GUIDANCE DOCUMENT
FOR THE
STRATOSPHERIC OZONE PROTECTION PROGRAM
AFTER JANUARY 7, 1996
o
U.S. EPA Headquarters Library
Mail code 3201
1200 Pennsylvania Avenue NW
Washington DC 20460
Program Implementation.Branch (6205J)
Stratospheric Protection Division
Office of Air and Radiation
U.S. Environmental Protection Agency
Washington, D.C. 20460
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, INTRODUCTION
The U.S. Environmental Protection Agency amended the regulation governing the accelerated
phaseout of ozone-depleting substances (ODSsi in the Federal Register on May 10. 1995. in order to
facilitate a smooth phaseout. Authority for the regulation is found under sections of Title VI of the
Clean Air Act Amendments of 1990 (CAA).
This guidance document is designed to assist companies in complying with the reporting and
recordkeeping requirements of the Stratospheric Ozone Protection Program. Forms and instructions
for completing reports are included. The forms provided are recommended formats for submitting the
required information to EPA, Companies may, however, provide the same information in another
format if desired.
This document is guidance. It does not represent final Agency action, and cannot be reiied upon to
impose any obligation or create any enforceable rights on any party. This document in no way
changes the requirements established by the final rule published in the Federal Register, and only
supplements the explanation provided in the preamble to the rule.
This guidance document is divided into two pans. Pan I summarizes the provisions of the rule that
pertain to all ciass I controlled substances except methyl bromide. (Provisions governing methyl
bromide are reflected in the earlier Guidance Document published January 1994.) Pan II discusses
the recordkeeping and reporting requirements for producers, importers, exporters, transformers,
destroyers, essential-use holders, laboratory suppliers and laboratories that deal in ODSs controlled in
the rule. Pan II also contains the suggested forms and instructions needed to comply with the
reporting requirements.
Contacts . '.
Information on Federal taxes for ozone-depleting chemicals and on products containing or
manufactured with these chemicals can be obtained from the Internal Revenue Service (IRS) at 202-
622-3130.
The Stratospheric Ozone Protection Hotline, at 1-800-296-1996, can be contacted for documents
and other materials relevant to the accelerated phaseout and other pans of Title VI of the Clean Air
Act Amendments of 1990.
Questions regarding the regulatory requirements of the phaseout and the Stratospheric Ozone
Protection Program should be addressed to the Tracking System Program Manager at 202-233-9140.
Readers are requested to bring errors in this document to the attention of the Tracking System
Program Manager. Reporting forms and written communication should be directed to:
U.S. Postal Address
Tracking System Program Manager
Stratospheric Protection Division .
U.S. EPA (6205J)
401 M St., SW
Washington, D.C. 20460
Express Mail Address
Tracking System Program Manager
Stratospheric Protection Division
U.S. EPA (6205J)
5013rd St., NW
Washington, D.C. 20005
(202)-233-9577
233-9637
233-9665
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TABLE OF CONTENTS
INTRODUCTION i
Contacts , ii
I. OVERVIEW OF THE STRATOSPHERIC OZONE PROTECTION PROGRAM
1.1 Stratospheric Ozone Protection Program iv
1.2 Controlled Substances iv
1.3 Definition of Controlled Substance- . vi
1.4 The Post-Phaseout Program vi
/
1.5 EPA Offices Responsible for the Stratospheric Ozone Protection Program . xi
2. REPORTING INSTRUCTIONS AND FORMS
2.1 Recordkeeping and Reporting . 1
2.2 Confidentiality of Information 2
2.3 Conversion Factors 2
2.4 Reporting by Diskette 2
2.5 Reporting by Fax 2
Reporting Forms - Post-Phaseout Stratospheric Protection Division 3
2.6 Producers of Class I Substances - Recordkeeping and Reporting Requirements 4
2.7 Importers and Imports of Class I Controlled Substances * Recordkeeping and Reporting
Requirements 12
2.8 Essential Use Holders and Laboratory Suppliers - Recordkeeping and Repotting
Requirements 22
2.9 Class n Chemicals: Production, Import and Export - Recordkeeping and Reporting
Requirements 29
2.10 Used Class I Controlled Substances - Petition to Import 33
2.11 Transformation and Destruction Credits - Request to Obtain Credits 34
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2.12 Trade of Article 5 Allowances 34
2.13 Essential-Use Exemption for Laboratory and Analytical Applications - Certification .... 42
2.14 Exporters and Exports - Recordkeeping and Reporting Requirements 46
2.15 Transformation and Destruction - Recordkeeping and Reporting Requirements 53
2.16 Second-Party Transformation and Second-Party Destruction - Recordkeeping and Reporting
Requirements 53
APPENDIX A: LIST OF CONTROLLED SUBSTANCES 58
APPENDIX B: PARTIES TO THE MONTREAL PROTOCOL, LONDON
AMENDMENTS, AND COPENHAGEN AMENDMENTS . . 60
APPENDIX C: ARTICLE 5 PARTIES 66
APPENDIX D: CONTROL PERIOD CALENDAR '67
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I. OVERVIEW OF THE STRATOSPHERIC OZONE PROTECTION PROGRAM:
AFTER JANUARY 1, 1996
1.1 STRATOSPHERIC OZONE PROTECTION PROGRAM
EPA's Stratospheric Ozone Protection Program was originally developed in response to the Montreal
Protocol on Substances that Deplete the Ozone Layer, an international agreement that requires
signatory nations (Parties) to reduce and eventually eliminate their production and consumption of
ozone-depleting substances.1 The Stratospheric Ozone Protection Program (the Program) is designed
to ensure that the U.S. meets its obligations to phase out and control these substances under the
Protocol and the Clean Air Act Amendments of 1990.
1.2 CONTROLLED SUBSTANCES
The Program defines two classes of ozone-depleting substances in the following list. The ozone
depletion potentials (ODPs) for these chemicals are presented in Appendix A.
All chemicals in class I, except Group VI (methyl bromide) are phased out beginning January I,
1996. The phaseout signifies a virtual elimination of production and importation of these chemicals in
the United States.
