s last name. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration. This is a
required field.
 Position: Enter the technical contact’s job title.
 Company Name: Enter the technical contact’s company name. Click the ‘Copy CDX
Registration’ button to populate the fields with information entered during CDX registration.
This is a required field.
 Phone Number: Enter the daytime U.S. phone number of the technical contact; this must be
at least 10 characters long and does not accept dashes. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration. This is a
required field.
 Phone Extension: Enter the technical contact’s phone number extension if applicable.
 Email Address: Enter the technical contact’s email address. The email address must follow
the standard email address format: John.Doe@abc.com. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration.
 Mailing Address 1: Enter the first line of the technical contact’s mailing address. Click the
‘Copy CDX Registration’ button to populate the fields with information entered during CDX
registration. This is a required field.
 Mailing Address 2: Enter the second line of the technical contact’s mailing address. Click
the ‘Copy CDX Registration’ button to populate the fields with information entered during
CDX registration.
 City: Enter the city of the technical contact’s mailing address. Click the ‘Copy CDX
Registration’ button to populate the fields with information entered during CDX registration.
This is a required field.
 State: Select the state of the technical contact’s mailing address. Click the ‘Copy CDX
Registration’ button to populate the fields with information entered during CDX registration.
This is a required field.
 Postal Code: Enter the postal code of the technical contact’s mailing address. Click the
‘Copy CDX Registration’ button to populate the fields with information entered during CDX
registration. This is a required field.
 Country: Displays ‘United States.’

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Exhibit 5-15 shows a screen capture of the ‘Add Technical Contact’ pop-up window:
Exhibit 5-15 Add Technical Contact Pop-Up Window (Biotech)

Navigation: Click the ‘Cancel’ button to stop populating technical contact information and
navigate back to the ‘Technical Contact Information’ screen. Click the ‘OK’ button to save and
populate the entered technical contact information and navigate back to the ‘Technical Contact
Information’ screen.
5.1.11

Optional Cover Letter

You can access the ‘Optional Cover Letter’ screen by clicking the ‘Next’ button from the
‘Technical Contact Information’ screen. You can also access this screen by clicking the
‘Optional Cover Letter’ link within the navigation tree.

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The ‘Optional Cover Letter’ screen is used to communicate information to EPA not collected
elsewhere in the form. The cover letter is used to give OPPT resources and special instructions
regarding the application; enter any necessary instructions into the blank text field. The cover
letter should be either fully CBI or non-CBI to eliminate user error to promote transparency
between the company and EPA.
 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim the cover letter information as confidential.
 Optional Cover Letter: Enter the description and any additional special instructions
regarding the form.
Exhibit 5-16 shows a screen capture of the ‘Optional Cover Letter’ screen:
Exhibit 5-16 Optional Cover Letter Screen (Biotech)

Navigation: Click the ‘Validate’ icon ( ) located in the bottom action bar to validate the form.
Click the ‘Save’ icon ( ) located in the bottom action bar to perform a global save on the form.
Click the ‘Preview’ icon ( ) located in the bottom action bar to view a PDF preview of the
form. Click the ‘Next’ button to navigate to the ‘Submitting Official Information’ page.

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5.1.12

Submitting Official Information

You can navigate to the ‘Submitting Official Information’ screen by clicking the ‘Next’ button
from the ‘Optional Cover Letter’ screen. You can also access this screen by clicking the
‘Submitting Official Information’ link within the navigation tree.
Exhibit 5-17 shows a screen capture of the ‘Submitting Official Information’ screen:
Exhibit 5-17 Submitting Official Information Screen (Biotech)

Navigation: Click the ‘Submit’ button to proceed to the submission process. Refer to Section 12
for further information on the ‘Submitting Official Information’ screen. If any CBI claims were
made in the form, click the ‘Next’ button to proceed to CBI substantiation. Refer to Section 13
for more information on the CBI substantiation process.

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6

Create Notice of Commencement (NOC) Form

The Notice of Commencement (NOC) form allows industry users to notify EPA when a new
chemical or microorganism, submitted under a Biotechnology or PMN form, has already started
manufacture or import. A NOC form cannot be submitted before the chemical or microorganism
has gone through the review period by EPA. The NOC must be submitted within thirty (30) days
after the start date of the first manufacture or import.
6.1

Create NOC Form

To create a new NOC form, navigate to the ‘Section 5 Notices and Supports Forms’ screen and
select ‘Notice of Commencement (NOC)’ from the ‘Form Type’ drop-down menu and click the
‘Start New Form’ button. Refer to Section 3.4 for additional details regarding the ‘Section 5
Notices and Supports Forms’ screen.
Refer to Section 3.5 for additional details regarding the create passphrase process.
6.1.1

General Form Information

You can access the ‘General Form Information’ screen by creating a passphrase on the ‘Create
Passphrase’ screen or entering the passphrase on the ‘Enter Passphrase’ screen. The ‘General
Form Information’ screen provides fields to identify information that notifies EPA of the form
alias, case number, and manufacture or import information.
The ‘General Form Information’ screen presents a list of text fields and drop-down menus to
capture information about the originally filed form. The ‘Manufacture/Import Information’ field
presents radio buttons for you to state whether the company intends to manufacture or import the
new chemical substance. When a manufacture/import radio button is selected, a calendar widget
appears for you to enter the date of commencement.
 Form Alias: Enter a custom form alias, if applicable. Upon navigating to the screen, the
system auto-generates an editable form alias in the following format: . This is a required field.
 Case Number: Enter the case number pertaining to the reported chemical substance or
mixture. The case number must be in the following format: P-XX-0999 for Premanufacture
Notice cases or J-XX-0999 for MCAN Biotechnology cases where ‘XX’ indicates the fiscal
year in which the case number is generated, and the leading ‘0’ is required. This is a required
field.
 First Commercial Manufacture: Enter the date for the first commercial manufacture. Select
the ‘First Commercial Manufacture’ radio button to generate a date field and calendar widget
to select the appropriate date. If you select a future date past the current date, an error
displays when navigating away from the screen. Either the ‘First Commercial Manufacture’
radio button or the ‘First Commercial Importation’ field is required.
 First Commercial Importation: Enter the date for the first commercial importation. Select
the ‘First Commercial Importation’ radio button to generate a date field and calendar widget
to select the appropriate date. If you select a future date past the current date, an error
displays when navigating away from the screen. Either the ‘First Commercial Manufacture’
or the ‘First Commercial Importation’ field is required.

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Exhibit 6-1 shows a screen capture of the ‘General Form Information’ screen:
Exhibit 6-1 General Form Information Screen (NOC)

Navigation: Click the ‘Next’ button to navigate to the ‘Technical Contact Information’ screen.
You can also access this screen by clicking the ‘Technical Contact Information’ link within the
navigation tree.
6.1.2

Technical Contact Information

You can access the ‘Technical Contact Information’ screen by clicking the ‘Next’ button from
the ‘General Form Information’ screen. You can also access this screen by clicking the
‘Technical Contact Information’ link within the navigation tree.
The ‘Technical Contact Information’ screen displays an ‘Add Technical Contact’ button. Click
the ‘Add Technical Contact’ button to generate an ‘Add Technical Contact’ pop-up window to
enter technical contact information into the list of text fields. Click the ‘Copy CDX Registration’
button to populate the text fields with your contact information entered during CDX registration.
Check the ‘Check here to claim this information as CBI’ checkbox to claim the technical contact
information as confidential to indicate that the information will not be released to the public.
 Add Technical Contact: Click the ‘Add Technical Contact’ button to generate the ‘Add
Technical Contact’ pop-up window.
 Last Name: Displays the technical contact’s last name.
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 First Name: Displays the technical contact’s first name.
 Address: Displays the technical contact’s address.
 CBI: Indicates the technical contact’s CBI status by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the technical contact. A warning message
displays to confirm the deletion of the technical contact.
Exhibit 6-2 shows a screen capture of the ‘Technical Contact Information’ screen:
Exhibit 6-2 Technical Contact Information Screen (NOC)

Navigation: Click the ‘Next’ button to navigate to the ‘Chemical Information’ screen. You can
also access this screen by clicking the ‘Chemical Information’ link within the navigation tree.
6.1.2.1

Add Technical Contact

Click the ‘Add Technical Contact’ button to begin the process of adding technical contacts.
 Copy CDX Registration: Click the ‘Copy CDX Registration’ button to import contact
information from CDX registration; a confirmation will display.
 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim the technical contact information as confidential.

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 First Name: Enter the technical contact’s first name. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration. This is a
required field.
 Last Name: Enter the technical contact’s last name. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration. This is a
required field.
 Company Name: Enter the technical contact’s company name. Click the ‘Copy CDX
Registration’ button to populate the fields with information entered during CDX registration.
This is a required field.
 Phone Number: Enter the technical contact’s daytime U.S. phone number; this must be at
least 10 characters long and does not accept dashes. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration. This is a
required field.
 Phone Extension: Enter the technical contact’s phone number extension, if applicable.
 Email Address: Enter the technical contact’s email address. The email address must follow
the standard email address format: John.Doe@abc.com. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration.
 Mailing Address 1: Enter the first line of the technical contact’s mailing address. Click the
‘Copy CDX Registration’ button to populate the fields with information entered during CDX
registration. This is a required field.
 Mailing Address 2: Enter the second line of the technical contact’s mailing address. Click
the ‘Copy CDX Registration’ button to populate the fields with information entered during
CDX registration.
 City: Enter the city of the technical contact’s mailing address. Click the ‘Copy CDX
Registration’ button to populate the fields with information entered during CDX registration.
This is a required field.
 State: Select the state of the technical contact’s mailing address from the drop-down menu.
Click the ‘Copy CDX Registration’ button to populate the fields with information entered
during CDX registration. This is a required field.
 Postal Code: Enter the postal code of the technical contact’s mailing address. Click the
‘Copy CDX Registration’ button to populate the fields with information entered during CDX
registration. This is a required field.
 Country: Displays ‘United States.’

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Exhibit 6-3 shows a screen capture of the ‘Add Technical Contact’ pop-up window:
Exhibit 6-3 Add Technical Contact Pop-Up Window (NOC)

Navigation: Click the ‘Cancel’ button or ‘X’ icon at the top left corner of the window to return
to the ‘Technical Contact Information’ screen without saving the technical contact information.
Click the ‘OK’ button to save the entered technical contact information and return to the
‘Technical Contact Information’ screen.
6.1.3

Chemical Information

You can access the ‘Chemical Information’ screen by clicking the ‘Next’ button from the
‘Technical Contact Information’ screen. You can also access this screen by clicking the
‘Chemical Information’ link within the navigation tree.
The ‘Chemical Information’ screen provides fields to identify the chemical the submitter has
begun to manufacture or import. The ‘Specific Chemical Identity’ section provides fields to input

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information describing the chemical for which the NOC is to be filed. This screen outlines the
unique chemical properties and displays the name and CASRN of the chemical. Most of the
chemicals submitted under a NOC will not be found in the ‘Search Substance Registry Services’
window, and a new chemical will have to be created. To create a new chemical, click the ‘Search
SRS’ button, found in the ‘Chemical Information’ screen, and then the ‘Create New Chemical’
button to generate the ‘Chemical Not Found In Substance Registry Services’ pop-up window.
If you claim a chemical as CBI, the ‘Generic Chemical Name’ text box generates. A ‘CBI
Substantiation’ folder displays within the navigation tree upon navigating away from the screen.
If you claim chemical identity as confidential, you must provide a generic chemical name for
your substance that reveals the specific chemical identity of the new chemical substance to the
maximum extent possible. Please note that EPA will be closely assessing the generic name at this
time; please make sure that your generic name is a good generic name that only hides the
proprietary parts of the chemical information.
 Add New Chemical: Click the ‘Add New Chemical’ button to generate the ‘Specific Chemical
Identity’ expandable/collapsible field set. At least one chemical is required.
 Search SRS: Click the ‘Search SRS’ button to generate the ‘Search SRS’ window. Refer to
Section 3.10 for additional details regarding the search SRS functionality.
 CASRN: Displays the CASRN of the chemical being reported, if applicable.
 Chemical Name: Displays the chemical name of the substance being reported.
 CBI: Check the ‘CBI’ checkbox to claim the ‘Specific Chemical Identity’ information as
confidential and generate the ‘Generic Chemical Name’ text box. If you claim the chemical as
confidential, a ‘CBI Substantiation’ folder displays within the navigation tree after clicking the
‘Next’ button from the ‘Chemical Information’ screen.
 Generic Chemical Name: Enter the generic name to associate with a chemical. This field
displays only when the ‘Specific Chemical Identity’ is claimed CBI. This is a required field if
there is no pending Letter of Support or Joint Submission for the form.
 Save: Click the button to save the information entered within the expandable/collapsible field
set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom action
bar to successfully save the entered information within the field set before being able to
navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section 3.9
for more information regarding the save functionality in an expandable/collapsible field set.
 Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the
expandable/collapsible field set to prevent edits from saving and to remove a field set. The
‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A
confirmation message displays to confirm the action.
 Edit: Click the ‘Edit’ link located in the upper right-hand corner of the expandable/collapsible
field set to modify the information entered in the fields. The ‘Edit’ link displays when the
expandable/collapsible field set has been saved and the data is not currently editable.
 Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the
expandable/collapsible field set to delete the field set. A confirmation message displays to

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confirm the deletion. The ‘Delete’ icon (
Chemical’ button.

) displays when the user has clicked the ‘Add New

 Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to expand a series of field sets.
 Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to collapse a series of field sets.
 Substance Identity Confidentiality Status: You will only be able to select a single radio
button. If you claim the chemical as CBI, after clicking the ‘Save’ button in the ‘Specific
Chemical Identity’ expandable/collapsible field set, the system enables the first radio button
and disables the second and third radio buttons. If you do not claim the chemical as CBI, after
clicking the ‘Save’ button in the ‘Specific Chemical Identity’ expandable/collapsible field set,
the system disables the first radio button and enables the second and third radio button options.
This section displays the following options:
o I wish to claim the substance identity confidential, and the substantiation to support this
claim is attached. Failure to submit the required substantiation in accordance with 40
CFR 720.85(b) will result in waiver of your claim.
o I previously claimed the substance identity as confidential and hereby relinquish that
claim.
o I did not claim the substance identity as confidential in my original PMN submission.

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Exhibit 6-4 shows a screen capture of the ‘Chemical Information’ screen:
Exhibit 6-4 Chemical Information Screen (NOC)

Navigation: Click the ‘Next’ button to navigate to the ‘Site Information’ screen. You can also
access this screen by clicking the ‘Site Information’ link within the navigation tree.
6.1.4

Site Information

You can access the ‘Site Information’ screen by clicking the ‘Next’ button from the ‘Chemical
Information’ screen. You can also access this screen by clicking the ‘Site Information’ link
within the navigation tree.
The ‘Site Information’ screen identifies the site at which the manufacture or import of the
chemical occurs. You are able to identify sites via the ‘Add Site’ pop-up window. To do so, click
the ‘Add Site’ button. You must select a site before moving on to the ‘CBI Substantiation Part 1’
screen or to the ‘Optional Cover Letter’ screen.
 Add Site: Click the ‘Add Site’ button to generate the ‘Add Site’ pop-up window. Refer to
Section 3.11 for additional details regarding the add site functionality.
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 Registry ID: Displays the EPA registry ID of the site.
 Site Name: Displays the site name associated with a site.
 Address: Displays the site address of a site.
 CBI: Indicates the CBI status of a site by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the site row permanently from the system. A
confirmation prompt displays to confirm the deletion.
Exhibit 6-5 shows a screen capture of the ‘Site Information’ screen.
Exhibit 6-5 Site Information Screen (NOC)

Navigation: Click the ‘Next’ button to navigate to the ‘Optional Cover Letter’ screen. You can
also navigate to this screen by clicking on the ‘Optional Cover Letter’ link in the navigation tree.
6.1.5

CBI Substantiation Part 1

You can access the ‘CBI Substantiation Part 1’ screen by clicking the ‘Next’ button from the
‘Site Information’ screen if a chemical was claimed CBI on the ‘Chemical Information’ screen.
You can also access this screen by clicking the ‘CBI Substantiation Part 1’ link within the
navigation tree.

