Regulatory Service Descriptions

For the Description of Services, the following definitions apply:

Client Representative shall mean an employee of the Client.

Client-System Authoring shall mean the preparation of Hazard Communication Deliverables (refer to Section 4 of the Agreement for details) within a client’s regulatory software system, as identified on the applicable SOW.

Deliverable shall mean any other form of document other than a Hazard Communication Deliverable, as identified in the applicable SOW, and prepared by UL Solutions based upon information provided by the client, such as:

• Advisory Services – Market Readiness Report 
• Advisory Services – Chemical Regulatory Review 
• Advisory Services – Chemical Regulatory Research Report 
• Advisory Services – US TSCA, Compliance Roadmap Report 
• Advisory Services – US FIFRA, Compliance Roadmap Report 
• Advisory Services – US FIFRA, Pesticide Device Compliance Roadmap Report 
• Advisory Services – US FIFRA, Treated Articles Incorporating a Pesticide Compliance Roadmap Report 
• Advisory Services – REACH Registration Coverage Confirmation 
• Registration Services – EU REACH, Investigation Phase 
• Registration Services –  GB REACH, Investigation Phase 
• Advisory Services – EU BPR, Treated Articles Incorporating a Biocide Compliance Roadmap Report 
• Advisory Services – CA PCPA, Treated Articles Incorporating a Pesticide Compliance Roadmap Report

Designated Site shall mean the physical Client address as identified on the applicable SOW, unless Designated Site is specified to be an alternative address on the applicable SOW.

DGSA Service shall mean Dangerous Goods Safety Adviser Services, as identified on the applicable SOW.

Expedited Service shall mean any Deliverable or Hazard Communication Deliverable required sooner than the standard delivery period as defined below in Services, and such service will be quoted at the applicable rush advisory rates.

Filing shall mean one or more of the following, as identified in the applicable SOW, and prepared by UL based upon information provided by the Client:

• Advisory Services - US FIFRA, EPA Company Number Filing
• Advisory Services - US FIFRA, EPA Establishment Number Filing
• Advisory Services - US FIFRA, EPA Baseline Report Filing

Hazard Communication Deliverable shall mean one or more of the following, as identified in the applicable SOW, and prepared by UL based upon information provided by the Client:

• A Safety Data Sheet (SDS) 
• SDS Authoring – Master Document 
• SDS Authoring – Translated Document 
• SDS Authoring – Alias Document
• SDS Authoring – Additional GHS Jurisdiction 
• SDS Authoring – Non-standard Text Translations 
• Label Authoring – GHS Label
• Label Authoring – Consumer Label
• Label Authoring – US CPSC Consumer Label 
• Label Authoring – Canada CCCR Consumer Label 
• California Proposition 65 Report 
• ISRI SDS Documents
• GHS Hazard Assessment
• UN number/Proper Shipping Name Assessment

Inquiry shall mean Registration Services – GB REACH, Article 26 Inquiry, as identified on the applicable SOW.

Instructor-led Training shall mean one or more of the following, as identified in the applicable SOW, and provided by UL:

• TSCA Essentials training - Instructor Led Online Training Course
• U.S. Hazard Communication Essentials Training - Instructor Led Online Training Course
• EU Classification Training - Instructor Led Online Training Course
• EU SDS Authoring training - Instructor Led Online Training Course
• GHS Essentials training - Instructor Led Online Training Course
• Training Services (custom/bespoke)
• Training (webinar)
• Training (classroom)
• Training (on-site)

Listing shall mean Listing Services, as identified on the applicable SOW.

LOLI SAP shall mean LOLI-SAP Advisory Services, as identified on the applicable SOW.

Maintenance shall mean Advisory Contract Maintenance as identified on the applicable SOW.

Notification shall mean one or more of the following, as identified in the applicable SOW, and prepared by UL based upon information provided by the Client:

• Notification Services – EU CLP, C&L Notification to Inventory (single chemical CAS)
• Notification Services – EU REACH-IT Client Account Setup 
• Notification Services – GB CLP, C&L Notification to Inventory (single chemical CAS)
• Notification Services – EU PCN,     (Poison Centre Notifications)
• Notification Services – EU SCIP     (Substances of Concern In articles as such or in complex objects (Products))

Online, On-demand Training shall mean LMS Online Training as identified in the applicable SOW and provided by UL.