CLASS I CONTROLLED SUBSTANCES
Group I
CFC13 - Trichlorofluoromethane (CFC-U) ,
CF,C1, - Dichlorodifluoromethane (CFC-12)
C,F3C13 - Trichlorotrifluoroethane (CFC-113)
C2F4Cl2-Dichlorotetratluoroethane(CFC-ll4) ,
C2F5C1 - (Mono)chloropentailuoroethane (CFC-115)
All isomers of the above chemicals.
Group II
CF,BrCl - Bromochlorodifluoromethane (Halon 1211)
CF3Br - Bromotrifluoromethane (Halon 1301)
C2F4Br3 - Dibromotetrafiuoroethane (Halon 2402)
All isomers of the above chemicals.
1 Several minor revisions to the original 1988 EPA rule implementing controls and the phaseout of
ozone-depleting substances were issued on the following dates: February 9, 1989 (54 FR 6376), April
3, 1989 (54 FR 13502), July 5, 1989 (54 FR 28062), July 12, 1989 (54 FR 29337), February 13, 1990
(55 FR 5005), June 15, 1990 (55 FR 24490), June 22, 1990 (55 FR 25812), January 22, 1991 (56 FR
2420), March 6, 1991 (56 FR 9518), July 30, 1992 (57 FR 33754), December 10, 1993 (58 FR 65018),
December 30, 1993 (58 FR 69235), December 20. 1994 (59 FR 65478), and January 31, 19% (61 FR
1284).
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Group III
CFjCl - ChJorotrifluoromethane (CFC-13)
CFC15--(CFC-111)
C,FCK --(CFC-211) -
C,F:Clfl--(CFC-2l2)
CF:.CI< -(CFC-213)
C3F£lt ~ (CPC-214)
C:.F5C13-(CFC-215)
C3F,C1, - (CFC-216)
C,F-a--(CFC-217)
All isomers of the above chemicals.
Group IV
CCi4 - Carbon Tetrachlorjde
Group V
C,H3CI3 - 1,1,1-TrichIoroethane (Methyl Chloroform)
All isomers of the above chemical, except 1,1,2-trichloroethane.
Group VI
CH3BR - Methyl Bromide
Group VII
HBFCs Hydrobromofluoroearbons
All isomers of the above chemicals
CLASS II CONTROLLED SUBSTANCES: HCFCs - HYDROCHLOROFLUOROCARBONS
CHFC1,
CHF,C1
CH,FCI
C,HFC14
C,HF,C13
C,HF3CI,
.C,HF4C1
C,H,FC13
C2H,F,C1,
C,H,F3C1
C,H3FCI,
C,H3F,ci
C3HCFC14
C3HF,C15
C3HF3CI4
C3HF,C!3
C3HFSCU
- (HCFC-21) Dichlorofluoromethane
- (HCFC-22) Chlorodifluoromethane
- (HCFC-3I) Chlorofluoromethane
- (HCFC-121)
- (HCFC-122)
- (HCFC-I23)
- (HCFC-124)
- (HCFC-131)
- (HCFC-132b)
- (HCFC-l33a)
- (HCFC-14Ib)
- (HCFC-142b)
- (HCFC-221)
- (HCFC-222)
- (HCFC-223)
- (HCFC-224)
- (HCFC-225ca)
All isomers of the above chemicals
C3HF,C1 -
C3HF6CI -
C3H,FCI5 -
C3H2F,a -
C3H,F3C13 -
C3H,F4CI, -
C3H,F3C1 -
C3H3FC14 -
C3H3F,CI3 -
C3H3F3CI, -
C3H3F4C1 -
C3H4FC13 -
C3H4F,C1, -
C3H4F3C1 -
CjHjFCU -
C3HSF2C1 -
C3H6FCI -
(HCFC-225cb)
(HCFC-226)
(HCFC-231)
(HCFC-232)
(HCFC-233)
(HCFC-234)
(HCFC-235)
(HCFC-241)
(HCFC-242)
(HCFC-243)
(HCFC-244)
(HCFC-251)
(HCFC-252)
(HCFC-253)
(HCFC-261)
(HCFC-262)
(HCFC-271)
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1.3
DEFINITION OF CONTROLLED SUBSTANCE
Chemicals listed in Section 1.2 of this guidance document are considered controlled substances under
.the regulation, whether alone or in a mixture, if they are not in a manufactured product and are in
bulk containers, A bulk container is one that serves to transport the chemical and is not directly used
in the application of the chemical or as pan of a "use system." Iso-tanks used for transporting large
volumes of chemicals are clearly bulk containers, as are 50-gallon drums and pressurized cylinders .
that serve only to transport the chemical. A refrigerator that has CFC-i 1 in its foam insulation and
CFC-12 as its refrigerant is not a bulk container; instead, it is considered a product or a use system.
The refrigerator does not simply store these chemicals but uses them to refrigerate food.
1.4 THE POST-PHASEOUT PROGRAM
On January 1, 19%, the phaseout of class I controlled substances (except methyl bromide) went into
effect, which means a virtual halt to the production and import of these chemicals in the United
States.2
Even though the production and import of class I controlled substances (except methyl bromide) ends
on January 1, 1996, EPA does not restrict the use of these substances if they were produced or
imported before this date through the use of allowances. Class I controlled substances produced or
imported through the use of allowances prior to 1996 (1994 for haions) can continue to be used by '
industry and the public after the phaseout.
Although the use of class I controlled substances is not restricted through the accelerated phaseout
program, other regulations published under Title VI of the Clean Air Amendments of 1990 limit their
use in certain applications. For example, EPA promulgated regulations under §608 and §609 of the
CAA establishing standards and requirements to recover and recycle controlled substances during the
service, repair, or disposal of air-conditioning and refrigeration equipment, and motor vehicle air
conditioners. Under §610 and §611, EPA promulgated regulations prohibiting the use of controlled
substances in products determined to be "nonessentiaT and instituting labeling provisions. Finally,
under §612. EPA is examining the risks associated with the use of alternatives to class I substances,
and will publish lists of acceptable and unacceptable substitutes in various sectors. .