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The ‘CBI Substantiation Part 1’ screen presents substantiation questions that require you to
provide answers into the text fields as free text or enter ‘N/A’ if the question does not apply. The
‘CBI Substantiation Part 1’ screen consists of questions A through D, which read as follows:
 (A) What harmful effects to your competitive position, if any, do you think would result
if EPA publishes on the Inventory the identity of the chemical substance? How could a
competitor use such information given the fact that the identity of the substance
otherwise would appear on the inventory of chemical substances with no link between
the substance and your company or industry? How substantial would the harmful
effects of disclosure be? What is the causal relationship between the disclosure and the
harmful effects?: Enter the answer to substantiation question A. This is a required field.
 (B) For what period of time should confidential treatment be given? Until a specific
date, the occurrence of a specific event, or permanently? Why?: Enter the answer to
substantiation question B. This is a required field.
 (C) Has the chemical substance been patented? If so, have you granted licenses to others
with respect to the patent as it applies to the chemical substance? If the chemical
substance has been patented and therefore disclosed through the patent, why should it
be treated as confidential for purposes of the Inventory?: Enter the answer to
substantiation question C. This is a required field.
 (D) Has the identity of the chemical substance been kept confidential to the extent that
your competitors do not know it is being manufactured or imported for a commercial
purpose by anyone?: Enter the answer to substantiation question D. This is a required field.

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Exhibit 6-6 shows a screen capture of the ‘CBI Substantiation Part 1’ screen (Scroll 1):
Exhibit 6-6 CBI Substantiation Part 1 Screen (NOC) (Scroll 1)

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Exhibit 6-7 shows a screen capture of the ‘CBI Substantiation Part 1’ screen (Scroll 2):
Exhibit 6-7 CBI Substantiation Part 1 Screen (NOC) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘CBI Substantiation Part 2’ screen. You
can also access this screen by clicking the ‘CBI Substantiation Part 2’ link within the navigation
tree.
6.1.6

CBI Substantiation Part 2

You can access the ‘CBI Substantiation Part 2’ screen by clicking the ‘Next’ button from the
‘CBI Substantiation Part 1’ screen. You can also access this screen by clicking the ‘CBI
Substantiation Part 2’ link within the navigation tree.
The ‘CBI Substantiation Part 2’ screen presents substantiation questions that require answers to
be entered into the text fields as free text or enter ‘N/A’ if the question does not apply. The ‘CBI
Substantiation Part 2’ screen consists of questions E through H, which read as follows:
 (E) Is the fact that someone is manufacturing or importing this chemical substance for
commercial purposes available to the public, e.g. in technical journals or other
publications; in libraries; or in State, local or Federal agency public files?: Enter the
answer to substantiation question E. This is a required field.
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 (F) What measures have you taken to prevent undesired disclosure of the fact that you
are manufacturing or importing this substance for a commercial purpose?: Enter the
answer to substantiation question F. This is a required field.
 (G) To what extent has the fact that you are manufacturing or importing this chemical
substance for a commercial purpose been disclosed to others? What precautions have
you taken in regard to these disclosures? Has this information been disclosed to the
public, or to competitors?: Enter the answer to substantiation question G. This is a required
field.
 (H) In what form does this particular chemical substance leave the site of manufacture,
e.g. as part of a product, in effluent or emission stream? If so, what measures have you
taken to guard against discovery of its identity?: Enter the answer to substantiation
question H. This is a required field.
Exhibit 6-8 shows a screen capture of the ‘CBI Substantiation Part 2’ screen (Scroll 1):
Exhibit 6-8 CBI Substantiation Part 2 Screen (NOC) (Scroll 1)

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Exhibit 6-9 shows a screen capture of the ‘CBI Substantiation Part 2’ screen (Scroll 2):
Exhibit 6-9 CBI Substantiation Part 2 Screen (NOC) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘CBI Substantiation Part 3’ screen. You
can also access this screen by clicking the ‘CBI Substantiation Part 3’ link within the navigation
tree.
6.1.7

CBI Substantiation Part 3

You can access the ‘CBI Substantiation Part 3’ screen by clicking the ‘Next’ button from the
‘CBI Substantiation Part 2’ screen. You can also access this screen by clicking the ‘CBI
Substantiation Part 3’ link within the navigation tree.
The ‘CBI Substantiation Part 3’ screen presents substantiation questions that require answers to
be entered into the text fields as free text or enter ‘N/A’ if the question does not apply. The ‘CBI
Substantiation Part 3’ screen consists of questions I through L, which read as follows:
 (I) If the chemical substance leaves the site of manufacture in a product that is available
to either the public or your competitors, can they identify the substance by analyzing
the product?: Enter the answer to substantiation question I. This is a required field.
 (J) For what purpose do you manufacture or import the substance?: Enter the answer to
substantiation question J. This is a required field.

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 (K) Has EPA, another Federal agency, or any Federal court made any persistent
confidentiality determinations regarding this chemical substance? If so, copies of such
determinations must be included in the substantiation.: Enter the answer to substantiation
question K. This is a required field.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window and attach supporting documentation for substantiation question K. Refer to
Section 3.6 for additional details regarding the attach document functionality.
 File Name: Displays the file name and file extension of the file that is uploaded on the
‘Attach Documents’ pop-up window.
 Description: Displays the description associated with a document.
 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm the deletion of the document.
 (L) If the notice includes a health and safety study concerning the new chemical
substance, the submitter must also answer the question in 40 CFR 720.90(b)(2). Persons
must answer this question if a health and safety study was provided at any time in the
new chemical process.: Enter the answer to substantiation question L. This is a required
field.

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Exhibit 6-10 shows a screen capture of the ‘CBI Substantiation Part 3’ screen (Scroll 1):
Exhibit 6-10 CBI Substantiation Part 3 Screen (NOC) (Scroll 1)

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Exhibit 6-11 shows a screen capture of the ‘CBI Substantiation Part 3’ screen (Scroll 2):
Exhibit 6-11 CBI Substantiation Part 3 Screen (NOC) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Optional Cover Letter’ screen. You can
also access this screen by clicking the ‘Optional Cover Letter’ link within the navigation tree.
6.1.8

Optional Cover Letter

If no chemical was claimed confidential, click the ‘Next’ button from the ‘Site Information’
screen to navigate to the ‘Optional Cover Letter’ screen. If a chemical was claimed confidential,
click the ‘Next’ button from the ‘CBI Substantiation Part 3’ screen to navigate to the ‘Optional
Cover Letter’ screen. You can also access this screen by clicking the ‘Optional Cover Letter’ link
within the navigation tree.
The ‘Optional Cover Letter’ screen is used to communicate information to EPA not collected
elsewhere in the form. The cover letter is used to give OPPT resources and special instructions
regarding the application. The cover letter should be either fully CBI or non-CBI to eliminate
user error and to promote transparency between the company and EPA.

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 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim the cover letter as confidential.
 Cover Letter: Enter any additional information or special instructions associated with the
form.
Exhibit 6-12 shows a screen capture of the ‘Optional Cover Letter’ screen:
Exhibit 6-12 Optional Cover Letter Screen (NOC)

Navigation: Click the ‘Validate’ icon ( ) located in the bottom action bar to validate the form.
Click the ‘Save’ icon ( ) located in the bottom action bar to save the overall form. Click the
‘Preview’ icon ( ) to generate a PDF preview of the form. Click the ‘Next’ button to navigate to
the ‘Submitting Official Information’ screen.
6.1.9

Submitting Official Information

You can navigate to the ‘Submitting Official Information’ screen by clicking the ‘Next’ button
from the ‘Optional Cover Letter’ screen. You can also access this screen by clicking the
‘Submitting Official Information’ link within the navigation tree.

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Exhibit 6-13 shows a screen capture of the ‘Submitting Official Information’ screen.
Exhibit 6-13 Submitting Official Information Screen (NOC)

Navigation: Click the ‘Next’ button to proceed to the ‘Instructions for Substantiating CBI
Claims’ screen if any claims of confidentiality were made in the form. If no CBI claims were
made, click the ‘Submit’ button to begin the submission process. Refer to Section 12 for further
information on the ‘Submitting Official Information’ screen. Refer to Section 13 for more
information on CBI substantiation.

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7

Create Support Form

The Section 5 Notices and Supports application allows support forms to be submitted such as
‘Amendment,’ ‘Other Correspondence,’ ‘Suspension Request,’ ‘Transfer of Ownership,’
‘Withdrawal Requests,’ and ‘Test Data.’ Support forms are filed separately from PMN forms due
to access restrictions and/or to provide information not included in the original PMN. The
Support form is used to supplement the original PMN by providing additional data that was not
provided originally, withdraw a PMN application, or provide data that was requested later.
7.1

Create Support Form

To create a new Support form, navigate to the ‘Section 5 Notices and Supports Forms’ screen
and select ‘Support’ from the ‘Form Type’ drop-down menu. Refer to Section 3.4 for additional
details regarding the ‘Section 5 Notices and Supports Forms’ screen.
Refer to Section 3.5 for additional details regarding the create passphrase process.
7.1.1

General Form Information

You can access the ‘General Form Information’ screen by entering a passphrase on the ‘Enter
Passphrase’ screen or creating a passphrase on the ‘Create Passphrase’ screen.
The ‘General Form Information’ screen provides a list of text fields and drop-down menus for
you to input information about the originally filed form.
 Form Alias: Enter the form alias. Upon navigating to the screen, the system auto-generates
an editable form alias comprised of .
This is a required field.
 Case Number: Enter the case number that connects to the original submission in the system.
This is a type-ahead field that displays the forms that have been submitted under the same
organization. If the case number is in the application, the remaining fields on the ‘General
Form Information’ screen will populate. In the case of legacy submissions, case numbers
must be manually entered. The case number must be in one of the following formats: P-XXXXXX for PMN, SN-XX-XXXX for SNUN, L-XX-XXXX for LVE, LM-XX-XXXX for
LVE Modifications, X-XX-XXXX for LOREX, XM-XX-XXXX for LOREX Modifications,
T-XX-XXXX for TMEA, I-XX-XXXX for Mock PMN, J-XX-XXXX for MCAN, R-XXXXXX for TERA, G-XX-XXXX for Tier-I, H-XX-XXXX for Tier-II, or BF-XX-XXXX for
Bona Fide. This field does not accept -0000 as a case number suffix. This is a required field.
 TS Number: Enter the TS number; this field accepts any six (6) character alphanumeric
combination. This value is determined by the company to identify the form for both
payments and connecting related submissions (Letters of Support, Joint Submissions and
corrections). This field will auto-populate if the ‘Case Number’ field is linked to a form that
is recognized by the application. The TS number should include two (2), three (3), or four (4)
letters. Company names, recognizable words and numerical series are not recommended.
 Type of Support: Select the type of support from the drop-down menu. This field contains
the following values: ‘Amendment,’ ‘Suspension Request,’ ‘Test Data,’ ‘Transfer of
Ownership,’ ‘Withdrawal Request,’ and ‘Other Correspondence.’ The ‘Amendment’ type is
unavailable when creating an amendment. This is a required field.

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 Check if requested by EPA/Contractor: Check the ‘Check if requested by
EPA/Contractor’ checkbox to display fields to enter information to identify the requestor that
asked you to submit support information.
 Last Name: Enter the requestor’s last name. This field displays if the ‘Check if requested by
EPA/Contractor’ checkbox is checked and is required if displayed.
 First Name: Enter the requestor’s first name. This field displays if the ‘Check if requested
by EPA/Contractor’ checkbox is checked and is required if displayed.
 EPA/Contractor: Select a value from the drop-down menu to identify whether the requestor
is an EPA official, a contractor, or unknown. This drop-down menu contains the following
options: ‘EPA,’ ‘Contractor,’ and ‘Unknown.’
 Actions: Click the ‘Save’ icon ( ) to save an individual EPA/contractor entry. Click the
‘Form’ icon ( ) to edit an individual EPA/contractor entry. Click the ‘Delete’ icon ( ) to
delete an individual EPA/contractor entry. Click the ‘Add’ icon ( ) to add another entry to
enter EPA/contractor information.
 CBI: Check the ‘CBI’ checkbox to claim the support description or explanation of support as
confidential.
 Description or Explanation of Support: Enter the support description or explanation of
support. Either the ‘Description or Explanation of Support’ field is required, or an attached
document is required.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window and attach documents describing the Support form. Attachments that are
uploaded include individual toxicity studies, GPC data, spectra, exposure monitoring
evaluations, physical and chemical properties data, SAR modeling, test samples
characterization data, explanatory comments, etc. Analytical tests should be provided with
their complete data set. For example, provide a GPC test report with time interval data and all
graphs. For ease of review, group attachments by type of data, e.g., physical/chemical
properties, fate information. Refer to Section 3.6 for additional details regarding the attach
document functionality.
 File Name: Displays the file name and file extension of a file that is uploaded on the ‘Attach
Documents’ pop-up window.
 Description: Displays the description of a file that is uploaded on the ‘Attach Documents’
pop-up window.
 Subtype: Displays the subtype of a document.
 Pages: Displays the number of pages a document contains.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm the deletion.

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Exhibit 7-1 shows a screen capture of the ‘General Form Information’ screen for a Support form:
Exhibit 7-1 General Form Information Screen (Support)

Navigation: Click the ‘Next’ button to navigate to the ‘Original Submitter Information’ screen.
You can also access this screen by clicking the ‘Original Submitter Information’ link within the
navigation tree.
7.1.2

Original Submitter Information

You can access the ‘Original Submitter Information’ screen by clicking the ‘Next’ button from
the ‘General Form Information’ screen. You can also access this screen by clicking the ‘Original
Submitter Information’ link within the navigation tree.

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The ‘Original Submitter Information’ screen provides a list of text fields to enter the contact
information of the Authorized Official who submitted the original PMN form for whom you are
filing the Support form.
 Click here to copy your information from CDX Registration: Click the ‘Copy CDX
Registration’ button to import your CDX registration information. A prompt will generate to
confirm the import of registration information.
 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim the original submitter contact information as
confidential.
 First Name: Enter the original submitter’s first name. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration. This is a
required field.
 Last Name: Enter the original submitter’s last name. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration. This is a
required field.
 Position: Enter the original submitter’s job title.
 Company Name: Enter the original submitter’s company name. Click the ‘Copy CDX
Registration’ button to populate the fields with information entered during CDX registration.
This is a required field.
 Phone Number: Enter the original submitter’s daytime phone number; U.S. or international.
Click the ‘Copy CDX Registration’ button to populate the fields with information entered
during CDX registration. This is a required field.
 Phone Extension: Enter the original submitter’s phone number extension, if applicable.
 Email Address: Enter the original submitter’s email address. The email address must follow
the standard email address format: John.Doe@abc.com. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration.
 Mailing Address 1: Enter the first line of the original submitter’s mailing address. Click the
‘Copy CDX Registration’ button to populate the fields with information entered during CDX
registration. This is a required field.
 Mailing Address 2: Enter the second line of the original submitter’s mailing address. Click
the ‘Copy CDX Registration’ button to populate the fields with information entered during
CDX registration.
 City: Enter the city of the original submitter’s mailing address. Click the ‘Copy CDX
Registration’ button to populate the fields with information entered during CDX registration.
This is a required field.
 State: Select the original submitter’s state from the drop-down menu. Click the ‘Copy CDX
Registration’ button to populate the fields with information entered during CDX registration.
This is a required field.
 Postal Code: Enter the postal code of the original submitter’s mailing address for the
original submitter. Click the ‘Copy CDX Registration’ button to populate the fields with
information entered during CDX registration. This is a required field.
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 Country: Displays ‘United States.’
Exhibit 7-2 shows a screen capture of the ‘Original Submitter Information’ screen:
Exhibit 7-2 Original Submitter Information Screen (Support)

Navigation: Click the ‘Validate’ icon ( ) located in the bottom action bar to validate the form.
Click the ‘Save’ icon ( ) located in the bottom action bar to save the overall form. Click the
‘Preview’ icon ( ) located in the bottom action bar to generate a PDF preview of the form.
Click the ‘Next’ button to navigate to the ‘Submitting Official Information’ screen.
7.1.3

Submitting Official Information

You can navigate to the ‘Submitting Official Information’ screen by clicking the ‘Next’ button
from the ‘Original Submitter Information’ screen. You can also access this screen by clicking the
‘Submitting Official Information’ link within the navigation tree.