Only Representative shall mean one or more of the following, as identified in the applicable SOW:

• Registration Services – EU Only Representative Appointment
• Registration Services – GB Only Representative Appointment

Product Listing shall mean a list of identified Products that require Notification or Registration, and shall be attached to the applicable SOW.

Registration shall mean one or more of the following, as identified in the applicable SOW, and prepared by UL based upon information provided by the Client:

• Advisory Services – US TSCA Pre-Manufacturing Notice (PMN)
• Advisory Services – US TSCA Low Volume Exemption (LVE)
• Registration Services – GB REACH, Registration Phase 
• Registration Services – GB REACH, DUIN (Downstream User Import Notification)
• Registration Services – EU REACH, Registration Phase
• Advisory Services – US FIFRA, Registration

Regulatory Changes shall mean changes to a Hazard Communication Deliverable format / layout as prescribed in the Regulations, or changes to component chemical regulatory data submitted by Client or a Third-Party Supplier impacting the content of the Deliverable or Hazard Communication Deliverable, or changes to component chemical regulatory data held in UL’s ChemADVISOR^® regulatory database.

Regulatory Support (Q&A) shall mean one or more of the following, as identified in the applicable SOW, and provided by UL based upon information provided by the Client:

• Advisory Services – Hazard Communication
• Advisory Services – Transport Specialist
• Advisory Services – Regulatory Specialist
• Advisory Services – Canada PMRA Specialist
• Advisory Services – US FIFRA Specialist
• Advisory Services – GB REACH Specialist
• Advisory Services – EU REACH Specialist
• Advisory Services – US TSCA Specialist

Required Information shall mean information as set forth below, as required to perform the Services.

Services shall mean the specific services as identified on the SOW.

Third-Party Supplier shall mean a party who holds information relating to Required Information, and whom is not UL or Client.

Update shall mean one or more of the following, as identified on the applicable SOW, and prepared by UL based upon information provided by the Client:

• Registration Services – EU REACH, Update
• Registration Services – GB REACH, Update
• Notification Services – Update

US TSCA Article Status Determination shall mean a report providing a determination of whether the Product meets the definition of an Article as specified per the United States Toxic Substances Control Act (TSCA) codified at 40 CFR §710.3(d).

US TSCA Polymer Exemption Determination shall mean a report providing a determination of whether the substance meets the criteria as polymer exempt as specified per the United States Toxic Substances Control Act (TSCA) codified at 40 CFR §723.250.

1.  Services

       (a)    UL will prepare or provide one or more of the following Services, as identified in the applicable SOW: 

          (i)    Client-System Authoring – As identified in the applicable SOW UL will, as requested by Client, per the number of hours and/or documents, and in accordance with working times aligned with UL’s standard workweek and times excluding public holidays:

1. Access Client’s regulatory software system (separately licensed to Client) to prepare Hazard Communication Deliverables
2. Draft or modify such Hazard Communication Deliverables according to the relevant GHS rules for the 16-section GHS format
3. Enter or modify chemical substance regulatory information
4. Create or modify chemical mixture products in Client’s regulatory software system
5. Process chemical substance and mixture hazard assessments using the rules implemented in the Client’s regulatory software system
6. Process rules, review results and apply manual additions/ modifications to generate draft Hazard Communication Deliverables
7. Make Client aware that a Hazard Communication Deliverable has been prepared, such that Client can review and notify UL of any Non-conformances as prescribed below
8. Subject to mutual agreement between UL and Client:

              (a)    UL may publish Hazard Communication Deliverables as directed by Client
              (b)    In the event of planned UL employee absence, assign work to a similarly qualified UL team member for the duration of the absence

          (ii)    Deliverable(s) – For each Product covered by the SOW, UL will research, prepare and deliver to Client a summary report in connection with the Service.  Such Deliverable(s) will include the following information where relevant:

1. The title(s) of relevant chemical laws and regulations relating to the Service including where possible a link to the online version(s) of the regulation(s)
2. A summary, including requirements and language requirements, of relevant chemical laws and regulations relating to the Service
3. The status of the Products in relation to the relevant chemical laws and regulations relating to the Service and including any applicable exemptions
4. Any actions required for the Products in relation to the relevant chemical laws and regulations relating to the Service, including information relating to costs / fees required to be paid to other parties including government agencies and administrative bodies

          (iii)    DGSA Service – As identified in the applicable SOW UL will, for the Client at the Designated Site and for the defined License Term:

1. Provide access to the advisory services of a certified Dangerous Goods Safety Adviser (DGSA), qualified for road requirements as prescribed by the Agreement concerning the International Carriage of Dangerous Goods by Road (“ADR”), and as required by national legislation in the country subscribing to ADR
2. Provide telephone and email advisory support to answer queries relating to regulatory requirements pertaining to the shipping of dangerous goods by road under ADR.  This shall be limited to a maximum of 10 inquiries per month
3. Hold an annual meeting once per year (up to one day), to:

              (a)    Assist Client with business processes relating to dangerous goods activities, of which such recommendations and observations will be documented in the Annual Report
              (b)    Provide advisory services of which such recommendations and observations will be documented in the Annual Report
              (c)    Collect Required Information from Client to prepare a draft Annual Report
              (d)    Provide a summary document of changes to regulations governing the shipping of dangerous goods and discuss these with Client

4. Deliver a draft Annual Report in pdf format to the Client for review and acceptance.

          (iv)    Filing(s) – For each Product covered by the applicable SOW, and per the number of hours (if specified) in the applicable SOW, UL will assist Client with the process of filing for the specified Service, using Client company information, or company information as directed by Client.

          (v)    Hazard Communication Deliverable(s) – For each Product covered by the SOW, UL will prepare Hazard Communication Deliverable(s) as specified in the SOW.

          (vi)    Instructor-led Training – As identified in the applicable SOW, UL will provide training to Client as detailed in the SOW per the number of hours and/or persons for educational and informational purposes on regulatory topics as identified in the SOW.  Unless otherwise agreed such training will be provided remotely using UL’s tools, and sessions will not be recorded unless specifically noted in the SOW.

          (vii)    Listing(s) – For each Product covered by the applicable SOW, and per the number of hours (if specified) in the applicable SOW, UL will:

1. Based on Client-provided information, prepare the relevant information in the format for listing as specified in the SOW
2. Submit the relevant information to the duly appointed third party or UL as directed by the Client to fulfil the Service
3. Confirm to Client the submission of relevant information, in written form including any relevant reference numbers
4. Perform the Service using the Client company information

          (viii)    LOLI SAP – As identified in the applicable SOW UL will per the number of hours in the applicable SOW:

1. Access Client’s software test environment and provide IT advice on the following items listed, based on Client specifications:

              (a)    Adaptation of Expert Rules as defined by SAP, Windows Word Integration (WWI) templates and SAP customization.
              (b)    Updates to regulatory content based on Client’s request
              (c)    Development of new Expert Rules based on Client’s specifications
              (d)    Assistance to Client to support rollout of updates into new geographic regions

          (ix)    Maintenance – For each Product covered by the SOW, UL will in accordance with Regulatory Changes, provide updated Deliverables or Hazard Communication Deliverables to Client as specified in the SOW.

          (x)    Inquiry, Notification(s), Registration(s), Update(s) – For each Product contained in the Product Listing covered by the applicable SOW, and per the number of hours (if specified) in the applicable SOW, UL will:

1. Where relevant, receive any agreements and provide to Client for review, unless UL is appointed as an only Representative for the Product in an applicable SOW
2. Based on Client-provided information, prepare the relevant information in the format for notification or registration as specified in the SOW
3. Submit the relevant information to the regulatory authority, government agency, government body, applicable administrative body, other duly appointed third party, or UL, as required for the Service
4. Confirm to Client the submission of relevant information, in written form including any relevant inquiry, notification, registration or reference numbers
5. Perform the Service using the Client company information unless UL is appointed as an Only Representative (or equivalent role, where applicable) for the Product in an applicable SOW

          (xi)    Online, On-demand Training – As identified in the applicable SOW, UL will provide access to training of which such Training Services & LMS Online training are subject to the Terms of Service located at www.ul.com/training.