Halt to U.S. Production and Import - The Accelerated Phaseout
Beginning January t, 19%, there are no production allowances or consumption allowances for class I
controlled substances (except methyl bromide). Prior to January 1, 19%, a person could produce
class I controlled substances only if they had production allowances and consumption allowances. To
import class 1 controlled substances prior to January 1, 19%, a person was required to have
consumption allowances. Thus, there is no production or import except for very limited exceptions
after the beginning of 19%. .
NOTE: The term "consumption" for the purposes of this guidance document, the CAA and the
Montreal Protocol means "production plus import minus export."
2 After January 1, 19%, a very small amount of class I controlled substances can be produced or
imported under very specific exemptions (see below).
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Exceptions ro the Phaseout ' . .
Although production allowances and consumption allowances for class I controlled substances will no
longer be allocated after January 1. 1996 (except for methyl bromide), exceptions for the manufacture
of these substances may continue, if they are:
either transformed or destroyed,
exported to Article 5 countries,
produced for essential uses as authorized by the Protocol and CAA and consistent
with essential-use allowances, or
produced with destruction or transformation credits.
Class I controlled substances (except methyl bromide) may be imported, without the need for
consumption allowances after January 1, 1996, if they are:
either transformed or destroyed,
previously used, or
imported using essential-use allowances.
To track and monitor these exceptions to the phaseout,, the Program establishes the following types of
allowances and credits, as well as the reporting and recordkeeping requirements generally described
below and in Pan II. (Pan II describes the requirement in more detail but a company should still
refer to the acmal regulation to ensure thorough compliance):
(1) Anicle 5 allowances,
(2) essential-use allowances, and
(3) destruction and transformation credits.
Control Period
The Program operates within a control period equal to one calendar year. Allowances and credits are
only usable during the specific control period (i.e., from January 1, 1996 to December 31, 1996).
Post-Phaseout Tracking System
To facilitate the tracking of these new allowances and credits during a control period, EPA set up a
computerized database that tracks each company's expended and unexpended allowances and credits.
Each time a company submits a report informing the Agency of an action that affects its balance of
allowances, EPA issues the company a balance statement. This statement is similar .to the balance
statement a person might receive from a bank. Companies should keep track of their own allowances
and credits and should check their records against balance statements they receive from EPA.
Production for Expon to Article 5 Countries
Companies allocated baseline production allowances in the rule published in the Federal Register on
May 10, 1995, may produce fifteen (15) percent of their baseline after January 1, 1996 (except
methyl bromide) explicitly for expon to Anicle 5 countries. Appendix B lists Article 5 countries.
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Each company with baseline'production allowances for class I controlled substances in Groups I
through V and Group VII is given "Article 5 allowances" equal to 15 percent of the baseline
production allowances. Companies with baseline production allowances for class I, Group VI
controlled substances may produce 10 percent of baseline production allowances for export to Article
5 countries.
Inter-Pollutant Trades of Article 5 Allowances -
Companies allocated Article 5 allowances may make inter-pollutant trades. A company may trade
Article 5 allowances from one chemical to another chemical within a Group, as listed above. After
the last day of the control period (i.e., December 31, 1996) companies may use onfy these inter-
pollutant trades to reconcile the account balances of unexpended Article 5 allowances. These inter-
poliutant trades may occur within 45 days after the end of the control period.
Inter-Companv Trades of Article 5 Allowances
Article 5 allowances may be traded among companies in the U.S. AH of the transactions become
official only after they are reported to EPA, on the date that EPA processes the transaction. As with
the inter-pollutant trades described above, the number of Article 5 allowances subtracted from a
company's balance in an inter-company trade is equal to the number of Article 5 allowances (on an
OOP-weighted basis) that are traded plus one percent of this quantity. The additional one percent
"off-set" is required by the regulation because section 607(a) of the CAA states that trades must result
in greater reductions than would occur in their absence. If the trade combines an inter-company trade
and an inter-pollutant trade, the one percent offset is subtracted from the transferor's balance only
once.
Trades of Article 3 Allowances with Parties ,
After the January 1, 1996 phaseout, companies may trade Article 5 allowances to or from Parties to
the Protocol as permitted in Article 2, paragraph 5 of the Protocol. These international trades allow
greater global flexibility in meeting the demand in Article 5 countries for ozone-depleting substances
to meet basic domestic needs. -
To receive a trade from another Party, a U.S. company must submit proof (a diplomatic note from
the diplomatic representative in the nation's embassy within the United States) that the Party has
agreed to reduce its Article 5 production limit.
U.S. companies may transfer Article 5 allowances to a company in another Party. A company must
submit a transfer request to EPA. The Agency will review the transfer request and approve the
transfer if it is consistent with the Montreal Protocol and U.S. domestic policy. The Agency will-
consider such factors as the possible creation of economic hardship, possible effects on trade, and
potential environmental implications of the trade of production rights to other Parties. The Agency
will consult with the Department of State, the Department of Commerce, and the United States Trade
Representative concerning requests for trades to Parties to assist with these determinations.
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Import and Export Prohibitions of ODSs
In Section 82.4, EPA prohibits the import and export of .Group I and Group II, class I controlled
substances to and from a foreign state that is not party to the Protocol or complying with the
Protocol. EPA also prohibits the import and export of Groups III, IV, and V, class I controlled
substances to and from foreign states not party to the London Amendments or complying with the
London Amendments. Appendix B lists the countries who are panics to the Montreal Protocol and
the London Amendments.