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Exhibit 7-3 shows a screen capture of the ‘Submitting Official Information’ screen:
Exhibit 7-3 Submitting Official Information Screen (Support)

Navigation: Click the ‘Next’ button to proceed to the ‘Instructions for Substantiating CBI
Claims’ screen if any claims of confidentiality were made in the form. If no CBI claims were
made, click the ‘Submit’ button to begin the submission process. Refer to Section 12 for further
information on the ‘Submitting Official Information’ screen. Refer to Section 13 for more
information on CBI substantiation.

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8

Create Bona Fide Form

The purpose of the Bona Fide module is to receive an official determination from EPA as to
whether a substance is on the TSCA inventory. Submitters may attempt to avoid submitting a
PMN by completing a Bona Fide form to establish that the chemical already exists on the
inventory. The Bona Fide process is covered in a thirty (30) day period.
8.1

Create Bona Fide Form

To create a new Bona Fide form, navigate to the ‘Section 5 Notices and Supports Forms’ screen
and select ‘Bona Fide’ from the ‘Form Type’ drop-down menu. Refer to Section 3.4 for
additional details regarding the ‘Section 5 Notices and Supports Forms’ screen.
Refer to Section 3.5 for additional details regarding the create passphrase process.
8.1.1

General Document Information

You can access the ‘General Document Information’ screen by clicking the ‘Start New Form’
button and creating a new passphrase, or by accessing a Section 5 Notices and Supports Bona
Fide form that is ‘In Progress’ and entering the passphrase associated with the selected form.
The ‘General Document Information’ screen presents text fields and checkboxes for you to input
identifying information for the specific form. You will have the option to assign a ‘Form Alias’
by which the form can be identified. The form alias is helpful when you or the company has
multiple forms and/or when a user must differentiate between forms to the help desk. If a form
alias is not entered, the system will provide a default alias comprised of a form type and date and
time stamp in the following format: .
You can claim the entirety of the form as CBI. The entire form will be claimed as CBI if you
check the ‘I claim the entirety of the submission as CBI’ checkbox. The entire form will be
considered non-CBI if you leave the ‘I claim the entirety of the submission as CBI’ checkbox
unchecked.
You can indicate that a technical contact will be identified by checking the ‘Technical Contact’
checkbox. The technical contact must possess sufficient knowledge to answer any questions EPA
may have about the chemical reported in the form. The application generates a ‘Technical
Contact Information’ screen when you check the ‘Technical Contact’ checkbox.
You can indicate that a Letter of Support is expected to be filed by a secondary submitter by
checking the ‘Letter of Support’ checkbox. The Secondary Authorized Official will have a
unique identification number that will link the forms. The unique identification number will be
sent to the Letter of Support submitter, via email. At submission of the primary Bona Fide form,
the unique identification number will link the two forms together. The information submitted in
both forms will be kept separate, but linked, by the system. The Primary and Secondary AO will
only be able to view information submitted by their own company.
 Form Alias: Enter the form alias. Upon navigating to the screen, the screen auto-generates
an editable form alias comprised of .
This is a required field.
 I claim the entirety of this submission as CBI: Check the ‘I claim the entirety of this
submission as CBI’ checkbox to flag all data contained within the form as confidential.
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 Technical Contact: Check the ‘Technical Contact’ checkbox to generate a ‘Technical
Contact Information’ screen for you to enter contact information about the technical contact
associated with the reported chemical.
 Letter of Support: Check the ‘Letter of Support’ checkbox to indicate that the form is
pending a Letter of Support and to generate the ‘Letter of Support’ folder within the
navigation tree. The ‘Letter of Support’ folder contains the following screens: ‘Letter of
Support Submitter Information’ and ‘Letter of Support Submission Information.’
Exhibit 8-1 shows a screen capture of the ‘General Document Information’ screen (Scroll 1):
Exhibit 8-1 General Document Information Screen (Bona Fide) (Scroll 1)

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Exhibit 8-2 shows a screen capture of the ‘General Document Information’ screen (Scroll 2):
Exhibit 8-2 General Document Information Screen (Bona Fide) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Primary Contact Information’ screen.
You can also access this screen by clicking the ‘Primary Contact Information’ link within the
navigation tree.
8.1.2

Primary Contact Information

You can access the ‘Primary Contact Information’ screen by clicking the ‘Next’ button from the
‘General Document Information’ screen. You can also access this screen by clicking the
‘Primary Contact Information’ link within the navigation tree.
The data fields on the ‘Primary Contact Information’ screen are pre-populated based on
information entered during CDX registration. All fields are editable allowing for necessary
updates. The ‘Job Title’ field on this screen is not pre-populated from CDX registration and is a
required field.
If you checked the ‘I claim the entirety of the submission as CBI’ checkbox on the ‘General
Document Information’ screen, all entered primary contact information is flagged as CBI.
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The following fields are captured and displayed from the logged in user’s CDX registration
information:
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Prefix: Select the primary contact’s prefix from the drop-down menu.
First Name: Enter the primary contact’s first name. This is a required field.
Middle Initial: Enter the primary contact’s middle initial.
Last Name: Enter the primary contact’s last name. This is a required field.
Suffix: Select the primary contact’s suffix from the drop-down menu.
Title: Enter the primary contact’s job title. This is a required field.
Company Name: Enter the primary contact’s company name.
Phone Number: Enter the primary contact’s daytime phone number; dashes are not
allowed. This is a required field.
Phone Extension: Enter the extension to the primary contact’s daytime phone number.
Email Address: Enter the primary contact’s email address. The email address must
follow the standard email address format: John.Doe@ABC.com. This is a required field.
Mailing Address 1: Enter the first line of the primary contact’s mailing address. This is a
required field.
Mailing Address 2: Enter the second line of the primary contact’s mailing address.
City: Enter the city of the primary contact’s mailing address.
State: Select the state of the primary contact’s mailing address from the drop-down
menu. The state field is required if the user selects ‘United States’ from the ‘Country’
drop-down menu.
Postal Code: Enter the postal code of the primary contact’s mailing address. This is a
required field.
Country: Select the country of the primary contact’s mailing address. This is a required
field.

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Exhibit 8-3 shows a screen capture of the ‘Primary Contact Information’ screen:
Exhibit 8-3 Primary Contact Information Screen (Bona Fide)

Navigation: Click the ‘Next’ button to navigate to the ‘Technical Contact Information’ screen if
you checked the ‘Technical Contact’ checkbox on the ‘General Document Information’ screen.
You can also access this screen by clicking the ‘Technical Contact Information’ link within the
navigation tree. Click the ‘Next’ button to navigate to the ‘Statement of Intent’ screen if you left
the ‘Technical Contact’ checkbox unchecked on the ‘General Document Information’ screen.
You can also access this screen by clicking the ‘Statement of Intent’ link within the navigation
tree.
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8.1.3

Technical Contact Information

If you indicated on the ‘General Document Information’ screen that technical contact
information would be provided, click the ‘Next’ button from the ‘Primary Contact Information’
screen to navigate to the ‘Technical Contact Information’ screen. You can also access this screen
by clicking the ‘Technical Contact Information’ link within the navigation tree.
The technical contact is a subject matter expert (SME) who is capable of answering questions
related to the chemical submitted to EPA within the Bona Fide form. The technical contact does
not have to work at the port or site reported on the form but must possess sufficient knowledge to
answer EPA’s questions pertaining to the chemical reported in the form.
The text fields on the ‘Technical Contact Information’ screen will be blank upon accessing the
screen. To add information, you will enter data into the blank text boxes for the listed text fields.
If you checked the ‘I claim the entirety of the submission as CBI’ checkbox on the ‘General
Document Information’ screen, all entered technical contact information will be flagged as CBI.

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Prefix: Select the technical contact’s prefix from the drop-down menu.
First Name: Enter the technical contact’s first name. This is a required field.
Middle Initial: Enter the technical contact’s middle initial.
Last Name: Enter the technical contact’s last name. This is a required field.
Suffix: Select the technical contact’s suffix from the drop-down menu.
Title: Enter the technical contact’s job title.
Company Name: Enter the technical contact’s company name.
Phone Number: Enter the technical contact’s daytime U.S. phone number; dashes are
not allowed. This is a required field.
Phone Extension: Enter the technical contact’s phone number extension.
Email Address: Enter the technical contact’s email address. The email address must
follow the standard email address format: John.Doe@ABC.com. This is a required field.
Mailing Address 1: Enter the first line of the technical contact’s mailing address.
Mailing Address 2: Enter the second line of the technical contact’s mailing address.
City: Enter the city of the technical contact’s mailing address.
State: Select the state of the technical contact’s mailing address from the drop-down
menu.
Postal Code: Enter the postal code of the technical contact’s mailing address.
Country: Displays ‘United States.’

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Exhibit 8-4 shows a screen capture of the ‘Technical Contact Information’ screen (Scroll 1):
Exhibit 8-4 Technical Contact Information Screen (Bona Fide) (Scroll 1)

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Exhibit 8-5 shows a screen capture of the ‘Technical Contact Information’ screen (Scroll 2):
Exhibit 8-5 Technical Contact Information Screen (Bona Fide) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Statement of Intent’ screen. You can also
access this screen by clicking the ‘Statement of Intent’ link within the navigation tree.
8.1.4

Statement of Intent

You can access the ‘Statement of Intent’ screen by clicking the ‘Next’ button from the ‘Primary
Contact Information’ if you left the ‘Technical Contact’ checkbox unchecked on the ‘General
Document Information’ screen. You can also navigate to this screen by clicking the ‘Next’
button on the ‘Technical Contact Information’ screen if you checked the ‘Technical Contact’
checkbox on the ‘General Document Information’ screen. You can also access this screen by
clicking the ‘Statement of Intent’ link within the navigation tree.
The ‘Statement of Intent’ screen requires you to indicate whether your intent is to manufacture
and/or import the chemical substance for which you are requesting a TSCA inventory
determination from EPA. You must indicate the activities of ‘Manufacture’ and/or ‘Import’ by
checking the provided checkboxes. If you indicate that you intend to manufacture the chemical
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substance, a prompt to identify the ‘Site of Manufacture’ after clicking the ‘Add Site’ button on
the ‘Submitter Site Identification’ screen will display. Similarly, if you indicate that you intend
to import the chemical substance, a prompt to identify a ‘Port of Entry’ after clicking the ‘Add
Site’ button on the ‘Submitter Site Identification’ screen will display.
On this screen, you are required to enter the date you expect to submit a Section 5 notification if
the result is that the chemical is not found on the inventory.
If you checked the ‘I claim the entirety of the submission as CBI’ checkbox on the ‘General
Document Information’ screen, all information entered on the ‘Statement of Intent’ screen will
be flagged as CBI.
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Manufacture: Check the ‘Manufacture’ checkbox to indicate the chemical substance
will be manufactured. Either the ‘Manufacture’ or ‘Import’ checkbox is required to be
checked.
Import: Check the ‘Import’ checkbox to indicate the chemical substance will be
imported. Either the ‘Manufacture’ or ‘Import’ checkbox is required to be checked.
Date of expected Section 5 notification if the result is that the chemical is not on the
inventory: Enter the date you are expecting to submit a Section 5 notification, if the
result is that the chemical is not found on the inventory. This data can be entered in any
format (e.g. ‘Quarter 1 of 2014,’ ‘10/01/14’). This is a required field.

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Exhibit 8-6 shows a screen capture of the ‘Statement of Intent’ screen:
Exhibit 8-6 Statement of Intent Screen (Bona Fide)

Navigation: Click the ‘Next’ button to navigate to the ‘Letter of Support Submitter Information’
screen if you checked the ‘Letter of Support’ checkbox on the ‘General Document Information’
screen. You can also access this screen by clicking the ‘Letter of Support Submitter Information’
link within the navigation tree. Click the ‘Next’ button to navigate to the ‘Chemical
Identification Information’ screen if the ‘Letter of Support’ checkbox was not checked on the
‘General Document Information’ screen.
8.1.5

Letter of Support Submitter Information

You can access the ‘Letter of Support Submitter Information’ screen by clicking the ‘Next’
button from the ‘Statement of Intent’ screen if you checked the ‘Letter of Support’ checkbox on
the ‘General Document Information’ screen. You can also access this screen by clicking the
‘Letter of Support Submitter Information’ link within the navigation tree.
The ‘Letter of Support Submitter Information’ screen captures contact information regarding the
Letter of Support submitter who will provide additional, separate information regarding the Bona
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the unique identification number, which is used to link the primary and secondary submissions,
to the Letter of Support submitter.
If you checked the ‘I claim the entirety of the submission as CBI’ checkbox on the ‘General
Document Information’ screen, all information entered on the ‘Letter of Support Submitter
Information’ screen will be flagged as CBI.
 Prefix: Select the Letter of Support submitter’s prefix from the drop-down menu.
 First Name: Enter the Letter of Support submitter’s first name. This is a required field.
 Middle Initial: Enter the Letter of Support submitter’s middle initial.
 Last Name: Enter the Letter of Support submitter’s last name. This is a required field.
 Suffix: Select the Letter of Support submitter’s suffix from the drop-down menu.
 Title: Enter the Letter of Support submitter’s job title.
 Company Name: Enter the Letter of Support submitter’s company name. This is a required
field.
 Phone Number: Enter the Letter of Support submitter’s U.S. or international daytime phone
number; dashes are not allowed. This is a required field.
 Phone Extension: Enter the Letter of Support submitter’s U.S. or international daytime
phone number extension.
 Email Address: Enter the Letter of Support submitter’s email address. The email address
must follow the standard email address format: John.Doe@ABC.com. This is a required
field.
 Mailing Address 1: Enter the first line of the Letter of Support submitter’s mailing address.
This is a required field.
 Mailing Address 2: Enter the second line of the Letter of Support submitter’s mailing
address.
 City: Enter the city of the Letter of Support submitter’s mailing address. This is a required
field.
 State: Select the state of the Letter of Support submitter’s mailing address from the dropdown menu. This is a required field when the ‘Country’ field is identified as ‘United States.’
 Postal Code: Enter the postal code of the Letter of Support submitter’s mailing address. This
is a required field.
 Country: Select the country of the Letter of Support submitter’s mailing address from the
drop-down menu. This is a required field.

