§ 710.3 Applicability: Who must report; who may report; who may not report. Paragraphs (a), (b), and (c) of this section identify the persons subject to these requirements with respect to reporting chemical substances in accordance with § 710.4. Paragraph (d) of this section identifies the persons who may not report chemical substances for the inventory.

(a) Who is required to report-(1)_ Manufacturers. Any person who manufactures, or has manufactured since January 1, 1977, a chemical substance(s) for a commercial purpose in an establishment included in the Chemical and Allied Products sector (as defined by Standard Industrial Classification (SIC) Major Group 28) or Petroleum Refining sector (as defined by SIC Group 2911) must report concerning the chemical substance (s) manufactured in that establishment.

(2) Importers. Any person who imports, or has imported since January 1, 1977, a chemical substance(s) into the United States for a commercial purpose must report concerning that chemical substance(s).

(b) Who may report. (1) In addition to those persons required to report by paragraph (a) of this section, any person who has mnaufactured, imported, or processed a chemical substance for a commercial purpose since January 1, 1975 may report concerning that chemical substance.

(2) If a person manufactured or imported a chemical substance prior to January 1, 1975 but the substance was processed after that date, he may report that substance for the inventory if he certifies that the substance was processed after January 1, 1975.

(3) A trade association may report on behalf of any person who would be permitted to report under paragraphs (b) (1) and (2) of this section. For every chemical substance reported by a trade association, at least one manufacturer, processor, or importer must have certified to that trade association, and be able to document to EPA in accordance with § 710.1 (c), that the chemical substance was manufactured, imported or processed for commercial purposes since January 1,

1975.

(c) Who may report after publication of the inventory. During the 120-day period after the first publication of the inventory, any person who has processed or used a chemical substance (including the manufacture of a mixture or article containing that chemical substance) for a commercial purpose since January 1, 1975 may report that chemical substance if it was not included in the inventory.

NOTE.-Premanufacture notification requirements under section 5 for manufacturers and importers of new chemical substances will begin thirty (30) days after the first publication of the inventory and will apply to all chemical substances not included on the first inventory.

(d) Who may not report. (1) No person may report any chemical substance which is automatically included in the inventory under § 710.4(b).

(2) No person may report any chemical substance which is excluded from the inventory under paragraphs (c) or (d) of § 710.4.

(3) No person may report any chemical substance which has not been manufactured, processed, or imported for a commercial purpose since January 1, 1975. § 710.4 Scope of the Inventory.

(a) Chemical substances subject to these regulations. The following chemical substances are manufactured, imported, or processed "for a commercial purpose"; Chemical substances which are manufactured, imported, or processed

(1) For distribution in commerce,

(2) For use as a catalyst or as an intermediate,

(3) For use by the manufacturer, or

(4) For test marketing purposes.

(b) Naturally occurring chemical substances automatically included. Any chemical substance which is naturally occurring and which is either unprocessed or processed only by manual, mechanical, or gravitational means; by dissolution in water; or by heating solely to remove water, shall be automatically included in the inventory under the category "Naturally Occurring Chemical Substances." Examples of such substances are: (1) Raw agricultural commodities; (2) water, air, natural gas, and crude oil; and (3) rocks, ores, and minerals.

(c) Substances excluded by definition or Section 8(b) of TSCA. The following substances are excluded from the inventory:

(1) Any substance which is not considered a "chemical substance" as provided in subsection 3(2) (B) of the Act and in the definition of "chemical substance" in § 710.2.

21-656-78-28

(2) Any mixture as defined in § 710.2. This term will include alloys, inorganic glasses, ceramics, frits, and cements, including Portland cement.

(3) Any chemical substance manufactured, imported, or processed solely in small quantities for research and development, as defined in §710.2

(d) Chemical substances excluded from the inventory. The following chemical substances are excluded from the inventory insofar as they are not manufactured for distribution in commerce as chemical substances per se and have no commercial purpose separate from the mixture or article of which they may be a part.

NOTE. In addition, chemical substances excluded here would not be subject to premanufacture notification under section 5 of the Act.

(1) Any impurity.

(2) Any byproduct which has no commercial purpose.