Import Prohibition of Products
The rule prohibits the import of certain products containing Group I and Group II, class I controlled
substances from foreign states not party to the Montreal Protocol or complying with the Montreal
Protocol. .The product categories listed in the rule are presented below:
Category 1 Automobile and truck air conditioning units
Category 2 Domestic and commercial refrigeration and air conditioning heat pump
equipment
Category 3 Aerosol products
Category 4 Portable fire extinguishers
Category 5 Insulation boards, panels, and pipe covers
Category 6 Pre-polymers
Production and Import for TransfonnatiQn and Destruction
Companies that produce or import controlled substances for transformation or destruction do not need
allowances; therefore, these activities may continue after January 1, 1996. However, a person must
submit to EPA an Internal Revenue Service (IRS) certificate of intent to use a chemical as a feedstock
before producing or importing class I controlled substances to be transformed. To produce or import
a class I controlled substance that will be destroyed a person must provide EPA with a destruction
verification.
Petitioning EPA to Import Used Controlled Substances
An importer must petition EPA to import any shipment of controlled substance that was previously
used. The petition must be submitted to EPA at least 15 working days before the shipment is to leave
the country of export.
Pan II describes the information required in a petition. These instructions are in Section... Upon
receipt of the petition by EPA's Stratospheric Protection Division, EPA has 15 working days to
review the petition for the import of the used controlled substance. If EPA does not respond to the
petition within the 15 working days, the import is automatically allowed. The petition must
accompany the shipment through U.S. Customs. EPA will notify the U.S. Customs Service and the
Internal Revenue Service of the approved shipment, as well as denied shipments.
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Exporting Class I Controlled Substances :
Exporters are not required to have allowances in order to export. Companies may only export to
countries that signed the Montreal Protocol or the London Amendments to the Protocol. Exports
must be reported to EPA at the end of the control period.
Requirements for Returning Heels to the United States
Heels are the amount of a controlled substance remaining in a vessel or container after the majority is
.off-loaded or discharged. The industry rule-of-thumb is .that a heel is up to ten percent of the volume
of a container. Any container returning to the U.S. with more than 10 percent of its volume filled
with a controlled substance must expend destruction and.transformation credits or essential-use
allowances to be imported, otherwise its entry into the U.S. is a violation of the regulation.
A heel that is less than 10 percent of the volume of a container can be returned to the U.S. without
the need to expend destruction and transformation credits, as long as the person bringing the heel to
the U.S. certifies the material will be included in a future shipment, or be recovered .for
transformation, destruction or a non-emissive use. A person bringing a heel back into the U.S. must
provide EPA with a certification with the quarterly importer report described in Part II. In addition,
the person who brings heels back to the U.S. must report at the end of the control period on the final
disposition of each heel.
Transformation and Destruction Credits
Only persons nominated by the United States to the Montreal Protocol for an essential-use exemption
from the phaseout of a controlled substance are eligible to receive Transformation and Destruction
Credits. The credits are granted to a person for the destruction or transformation of a class I
controlled substance (except methyl bromide) taken from a use system in the United States. The
credits granted are equal to the amount of controlled substance destroyed or transformed minus a 15
percent offset. The credits may be used by the person to produce or import the class I controlled
substance for which they were nominated to the Protocol for an essential-use exemption. The person
holding the credits may confer them to a producer or importer. Both the holder of the credits and
producer or importer are subject to reporting requirements.
Class II Controlled Substances
The rule implements a different approach towards the phaseout of Class II substances. No allowances
are issued under the current regulation; rather, production and consumption will be limited to a cap
equal to 2.8 percent of CFCs consumed in 1989 plus the consumption of HCFCs in 1989, both
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weighted by the ozone-depleting potential. In the United States, these national caps will be
implemented as follows:
Class II Substances
Date
Jan I. 2003
Jan 1. 2010
Jan 1, 2015
Jan 1, 2020
Jan I, 2030
Affected Substances
HCFC-l4lb
HCFC-142b, HCFC-22
All Other HCFCs
HCFC-142b, HCFC-22
All Other HCFCs
Restriction
Ban on production and consumption, except for
specified exemptions
Ban on production and consumption of virgin chemical
unless used as feedstock or refrigerant in appliances
manufactured prior to Jan i, 2010
Ban on production and consumption of virgin chemical
unless used as feedstock or refrigerant in appliances
manufactured prior to Jan 1, 2020
Ban on remaining production and consumption, except
for specified exemptions
Ban on remaining production and consumption, except
for specified exemptions
EPA has not yet set baseline levels for the control of HCFC production and consumption.
1.5 EPA OFFICES - STRATOSPHERIC OZONE PROTECTION PROGRAM
Office of Air and Radiation (OAR), Office of Atmospheric Programs (OAP), Stratospheric
Protection Division (SPD)
The program office responsible for U.S. compliance with the Montreal Protocol and for policy issues
related to the implementation of Title VI of the Clean Air Act. The office:
Maintains the tracking system;
Monitors trades;
Resolves policy issues;
Reviews quarterly reports; and
Coordinates compliance monitoring.
Contact: Stratospheric Protection Division
U.S. Environmental Protection Agency (6205J)
401 M Street, S.W.
Washington, D.C. 20460
(202) 233-9410
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Office of Enforcement and Compliance Assurance (OECA)
Directs inspections, provides EPA Regional offices with guidelines on performing
inspections of producers, importers, exporters, and transformers.
Contact: . Chemical, Commercial Services^ and Municipal Division
Office of Compliance
U.S. Environmental Protection Agency
401 M Street, SW
Washington, D.C. 20460
(202)-564-7047
Office of Regulatory Enforcement (ORE)
Directs and coordinates enforcement activities.
Contact: Air Enforcement Division
Office of Regulatory Enforcement
U.S. Environmental Protection Agency .
401 M Street, SW (2242A)
Washington, D.C. 20460
(202)-564-2817
EPA Regional Offices
The Regional offices:
Perform on-site inspections of records kept by affected companies; and
Provide guidance on compliance with regulatory requirements.
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PART 2 - REPORTING INSTRUCTIONS AND FORMS
2.1 RECORDKEEPING AND REPORTING
Part II of this guidance document outlines industry recordkeeping and reporting requirements for the
Stratospheric Ozone Protection Program.
The EPA reporting forms included in this document are recommended formats for providing the
required information. Companies may, however, provide the same information in. another format.