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Exhibit 8-7 shows a screen capture of the ‘Letter of Support Submitter Information’ screen:
Exhibit 8-7 Letter of Support Submitter Information Screen (Bona Fide)

Navigation: Click the ‘Next’ button to navigate to the ‘Letter of Support Submission
Information’ screen. You can also access this screen by clicking the ‘Letter of Support
Submission Information’ link within the navigation tree.
8.1.6

Letter of Support Submission Information

You can access the ‘Letter of Support Submission Information’ screen by clicking the ‘Next’
button from the ‘Letter of Support Submitter Information’ screen. You can also access this
screen by clicking the ‘Letter of Support Submission Information’ link within the navigation
tree.
The ‘Letter of Support Submission Information’ screen is used as a communication point
between two companies. The ‘Letter of Support Submission Information’ screen displays a
comment box for you to enter information that will be passed on to the Letter of Support
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submitter. A text field captures information to send to the Letter of Support submitter in an email
sent by the primary submitter. A ‘Unique Identification Number for Letter of Support
Submissions’ box will also display on this screen. The unique identification number generates
when you declare a Letter of Support submission is being established.
Letter of Support Submission Process: When you designate that a Letter of Support
submission is being filed, you will be asked to enter all the information within the ‘Letter of
Support Submission’ folder. The forms from the primary submitter will be linked, but not
combined by the system.
When the primary submitter chooses to notify the Letter of Support submitter of the unique
identification number, the system will send an email to the Letter of Support submitter
designated on the ‘Letter of Support Submitter Information’ screen. The email will contain the
‘Unique Identifier Number’ that will link the two forms.
When the Letter of Support submitter accesses the ‘Section 5 Notices and Supports Forms’
screen and creates a form to be filed, the user will be prompted to enter the unique identification
number on the ‘Create Passphrase’ screen. Once the unique identification number has been
entered, the system will link the primary and Letter of Support forms. You may add additional
Letters of Supports by clicking the ‘Add Letter of Support’ link within the navigation tree.
 Letter of Support Submission Information Instructions: Enter the information that the
Primary AO is sending to the Letter of Support submitter.
 Letter of Support Submission Informational Text: Displays instructional text provided by
OPPT, the unique identifier number generated for the form, and allows you to email the
unique identifier number to the Letter of Support submitter by clicking the ‘Notify the
Secondary Submitter of the letter of support submission’ link.
 Unique Identification Number: The unique identification number is a random number autogenerated to pass on to the Letter of Support submitter to create a Letter of Support
submission.

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Exhibit 8-8 shows a screen capture of the ‘Letter of Support Submission Information’ screen:
Exhibit 8-8 Letter of Support Submission Information Screen (Bona Fide)

Navigation: Click the ‘Notify the Secondary Submitter of the letter of support submission’ link
to access the ‘Unique Identifier Notification’ pop-up window. Click the ‘Next’ button to navigate
to the ‘Chemical Identification Information’ screen. You can also access the ‘Chemical
Identification Information’ screen by clicking the ‘Chemical Identification Information’ link
within the navigation tree.

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8.1.7

Notify Secondary Submitter of Letter of Support Information

You can access the ‘Unique Identifier Notification’ pop-up window by clicking the ‘Notify the
Secondary Submitter of the letter of support submission’ link from the ‘Letter of Support
Submission Information’ screen.
The ‘Unique Identifier Notification’ pop-up window is used to notify the Secondary Submitter of
the ‘Unique Identifier Number.’ The ‘Unique Identifier Notification’ pop-up window displays a
‘CC’ field for you to add other email addresses to the notification (including the original
submitter), a ‘To’ field, and an ‘Additional Comments’ text box.
 From: Displays the email address of the logged in user that created the form.
 CC: Contains instructional text for a user to enter multiple email addresses. This will
automatically populate with the email address of the logged in user, and the email address of
the technical contact.
 To: Contains the editable email address of the Letter of Support submitter specified on the
‘Letter of Support Submitter Information’ screen; this email address will be automatically
populated upon navigating to the window.
 Subject: Displays ‘YYYY Bona Fide.’
 Message: Displays a pre-determined message in the email sent to a Letter of Support
submitter.
 Additional Comments: Enter any other additional comments or instructions to be passed
onto the Letter of Support submitter.
 Send: Click the ‘Send’ button to generate and send the email to the email addresses
identified in the ‘CC’ and ‘To’ fields.

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Exhibit 8-9 shows a screen capture of the ‘Notify Letter of Support Submitter’ pop-up window:
Exhibit 8-9 Notify Letter of Support Submitter Pop-Up Window (Bona Fide)

Navigation: Click the ‘Send’ button to send the email to the Letter of Support submitter and
navigate back to the ‘Letter of Support Submission Information’ screen. Click the ‘X’ button in
the upper right-hand corner to cancel the unique identifier notification process.
8.1.8

Chemical Identification Information

You can navigate to the ‘Chemical Identification Information’ screen by clicking the ‘Next’
button from the ‘Statement of Intent’ screen if you left the ‘Letter of Support’ checkbox
unchecked on the ‘General Document Information’ screen. You can also access the ‘Chemical
Identification Information’ screen from the ‘Letter of Support Submission Information’ screen if
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you checked the ‘Letter of Support’ checkbox on the ‘General Document Information’ screen.
You can also access this screen by clicking the ‘Chemical Identification Information’ link within
the navigation tree.
The ‘Chemical Identification Information’ screen identifies the type of chemical the submitter
will be entering into the application. You will be able to file a Bona Fide form for a class 1 or
2/Biotechnology chemical substance or a polymer. Based on your selection, the appropriate
screens for the respective chemical will appear.
This screen also provides a text field for you to identify an alias for the chemical substance.
 Class 1 or 2/Biotechnology Chemical Substance: Select the ‘Class 1 or 2/Biotechnology
Chemical Substance’ radio button to indicate that the chemical is a class 1 or 2/biotechnology
substance. If you select the ‘Polymer’ radio button after initially selecting the ‘Class 1 or
2/Biotechnology Chemical Substance’ radio button, the application generates a notification
message warning you that you will lose all data for this chemical if the chemical type
changes. The user is required to select one of the two radio button options displayed in the
‘Chemical Type’ section.
 Polymer: Select the ‘Polymer’ radio button to indicate that the chemical is a polymer. If you
select the ‘Class 1 or 2/Biotechnology Chemical Substance’ radio button after initially
selecting the ‘Polymer’ radio button, the application generates a notification message
warning you that you will lose all data for this chemical if the chemical type changes. The
user is required to select one of the two radio button options displayed in the ‘Chemical
Type’ section.
 Chemical Alias: Enter the chemical alias to associate with a chemical.

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Exhibit 8-10 shows a screen capture of the ‘Chemical Identification Information’ screen:
Exhibit 8-10 Chemical Identification Information Screen (Bona Fide)

Navigation: If you selected the ‘Class 1 or 2/Biotechnology Chemical Substance’ radio button,
click the ‘Next’ button to navigate to the ‘Class 1 or 2/Biotechnology Chemical Substances’
screen. If you selected the ‘Polymer’ radio button, click the ‘Next’ button to navigate to the
‘Polymer Identification Information’ screen.
8.1.9

Class 1 or 2/Biotechnology Chemical Substances

If you selected the ‘Class 1 or 2/Biotechnology Chemical Substance’ radio button, click the
‘Next’ button to navigate to the ‘Class 1 or 2/Biotechnology Chemical Substances’ screen.
The ‘Class 1 or 2/Biotechnology Chemical Substances’ screen provides fields for you to enter
information describing the chemical for the Bona Fide which is to be filed, including its name,
composition, and structure.
You can add a chemical component by clicking the ‘Add New Chemical’ button. Upon clicking
the ‘Add New Chemical’ button, an expandable/collapsible field set generates that contains
numerous fields to identify the chemical in question. You will be able to enter multiple chemical

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substances, each with unique information, by clicking the ‘Add New Chemical’ button for each
chemical substance you wish to identify.
After the document(s) is/are attached and you have clicked the ‘OK’ button, the ‘Attach
Chemical Structure’ pop-up window closes and the document information will be displayed in a
table format on the ‘Class 1 or 2/Biotechnology Chemical Substances’ screen. The attachment
table displays the file name of the document and user-provided description of the document.
Click the ‘Delete’ icon ( ) located under the ‘Actions’ column to delete unwanted documents.
Click the appropriate file name of the document within the ‘File Name’ column of the
attachment table to access or edit previously attached documents.
 Add New Chemical: Click the button to generate the class 1 or 2/Biotechnology chemical
substances field set.
 Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the
expandable/collapsible field set to prevent edits from saving and to remove a field set. The
‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A
confirmation message displays to confirm the action.
 Edit: Click the ‘Edit’ link located in the upper right-hand corner of the expandable/collapsible
field set to modify the information entered in the fields. The ‘Edit’ link displays when the
expandable/collapsible field set has been saved and the data is not currently editable.
 Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the
expandable/collapsible field set to delete the field set. A confirmation message displays to
confirm the deletion.
 Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to expand a series of field sets.
 Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to collapse a series of field sets.
 Class of Substance: In the section, ‘Class of Substance,’ you identify whether a ‘Class 1’ or
‘Class 2/Biotechnology’ chemical substance is being reported. When you select the ‘Class
2/Biotechnology’ chemical substance radio button, you are indicating that some portions of the
structure may not be known and an additional screen will appear within the navigation tree that
provides fields for you to enter information concerning how the chemical was created. If
multiple class 2 chemical substances are added, one ‘Class 2/Biotechnology Substances’ screen
will apply to all chemical substances.
 Add Chemical ID: You can access the ‘Add Chemical ID’ pop-up window by clicking the
‘Add Chemical ID’ button within the ‘Chemical Identification Information’ field set. You can
search for the reported chemical(s), either by the ‘CASRN’ or ‘CA Index Name or Other
Synonym.’ If you retrieve zero results, the system provides fields for you to enter the chemical
information by filling in the ‘Chemical Name’ and the ‘Chemical Abstract Services Registry
Number’ under the manual entry field set. The system provides functionality to enter the
selected chemical by clicking the ‘OK’ button located at the bottom of the ‘Add Chemical ID’
window.
 Chemical Name: The system provides fields for you to identify the ‘Chemical Name’ and the
‘CASRN’ (if available). The system provides functionality for you to search for the chemical
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substance using the ‘Add Chemical ID’ search or manually enter the chemical information in
the ‘Add Chemical ID’ pop-up window.
 ID Method: The system shall require that you identify which ID method was used to
determine the chemical identity. If you select ‘Method 1,’ you are required to attach an IES
report. You can also select ‘Method 2 (Other Method).’
 Attach IES Report: To access the ‘Attach IES Report’ pop-up window, click the ‘Attach IES
Report’ button that displays within the ‘Chemical Identification Information’ field set. After
you attach the document(s), and click the ‘OK’ button, the ‘Attach IES Report’ pop-up window
closes and the document information displays in a table format on the ‘Class 1 or
2/Biotechnology Chemical Substances’ screen. The document attachment table displays the file
name of the document(s) and the user-provided description of the document(s). Click the
‘Delete’ icon ( ) located under the ‘Actions’ column to delete unwanted documents. Click the
file name link under the ‘File Name’ column to access or edit previously attached documents.
 Molecular Formula: Enter a molecular formula in a text field using a free text format. This
field is optional.
 Chemical Structure Diagram: The system allows you to attach a chemical structure diagram.
This field is optional.
 Attach Chemical Structure: Click the ‘Attach Chemical Structure’ button within the
‘Chemical Identification Information’ field set to access the ‘Attach Chemical Structure’ popup window. You can attach the file(s) and enter a description of the document regarding the
chemical structure.
 File Name: Displays the file name and file extension of the file that is uploaded on the ‘Attach
Chemical Structure’ window.
 Description: Displays the description of the chemical structure.
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached chemical structure row
permanently from the system. A warning message displays to confirm the deletion of the
document.
 Save: Click the button to save the information entered within the expandable/collapsible field
set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom action
bar to successfully save the entered information within the field set before being able to
navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section 3.9
for more information regarding the save functionality in an expandable/collapsible field set.

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Exhibit 8-11 shows a screen capture of the ‘Class 1 or 2/Biotechnology Chemical Substances’
screen:
Exhibit 8-11 Class 1 or 2/Biotechnology Chemical Substances Screen (Bona Fide)

Navigation: If you selected the ‘Class 1’ radio button, click the ‘Save’ button within the
expandable/collapsible field, then click the ‘Next’ button to navigate to the ‘Use Information’
screen. If you selected the ‘Class 2/Biotechnology’ radio button, click the ‘Save’ button within
the expandable/collapsible field set, then click the ‘Next’ button to navigate to the ‘Class
2/Biotechnology Substances’ screen.

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8.1.10

Class 2/Biotechnology Substances

You can navigate to the ‘Class 2/Biotechnology Substances’ screen by clicking the ‘Next’ button
from the ‘Class 1 or 2/Biotechnology Chemical Substances’ screen when you select the ‘Class
2/Biotechnology’ radio button. You can also access this screen by clicking the ‘Save’ icon ( )
within the action bar and clicking the ‘Class 2/Biotechnology Substances’ link within the
navigation tree.
The ‘Class 2/Biotechnology Substances’ screen provides fields for you to enter in information
regarding a class 2/biotechnology chemical substance. A class 2/biotechnology chemical
substance is a substance that may not have a defined chemical structure that has been identified.
This screen provides fields for you to identify specific elements in the creation of the chemical
using the following fields: ‘Precursor Substances,’ ‘Nature of Reaction,’ and ‘Range of
Composition (Optional).’
You will be able to enter precursor substances by searching SRS or by the manual entry fields
when the substance is not in SRS. The substances will display in a table listing the ‘Chemical
Name’ and CASRN.
The system provides fields for you to capture ‘Nature of Reaction’ and ‘Range of Composition’
in text boxes.
 Precursor Substances: This table captures the chemicals identified as immediate precursor
substances, along with the respective CASRNs.
 Search SRS: Click the ‘Search SRS’ button to display the ‘Search Substance Registry
Services’ pop-up window. Refer to Section 3.10 for additional details regarding the search
SRS functionality.
 Chemical Name: Displays the chemical name associated with a precursor substance. Click
the ‘Chemical Name’ link to navigate to the ‘Search SRS’ pop-up window for edits.
 CASRN: Displays the CASRN associated with a precursor substance.
 Action: Click the ‘Delete’ icon ( ) to delete the entire chemical row permanently from the
system. A warning message will display to confirm the deletion of the chemical.
 Nature of Reaction: Enter the ‘Nature of Reaction’ description. This is a required field.
 Range of Composition: Enter the ‘Range of Composition’ description.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window and upload a document. Refer to Section 3.6 for further details regarding the
attach document functionality.
 File Name: Displays the file name and file extension of the file that is uploaded on the
‘Attach Documents’ window.
 Description: Displays the description associated with a document.
 Action: Click the ‘Delete’ icon ( ) to delete the entire document row permanently from the
system. A warning message displays to confirm the deletion.