          (xii)    Only Representative – For each Product contained in the Product Listing of the applicable SOW:

1. The SOW shall serve as Client’s appointment of UL as the Only Representative (‘OR’) as defined in the relevant regulation in the identified jurisdiction
2. UL shall provide a document confirming the registration status relating to the relevant regulation in the identified jurisdiction, for Client’s use in supply chain communications

          (xiii)    Regulatory Support (Q&A) – In relation to the topic(s) identified in the applicable SOW, UL will:

1. Acknowledge receipt within the agreed number of business days of a Client-submitted written request pertaining to general chemical regulatory advice
2. Indicate at such time if it reasonably determines that such request is outside the scope of Service
3. Identify an expected turnaround time for a response, and if a request will require research or additional communication to third parties, including government agencies, UL reserves the right to charge for the time required to obtain information.  Any such turnaround time is offered in good faith but shall not be construed to be a formal agreed deadline or due date. 
4. Based on Client-provided information, provide a response by return email in English language to the Client Representative.  UL reserves the right to not provide a response to a Client-submitted request, if it ultimately determines the request is outside the scope of Service, if it reasonably determines that professional legal advice should be sought, or where UL provides other reasonable justification

          (xiv)    US TSCA Article Status Determination – For each Product covered by the applicable SOW, and per the number of hours (if specified) in the applicable SOW, UL will:

1. Conduct an assessment for an individual product to determine if the product meets the definition of “article” as defined per the United States Toxic Substances Control Act (TSCA) codified at 40 CFR §710.3(d), and/or meets the criteria for exclusion from the scope of the TSCA Inventory codified at 40 CFR §704(d)(6)
2. Prepare a report summarizing the findings and the final assessment results. If the substance fails to meet the US TSCA article definition and/or TSCA Inventory exclusion criteria, the report will cite the reason(s) and the resultant TSCA obligations. If the substance meets the article definition and/or Inventory exclusion criteria, the report will outline the permitted commercial manufacture and/or import activity of the product as well as any potential applicable substance-based restrictions or limitations based upon the product composition

          (xv)    US TSCA Polymer Exemption Determination – For each Product covered by the applicable SOW, and per the number of hours (if specified) in the applicable SOW, UL will:

1. Conduct an assessment for an individual chemical substance to determine if the substance meets the criteria as polymer exempt as specified per the United States Toxic Substances Control Act (TSCA) codified at 40 CFR §723.250
2. Prepare a report summarizing the findings and the final assessment results. If the substance fails to meet the US TSCA polymer exemption criteria, the report will cite the reason(s). If the substance meets the criteria, the report will outline requirements and recommendations for commercial manufacture and/or import of the substance under the TSCA polymer exemption

              (b)    Following Client submission of Required Information, an estimated delivery period will be provided by UL, except that for:

                 (i)    Deliverables – Delivery will be within 15 business days with rolling delivery, depending on volume unless otherwise confirmed in writing by UL.  If Expedited Service is requested, UL representative will confirm whether it can be accommodated and the delivery date.
                 (ii)    Hazard Communication Deliverables (excluding Client-System Authoring) – Delivery will be within 10 business days with rolling delivery, depending on volume unless otherwise confirmed in writing by UL.  If Expedited Service is requested, UL representative will confirm whether it can be accommodated and the delivery date.