Producers, importers, exporters, transformers, destroyers, essential-use holders, laboratory suppliers
and laboratories that deal in ozone-depleting substances (ODSs) controlled in the rule are required to
report periodically on a company-wide basis to EPA and to maintain records.
Recordkeeping
During inspections, records are used to verify quantities reported to EPA as produced, imported,
exported, transformed, destroyed, occupied in essential uses, and supplied to or used in laboratories.
Records and copies of reports must be kept by companies for three years.
Importers and transhipers must keep records on a shipment by shipment basis (dated records), while
producers are required to maintain records on a daily basis, although some producers may maintain
records on a business week basis, adjusting daily production records to account for weekends and
holidays.
Reporting
Quarterly and yearly reports are sent by companies to EPA's Tracking System Program Manager,
who after an initial check, enters them into the Tracking System. The Program Manager may resolve
reporting discrepancies over the telephone before entering the report into the Tracking System. A
cover letter and balance statement for each company is printed and mailed by the Program Manager
to acknowledge receipt of the quarterly and end-of-year reports.
Quarterly reports must be sent to EPA Headquarters postmarked within 45 days after the end of each
quarter. Quarters end March 31st, June 30th, September 30th, and December 31st; therefore
quarterly reports are due on:
May 15th,
August 15th,
November 15th and
February 15th (of the following calendar year)
Companies may obtain'a copy of a computer program to create diskettes for the submission of
Tracking System reports. Companies that submit reports on diskette must also submit a hard copy.
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2.2 CONFTOENTIALrnrOF INFORMATION
Information in reports submitted in compliance with the rule may be claimed as confidential. A
company may assert a claim of confidentiality for any information it submits by clearly identifying the
material as confidential. Such information will be treated in accordance with EPA's procedures for
handling information claimed as confidential under 40 CFR Pan 2, Subpart B, and will only be
disclosed by the means set forth in that subpart. If no claim of confidentiality accompanies a report
when it is received by EPA, the report may be made available to the public by EPA without further
notice to the company (40 CFR §2.203).
EPA utilizes the services of ICF Incorporated to assist with the operation of the computer tracking
system that stores the information submitted through the reports and to provide technical assistance
and support in evaluating the data. The contractor is the designated authorized representative of the
Agency and is given information claimed to be confidential. As the authorized representative, the
contractor is subject to the provisions of 42 U.S.C §7414(c) concerning any information that is
entitled to protection of trade secrets, as implemented by 40 CFR §2.301(h).
23 CONVERSION FACTORS
All quantities must be reported in kilograms, rounded to the nearest whole kilogram. The generally
accepted conversion factor between kilograms and pounds, for the purposes of this rule, are:
kilograms = pounds x 0.4536 .
For example, if an invoice states that 10,000 pounds (Ibs.) of a controlled substance were exported,
the amount reported to EPA should be 10,000 x 0.4536, or 4,536 kilograms (kgs.).
2.4 REPORTING BY DISKETTE
EPA has developed a computer program containing electronic versions of the various forms that it
makes available to companies free of charge. Quarterly and end-of-year reports, request for trades,
and other requests or reports may be entered on a 3 l/i inch computer diskette and submitted to the
Agency. All companies that submit information on a disk must also submit a hard copy of the
reports. Companies may obtain a copy of the program by contacting the Tracking System.Program
Manager at 202-233-9410.
2.5 REPORTING BY FAX
Companies may fax reports to the Tracking System Program Manager at (202)-233-%37 or
(202)-233-9577. If the report is faxed, a hard copy should got be sent by mail. However, a
company that faxes a report should followed up with a phone call to (202)-233-9192 to ensure EPA
received all the information.
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POST-PHASEOLT STRATOSPHERIC OZONE PROTECTION PROGRAM
REPORTING FORMS
These listed reporting forms are recommended formats; for providing the required information to EPA.
Companies may, however, provide the same information in another rbrmat if desired.
Title
QUARTERLY REPORTS
Producer Quarterly Report
Importer Quarterly Report
Essential Use Holder and Laboratory
Supplier Quarterly Report
Quarterly Report of Production, Import,
and Export of Class II Chemicals
MISCELLANEOUS REPORTS
Petition to Import Used Substances
Petition to Obtain Transformation
and Destruction Credits
Notification of Trade of Article 5
Allowances
Laboratory Certification Report
ANNUAL REPORTS
Annual Export Report
Annual Report of Second-Party
Transformation and Destruction
EPA Form Number Page
Number ofPages Number
7600-5-PA 4 8
7600-5-PB 4 18
7600-5-PZ 4 25
7600-5-PJ 2 31
7600-5-PC 3
7600-5-PE 2
7600-5-PF 3
7600-5-PL 2
39
44
50
56
Number*
S2.13(f)<3)
82.13
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2.6 PRODUCERS OF CLASS I SUBSTANCES - RECORDKEEPING AND REPORTING
REQUIREMENTS
A detailed discussion of producers' recordkeeping requirements, as well as a review of definitions can
be round in the January 1994. Guidance for the Stratospheric Ozone Protection Program. Section
82.3 of the rule published in the Federal Register on May 10, 1995, defines terms such as
"production." "transformation." and "destruction."
Recordkeeping
Section 82.13(f)(2) contains recordkeeping requirements for producers. Section 82.13(f)(l)(v)
requires companies to notify EPA of any changes in their daily recordkeeping procedures within 60
days of the change. . ' . ' .
Reporting - Producer Quarterly Report
Section 82.13(f) sets forth the regulatory requirement for quarterly reports. Producers are required to
report quarterly to EPA on a company-wide basis. Reports to be submitted to EPA require data on a
company-wide scale, even though recordkeeping, in most cases, is required on a facility or plant
basis.
Producers who also import controlled substances must file an Importer Quarterly Report with the
Producer Quarterly Report.
Production using Article 5 Allowances
Companies allocated baseline production allowances in §82.6 may produce up to fifteen (15) percent
of the baseline explicitly for export to Article 5 countries for their domestic use. The amount
produced for export to Article 5 countries is reported each quarter and deducted from that company's
balance of Article 5 allowances.