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Exhibit 8-12 shows a screen capture of the ‘Class 2/Biotechnology Substances’ screen (Scroll 1):
Exhibit 8-12 Class 2/Biotechnology Substances Screen (Bona Fide) (Scroll 1)

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Exhibit 8-13 shows a screen capture of the ‘Class 2/Biotechnology Substances’ screen (Scroll 2):
Exhibit 8-13 Class 2/Biotechnology Substances Screen (Bona Fide) (Scroll 2)

Navigation: Click the ‘Next’ button to navigate to the ‘Use Information’ screen. You can also
access this screen by clicking the ‘Use Information’ link within the navigation tree.
8.1.11

Polymer Identification Information

You can navigate to the ‘Polymer Identification Information’ screen by clicking the ‘Next’
button from the ‘Chemical Identification Information’ screen when you select the ‘Polymer’
radio button. You can also access this screen by clicking the ‘Polymer Identification
Information’ link within the navigation tree after clicking the ‘Save’ icon within the bottom
action bar.
Click the ‘Add New Chemical’ button to create a chemical substance. Upon clicking the ‘Add
New Chemical’ button, an expandable/collapsible field set generates that contains numerous
fields that pertain to the particular polymer. The system provides numerous fields for you to
enter multiple chemical substances, each with unique information, by clicking the ‘Add New
Chemical’ button for each chemical you wish to identify.
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For a single component submission, create the field set by clicking the ‘Add New Chemical’
button. Upon clicking the ‘Add New Chemical’ button, the application generates a field set
containing numerous fields for you to enter information pertaining to that particular chemical.
For a multi-component submission, create individual field sets by clicking the ‘Add New
Chemical’ button. Multi-component chemical submissions occur when two or more chemicals
always generate together in a single pot and are never isolated. Upon clicking the ‘Add New
Chemical’ button, the application generates a field set containing numerous fields for you to
enter information pertaining to that particular chemical. Enter additional chemical components,
each with unique identifying information, by clicking the ‘Add New Chemical’ button for each
additional chemical that is part of the multi-component mixture. All multi-component chemicals
will reside in one chemical folder in the navigation tree.
 Add New Chemical: Click the button to generate the ‘Polymer Identification Information’
field set.
 Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the
expandable/collapsible field set to prevent edits from saving and to remove a field set. The
‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A
confirmation message displays to confirm the action.
 Edit: Click the ‘Edit’ link located in the upper right-hand corner of the
expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’
link displays when the expandable/collapsible field set has been saved and the data is not
currently editable.
 Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the
expandable/collapsible field set to delete the field set. A confirmation message displays to
confirm the deletion.
 Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to expand a series of field sets.
 Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to collapse a series of field sets.
 Add Chemical ID: Click the ‘Add Chemical ID’ button within the ‘Polymer Identification
Information’ field set to generate the ‘Add Chemical ID’ pop-up window. You can search for
the reported chemical(s), by either the ‘CASRN’ or CA Index Name or Other Synonym. If
you retrieve zero results, the system provides fields for you to enter the chemical information
by filling in the ‘Chemical Name’ and the ‘Chemical Abstract Services Registry Number’
(CASRN) under the manual entry field set. The system provides functionality for you to enter
the selected chemical by clicking the ‘OK’ button located at the bottom of the ‘Add Chemical
ID’ window.
 Chemical Name: The system provides fields for you to identify the ‘Chemical Name’ and
the CASRN (if available). The system provides functionality for you to search for the
chemical substance using the ‘Add Chemical ID’ search or manually enter the chemical
information in the ‘Add Chemical ID’ pop-up.
 ID Method: The system shall require that you identify which ID method was used to
determine the chemical identity. When you select ‘Method 1 (CAS Inventory Expert
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Service),’ the system generates an ‘Attach IES Report’ button for you to attach an IES report.
If you select ‘Method 1,’ you are required to attach an IES report. You can also select
‘Method 2 (Other Method).’
 Attach IES Report: Click the ‘Attach IES Report’ button within the ‘Polymer Identification
Information’ field set after selecting the ‘Method 1 (CAS Inventory Expert Service)’ radio
button to access the ‘Attach IES Report’ pop-up window. After you attach the document(s),
and click the ‘OK’ button, the ‘Attach IES Report’ pop-up window closes and the document
information displays in a table format on the ‘Polymer Identification Information’ screen.
The attachment table displays the file name of the document and the user-provided
description of the document. Click the ‘Delete’ icon ( ) located under the ‘Actions’ column
to delete unwanted documents. Click the file name link under the ‘File Name’ column to
access or edit previously attached documents.
 Chemical Structure Diagram: The system allows you to attach a chemical structure
diagram.
 Attach Chemical Structure: Click the ‘Attach Chemical Structure’ button within the
‘Polymer Identification Information’ field set to access the ‘Attach Chemical Structure’ popup window. You can attach the file(s) and enter a description of the document.
 File Name: Displays the file name and file extension of the document that is uploaded on the
‘Attach Chemical Structure’ window.
 Description: Displays the description of the chemical structure.
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached chemical structure row
permanently from the system. A warning message displays to confirm the deletion.
 Save: Click the button to save the information entered within the expandable/collapsible field
set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom
action bar to successfully save the entered information within the field set before being able
to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section
3.9 for more information regarding the save functionality in an expandable/collapsible field
set.
After the document is attached and you click the ‘OK’ button, the ‘Attach Chemical Structure’
pop-up window closes and the document information displays in a table format on the ‘Polymer
Identification Information’ screen. The attachment table displays the file name of the document
and provided description of the document. Click the ‘Delete’ icon ( ) located under the
‘Actions’ column to delete unwanted documents. Click the appropriate file name of the
document within the ‘File Name’ column of the attachment table to access or edit previously
attached documents.

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Exhibit 8-14 shows a screen capture of the ‘Polymer Identification Information’ screen:
Exhibit 8-14 Polymer Identification Information Screen (Bona Fide)

Navigation: Click the ‘Next’ button to navigate to the ‘Monomers and Other Reactants’ screen.
You can also access this screen by clicking the ‘Monomers and Other Reactants’ link within the
navigation tree.
8.1.12

Monomers and Other Reactants

You can navigate to the ‘Monomers and Other Reactants’ screen by clicking the ‘Next’ button
from the ‘Polymer Identification Information’ screen. You can also access this screen by clicking
the ‘Monomers and Other Reactants’ link within the navigation tree.
The ‘Monomers and Other Reactants’ screen is used to identify the chemical measurements and
monomers that make up a polymer. The ‘Monomers and Other Reactants’ screen has an ‘Add

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Monomer’ button that allows you to identify the monomer(s) that make up the polymer
composition.
 Add Monomer: Click the ‘Add Monomer’ button to generate an expandable/collapsible field
set.
 Cancel: Click the ‘Cancel’ link located in the upper right-hand corner of the
expandable/collapsible field set to prevent edits from saving and to remove a field set. The
‘Cancel’ link displays when the expandable/collapsible field set is open for editing. A
confirmation message displays to confirm the action.
 Edit: Click the ‘Edit’ link located in the upper right-hand corner of the
expandable/collapsible field set to modify the information entered in the fields. The ‘Edit’
link displays when the expandable/collapsible field set has been saved and the data is not
currently editable.
 Delete: Click the ‘Delete’ icon ( ) located in the upper right-hand corner of the
expandable/collapsible field set to delete the field set. A confirmation message displays to
confirm the deletion.
 Expand All: Click the ‘Expand All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to expand a series of field sets.
 Collapse All: Click the ‘Collapse All’ link located at the upper right-hand corner of the
expandable/collapsible field sets to collapse a series of field sets.
 Search SRS: Click the ‘Search SRS’ button to generate the ‘Search Substance Registry
Services’ pop-up window. Refer to Section 3.10 for additional details regarding the search
SRS functionality.
 CAS Registry Number: Displays the CASRN for the specified monomer; this field
populates based on information entered on the ‘Search Substance Registry Services’ pop-up
window. This is a required field.
 Monomer or Other Reactant: Displays the monomer or other reactant name; this field
populates based on information entered on the ‘Search Substance Registry Services’ pop-up
window. This is a required field.
 Include in Identity: Check the ‘Include in Identity’ checkbox to claim the value for
‘Monomer or Other Reactant’ as part of the monomer identification.
 Typical Composition: Enter the ‘Typical Composition’ value that a monomer contributes to
a polymer; the value entered must be a positive numerical value greater than zero (0) and less
than or equal to 100 with up to three decimal points. If the value entered is less than or equal
to ‘2’ a warning will be displayed in the global ‘Validate’ function or during the submission
process indicating that the ‘Typical Composition’ is a value that is less than or equal to 2%
and asking the user whether it should be included in the ‘Chemical Identity.’ This is a
required field.
 Save: Click the button to save the information entered within the expandable/collapsible field
set. You must click this button instead of the ‘Save’ icon ( ) located within the bottom
action bar to successfully save the entered information within the field set before being able
to navigate away from the screen using the ‘Previous’ and ‘Next’ buttons. Refer to Section

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3.9 for more information regarding the save functionality in an expandable/collapsible field
set.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window. Refer to Section 3.6 for additional details regarding the attach document
functionality.
 File Name: Displays the file name and file extension of the file that is uploaded on the
‘Attach Documents’ pop-up window. Click the file name link to navigate to the ‘Attach
Documents’ pop-up window to make any edits.
 Description: Displays the description associated with a document.
 Actions: Click the ‘Delete’ icon ( ) to delete the entire attached document row permanently
from the system. A warning message displays to confirm the deletion of the document.

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Exhibit 8-15 shows a screen capture of the ‘Monomers and Other Reactants’ screen:
Exhibit 8-15 Monomers and Other Reactants Screen (Bona Fide)

Navigation: Click the ‘Next’ button to navigate to the ‘Use Information’ screen. You can also
access this screen by clicking the ‘Use Information’ link within the navigation tree.
8.1.13

Use Information

You can navigate to the ‘Use Information’ screen by clicking the ‘Next’ button from the ‘Class 1
or 2 Chemical Substances’ screen, from the ‘Class 2 Substances’ screen, or from the ‘Monomers
and Other Reactants’ screen, depending on the choice made on the ‘Chemical Identification
Information’ screen. You can also access this screen by clicking the ‘Use Information’ link
within the navigation tree.
The ‘Use Information’ screen captures data about the chemical substance’s intended use. When
you navigate to the screen, the screen contains a text box with instructional text that reads, ‘How
will the substance be used?’ Enter the specific data for the chemical substance and then advance
to the next screen.
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 How will the substance be used?: Enter data regarding how the chemical substance is
intended to be used. This is a required field.
Exhibit 8-16 shows a screen capture of the ‘Use Information’ screen:
Exhibit 8-16 Use Information Screen (Bona Fide)

Navigation: Click the ‘Next’ button to navigate to the ‘Submitter Site Identification’ screen.
You can also access this screen by clicking the ‘Submitter Site Identification’ link within the
navigation tree.
8.1.14

Submitter Site Identification

You can navigate to the ‘Submitter Site Identification’ screen by clicking the ‘Next’ button from
the ‘Use Information’ screen. You can also access this screen by clicking the ‘Submitter Site
Identification’ link within the navigation tree.
The ‘Submitter Site Identification’ screen captures information about the identification of the
sites of manufacture and/or the port of entry. The system requires you to select from the ‘Site of
Manufacture or Import’ drop-down menu when both the ‘Manufacture’ and ‘Import’ checkboxes
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are checked on the ‘Statement of Intent’ screen. List all of the sites of manufacture and/or the
ports of entry that are controlled by the submitter on this screen; at least one site is required.
 Add Site: Click the ‘Add Site’ button to display the ‘Add Site’ pop-up window. Refer to
Section 3.11 for additional details regarding the add site functionality.
 EPA Registry ID: Displays the EPA Registry ID of the site and/or port.
 Site of Manufacture or Port of Entry: Displays the site of manufacture or port of entry
depending on the checkbox(es) the user checks on the ‘Statement of Intent’ screen. This is a
required field if the checkboxes were checked.
 Site Name: Displays the site name of the site or port. This is a required field.
 Address: Displays the address of the site or port. This is a required field.
 Actions: Click the ‘Delete’ icon ( ) to delete the entire site row permanently from the
system. A warning message displays to confirm the deletion of the site.
Exhibit 8-17 shows a screen capture of the ‘Submitter Site Identification’ screen:
Exhibit 8-17 Submitter Site Identification Screen (Bona Fide)

Navigation: Click the ‘Next’ button to navigate to the ‘Document Management’ screen. You can
also access this screen by clicking the ‘Document Management’ link within the navigation tree.

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8.1.15

Document Management

You can navigate to the ‘Document Management’ screen by clicking the ‘Next’ button from the
‘Submitter Site Identification’ screen. You can also access this screen by clicking the ‘Document
Management’ link within the navigation tree.
The ‘Document Management’ screen is used to attach required documents to the electronic form.
The user must attach three required documents: ‘Spectrum of Substance,’ ‘Statement of
Commercialization,’ and ‘Statement of Research and Development.’ The application also allows
the user to attach ‘Other’ documents.
 Attach Document: Click the ‘Attach Document’ button to generate the ‘Attach Documents’
pop-up window to upload documents. Refer to Section 3.6 for additional details regarding
the attach document functionality.
 Document Name: Displays the document name and file extension of the document uploaded
on the ‘Attach Documents’ pop-up window.
 Document Type: Displays the document type associated with the uploaded document.
 Action: Click the ‘Delete’ icon ( ) to delete the entire document row permanently from the
system. A warning message displays to confirm the deletion of the document.

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Exhibit 8-18 shows a screen capture of the ‘Document Management’ screen:
Exhibit 8-18 Document Management Screen (Bona Fide)

Navigation: Click the ‘Next’ button to navigate to the ‘Optional Cover Letter’ screen. You can
also access this screen by clicking the ‘Optional Cover Letter’ link within the navigation tree.
8.1.16

Optional Cover Letter

You can navigate to the ‘Optional Cover Letter’ screen by clicking the ‘Next’ button from the
‘Document Management’ screen. You can also access this screen by clicking the ‘Optional
Cover Letter’ link within the navigation tree.
The ‘Optional Cover Letter’ screen is used to communicate information with EPA that is not
collected elsewhere in the form. The cover letter is used to give EPA resources and special
instructions regarding the application.
 Optional Cover Letter: Enter any additional special instructions regarding the form.

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Exhibit 8-19 shows a screen capture of the ‘Optional Cover Letter’ screen:
Exhibit 8-19 Optional Cover Letter Screen (Bona Fide)

Navigation: Click the ‘Next’ button to navigate to the ‘Submitting Official Information’ screen.
8.1.17

Submitting Official Information

You can navigate to the ‘Submitting Official Information’ screen by clicking the ‘Next’ button
from the ‘Optional Cover Letter’ screen. You can also access this screen by clicking the
‘Submitting Official Information’ link within the navigation tree.

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Exhibit 8-20 shows a screen capture of the ‘Submitting Official Information’ screen:
Exhibit 8-20 Submitting Official Information Screen (Bona Fide)

Navigation: Click the ‘Next’ button to proceed to the ‘Instructions for Substantiating CBI
Claims’ screen if any claims of confidentiality were made in the form. If no CBI claims were
made, click the ‘Submit’ button to begin the submission process. Click the ‘Validate’ icon ( )
located in the bottom action bar to validate the form. Click the ‘Save’ icon ( ) located in the
bottom action bar to save the overall form. Click the ‘Preview’ icon ( ) located in the bottom
action bar to generate a PDF preview of the form. Refer to Section 12 for further information on
the ‘Submitting Official Information’ screen. Refer to Section 13 for more information on CBI
substantiation.

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9

Create Alternative Control Measures (ACM) Form

The Section 5 Notices and Supports application allows ACM forms to be submitted. The ACM
form is used to report proposed alternative control measures for published significant new use
rules (SNURs).
9.1

Create Alternative Control Measures Form

To create a new ACM form, navigate to the ‘Section 5 Notices and Supports Forms’ screen and
select ‘Alternative Control Measures (ACM)’ from the ‘Form Type’ drop-down menu. Refer to
Section 3.4 for additional details regarding the ‘Section 5 Notices and Supports Forms’ screen.
Refer to Section 3.5 for additional details regarding the create passphrase process.
9.1.1

Contact Information

You can access the ‘Contact Information’ screen by entering the passphrase on the ‘Enter
Passphrase’ screen or creating a passphrase on the ‘Create Passphrase’ screen.
The ‘Contact Information’ screen provides an ‘Add Contact’ button and a contact information
table for you to identify a point of contact who is working for a U.S. based company.
 Form Alias: Enter a custom alias to differentiate the ACM 721.30 form, if applicable. The
system auto-generates a default alias consisting of the form type and date stamp in the
following format: . The form alias is
an editable field that may be changed at any time. This is a required field.
 Add Contact: Click the button to generate the ‘Add Contact’ window, which allows a user
to enter information for a point of contact. At least one contact is required.
 Last Name: Displays the last name of the contact identified on the ‘Add Contact’ pop-up
window.
 First Name: Displays the first name of the contact identified on the ‘Add Contact’ pop-up
window.
 Address: Displays the mailing address of the contact identified on the ‘Add Contact’ pop-up
window.
 CBI: Indicates the CBI status of a contact by displaying either a ‘Y’ or an ‘N.’
 Actions: Click the ‘Delete’ icon ( ) to delete a contact from the table. A warning message
displays to confirm deletion of the contact.