              (c)    Process – The Standard Process will be followed for Deliverables or Hazard Communication Deliverables unless an Open Statement of Work is mutually agreed, or unless an alternative process is agreed to in writing by UL:

                 (i)    Standard Process

1. Client will provide Required Information to UL along with additional relevant documentation
2. If Third-Party Suppliers will be involved, execution of UL’s Support Agreement is required.  If included, Project coordination time will be identified on the applicable SOW to oversee this process
3. UL will deliver a draft Deliverable or Hazard Communication Deliverable as required, in English language based on Client-provided Required Information
4. Upon delivery, Client shall have 10 business days to review the Deliverable or Hazard Communication Deliverable and provide the UL Regulatory Specialist notice of any Non-conformances

              (a.    If no Non-conformances are identified by Client within such 10-day period, UL shall deem such Deliverable or Hazard Communication Deliverable complete and Client shall be invoiced
              (b)    UL shall review any notified Non-conformances, will confer with Client as needed, make appropriate corrections, and deliver a completed Deliverable or Hazard Communication Deliverable (PDF file, unless specifically agreed otherwise in the SOW) to Client. Client shall then be invoiced

5. If the SOW includes translation Services into other languages translations are then processed and delivered typically within 10-15 business days.  Such Deliverables or Hazard Communication Deliverables are subject to a 10 business-day-review period by Client and Non-conformances are addressed as set forth above
6. If the SOW includes Maintenance of Deliverable or Hazard Communication Deliverable UL will, in accordance with Regulatory Changes, provide updated Deliverable or Hazard Communication Deliverables to Client. Such updated Deliverables or Hazard Communication Deliverables are subject to a 10 business-day-review period by Client and Non-conformances are addressed as set forth above.

                 (ii)    Open Statement of Work

1. An Open Statement of Work shall be deemed to be a SOW where UL has provided a fixed priced for a set time period as set forth on the SOW and may include a not to exceed fee amount or number of Hazard Communication Deliverable Requests subject to the agreed pricing
2. Client will submit all initial requests for Services to the UL sales representative with a copy to the Regulatory Affairs Manager by email (each, a “Request”).  Each Request shall be accompanied by the Client-provided Required Information.  UL shall acknowledge acceptance or rejection of a Request.  If rejected, UL shall provide an explanation or clarification with respect to Services it can provide.
3. UL will commence with Services related to an accepted Request upon receipt of all required information from Client
4. Where the relevant SOW does not specify pricing, then the fee shall be based on either the agreed to fixed price or the amount of time incurred to complete a Request. Billing shall be based on quarter-hour increments at the agreed to pricing for UL Specialty Regulatory Advisory time.

              (d)    UL may include in the Deliverable additional information relating to chemicals regulations that it believes may be of interest to Client, the use or application of which is at the sole discretion and responsibility of the Client.

2.  Client Responsibilities

       (a)    Client will provide to UL Required Information listed below in the applicable languages and in a timely manner.  Such information shall be set forth in the UL-provided Intake Form unless another format is otherwise agreed to by UL.

       (b)    If Third-Party Suppliers will be involved, the execution of UL’s form of Support Agreement is required, and Client is required to support UL in obtaining successful execution of the agreement.  If included, Project coordination time will be identified on the applicable SOW to oversee this process.

          (i)    Client will address any Non-Compliant Suppliers.  A “Non-Compliant Supplier” is defined as a Third-Party Suppliers that fails to provide information to UL.  If any Services stem from Non-Compliant Suppliers, Client agrees that it shall look to such Third-Party Suppliers and not to UL.  UL shall have no obligation to any individual Third-Party Supplier or group of Third-Party Suppliers to change UL processes.

          (ii)    Client expressly authorizes UL to disclose information that Client or a Third-Party Supplier might otherwise consider confidential or proprietary.  Client hereby authorizes UL to transmit unencrypted information through the internet or a public network to e-mail addresses or other locations provided by Client, required for compliance with the Regulations or in connection with the Service. Client acknowledges that UL cannot guarantee the privacy and confidentiality of such transmissions. Client agrees that UL’s transmission of information via the internet or other public network shall not be a breach of any confidentiality obligation under the Agreement and that UL shall not be liable for any damages resulting from such transmissions.

       (c)    For Inquiry, Notification, Registration, Listing or Filing Services, unless UL is appointed as an Only Representative (or equivalent role, where applicable) in an applicable SOW, Client will create and maintain relevant accounts (separately licensed) with the regulatory authority, government agency, government body, applicable administrative body, other duly appointed third party, or UL, relating to the Service.