NOTE. A byproduct which has commercial value to municipal or private organizations who (1) burn it as a fuel, (ii) dispose of it as a waste, including in a landfill or for enriching soil, or (iii) extract component chemical substances which may have some commercial value, may be included on the inventory.

(3) Any chemical substance which is the result of a chemical reaction that may occur incidental to exposure of another chemical substance, mixture, or article to environmental factors such as air, moisture, microbial organisms, or sunlight. (4) Any chemical substance which is the result of a chemical reaction incidental to storage of a chemical substance or mixture.

(5) Any chemical substance which is the result of a chemical reaction that may occur upon end use of other chemical substances or mixtures such as adhesives, paints, miscellaneous cleansers or other housekeeping products, fuels and fuel additives, water softening and treatment agents, and which is not itself manufactured for distribution in commerce.

(6) Any chemical substance which is the result of a chemical reaction that occurs upon use of curable plastic or rubber molding compounds, inks, drying oils, metal finishing compounds, adhesives, paints, or other chemical substances used to manufacture an article destined for the marketplace without further chemical change of the chemical substance except for those chemical changes that may occur as described elsewhere in this paragraph.

(7) Any chemical substance which occurs as the result of a chemical reaction when a stabilizer, colorant, odorant, antioxidant, filler, solvent, carrier, surfactant plasticizer corrosion inhibitor, antifoamer or de-foamer, dispersant, precipitation inhibitor, binder, emulsifier, de-emulsifier, dewatering agent, agglomerating agent, adhesion promoter, flow modifier, pH neutralizer, sequestrant, coagulant, flocculant, fire retardant, lubricant, chelating agent, quality control reagent, or a chemical substance which is solely intended to impart a specific physico-chemical characteristic functions as intended.

§ 710.5 How to report.

(a) General instructions. (1) Except for small manufacturers or importers, any person who is required to report under section 710.3(a) shall follow the reporting procedures of paragraphs (b), (c), and (d) of this section.

(2) Any person who chooses to report under § 710.3(b) shall follow the reporting procedures of paragraphs (b), (c), and (d)(3) of this section. In addition, the Agency encourages those persons to report in accordance with paragraphs (d)(1), (d)(2), and (d) (4) of this section. A trade association may report aggregated production data under paragraph (d) (4) of this section.

(3) Any person who is required to report under § 710.3(a) and who is a small manufacturer or importer as defined in § 710.2 shall follow the reporting procedures of paragraphs (b), (c), and (d) (1) and (d)(3) of this section. In addition, the Agency encourages small manufacturers to report in accordance with paragraphs (d) (2) and (d) (4) of this section.

(b) Reporting the identity of a chemical substance. (1) To report a chemical substance, a person shall first consult the TSCA Candidate List of Chemical Substances and any amendment to the Candidate List.

(2) To report a chemical substance found in the Candidate List, or in an amendment to the List, a person must complete, sign, and submit EPA inventory reporting Form A (EPA Form No. —).

(3) To report a chemical substance not found in the Candidate List, or in an amendment to the list, a person must complete, sign and submit EPA inventory reporting Form B (EPA Form No. -).

(4) For assistance in using the Candidate List or the reporting forms, consult "Guide to the Use of the TSCA Candidate List of Chemical Substances and Instructions for Reporting" published in Appendix A of these regulations.

(c) Reporting polymers. (1) To report a polymer a person must list in the description of the polymer composition at least those monomers used at greater than two weight percent in the manufacture of the polymer.

(2) Those monomers used at two weight percent or less in the manufacture of the polymer may be included as part of the description of the polymer composition. (3) For purposes of this paragraph, the "weight percent" of a monomer is the weight of the monomer expressed as a percentage of the weight of the polymeric chemical substance manufactured.

(d) Reporting other information concerning a chemical substance. (1) Designate whether the person manufactures, processes and/or imports the chemical substance. (2) Report the site(s) at which the person manufactures, processes, and/or imports the chemical substance.

(3) Designate whether the person manufactures and processes the chemical substances only within a site and does not distribute the chemical substance, or any mixture or article containing that substance, for commercial purposes outside that site.