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Exhibit 9-1 shows a screen capture of the ‘Contact Information’ screen:
Exhibit 9-1 Contact Information Screen (ACM)

Navigation: Click the ‘Add Contact’ button to begin the process of adding contact information.
Click the ‘Next’ button to navigate to the ‘Attachments’ screen. You can also access this screen
by clicking the ‘Attachments’ link within the navigation tree.
9.1.1.1

Add Contact

You can access the ‘Add Contact’ pop-up window by clicking the ‘Add Contact’ button on the
‘Contact Information’ screen.
The ‘Add Contact’ pop-up window displays fields for you to enter information regarding the
point of contact.
 Click here to copy your information from CDX Registration: Click the ‘Copy CDX
Registration’ button to populate the fields with your contact information provided during
CDX registration. A prompt will display confirming the import of CDX registration
information.
 Check here to claim this information as CBI: Check the ‘Check here to claim this
information as CBI’ checkbox to claim the contact information as confidential. If the ‘CBI’
checkbox is checked before clicking the ‘Copy CDX Registration’ button, the ‘CBI’
checkbox becomes unchecked upon navigating back to the screen after copying CDX
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registration information. Check the ‘CBI’ checkbox after importing CDX registration
information to claim a contact as confidential.
 First Name: Enter the contact’s first name. Click the ‘Copy CDX Registration’ button to
populate the fields with information entered during CDX registration. This is a required field.
 Last Name: Enter the contact’s last name. Click the ‘Copy CDX Registration’ button to
populate the fields with information entered during CDX registration. This is a required field.
 Company Name: Enter the contact’s company name. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration. This is a
required field.
 Phone Number: Enter the contact’s daytime phone number; dashes are not allowed. Click
the ‘Copy CDX Registration’ button to populate the fields with information entered during
CDX registration. This is a required field.
 Phone Extension: Enter the contact’s phone number extension, if applicable.
 Email Address: Enter the contact’s email address. The email address must follow the
standard email address format: John.Doe@abc.com. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration. This is a
required field.
 Mailing Address 1: Enter the first line of the contact’s mailing address. Click the ‘Copy
CDX Registration’ button to populate the fields with information entered during CDX
registration. This is a required field.
 Mailing Address 2: Enter the second line of the contact’s mailing address. Click the ‘Copy
CDX Registration’ button to populate the fields with information entered during CDX
registration.
 City: Enter the contact’s U.S. city of the mailing address. Click the ‘Copy CDX Registration’
button to populate the fields with information entered during CDX registration. This is a
required field.
 State: Select the state of the contact’s mailing address from the drop-down menu. Click the
‘Copy CDX Registration’ button to populate the fields with information entered during CDX
registration. This is a required field.
 Postal Code: Enter the postal code of the contact’s mailing address. Click the ‘Copy CDX
Registration’ button to populate the fields with information entered during CDX registration.
This is a required field.
 Country: Displays ‘United States.’

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Exhibit 9-2 shows a screen capture of the ‘Add Contact’ pop-up window:
Exhibit 9-2 Add Contact Pop-Up Window (ACM)

Navigation: Click the ‘Cancel’ button or the ‘X’ icon to stop populating contact information.
Click the ‘OK’ button to save the entered contact information and navigate back to the ‘Contact
Information’ screen.
9.1.2

Attachments

You can access the ‘Attachments’ screen by clicking the ‘Next’ button from the ‘Contact
Information’ screen. You can also access this screen by clicking the ‘Attachments’ link within
the navigation tree.
The ‘Attachments’ screen provides an ‘Attach Document’ button for you to upload
documentation that fulfills the specified requirements, and a text field to provide the 40 CFR 721
citation to which the documentation refers.

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 Attach Document: Click the ‘Attach Document’ button to attach documents that fulfill the
outlined requirements in the instructional text. At least one document is required. Refer to
Section 3.6 for additional information regarding the attach document functionality.
 File Name: Displays the file name and file extension of a document.
 Description: Displays the description of a document.
 Pages: Displays the number of pages a document contains.
 Date: Displays the date that a document was uploaded on the ‘Attach Documents’ pop-up
window.
 CBI: Indicates the CBI status of a document by displaying either a ‘Y’ or an ‘N.’
 Action: Click the ‘Delete’ icon ( ) to remove the attached document row. A warning
message displays to confirm deletion of the document.
 ACM Citation at 40 CFR 721: Enter the ACM citation reference that the uploaded
documents support. This field allows up to seven (7) numeric characters; letters or other
characters are not allowed. This is a required field.

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Exhibit 9-3 shows a screen capture of the ‘Attachments’ screen:
Exhibit 9-3 Attachments Screen (ACM)

Navigation: Click the ‘Next’ button to navigate to the ‘Submitting Official Information’ screen.
9.1.3

Submitting Official Information

You can navigate to the ‘Submitting Official Information’ screen by clicking the ‘Next’ button
from the ‘Attachments’ screen. You can also access this screen by clicking the ‘Submitting
Official Information’ link within the navigation tree.

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Exhibit 9-4 shows a screen capture of the ‘Submitting Official Information’ screen:
Exhibit 9-4 Submitting Official Information Screen (ACM)

Navigation: Click the ‘Next’ button to proceed to the ‘Instructions for Substantiating CBI
Claims’ screen if any claims of confidentiality were made in the form. If no CBI claims were
made, click the ‘Submit’ button to begin the submission process. Click the ‘Validate’ icon ( )
in the bottom action bar to validate the form. Click the ‘Save’ icon ( ) in the bottom action bar
to save the overall form. Click the ‘Preview’ icon ( ) to generate a PDF preview of the form.
Refer to Section 12 for further information on the ‘Submitting Official Information’ screen.
Refer to Section 13 for more information on CBI substantiation.

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10

Preview

The system provides the option to preview a form at any point during the submission process.
Click the ‘Preview’ icon ( ), located within the bottom action bar, to see a PDF version of the
form. A screen will display for you to view either the ‘Full’ or the ‘Sanitized’ version of the PDF
differentiated by buttons. After you choose either the ‘Full’ or ‘Sanitized’ PDF, the application
generates a draft, watermarked PDF version of the form.
The watermark reads ‘Not for Submission’ and displays across each page in the background. The
form preview displays the entire form in a printable format. The preview functionality provides
the flexibility to track the status of the form and see the entire form in a single viewpoint.
Exhibit 10-1 shows a screen capture of the ‘Preview EPMN Form’ screen:
Exhibit 10-1 Preview EPMN Form Screen (ACM)

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Exhibit 10-2 shows a screen capture for the ‘Preview’ of the Biotechnology form:
Exhibit 10-2 Preview Biotechnology Form PDF

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Exhibit 10-3 shows a screen capture for the ‘Preview’ of the NOC form:
Exhibit 10-3 Preview NOC Form PDF

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Exhibit 10-4 shows a screen capture for the ‘Preview’ of the Support form:
Exhibit 10-4 Preview Support Form PDF

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11

Validate

You can click the ‘Validate’ icon ( ) at any stage of completing a Section 5 Notices and
Supports form. The ‘Section 5 Notices and Supports Validation’ pop-up window displays when
you click the ‘Validate’ icon ( ). Disable the pop-up blocker within your internet browser so
that the ‘Section 5 Notices and Supports Validation’ pop-up window displays correctly. The
‘Section 5 Notices and Supports Validation’ pop-up window displays a report of all validation
errors and warning messages. During the validation process, the application validates each screen
of the Section 5 Notices and Supports form to find missing and invalid data.
Validation Errors: Errors are denoted by an ‘Error’ icon ( ) and can be fixed by clicking the
error link. The links will display the Screen Title Name (e.g., Chemical Identification) and the
associated error. After you click a link, the main application screen will display the section
where the error occurred so you can easily fix the error. Once you have fixed the error(s), click
the ‘Validate’ icon ( ) again to refresh the ‘Section 5 Notices and Supports Validation’ pop-up
window. If the information you fixed passes validation, the error will be removed from the
‘Section 5 Notices and Supports Validation’ pop-up window. You must fix all validation errors
to submit the form to CDX successfully.
Warning Messages: Warnings are denoted by a ‘Warning’ icon ( ) and can be fixed by
clicking the warning link. The links will display the Screen Title and the associated warning.
After you click a link, the main application screen will display the section where the warning
occurred so you can easily fix the warning. Once you have fixed the warning(s), click the
‘Validate’ icon ( ) again to refresh the ‘Section 5 Notices and Supports Validation’ pop-up
window. If the information you fixed passes validation, the warning will be removed from the
‘Section 5 Notices and Supports Validation’ pop-up window. You can pass validation and
continue to submit a form to CDX with active warning messages.
You can close the ‘Section 5 Notices and Supports Validation’ pop-up window by clicking the
‘X’ button located at the upper right-hand corner of the window.

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Exhibit 11-1 shows a screen capture for the ‘Section 5 Notices and Supports Validation’ pop-up
window (Scroll 1):
Exhibit 11-1 Section 5 Notices and Supports Validation Pop-Up Window (Scroll 1)

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Exhibit 11-2 shows a screen capture for the ‘Section 5 Notices and Supports Validation’ pop-up
window (Scroll 2):
Exhibit 11-2 Section 5 Notices and Supports Validation Pop-Up Window (Scroll 2)

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12

Submitting Official Information

On the ‘Submitting Official Information’ page, the system requires you to review your contact
information provided during CDX registration. If you do not identify your job title, ‘Not
Applicable’ fills the value by default.
The following statement which displays to the Primary AO must be confirmed before the system
will allow you to move forward: “Please confirm that you are the legally responsible party from
the submitting company.” If you check this checkbox associated with the statement, the
application navigates to the ‘CBI Substantiation’ screen if there are CBI claims made within a
form, the appropriate certification screen, or the ‘Cross-Media Electronic Reporting Regulation
(CROMERR)’ screen. If you do not check the checkbox associated with this statement, the
application will remain on the same screen with a warning box at the top stating. “Legal
verification is required to proceed with the submission process.”
 CBI: Check the ‘CBI’ checkbox to claim the submitting official’s information as
confidential.
 Please confirm that you are the legally responsible party from the submitting company:
Check the checkbox to confirm that the individual submitting the form has permission to do
so.
 First Name: Displays the first name of the submitting official, which has been pre-populated
from CDX registration information.
 Middle Initial: Displays the middle initial of the submitting official, which has been prepopulated from CDX registration information.
 Last Name: Displays the last name of the submitting official, which has been pre-populated
from CDX registration information.
 Job Title: Displays ‘Not Applicable.’
 Company Name: Displays the company name of the submitting official, which has been
pre-populated from CDX registration information.
 Phone Number: Displays the phone number of the submitting official, which has been prepopulated from CDX registration information.
 Email Address: Displays the email address of the submitting official, which has been prepopulated from CDX registration information.
 Mailing Address 1: Displays the first line of the mailing address from CDX registration
information.
 Mailing Address 2: Displays the second line of the submitting official’s mailing address,
which has been pre-populated from CDX registration information.
 City: Displays the city of the submitting official’s mailing address, which has been prepopulated from CDX registration information.
 State: Displays the state of the submitting official’s mailing address, which has been prepopulated from CDX registration information.
 Postal Code: Displays the postal code of the submitting official’s mailing address, which has
been pre-populated from CDX registration information.
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 Country: Displays the country of the submitting official’s mailing address, which has been
pre-populated from CDX registration information.
Exhibit 12-1 shows a screen capture of the ‘Submitting Official Information’ (PMN) screen:
Exhibit 12-1 Submitting Official Information Screen (PMN)

Navigation: Click the ‘Submit’ button to initiate the submission process. Click the ‘Next’ button
to proceed to the CBI Substantiation process if a CBI claim was made within the form. Refer to
Section 14 for information on the submission process. Refer to Section 13 for more information
on CBI substantiation.

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13

CBI Substantiation

EPA modified the electronic reporting applications for TSCA submissions to accept CBI
substantiations for CBI claims made during the creation of electronic submissions. Other than
information exempt from substantiation under TSCA Section 14(c)(2), users who wish to assert
CBI claims for data within a submission must substantiate those claims at the time of submission
as required by TSCA Section 14(c)(3).
13.1

Instructions for Substantiating Confidential Business Information (CBI) Claims

You can access the ‘Instructions for Substantiating Confidential Business Information (CBI)
Claims’ screen by claiming information as CBI within a form and clicking the ‘Instructions for
Substantiating CBI Claims’ link within the navigation tree under the ‘CBI Substantiation’ folder.
The ‘CBI Substantiation’ folder and the ‘Instructions for Substantiating Confidential Business
Information (CBI) Claims’ screen will not generate until a CBI claim is made within a
submission. Information claimed CBI must either be substantiated or claimed exempt pursuant to
TSCA Section 14(c)(2) at the time of submission.
To substantiate a CBI claim, upload documentation asserting your claim(s). You may also optout of substantiation if, for example, you believe your CBI claim is exempt under TSCA Section
14(c)(2). Common exemption reasons can be found at https://www.epa.gov/tsca-cbi/whatinformation-include-cbi-substantiations. To opt-out of substantiation at the time of submission,
all CBI claims within a submission must be exempt.


Substantiation Opt-Out: Certain data claimed CBI may be exempt from substantiation at
the time of submission. If all information contained within the submission was previously
substantiated or you believe it to be exempt pursuant to TSCA Section 14(c)(2), check the
‘Substantiation Opt-Out’ checkbox to generate the ‘Substantiation Opt-Out Reason’ text
box and hide the ‘File Upload’ button. If a substantiation document is uploaded, checking
the ‘Substantiation Opt-Out’ checkbox clears the uploaded attachments. Either a
substantiation opt-out reason or CBI substantiation document must be provided if a CBI
claim is made in a submission.



Substantiation Opt-Out Reason: Enter information explaining why you believe your CBI
claim(s) to be exempt from substantiation. Either a substantiation opt-out reason within the
text box or CBI substantiation document must be provided if a CBI claim is made in a
submission.



File Upload: Click the ‘File Upload’ button to search your local machine and upload a file
that contains your CBI substantiation. To overwrite an uploaded file, click the ‘File
Upload’ button again to search for and upload a new file. If the ‘Substantiation Opt-Out’
checkbox is checked after you upload a file, the application will delete the uploaded file.
Either a substantiation opt-out reason or CBI substantiation document must be provided if a
CBI claim is made in a submission.



Check if the Substantiation Document is CBI: If the uploaded substantiation document
contains CBI, check the ‘Check if the Substantiation Document is CBI’ checkbox to
generate the ‘Sanitized Upload’ button. A sanitized CBI substantiation document must be
provided if the original substantiation document is claimed CBI.

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

Sanitized Upload: Click the ‘Sanitized Upload’ button to search your local machine and
upload a file that contains your sanitized CBI substantiation. To overwrite an uploaded file,
click the ‘Sanitized Upload’ button again to search for and upload a new file. If the
‘Substantiation Opt-Out’ checkbox is checked after you upload a file, the application will
delete the uploaded sanitized file. A substantiation attachment must be provided if the
original substantiation document is claimed CBI.

If you are unfamiliar with substantiating CBI claims or require assistance preparing
substantiation documents, EPA offers a link to templates and other information for substantiating
CBI claims on the ‘Instructions for Substantiating Confidential Business Information (CBI)
Claims’ screen. It is suggested that you right-click the link and open in a new tab or new window
so you do not leave your submission as this may affect your saved data.