          (i)    UL may assist Client in creation of Client’s relevant accounts if specifically identified on the applicable SOW. 
          (ii)    All maintenance of relevant accounts remains the responsibility of Client
          (iii)    Client will provide UL access to the relevant Client account for UL to perform the Service.  For ECHA accounts Client will provide UL with access as a foreign user, as defined by ECHA
          (iv)    Client will remove UL access to the relevant Client account upon UL’s confirmation of completion of the Service

       (d)    Client will be solely responsible for any fees that may be due to a regulatory authority, government agency, government body, applicable administrative body or other duly appointed third party.  Any such fees are excluded from the SOW.

       (e)    Client will be solely responsible for any fees relating to accessing test reports or data, including but not limited to ‘Letter of Access’ fees, that are or may become required in relation to the Service.  Any such fees are excluded from the SOW.

       (f)     Client will make available Client personnel to assist with UL’s questions.

       (g)    Client is solely responsible for the creation of any derivative works based on the Services.

       (h).   For Regulatory Support (Q&A) Service, Client will provide a list of Client Representatives who may submit requests to UL.

       (i)     For Client-System Authoring, Client:

          (i)    Will provide UL with access to Client’s regulatory software system
          (ii)    Will educate UL of Client-specific modifications and preferences within Client’s regulatory software system
          (iii)   Is responsible for final review and approval of all published Hazard Communication Deliverables. 
          (iv)    Acknowledges that Client Representatives will also be maintaining data and using Client’s regulatory software system whilst UL provides the Services, and that the Client Representatives work may impact the Services and ultimately the Hazard Communication Deliverables prepared
          (v)    Will, when necessary, remove UL access to Client’s regulatory software system upon UL’s confirmation of completion of the Service

       (j)    For Regulatory Database SAP, Client:

          (i)    Will provide UL with access to Client’s software test environment
          (ii)    Will provide a written specification for new Expert Rules and updates to existing Expert Rules
          (iii)    Will provide relevant employees to support UL in performing the Services
          (iv)    Will be responsible for suitability, testing and approval of work derived under the Services
          (v)    Will, when necessary, remove UL access to Client’s software test environment upon completion of the Services

3.  Required Information

       (a)    For all Services except Instructor-led Training, Online, On-demand Training, Regulatory Support, DGSA Service and LOLI SAP, Client will provide a completed Intake Form, including the following:

          (i)    Country of origin/manufacture and country of destination, sale or distribution relating to the product
          (ii)    Product name(s), product type, description and specific intended use(s)
          (iii)    Full Product composition including chemical names, CAS/EC numbers and %weight/weight
          (iv)    Available product attributes including physical state
          (v)    Identification of chemical pesticides or biocides present in the Product or created by the Product and their purpose/function
          (vi)    Identification of nanomaterials present in the product (nanomaterials being materials that have at least one dimension measuring between 1-100 nm in size)
          (vii)    Intended market: consumer or professional or industrial, and target industry sector
          (viii)    Special claims regarding the product type
          (ix)    Packaging type and size

       (b)    For all Services except Instructor-led Training, Online, On-demand Training, Regulatory Support, DGSA Service and LOLI SAP, Client will provide where available, the following supporting information:

          (i)    Results of any Product-specific testing performed, relating to hazards, stability or reactivity
          (ii)    Chemical component Safety Data Sheets (SDSs) in English language
          (iii)    Previously prepared product SDSs, labels and technical data sheets in English language
          (iv)    UN Number and Proper Shipping Name

       (c)    For certain Services identified on the applicable SOW, Client will provide additional information: 

          (i)    For the following Services:

• Advisory Services – US FIFRA, Compliance Roadmap Report
• Advisory Services – US FIFRA, Pesticide Device Compliance Roadmap Report
• Advisory Services – US FIFRA, Treated Articles Inc. a Pesticide Compliance Roadmap Report
• Advisory Services – US FIFRA, Registration
• Advisory Services – EU BPR, Treated Articles Incorporating a Biocide Compliance Roadmap Report 
• Advisory Services – CA PCPA, Treated Articles Incorporating a Pesticide Compliance Roadmap Report