(4) Report the amount of the chemical substance which the person manufactured at each site and/or imported during calendar year 1976. If the person did not manufacture or import the chemical substance during 1976, report the amount manufactured and/or imported during 1975 or projected for 1977. If there has been no manufacture or importation since January 1, 1975, report the amount distributed to others for any purpose since that date.

(e) Importers. (1) Any importer who is required to report or who chooses to report a chemical substance for the inventory may authorize the foreign supplier of an imported chemical substance(s) to report to EPA on behalf of the importer if both the foreign supplier and the importer sign the declarations provided on the reporting form.

(2) The importer has the ultimate responsibility for reporting all information required by this part and for the completeness and truthfulness of such information. If certain information is not or cannot be provided by the foreign supplier, it must be provided by the importer.

§ 710.6 When to report.

(a) All reports concerning chemical substances manufactured, processed, or imported for a commercial purpose during the period January 1, 1975 to (the effective date of these regulations) shall be submitted by (90 days after the effective date of these regulations).

(b) All reports concerning chemical substances which are manufactured, processed, or imported for a commercial purpose for the first time during the period (the effective date of these regulations) to (the effective date of premanufacture notification regulations) shall be submitted when such manufacturing, processing, or importation begins.

(a) A manufacturer, importer, or processor may claim that for a particular chemical substance any or all of the following items of information submitted under this part are entitled to confidential treatment:

(3) The specific chemical name or identity.

(4) Whether the chemical substance is manufactured, imported, or processed. (5) Whether the chemical substance is manufactured and processed only within one site and not distributed for commercial purposes outside that site. (6) The quantity manufactured, imported, or processed.

(b) Any claims of confidentiality must accompany the information at the time it is submitted to EPA. The claims must appear on the form on which the information is submitted to EPA and in the manner prescribed on the form.

(c) Any information that is covered by a claim made as specified will be disclosed by EPA only to the extent permitted by, and by means of, the procedures set forth in Part 2 of this title (41 FR 36902).

(d) If no claim accompanies the information at the time it is submitted to EPA, the information may be made public by EPA without further notice to the submitter.

(e) If a claim of confidentiality is asserted concerning the specific chemical name or identity of a particular chemical substance, the person making the claim shall furnish EPA with (1) the specific chemical name and identity and (2) a proposed generic name which is only as generic as necessary to protect the confidential identity of the particular chemical substance.

[Exhibit 30]

EXCERPTS FROM EPA FOIA REGULATIONS

§2.118 Exemption categories.

(40 CFR 2.118, 2.119)

(a) 5 U.S.C. 552(b) establishes nine exclusive categories of matters which are exempt from the mandatory disclosure requirements of 5 U.S.C. 552(a). No request under 5 U.S.C. 552 for an existing, located record in EPA's possession shall be denied by any EPA office or employee unless the record contains (or its disclosure would reveal) matters that are

(1) Specifically authorized under criteria established by an Executive Order to be kept secret in the interest of national defense or foreign policy and are in fact properly classified pursuant to such Executive Order;

(2) Related solely to the internal personnel rules and practices of an agency; (3) Specifically exempted from disclosure by statute;

(4) Trade secrets and commercial or financial information obtained from a person and privileged or confidential;

(5) Interagency or intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the agency; (6) Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy;

(7) Investigatory records compiled for law enforcement purposes, but only to the extent that the production of such records would: (i) Interfere with enforcement proceedings; (ii) deprive a person of a right to a fair trail or an impartial adjudication; (iii) constitute an unwarranted invasion of personal privacy; (iv) disclose the identity or a confidential source and, in the case of a record compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency conducting a lawful national security intelligence investigation, 'confidential information furnished only by the confidential source; (v) disclose investigative techniques and procedures; or (vi) endanger the life or physical safety of law enforcement personnel;

(8) Contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions; or

(9) Geological and geophysical information and data, including maps, concerning wells.

(b) The fact that the applicability of an exemption permits nondisclosure of a requested record (or portion thereof) does not necessarily mean that the_record must or should be withheld. Where the rights of third parties other than Federal agencies would not be prejudiced, disclosure of records in response to a request is encouraged unless there is an important reason for nondisclosure. §2.119 Discretionary release of exempt documents.