Production using Transformation/Destruction Credits Conferred
Only persons nominated by the U.S. for an essential-use exemption can obtain transformation and
destruction credits. A person with transformation and destruction credits may confer these credits to
a producer in a letter that requests the manufacture of a specified quantity. Producers report the
quarterly quantity produced and submit a copy of the letter conferring the credits.
Production for Global Laboratory Essential Use Exemption
i_
Production for the global laboratory essential use exemption must meet the purity criteria specified in
Appendix G of the rule published in the Federal Register on May 10, 1995.
Quarterly reports of total amounts produced under the global laboratory essential use exemption must
be accompanied by a list of the distributors of laboratory supplies and the laboratories customers and
the amount each requested during that quarter. In addition, the report must be accompanied by copies
of the certifications from distributors of laboratory supplies and laboratories that ordered class I
controlled substances (except Group VI). The certification should state that the controlled substance
-------
is purchased soleiy for the laboratory applications and will not be resold or used in manufacturing as
in §82.I3(f)(3)(xii) and (xiti).
Production using Essential-L'se Allowances Conferred
Holders of essential-use allowances may confer to a producer, in a letter, the right to produce a
specific quantity of a specified class I controlled substance. The letter should aiso certify that the
controlled substance is purchased solely for the specified essential use.
Producers must report quarterly the quantity manufactured for essential uses {the non-laboratory
essential uses) and submit a list of essentiaJ-use holders from whom orders were placed and the
quantity of specific essentiaJ-use substance requested and produced. In addition, the producer should
submit a copy of the letter conferring the right to produce the material and certifying its purchase
solely for the specified essential use.
Production for In-House or Second-Partv Transformation
Producers must report quarterly the quantities of class I controlled substances produced for in-house
and second-party transformation.
Section 82.13(1) requires a person who purchases class I controlled substances for second-party
transformation to provide the producer with an IRS certification of intent to use the substance as a
feedstock. -
Copies of the IRS certificates of intent to use the controlled substance as a feedstock must accompany
the quarterly report whether sold for second-party transformation in the U.S. or tor second-party
transformation overseas. For each purchaser, only one copy of the IRS certification must be'provided
during each control period as long as subsequent quantities shipped to that company are listed in each
quarterly report.
Production for In-House or Second-Party Destruction
Producers must report quarterly the quantities of class I controlled substances produced for in-house
and second-party destruction.
Section 82.13(k) requires a person who purchases class ( controlled substances for second-party
destruction to provide the producer from whom they purchased the material with verification that it
will be used in a process resulting in its destruction.
Copies of destruction verifications for quantities sold for second-party destruction must accompany the
Producer Quarterly Report.
Insignificant Quantities
The decision of the Parties to the Montreal Protocol to exclude insignificant quantities under certain
conditions is implemented by EPA under the definition of "controlled substance" in section 82.3 of
the regulation.
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QUARTERLY PRODUCER'S REPORT INSTRUCTIONS
(form 7600-5-PA)
Producer Quarterly Report has three sections: .
Section I - Submitting Company Information
Section 2 - Company Production Data (company-wide)
Section 3 - Summary of Ankle 5 Allowances
Section 1 - Producing Company Identification
I.I Date of Submission: date the report is submitted to EPA.
1.2 Producing Company: name of the company and the business address of the contact person for
the report. . '
1.3 Company Contact Identification: name, telephone number, and fax number of the company
official to be contacted by EPA if there are questions concerning the report. In general, this
should be the same person for all reports submitted under the Stratospheric Ozone Protection
Program.
'1.4 Quarter to Which this Report Applies: Check the appropriate box.
1.5 Importer Information: Check the appropriate box to indicate the company's status as an
importer.
1.6 Signature of Reporting Company Representative: The company official who is attesting to the
accuracy of the report must complete and sign this section. This person may or may not be the
company contact person identified in Section 1.4. The person signing the form should read the
"certification'' that the information on the form is accurate.
Section 2 - Company Production Data
2.1 Company Name: as it appears in Section 1.3.
2.2 Company Production Totals:
Chemical Name (Column AV the common names of class I controlled substances.
Article 5 Quarterly Production (Column B>: the total quantity, in kilograms, of each
controlled substance produced explicitly for export to Article 5 countries during this quarter
that will require expenditure of Article 5 allowances.
Transformation/Destruction Credits Conferred (Column Q: the total quantity, in
kilograms, of each controlled substance produced with conferred transformation and
destruction credits. (Submit letter conferring credits.)
-------
Global Laboratory Essential Uses Exemption (Column D): the total quantity, in kilograms,
of each controlled substance produced and shipped under the global laboratory essential use
exemption. (Submit the certifications from distributors of laboratory supplies and
individual laboratory customers.)
Essential Use .Exemption (Other than global laboratory) (Column E): total quantity, in
kilograms, of each controlled substance produced and shipped to a holder of essential-use
allowances in the quarter. (Submit jetter conferring rights to produce and certifying
purchase for the essential use.) ' .
Production for In-House Transformation (Column Ft: the total quantity, in kilograms, of
each controlled substance produced for in-house transformation during the quarter.
Production for Second-Party Transformation...(Column G): the total quantity, in kilograms,
of each controlled substance produced for second-party transformation. (Submit the IRS
certificate of intent to use the substance as a feedstock with the first sale to a company and
list subsequent quantities sold to that company.)
Production for In-House Destruction (Column H): the total quantity, in kilograms, of each
controlled substance produced for in-house destruction. . *
Production for Second-Party Destruction (Column I): the total quantity, in kilograms, of
each controlled substance produced for second-party destruction. (Submit copy of the
destruction verification from each company.)
Total Production of Controlled Substance (Column J): the sum of the quantities of each
controlled substance produced as listed in Columns B+C+D+E.
Section 3 - Allowance Expenditure Data
3.1 Company Name: name as it appears in Section 1.3.
3.2 Article 5 Yearly Balance Summary
Chemical Name (Column A): the names of class I controlled substances.