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Exhibit 13-1 shows a screen capture of the ‘Instructions for Substantiating CBI Claims’ screen
(Scroll 1):
Exhibit 13-1 Instructions for Substantiating Confidential Business Information (CBI) Claims
Screen (PMN) (Scroll 1)

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Exhibit 13-2 shows a screen capture of the ‘Instructions for Substantiating CBI Claims’ screen
(Scroll 2) (Substantiation Upload Example):
Exhibit 13-2 Instructions for Substantiating Confidential Business Information (CBI) Claims
Screen (PMN) (Scroll 2) (Substantiation Upload Example)

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Exhibit 13-3 shows a screen capture of the ‘Instructions for Substantiating CBI Claims’ screen
(Scroll 3) (Sanitized Substantiation Upload Example):
Exhibit 13-3 Instructions for Substantiating Confidential Business Information (CBI) Claims
Screen (PMN) (Scroll 3) (Sanitized Substantiation Upload Example)

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Exhibit 13-4 shows a screen capture of the ‘Instructions for Substantiating CBI Claims’ screen
(Scroll 4) (Substantiation Opt-Out Example):
Exhibit 13-4 Instructions for Substantiating Confidential Business Information (CBI) Claims
Screen (PMN) (Scroll 4) (Substantiation Opt-Out Example)

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14

Submit to EPA via CDX

As a Primary AO, you have the ability to sign and submit a Section 5 Notices and Supports form
to EPA via CDX. You can save your form at any point during the data entry process. Any
assigned Supports for your form cannot submit the Section 5 Notices and Supports form. The
save functionality will allow you to return to that same form at any point in the future.
Once you complete all required information and correct all items failing validation, the system
will allow the Section 5 Notices and Supports form to be successfully submitted.
14.1

LVE Certification

Click the ‘Submit’ icon ( ) located in the bottom action bar to access the ‘LVE Certification’
screen. This screen displays when ‘LVE’ or ‘LVE Modification’ is selected from the ‘Type of
Notice’ drop-down menu on the ‘General Form Information’ screen for a PMN form. If the
notice type is not ‘LVE’ or ‘LVE Modification,’ click the ‘Next’ button to navigate to the
‘Submission Process: Validation’ screen or a different certification screen.
Exhibit 14-1 shows a screen capture of the ‘LVE Certification’ screen:
Exhibit 14-1 LVE Certification Screen

Navigation: Click the ‘I Certify’ button to continue with submitting the form and navigate to the
‘Submission Process: Validation’ screen. Click the ‘Cancel’ button to stop the submission
process.
14.2

LOREX Certification

Click the ‘Submit’ icon ( ) located in the bottom action bar to access the ‘LOREX
Certification’ screen. This screen displays when ‘LOREX’ or ‘LOREX Modification’ is selected
from the ‘Type of Notice’ drop-down menu on the ‘General Form Information’ screen for a
PMN form.
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Exhibit 14-2 shows a screen capture of the ‘LOREX Certification’ screen:
Exhibit 14-2 LOREX Certification Screen

Navigation: Click the ‘I Certify’ button to continue with submitting the form and proceed to the
‘Submission Process: Validation’ screen.
14.3

Biotech Certification

Click the ‘Submit’ icon ( ) located in the bottom action bar to access the ‘Biotech
Certification’ screen. This screen displays when ‘Biotechnology’ is selected from the ‘Form
Type’ drop-down menu on the ‘Section 5 Notices and Supports’ page.

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Exhibit 14-3 shows a screen capture of the ‘Biotech Certification’ screen:
Exhibit 14-3 Biotech Certification Screen

Navigation: Click the ‘I Certify’ button to continue with submitting the form and proceed to the
‘Submission Process: Validation’ screen.
14.4

Submission Process: Validation

Click the ‘Submit’ icon ( ) that is located in the bottom action bar of the Section 5 Notices and
Supports form to begin the submission process and access the ‘Submission Process: Validation’
screen. You can also navigate to the validation step upon certifying applicable PMN forms by
clicking the ‘I Certify’ button.
The first step in the submission process will validate the information entered within the Section 5
Notices and Supports form. After a form is validated, the system generates a PDF.

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Exhibit 14-4 shows a screen capture of the ‘Submission Process: Validation’ screen:
Exhibit 14-4 Submission Process: Validation Screen

Navigation: The ‘Make A Payment’ page automatically displays for PMN forms with a ‘PMN,’
‘SNUN,’ ‘LoREX,’ ‘LVE,’ or ‘TMEA’ subtype. The ‘Make A Payment’ page automatically
displays for Biotechnology forms with a ‘MCAN,’ ‘TME,’ ‘Tier II Exemption,’ or ‘TERA’
subtype. The ‘Submission Process: PDF Generation’ page displays for all other form
type/subtype combinations.
14.5

Submission Process: Make a Payment

After the application successfully validates a form, the ‘Make a Payment’ page displays for PMN
forms with a ‘PMN,’ ‘SNUN,’ ‘LoREX,’ ‘LVE,’ ‘LoREX Modification,’ ‘LVE Modification,’
or ‘TMEA’ subtype, or for Biotech forms with a ‘MCAN,’ ‘TME,’ ‘Tier II Exemption,’ or
‘TERA’ subtype. If (a) secondary submitter(s) is/are identified, the ‘Payment Amount’ field is
editable and the primary user can adjust the amount that he/she is responsible for, with the
remaining balance being the responsibility of the joint submitter(s).
A primary user also has the option to continue without making a payment, in which case the
secondary submitter(s) is/are responsible for the full payment amount.
 Total Due: This is a display-only field that reflects the total amount due for a primary and
joint submitter(s) (if applicable).
 Payment Amount: If a joint submitter is not identified, this is a non-editable field. If (a)
joint submitter(s) is/are identified, the value in this field can be modified. Enter an amount
greater than zero (0) and less than or equal to the total displayed amount.

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 Proceed without paying: Check the ‘Proceed without paying’ checkbox to hide the ‘Total
Due’ and ‘Payment Amount’ fields and enable the ‘Continue’ button without paying any of
the fee.
 Make a Payment: Click the ‘Make a Payment’ button to generate the ‘CSPP Payment
Processor’ window with a payment amount equal to what is entered in the ‘Payment
Amount’ field.
 Cancel: Click the ‘Cancel’ button to stop the payment process and exit the submission
process.
 Continue: Click the ‘Continue’ button to proceed with the submission process without
making a payment.
Exhibit 14-5 shows a screen capture of the ‘Make a Payment’ screen:
Exhibit 14-5 Make a Payment Screen

Navigation: Click the ‘Make a Payment’ button to generate the ‘CSPP Payment Processor’
window and pay the fee. Check the ‘Proceed without paying’ checkbox to enable the ‘Continue’
button to proceed with no payment and navigate to the ‘Submission Process: PDF Generation’
screen. Click the ‘Cancel’ button to stop the submission process.

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14.6

CSPP Payment Processor

The ‘CSPP Payment Processor’ window provides functionality for you to remit your fee via
debit/credit card or Automatic Clearing House (ACH) payment.
 Credit/Debit Card: Select the radio button to display the credit/debit card fields. This option
is only available for payment amounts less than or equal to $24,999.99.
 Payment Amount: Displays the fee amount the user will be paying.
 Card Number: Enter the credit/debit card number. This is a required field.
 Expiration Date: Select the month and date of the expiration date of the credit/debit card.
This is a required field.
 Security Code: Enter the security code/CCV of the credit/debit card. This is a required field.
 First Name: Enter the first name of the cardholder. This is a required field.
 Last Name: Enter the last name of the cardholder. This is a required field.
 Billing Address 1: Enter line 1 of the billing address. This is a required field.
 Billing Address 2: Enter line 2 of the billing address, if applicable.
 City: Enter the city of the billing address. This is a required field.
 State: Select the state of the billing address from the drop-down menu. This is a required
field.
 Zip: Enter the zip code of the billing address. This is a required field.
 ACH Payment: Select the radio button to display the ACH fields.
 Account Type: Select ‘Business Checking,’ ‘Business Savings,’ ‘Personal Checking,’ or
‘Personal Savings’ to indicate the account type that will be used to remit the fee. This is a
required field.
 Check Number: Enter the check number.
 Use a Company Name: Check the check box to generate a ‘Company Name’ field and pay
on behalf of the reporting company’s name.
 Company Name: Enter the name of the company that is submitting the payment. This is a
required field.
 Routing Number: Enter the routing number of the bank account. This is a required field.
 Account Number: Enter the account number of the bank account. This is a required field.
 Confirm Account Number: Re-enter the account number of the bank account. This is a
required field.
 Submit Payment: Click the button to submit the payment credentials.

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Exhibit 14-6 shows a screen capture of the ‘CSPP Payment Processor’ window (Credit/Debit
Card):
Exhibit 14-6 CSPP Payment Processor (Credit/Debit Card)

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Exhibit 14-7 shows a screen capture of the ‘CSPP Payment Processor’ window (ACH Payment):
Exhibit 14-7 CSPP Payment Processor (ACH Payment)

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Exhibit 14-8 shows a screen capture of the payment successful message:
Exhibit 14-8 Successful Payment

Navigation: Click the ‘Submit Payment’ button to submit the payment. The application displays
a payment successful message and sends a payment receipt to the submitter. Click the ‘OK’
button on the payment successful message to return to the ‘Make A Payment’ screen.
14.7

Make a Payment

The ‘Make a Payment’ screen displays after a user has made a payment, or during the
amendment process if a payment does not need to be made. If a user has made a payment, a
payment receipt is emailed and sent to the submitter’s CDX inbox. If the submission is pending a
secondary form, email(s) will be sent to the identified Joint/LOS submitter(s) reminding the
secondary submitters of the payment responsibility once the submission process is completed.

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Exhibit 14-9 shows a screen capture of the ‘Payment Receipt’ email:
Exhibit 14-9 Payment Receipt Email

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Exhibit 14-10 shows a screen capture of the joint fee notification email:
Exhibit 14-10 Joint Fee Notification Email

Exhibit 14-11 shows a screen capture of the ‘Make a Payment’ screen (Original after Paying):
Exhibit 14-11 Make a Payment Screen (Original after Paying)

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Exhibit 14-12 shows a screen capture of the ‘Make a Payment’ screen (Amendment):
Exhibit 14-12 Make a Payment Screen (Amendment)

Navigation: Click the ‘Continue’ button to navigate to the ‘Submission Process: PDF
Generation’ screen.
14.8

Cross-Media Electronic Reporting Regulation (CROMERR) Certification

The application generates the PDF after successfully validating a form or making a payment.

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Exhibit 14-13 shows a screen capture of the ‘Submission Process: PDF Generation’ screen:
Exhibit 14-13 Submission Process: PDF Generation Screen

Navigation: Click the ‘Continue’ button to navigate to the ‘Cross-Media Electronic Reporting
Regulation (CROMERR) Certification’ screen.
14.9

Cross-Media Electronic Reporting Regulation (CROMERR) Certification

Click the ‘Continue’ button on the ‘Submission Process: PDF Generation’ screen to access the
‘Cross-Media Electronic Reporting Regulation (CROMERR) Certification’ screen.
CROMERR provides the legal framework for electronic reporting under all of EPA’s
environmental regulations.
After clicking the ‘Continue’ button, the system requires you to certify that the form is
CROMERR compliant. By clicking the ‘I Certify’ button on the ‘Cross-Media Electronic
Reporting Regulation (CROMERR) Certification’ screen, you authenticate all of the information
entered in the form. Click the ‘Cancel’ button to navigate back to the Section 5 Notices and
Supports application.

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Exhibit 14-14 shows a screen capture for the ‘Cross-Media Electronic Reporting Regulation
(CROMERR) Certification’ screen:
Exhibit 14-14 Cross-Media Electronic Reporting Regulation (CROMERR) Certification Screen

Navigation: Click the ‘I Certify’ button to continue with submitting the form and proceed to the
‘CROMERR Login’ screen.
14.10 Cross-Media Electronic Reporting Regulation (CROMERR) Login
You can access the ‘Cross-Media Electronic Reporting Regulation (CROMERR) Login’ screen
by clicking the ‘I Certify’ button on the ‘Cross-Media Electronic Reporting Regulation
(CROMERR) Certification’ screen.
To proceed with the submission, log into CDX using the credentials you provided during CDX
registration:
 Please login with your CDX password: Enter your CDX registration password.

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Exhibit 14-15 shows a screen capture of the ‘Cross-Media Electronic Reporting Regulation
(CROMERR) Login’ screen:
Exhibit 14-15 Cross-Media Electronic Reporting Regulation (CROMERR) Login Screen

Navigation: Enter your CDX registration password and click the ‘Next’ button to navigate to the
‘CROMERR Security Question’ screen.
14.11 Cross-Media Electronic Reporting Regulation (CROMERR) Security Question
You can access the ‘Cross-Media Electronic Reporting Regulation (CROMERR) Security
Question’ screen by entering your CDX registration password on the ‘Cross-Media Electronic
Reporting Regulation (CROMERR) Login’ screen and clicking the ‘Next’ button.
The ‘Cross-Media Electronic Reporting Regulation (CROMERR) Security Question’ screen
randomly selects and displays one of the five CROMERR eSIG-PIN questions you answered on
the ‘20-5-1 Question’ screen during the initial login to CDX.
eSIG-PIN Authorization Code: Provide one of the five secret answers to the questions that
were pulled from the list of 20 CDX security questions.

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Exhibit 14-16 shows a screen capture of the ‘Cross-Media Electronic Reporting Regulation
(CROMERR) Security Question’ screen:
Exhibit 14-16 Cross-Media Electronic Reporting Regulation (CROMERR) Security Question Screen

Navigation: Answer the security question and click the ‘Next’ button to navigate to the ‘Submit
to CDX’ screen.
14.12 Submit to CDX
You can access the ‘Submit to CDX’ screen after answering the 20-5-1 security question on the
‘Cross-Media Electronic Reporting Regulation (CROMERR) Security Question’ screen and
clicking the ‘Next’ button.
On the ‘Submit to CDX’ screen, you will see a certification message. Read the message and
acknowledge by clicking the ‘Confirm’ button. Once you have clicked the ‘Confirm’ button,
your form will be submitted to CDX.
This screen is only applicable to the original forms (PMN, NOC, Biotechnology, Bona Fide, and
ACM). This screen will display during the submission process for joint submissions and Letters
of Support. This screen is not applicable to Support forms and amendments to original
submissions (with the exception of Biotechnology amendments).

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Exhibit 14-17 shows a screen capture of the ‘Submit to CDX’ screen:
Exhibit 14-17 Submit to CDX Screen

Navigation: Click the ‘Confirm’ button to navigate to the ‘Cross-Media Electronic Reporting
Regulation (CROMERR) Submission’ screen.
14.13 Cross-Media Electronic Reporting Regulation (CROMERR) Submission
You can access the ‘Cross-Media Electronic Reporting Regulation (CROMERR) Submission’
screen by acknowledging the certification to submit to CDX by clicking the ‘Confirm’ button on
the ‘Submit to CDX’ screen.
On the ‘Cross-Media Electronic Reporting Regulation (CROMERR) Submission’ screen, you
will see a message indicating the form has been successfully submitted to CDX.

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Exhibit 14-18 shows a screen capture of the ‘Cross-Media Electronic Reporting Regulation
(CROMERR) Submission’ screen:
Exhibit 14-18 Cross-Media Electronic Reporting Regulation (CROMERR) Submission Screen

Navigation: Click the ‘Finish’ button to navigate back to the Section 5 Notices and Supports
‘Home’ screen. Click the ‘Forms’ link or tab to find your locked submission. The ‘Section 5
Notices and Supports Forms’ screen will display the submission with a ‘Lock’ icon ( ) under
the ‘Action’ column and will display a status of ‘Submitted.’

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15

Download Copy of Record

To download a Copy of Record, navigate to the ‘Section 5 Notices and Supports Forms’ screen
and locate a form alias for which you have successfully completed a submission and which has a
status of ‘Submitted.’
Click the ‘Copy of Record’ icon ( ) from the ‘Section 5 Notices and Supports Forms’ screen to
navigate to the ‘Enter Passphrase’ screen to login into CDX. The ‘Enter Passphrase’ screen
requires you to enter the passphrase originally associated with the form. If your passphrase is
entered correctly, you will access the ‘Cross-Media Electronic Reporting Regulation
(CROMERR) Login’ screen where you are required to enter the credentials you provided during
CDX registration. Once you have provided the correct CDX password, click the ‘Next’ button to
navigate to the ‘Cross-Media Electronic Reporting Regulation (CROMERR) Security Question’
screen. The ‘Cross-Media Electronic Reporting Regulation (CROMERR) Security Question’
screen randomly selects and displays one of the five CROMERR eSIG-PIN questions that you
answered on the 20-5-1 Question screen during CDX registration. Answer the CROMERR
security question and click the ‘OK’ button. If your answer was successful, you will be taken to
the ‘Download Copy of Record’ screen.

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Exhibit 15-1 shows a screen capture of the ‘Download Copy of Record’ screen:
Exhibit 15-1 Download Copy of Record Screen

The ‘Download Copy of Record’ screen displays the ‘File Name’ and ‘Action’ columns in a
table format. Click the ‘Copy of Record’ icon ( ) to download the individual files uploaded
during the submission process, a PDF version of the submission, and the XML version of the
Section 5 Notices and Supports form. When you click the ‘Copy of Record’ icon ( ), the system
will allow you to view or download the individual files that were uploaded during the submission
process.