(a) EPA may, in its discretion, release requested records despite the applicability of the exemptions listed in paragraphs (a) (2), (5), (7), (8), or (9) of § 2.118. (b) As a matter of policy, EPA will not release a requested record if EPA determines that one or more of the exemptions listed in paragraphs (a) (1), (3), (4), or (6) of §2.118 apply to the record, except when ordered to do so by a Federal court or in exceptional circumstances under appropriate restrictions with the approval of the Office of General Counsel or a Regional Counsel.

[Exhibit 31]

EXCERPTS FROM FTC FOIA REGULATIONS

§ 4.10 Confidential information.

(16 CFR 4.10)

(a) The following records of the Commission are exempt from availability for public inspection and copying pursuant to 5 U.S.C. § 552; however, records exempt from disclosure by the provisions of this section may be made available to a requester for inspection and copying upon request for records under the procedures set forth in § 4.11 or by the Commission upon its own motion.

(1) Records, except to the extent required to be disclosed under other laws or regulations, related solely to the internal personnel rules and practices of the Commission. This exemption applies to internal rules or instructions to Commission personnel which must be kept confidential in order to assure effective performance of the functions and activities for which the Commission is responsible and which do not affect members of the public.

(2) Trade secrets and commercial or financial information obtained from a person and privileged or confidential. This exemption applies to information such as costs or various types of sales statistics and inventories. It would include trade secrets and names of customers in accordance with the restriction of section 6(f) of the Federal Trade Commission Act. Assurances of confidentiality given by Commission staff are not binding upon the Commission.

(3) Interagency or intraagency memorandums or letters which would not be available by law to a private party in litigation with the Commission. This exemption preserves the existing freedom of Commission officials and employees to engage in full and frank communication with each other and with officials and employees of other governmental agencies. This exemption includes records of the deliberations of the Commission except for the record of the final votes of each member of the Commission in every agency proceeding. It includes intraagency and interagency reports, memorandums, letters, correspondence, word papers, and minutes of meetings, as well as staff papers prepared for use within the Commission or between the Commission and other governmental agencies. It also includes information scheduled for public release, but as to which premature release_would be contrary to the public interest;

(4) Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy except to the extent such files or materials must be disclosed under other laws or regulations. This exemption applies to personnel and medical records and similar records containing private or personal information concerning any individual which, if disclosed to any person other than the individual concerned or his designated legal representative without his permission in writing, would constitute a clearly unwarranted invasion of personal privacy. Examples of files exempt from disclosure include, but are not limited to: (i) The personnel records of the Commission; (ii) files containing reports, records or other material pertaining to individual cases in which disciplinary or other administrative action has been or may be taken, including records of proceedings pertaining to the conduct or performance of duties by Commission personnel;

(5) Investigatory records compiled for law enforcement purposes to the extent that release of information in such records would (i) interfere with enforcement activities, (ii) deprive a person of a right to a fair trial or an impartial adjudication, (iii) constitute an unwarranted invasion of personal privacy, (iv) disclose the identity of a confidential source, (v) disclose investigative techniques or procedures, or (vi) endanger the life or physical safety of law enforcement personnel. This exemption covers, but is not limited to information obtained by the Commission relating to alleged or possible violations of laws administered by the Commission, which information may be in many forms, including letters of complaints, reports of interviews conducted by Commission personnel, memoranda, transcripts of testimony in nonpublic investigational hearings, and evidentiary documents obtained during the course of investigation.

(6) Information contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions;

(7) Geological and geophysical information and data, including maps, concerning wells; and

(8) Such other records of the Commission as may from time to time be designated by the Commission as confidential pursuant to statute or Executive order. This exempts from disclosure any information which has been designated nonpublic pursuant to the criteria and procedures prescribed by Executive order and which has not subsequently been declassified in accordance with applicable procedures. The exemption also preserves the full force and effect of statutes which restrict public access to specific Government records. Examples of information in Commission records specifically exempt by statute are trade secrets and names of customers as provided by section 6(f) of the Federal Trade Commission Act.

(b) To the extent required to prevent clearly unwarranted invasions of personal privacy, the Commission may delete, with written explanation thereof, identifying details when it makes any of its records publicly available.