Total Article 5 Allowances for Year to Date (Column B): quantity of expended and
unexpended Article 5 allowances.
Expended: the total number of Article 5 allowances expended in producing each controlled
substance through the year to date, as of the end of the quarter.
Unexpended: the total number of unexpended Article 5 allowances equals the number of
Article 5 allowances allocated at the beginning of the control period (plus or minus any
obtained or lost through trades or other transactions) minus the number of allowances
expended by producing that substance. Please supply this information for ail substances for
which the company holds Article 5 allowances.
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EPA u-s- Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS. I CONTROLLED SUBSTANCE REPORT:
PRODUCER QUARTERLY REPORT {Sec 82.13(f)(3))
Company Name
Street Address
City
1.3 Company Contact Identification
Reporting Company Contact Person
State
Zip Code
son
Phone Number
Fax Number
^^^^^^^H [ ] 1st [ I 2nd [ ] 3rd
Is your company an importer of controlled substances? [ ] Y
if yes, is the Importer Quarterly Report attached? [ ] Y
I ].4th
{ JN
[ ]N.
;1.5 Importer Information
1.6 Signature of Reporting Company Representative
/ certify under penalty of law that I have personally examined and am familiar with the information submitted in this and all
attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining the information, I
believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for
submitting false information, including the possibility of fine and imprisonment.
Name
Title
Signature
Date
SEND COMPLETED FORMS TO:
Tracking System Program Manager
Stratospheric Protection Division
U.S. EPA(6205J)
Street, S\
Washington. DC 20460
Information m reports submitted in compliance with the final rule may to claimed as confidential A company may assert a claim of confidenbaiity for information submitted by dearly marking that
information as confidential. Such information snail be treated in accordance «rth EPA's procedures for information claimed as confidential at 40 CFR Pan 2. Subpert B. and will only be disclosed ay
the means set fonh m t
A FORM 7600-5-PA-1 Revised 4/1/96
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EPA u-s- Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS 1 CONTROLLED SUBSTANCE REPORT:
PRODUCER QUARTERLY REPORT (Sec 82.13(f)(3))
SECTION 2
2.1 Company Name
2.2 Company Production Totals
COMPANY PRODUCTION DATA
A
Chemical
Name
CFC-11
CFC-12
CFC-11 3
CFC-114
CFC-11 5
CFC-13
NpFC-111
TCFC-112
CFC-211
CFC-212
CFC-213
CFC-214
CFC-215
CFC-216
CFC-217
Carbon
Tetrachloride
Methyl
Chloroform
Methyl
Bromide
y^Fcs
B
Article 5 Quarterly
Production
.
C
Transformation and
Destruction Credits
Conferred
D
Global Laboratory
Essential Use
Exemption
'
E
Essential Use
Exemption
(Other Than Global
Laboratory)
F
Production in kg of
Controlled Substance
for In-House
Transformation
=A-2 Revised 4/1/96
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EPA u-s- Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSf ANCE REPORT:
PRODUCER QUARTERLY REPORT (Sec 82.13(f){3))
SECTION 2
2.3 Company Name
COMPANY PRODUCTION DATA (Continued)
2,4 Company Production Totals
^i^^Mi
A
Chemical
Name
CFC-11
CFC-12
CFC-113
CFC-11 4
CFC-11 5
CFC-13
£FC-111
CFC-112
CFC-211
CFC-212
CFC-213
CFC-214
CFC-215
CFC-216
CFC-217
Carbon
Tetrachloride
Methyl
Chloroform
Methyl
Bromide
l^BFCs
HHHB^H^^H^HBBBHI
G
Production in kg of
Controlled Substance for
Second-Party
Transformation
.
H
Production in kg of
Controlled Substance for
In-House Destruction
'
1
Production in kg of
Controlled Substance for
Second Party Destruction
J
Total Production in kg of
Controlled Substance
B+C+D+E
_
BA FORM 7600-5-PA-3 Revised 4/1/96
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FORM APPROVED OMB NO. 20600170
EPA U.S. Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
PRODUCER QUARTERLY REPORT (Sec 82.13(f)(3))
SECTION 3
3.1 Company Name
ALLOWANCE EXPENDITURE DATA
3.2 Article 5 Yearly Balance Summary
A
Chemical
Name
CFC-1 1
CFC-12
CFC-113
CFC-114
^FC-115
^FC-13
CFC-1 11
CFC-112
CFC-21 1
CFC-212
CFC-21 3
CFC-21 4
CFC-215
CFC-216
CFC-21 7
Carbon
Tetrachloride
Methyl
Chloroform
Methyl
I Bromide
PJBFCS
B
Total Article 5 allowances for year to date
(as of the end of the quarter) that were:
Expended
Unexpended
'
EPA FORM 7600-5-PA-4 Revised 4/1/96
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2.7 IMPORTERS AND IMPORTS OF CLASS I CONTROLLED SUBSTANCES -
RECORDKEEPING AND REPORTING REQUIREMENTS
Definitions of the terms "import," "transformation," "destruction," and "used controlled substances"
are found in the rule published in the Federal Register on May 10, 1995.
Recordkeeping
Subsection 82:13 (g)(\) describes recordkeeping requirements for importers of controlled substances.
Reporting - Importer Quarterly Report
^ -^^^~"~ * ^^^""^"^^^^ * t
Importers of class I controlled substances, whether virgin or used, are required to report to EPA on a
quarterly basis. Blends and mixtures of controlled substances are considered imports and must.be
reported. .
Specific reporting requirements, listed in the regulation under §82.13(g)(3), are reproduced in the
attached forms for the convenience of reporting companies.