     Client will provide the following information in addition to the information identified in (a) and (b) above:

1. The intended function of each ingredient in the Product
2. Product diagram, specifications and mode(s) of action as relevant
3. Where available, accompanying marketing literature in English language
4. Manufacturer name, or distributor name, or importer name, and facility address
5. Where relevant, the company name, address and contact information to be used for EPA Company Number and EPA Establishment Number
6. Identity, function and method of treatment/ inclusion of the pesticide active substance(s) used to treat or which is intentionally incorporated within the Product, including chemical name, CAS number and %w/w

          (ii)   For the following Services:

• Advisory Services – US TSCA Compliance Roadmap Report
• Advisory Services - REACH Registration Coverage Confirmation (UK/GB or EU)
• Registration Services – EU REACH, Investigation Phase
• Registration Services – GB REACH, Investigation Phase

     Client will provide the following information in addition to the information identified in (a) and (b) above:

1. Annual tonnages in metric tonnes for Product manufactured in or imported into the relevant jurisdiction
2. Summary information relating to Product supply/distribution chain(s)
3. Where relevant, summary information relating to intended processing scenario(s), including identification of the company performing the processing

          (iii)    For the following Services:

• Advisory Services – US TSCA Pre-Manufacturing Notice (PMN)
• Advisory Services – US TSCA Low Volume Exemption (LVE)
• Advisory Services – US FIFRA, Registration
• Registration Services – GB REACH, Registration Phase
• Registration Services – GB REACH, DUIN
• Advisory Services – GB REACH, Article 26 Inquiry
• Registration Services – EU REACH, Registration Phase

     Client will provide the following information in addition to the information identified in (a) and (b) above:

1. Annual tonnages in metric tonnes for Product manufactured in or imported into the relevant jurisdiction
2. Summary information relating to Product supply/distribution chain(s)
3. Where relevant, summary information relating to intended processing scenario(s), including identification of the company performing the processing
4. Relevant details of Client’s legal entity registered within the jurisdiction, and corresponding relevant account with the regulatory authority, government agency, government body, applicable administrative body or other duly appointed third party, relating to the Service, unless UL is appointed as an Only Representative (or equivalent role, where applicable) in an applicable SOW
5. For each Product identified in the Product Listing, the relevant test reports, product characteristics and chemical analysis data

          (iv) For the following Services:

• Registration Services – EU Only Representative Appointment
• Registration Services – GB Only Representative Appointment

     Client will provide the following information:

1. Completed Product Listing
2. Product name(s)/identifier(s)
3. Full chemical name
4. CAS number, EC number
5. For each importer in the relevant jurisdiction:

          (a)    Importer company name
          (b)    Importer company address
          (c)    Importer contact information
          (d)    Imported tonnage in metric tonnes per year

6. For each Product in the Product Listing, Client’s current Safety Data Sheet prepared according to the requirements of the relevant jurisdiction.

          (v)    For Advisory Services – US TSCA Polymer Exemption Determination, Client will provide the following information:

1. Fully completed UL Assessment of US TSCA Polymer Exempt Status form

          (vi) For Advisory Services – US TSCA Article Status Determination, Client will provide the following information:

1. Fully completed UL Assessment of US TSCA Article Status form

          (vii)    For Advisory Services – US TSCA Pre-Manufacturing Notice (PMN) or Advisory Services – US TSCA Low Volume Exemption (LVE), Client will provide the following information:

1. Fully completed UL PMN/LVE Information Collection Workbook form

          (viii)    For Advisory Services – US FIFRA, EPA Company Number Filing or Advisory Services – US FIFRA, EPA Establishment Number Filing, Client will provide the following information:

1. US-based company name, address and contact information

          (ix)    For Notification Services - EU CLP and Notification Services - GB CLP Client will provide the following information:

1. Hazard classification according to regulations implementing the GHS
2. Information relating to the purity of the substance
3. C&L classification mandate as relevant
4. Relevant details of Client’s legal entity registered within the jurisdiction, and corresponding relevant account with the regulatory authority, government agency government body, applicable administrative body or other duly appointed third party, relating to the Service
5. For each Product identified in the Product Listing, the relevant test reports, product characteristics and chemical analysis data

          (x)    For Notification Services - EU PCN Client will provide the following information:

1. Relevant details of Client’s legal entity registered within the jurisdiction, and corresponding relevant account with the regulatory authority, government agency, government body, applicable administrative body or other duly appointed third party, relating to the Service, including ECHA UUID and API Key as relevant, unless UL is appointed to notify under a UL legal entity in an applicable SOW
2. Product component hazard classifications derived using EU CLP methodologies
3. Product Unique Formula Identifier (UFI) and where available the UFI relating to each of the Product’s components
4. Product category (identified use, as defined by European product categorisation system)
5. Product hazard classification derived using CLP methodologies
6. Toxicological information for the product mixture and components (Section 11 of EU REACH-compliant SDS)

          (xi)    For Listing Services related to MySDS and/or SmartShare Client will provide the following information:

1. Client-approved Hazard Communication Deliverables in the appropriate languages
2. For each Hazard Communication Deliverable the applicable part-numbers to be assigned

          (xii)   For Notification Services - EU SCIP Client will provide the following information:

1. For each Product covered by the applicable SOW, the corresponding supplier contact information including a valid email address
2. Product unique identifiers (including but not limited to EAN, batch number etc.)
3. Identification of the presence of component Substances of Very High Concern (SVHC) identified in the ‘Candidate List of Substances of Very High Concern for Authorisation’, as maintained by ECHA, on the date of execution of the applicable SOW
4. Confirmation of the Product being either an article or complex object
5. Any applicable identifiers (category or other unique identifiers)
6. Safe use instructions, where relevant
7. Location of component substance data, if a complex object
8. Photograph/image of the product (if available, not mandatory)
9. Characteristics (dimensions, weight, colour) (if available, not mandatory)

          (xiii)    For Client-System Authoring Client will provide the following information:

1. Relevant details to access Client’s regulatory software system.

       (d)    For Regulatory Support (Q&A) Client will provide the following information:

          (i)    A Client-submitted written request comprising of a clear question or series of questions in English language, including any supporting materials that may be relevant.  The question(s) must pertain to general chemical regulatory advice relating to the topic(s) identified in the applicable SOW and must be within UL’s chemical regulatory expertise.

       (e)    For DGSA Service, Client will provide the following information in relation to Client’s dangerous goods activities:

          (i)    Summary of logistics operations, including modes of transport used
          (ii)    Dangerous goods classifications, and corresponding UN numbers/ Proper Shipping Names
          (iii)    Packaging and containment of dangerous goods
          (iv)    Consignment procedures (marking, labelling of dangerous goods, transport documentation)
          (v)    Dangerous goods training
          (vi)    Status of recommendations made

       (f)    For Regulatory Database(List of lists) SAP, Client will provide a written specification for new Expert Rules and updates to existing Expert Rules.

       (g)   Any other information reasonably requested by UL.

4.  Exclusions

       (a)   Any Services or phases of work not explicitly detailed in the SOW are subject to a separate mutually agreed SOW.  For clarity, these Services do not include:

           (i)    Product testing, verification of Client-provided information, or review or approval of Client derivative works based on the Services.  Any derivative works are the sole responsibility of the Client
           (ii)    Handling inquiries or requests from Client’s customers, suppliers or affiliates unless specifically identified in the applicable SOW
           (iii)    Recommendations regarding laboratory testing facilities
           (iv)    Registration of a Product unless specifically identified in the applicable SOW
           (v)    Preparation and/or submission of a Chemical Safety Report unless specifically identified in the applicable SOW
           (vi)    Appointment of UL as an Only Representative (or equivalent role, where relevant) unless specifically identified in the applicable SOW
           (vii)    Template formatting, rule writing, regulatory mapping work, regulatory data loading, label design, or the review or preparation of Exposure Scenarios, extended Safety Data Sheets or SUMI, unless specifically identified in the applicable SOW