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After you click the ‘Copy of Record’ icon ( ), enter the passphrase associated with the case
number, and click the ‘Next’ button. If the passphrase was correctly entered, the application will
take you to the ‘CROMERR Login’ screen to enter the CDX password. If your login was
successful, you will access the ‘CROMERR Security Question’ screen. The ‘CROMERR
Security Question’ screen randomly selects and displays one of the five CROMERR eSIG-PIN
questions that you answered on the 20-5-1 Question screen during the initial login to CDX.
Answer the CROMERR security question and click the ‘OK’ button. If your answer was
successful, you will navigate to the ‘Download Copy of Record’ screen.
The ‘Fee Payment’ table displays ‘Payment Amount,’ ‘Payment Date,’ ‘Status,’ ‘Transaction
ID,’ and ‘Tracking Number’ columns.
 Payment Amount: Displays the amount that a user paid for the PMN/Biotech fee.
 Payment Date: Displays the date that a payment is made.
 Status: Displays the status of the payment; can display a status of ‘Paid.’
 Transaction ID: Displays the transaction ID of the payment that was made.
 Tracking Number: Displays the tracking number of the payment.
The ‘Invoice Payment Documents’ table displays ‘Payment Communication Type,’ ‘File Name,’
‘File Status,’ ‘Download,’ ‘Payment Amount,’ ‘Due Date,’ ‘Payment Status,’ ‘Payment
Received Date,’ and ‘Make a Payment’ columns.
 Payment Communication Type: Displays ‘Invoice’ or ‘Cancelled Invoice.’
 File Name: Displays the file name of the fee invoice PDF.
 File Status: Displays an icon that indicates the status of the invoice; a closed envelope icon
displays with a status of ‘New Document’ when a user initially accesses the ‘Download Copy
of Record’ page.
 Download: Displays a green arrow for a user to download the invoice PDF.
 Payment Amount: Displays the amount of the invoice.
 Due Date: Displays the invoice due date.
 Payment Status: Displays the status of the payment; i.e. ‘Unpaid,’ ‘Payment Received,’ or
‘Invoice Cancelled.’ If the invoice has been cancelled by EPA personnel, the status displays
‘Invoice Cancelled.’
 Payment Received Date: Displays the date of payment, if the invoice has been paid.
 Make a Payment: Displays a ‘Pay Your Invoice Now’ button; click the ‘Pay Your Invoice
Now’ button to generate the ‘CSPP Payment Processor’ window to remit a payment to the
invoice. The ‘Pay Your Invoice Now’ button is not displayed if a user has paid the invoice or
the invoice was cancelled.

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Exhibit 15-2 shows a screen capture of the Invoice Communication email:
Exhibit 15-2 Invoice Communication Email

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Exhibit 15-3 shows a screen capture of the Fee Invoice:
Exhibit 15-3 Fee Invoice PDF

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Exhibit 15-4 shows a screen capture of the CSPP Payment Processor (Credit/Debit Card):
Exhibit 15-4 CSPP Payment Processor (Credit/Debit Card)

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Exhibit 15-5 shows a screen capture of the CSPP Payment Processor (ACH Payment):
Exhibit 15-5 CSPP Payment Processor (ACH Payment)

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Exhibit 15-6 shows a screen capture of the ‘Download Prompt’ window (this may appear
differently depending on the browser used):
Exhibit 15-6 Download Prompt Window

If you click the ‘Copy of Record’ icon (

) you will download:

 A PDF version of the Section 5 Notices and Supports form
 An XML version of the Section 5 Notices and Supports form
 The documents attached to a Section 5 Notices and Supports form

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16

EPA Communications

EPA may send electronic communications related to specific CDX submissions. In the event
EPA sends an electronic communication, the original submitter will receive a notification to both
their registered email address and inbox within CDX. The notification will inform the user that
there is a new, submission-specific communication available from EPA.
Exhibit 16-1 shows a screen capture of a sample Notice of Deficiency (Email Notification) from
CDX:
Exhibit 16-1 New EPA Communication Email Notification

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Exhibit 16-2 shows a screen capture of a sample CDX Inbox Notification:
Exhibit 16-2 New EPA Communication CDX Inbox Notification

Users can access EPA communications by logging into CDX and navigating to the CSPP
application to which a communication applies. Within the Section 5 Notices and Supports
application, users should navigate to the ‘Section 5 Notices and Supports Forms’ screen, to
access EPA communications. A ‘Closed Envelope’ icon ( ) appears under the ‘Action’ column
for a submission that contains a new EPA communication, and an ‘Open Envelope’ icon ( )
displays for a submission that contains a previously downloaded EPA communication. To access
a communication, click either the ‘Closed Envelope,’ ‘Open Envelope,’ or ‘Copy of Record’
icon. To ensure EPA communications are not improperly viewed, access to EPA
communications is restricted to users who may access the copy of record for a submission.
Additionally, EPA captures and stores CDX user and timestamp data each time an EPA
communication is accessed.

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Exhibit 16-3 shows a screen capture of the ‘Section 5 Notices and Supports Forms’ screen:
Exhibit 16-3 Section 5 Notices and Supports Forms Screen

Navigation: Click the ‘Closed Envelope,’ ‘Open Envelope,’ or ‘Copy of Record’ icon to
navigate to the ‘Enter Passphrase’ screen.

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Exhibit 16-4 shows a screen capture of the ‘Enter Passphrase’ screen:
Exhibit 16-4 Enter Passphrase Screen

Navigation: Enter the passphrase associated to this submission and click the ‘Next’ button to
navigate to the ‘Cross-Media Electronic Reporting Regulation (CROMERR) Login’ screen.

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Exhibit 16-5 shows a screen capture of the ‘CROMERR Login’ screen:
Exhibit 16-5 Cross-Media Electronic Reporting Regulation (CROMERR) Login Screen

Navigation: Enter your CDXweb password and click the ‘OK’ button to navigate to the
‘CROMERR Security Question’ screen.

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Exhibit 16-6 shows a screen capture of the ‘CROMERR Security Question’ screen:
Exhibit 16-6 Cross-Media Electronic Reporting Regulation (CROMERR) Security Question Screen

Navigation: The ‘Cross-Media Electronic Reporting Regulation (CROMERR) Security
Question’ screen randomly selects and displays one of the five CROMERR eSIG-PIN questions
that you answered on the 20-5-1 question screen during CDX registration. Answer the
CROMERR security question and click the ‘OK’ button to navigate to the ‘Download Copy of
Record’ screen.
The ‘Download Communication Documents’ table is located at the bottom of the ‘Download
Copy of Record’ screen and displays EPA communications associated with all versions of the
selected submission. The ‘Download Communication Documents’ table includes the following
columns of information:
 Communication Type: Displays the type of EPA communication.
 File Name: Displays the file name of the EPA communication.
 File Size: Displays the file size of the EPA communication.

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 Status: Displays the status of the EPA communication. The ‘Closed Envelope’ icon ( )
indicates an un-accessed EPA communication, and the ‘Open Envelope’ icon ( ) indicates
an accessed EPA communication.
 Download: Click the ‘Download’ icon ( ) to download an EPA communication. The
communication file downloads as a PDF.
Exhibit 16-7 shows a screen capture of the ‘Download Copy of Record’ screen:
Exhibit 16-7 Download Copy of Record Screen

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Navigation: Click the ‘Download’ icon ( ) under the ‘Download Communication Documents’
table to download an EPA communication file. Click the ‘Home’ button to return to the Section
5 Notices and Supports ‘Home’ screen.
16.1

Invoice Communications

EPA may send an invoice communication related to a specific CDX submission. In the event
EPA sends an electronic communication, the original submitter will receive a notification to both
their registered email address and inbox within CDX. The notification will inform the user that
there is a new, submission-specific invoice communication sent from EPA.
Exhibit 16-8 shows a screen capture of the email for EPMN Invoices:
Exhibit 16-8 Invoice Communication Email

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Exhibit 16-9 shows a screen capture of the CDX Inbox text for EPMN Invoices:
Exhibit 16-9 CDX Inbox Invoice Communication

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17

Create An Amendment

To amend a submitted Section 5 Notices and Supports form, navigate to the ‘Section 5 Notices
and Supports Forms’ screen and locate a submission that you previously submitted with a status
of ‘Submitted.’ In addition to displaying a status of ‘Submitted’ under the ‘Status’ column, the
‘Lock’ icon ( ) will be displayed under the ‘Action’ column. Click the ‘Lock’ icon ( ) under
the ‘Action’ column to start an amendment.

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Exhibit 17-1 shows a screen capture of the ‘Section 5 Notices and Supports Forms’ screen:
Exhibit 17-1 Section 5 Notices and Supports Forms Screen - Amendment

Navigation: After clicking the ‘Lock’ icon ( ), a prompt will display to confirm the
amendment process. If you do not want to continue with the amendment, click the ‘Cancel’
button to cancel the amendment process and return to the ‘Section 5 Notices and Supports
Forms’ screen. Click the ‘OK’ button to close the prompt and continue with the amendment.

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Exhibit 17-2 shows a screen capture of the ‘Unlock Prompt’ message:
Exhibit 17-2 Unlock Prompt Message

After you click the ‘OK’ button, you will be taken to the ‘Enter Passphrase’ screen. You must
enter the passphrase originally associated with the submission to start the amendment process.
After you enter the passphrase and click the ‘Next’ button, you will be taken to the first screen in
the specific Section 5 Notices and Supports form. Refer to Section 3.7 for further instructions on
the ‘Enter Passphrase’ screen.
After a submission has been unlocked, the ‘Section 5 Notices and Supports Forms’ screen will
display a status of ‘In Progress’ under the ‘Status’ column, and the ‘Unlocked’ icon ( ) will
display under the ‘Action’ column; however, you will not see these changes until you navigate
back to the ‘Section 5 Notices and Supports Forms’ screen.
 Refer to Section 4.1.1 through Section 4.1.36 for instructions on editing a revised PMN
form.
 Refer to Section 5.1.1 through Section 5.1.12 for instructions on editing a revised
Biotechnology form.
 Refer to Section 6.1.1 through Section 6.1.9 for instructions on editing a revised NOC form.
 Refer to Section 7.1.1 through Section 7.1.3 for instructions on editing a revised Support
form.
 Refer to Section 8.1.1 through Section 8.1.17 for instructions on editing a revised Bona Fide
form.
 Refer to Section 9.1.1 through Section 9.1.3 for instructions on editing a revised ACM form.

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18

Resources

You can access the ‘Resources’ screen by clicking the ‘Resources’ tab located at the top of the
screen at any time during the submission process. You can also access the ‘Resources’ screen by
clicking the ‘Resources’ link from the Section 5 Notices and Supports ‘Home’ screen. The
‘Resources’ screen provides you with links to the appropriate Section 5 Notices and Supports
user guides as well as additional helpful links. Click the ‘User Guide’ link to access the Section 5
Notices and Supports user guide document.
 Regulatory Impact Analysis for the Regulation of Microbial Products of Biotechnology:
Government Costs: Click this link to generate the ‘Regulatory Impact Analysis for the
Regulation of Microbial Products of Biotechnology: Government Costs’ screen in a new
browser window.
 Microbial Products of Biotechnology: Final Rule (62 FR 17910): Click this link to
generate the ‘Microbial Products of Biotechnology: Final Rule (62 FR 17910)’ screen in a
new browser window.
 Points to Consider in the Preparation of TSCA Biotechnology Submissions for
Microorganisms: Click this link to generate the ‘Points to Consider in the Preparation of
TSCA Biotechnology Submissions for Microorganisms’ PDF in a new browser window.
 CDX Homepage: Click this link to generate the CDX Homepage in a new browser window.
 TSCA Chemical Substances Inventory: Click this link to generate the ‘TSCA Chemical
Substances Inventory’ screen in a new browser window.
 Substance Registry Services (SRS): Click this link to generate the ‘Substance Registry
Services (SRS)’ screen in a new browser window.
 Facility Registry System (FRS): Click this link to generate the ‘Facility Registry System
(FRS)’ screen in a new browser window.
 CAS Inventory Expert Services: Click this link to generate the ‘CAS Inventory Expert
Services (IES)’ screen in a new browser window.
 National Pollutant Discharge Elimination System (NPDES): Click this link to generate
the ‘National Pollutant Discharge Elimination System (NPDES)’ screen in a new browser
window.
 New Chemicals Program Homepage: Click this link to generate the ‘New Chemicals
Program’ screen in a new browser window.
 Status of Section 5 Notices: Click this link to generate the ‘Status of Section 5 Notices’
screen in a new browser window.
 Instruction Manual for Reporting Under the TSCA §5 New Chemicals Program: Click
this link to generate the ‘Instruction Manual for Reporting Under the Toxic Substances
Control Act §5 New Chemicals Program’ screen in a new browser window.
 Questions & Answers for the New Chemicals Program: Click this link to generate the
‘Questions & Answers for the New Chemicals Program under the Toxic Substances Control
Act (TSCA)’ screen in a new browser window.

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 Points to Consider When Preparing TSCA New Chemical Notification: Click this link to
generate the ‘Points to Consider When Preparing TSCA New Chemical Notification’ screen
in a new browser window.
Exhibit 18-1 shows a screen capture of the ‘Resources’ screen (Scroll 1):
Exhibit 18-1 Resources Screen (Scroll 1)

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Exhibit 18-2 shows a screen capture of the ‘Resources’ screen (Scroll 2):
Exhibit 18-2 Resources Screen (Scroll 2)

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Appendix A
The following table displays all the definitions, acronyms, and abbreviations used in this
document and their full name.
Definitions, Acronyms, and Abbreviations
Acronym

Full Name

ACH

Automated Clearing House

ACM

Alternative Control Measures

AO

Authorized Official

BCF/BAF

Bioconcentration Factors/Bioaccumulation Factors

CBI

Confidential Business Information

CA

Chemical Abstracts

CAS

Chemical Abstracts Service

CASRN

Chemical Abstracts Service Registry Number

CDX

Central Data Exchange

CFR

Code of Federal Regulations

CoR

Copy of Record

CROMERR

Cross-Media Electronic Reporting Regulation

CSPP

Chemical Safety and Pesticide Programs

CSV

Comma-Separated Values

DNA

Deoxyribonucleic Acid

EPA

Environmental Protection Agency

EST

Eastern Standard Time

ETI

Environmental Technology Initiative

FR

Federal Regulation

FRS

Facility Registry System

GPC

Gel-permeation Chromatography

ID

Identification

IE

Internet Explorer

IES

Inventory Expert Service

IH

Industrial Hygienist

IR

Infrared

KG

Kilogram

LOREX

Low Release/Low Exposure Exemption

LOS

Letter of Support

LVE

Low Volume Exemption

MCAN

Microbial Commercial Activity Notice

MS

Mass Spectrometry

MSDS

Material Safety Data Sheet

NIOSH

National Institute for Occupational Safety and Health

NMR

Nuclear Magnetic Resonance

NOC

Notice of Commencement

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Acronym

Full Name

NPDES

National Pollutant Discharge Elimination System

OPPT

Office of Pollution Prevention and Toxics

PDF

Portable Document Format

PMN

Premanufacture Notice

POTW

Publicly Owned Treatment Works

PPE

Personal Protective Equipment

PPM

Parts Per Million

RCRA

Resource Conservation and Recovery Act

SAR

Structure-Activity Relationship

SDS

Safety Data Sheet

SME

Subject Matter Expert

SNUN

Significant New Use Notice

SNUR

Significant New Use Rule

SRS

Substance Registry Services

STN

Scientific and Technical Information Network

TERA

TSCA Experimental Release Application
Tier I Exemption

TME

Test Market Exemption

TMEA

Test Marketing Exemption Application

TS

Toxic Substances

TSCA

Toxic Substances Control Act

UV

Ultraviolet

XML

Extensible Markup Language

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