Import for the Global Laboratory Essential-Use Exemption
Imports for the global laboratory essential use exemption must meet the stringent purity and
packaging criteria described in Appendix G of the rule published in the Federal Register on May 10,
1995. - "
Quarterly reports of total amounts imported under the global laboratory essential use exemption must
be accompanied by a list of the distributors of laboratory supplies and the individual laboratories that
purchased material and the amount requested by each during that quarter. In addition, the report
must be accompanied by copies of the certifications from distributors of laboratory supplies and
laboratories that ordered the material. The certification should state that the controlled substance is
purchased solely for laboratory applications and will not be resold or used in manufacturing
(§82.13(f)(3)(xii)and(xiii). " . . .
Imports for or bv Holders of Essential;Use Allowances
Holders of essential-use allowances may import themselves or confer to an importer, in a letter, the
right to import a specific quantity of a specified class I controlled substance. The letter should also v
certify that the controlled substance is imported solely for the specified essential use.
\ - .
The person who imports must report quarterly the quantity brought into the United States for essential
uses (non-laboratory essential uses), if imported for holders of essential-use allowances the person
must submit a list of essential-use holders from whom orders were placed and the quantity of specific
essential-use substance requested and shipped. The importer must also submit a copy of the letter
conferring the right to import the material and certifying its purchase solely for the specified essential
use.
12
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Imports using Transformation/Destruction Credits
OnJy persons nominated by the U.S. for an essential-use exemption can obtain transformation and
destruction credits. A person with transformation and destruction credits may import themselves-or
confer these credits to an importer in a letter that requests a specified quantity.
The importer must report quarterly the quantity brought into the United States either using credits or
submit a copy of the letter conferring the credits to bring the material into the U.S.
Imports for In-House or Second-Party Transformation '
Importers must report quarterly the quantities of class I controlled substances imported for in-house
and second-party transformation. Section 82.13(1) requires that a person who purchases ciass I
controlled substances for second-party transformation must provide the importer with an IRS
certification of intent to use the substance as a feedstock.
Copies of the IRS certificates of intent to use the controlled substance as a feedstock must accompany
the Importer Quarterly Report. For each purchaser, only one copy of the IRS certification must be
provided as long as subsequent quantities shipped to that company are listed in each quarterly report.
Imports for In-House or Second-Party Destruction
Importers must report quarterly the quantities of class I controlled substances imported for in-house
and second-party destruction. Section 82.13(k) requires the person who purchases class I controlled
substances for second-party destruction to provide the importer with a verification that the controlled
~ substances.will be used in processes that result in their destruction.
The importer quarterly report must be accompanied by copies of destruction verifications for
quantities sold tor second-party destruction. *
Imports of Used Controlled Substances
Imports of used controlled substances are reported separately in the Importer Quarterly Report.
Heels
A heel is any quantity of controlled substance returning to the United States that is less than 10
percent of the volume of the container that was not un-loaded or discharged from that container.
Imported heels are reported in each quarterly report. The importer of heels must submit the
certification required in 82.13(r) that the material will either: (t) remain in the container and be
included in a future shipment; (2) be recovered and transformed; (3) be recovered and destroyed, or
(4) be recovered for a non-emissive use.
Transhipments
Companies which tranship must keep records that the transhipment originated in one country destined
for another country and did not enter interstate commerce in the United States.
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IMPORTER QUARTERLY REPORT INSTRUCTIONS
(Form 7600-5-PB)
The Importer Quarterly Report has three sections:
Section 1 - Submitting Company Information
Section 2 - Summary of Individual Transactions
Section 3 - Company Import Data (company-wide)
Section 1 - Importing Company Identification.
1.1 Date of Submission: date report is submitted to EPA. .
1.2 Number of Transactions Reported: total number of individual transactions reported in Section 2.
1.3 Number of Pages Submitted:. total number of pages in the report, including transaction summary
pages.
1.4 Quarter to Which this Report Applies: check the appropriate box.
1.5 Importing Company: the name of the company and the business address of the contact person for
the report.
1.6 Company Contact Identification: the name, telephone number, and fax number of the company
official who may be contacted by EPA concerning the report. In general, this should be the
same person for all reports submitted under the Stratospheric Ozone Protection Program.
1.7 Signature of Reporting Company Representative: company official who is attesting to the
accuracy of the report. This may or may not be the company contact person identified in
Section 1.6.
Section 2 - Transaction Record Summaries
2.1 Company Name: company submitting the Importer Quarterly Report, as in Section 1.5.
2.2 Transaction Summaries: Enter "1" for first transaction of the quarter and proceed with "2",
"3", and so on, for additional transactions. Reproduce this page as needed to obtain sufficient
blank spaces for additional transactions. .
Source Country: the country that exported the controlled substance to the U.S.
Chemical Name: the controlled substance using its common name, such as CFC-ll, CFC-12,
CFC-113. If the substance imported is a component of a blend or a mixture, identity both the
controlled substance and the blend (i.e., "R-500 containing CFC-12").
Port of Exit from Source Country: port city from which the controlled substance was exported,
as shown on the U.S. Customs Entry Summary Form or bill of lading.
14
-------
Commodity Code of Shipment: Indicate the I0-digit code number as identified in the
Harmonized Tariff Schedule. The commodity codes for class I controlled substances changed in
1996. These are the commodity codes designated by the U.S. Customs Service tor the
controlled substances. However, the actual code used should be entered here it' it is different
from these codes.
CFC-11 (trichlorofluoro.methane) 2903.41.0000
CFC-12 (dichiorodifluoromethane) 2903.42.0000
CFC-113 (trichJorotrifluoroethane) 2903.43.0000
CFC-114 (dichlorotetrafluoroethane) 2903.44.0010
CFC-115 (.chloropentatluoroethane) . 2903.44.0020
Halons (1211, 1301 & 2402) 2903.46.0000 '
Mixtures with chJorofluorocarbons (CFCs) 3824.71.0000
such as R-500 and R-502
Mixtures, Other 3823.79.0000
(one or more fully halogenated compounds
as defined in commodity codes listed above)
Carbon Tetrachloride 2903.14.0000
Methyl Chloroform (1,1,1-trichloroethane) 2903.19.6010
Methyl Bromide 2903.30 J520
Organic Composite Solvents and Thinners 3814.00.5010
(containing methyl chloroform or
carbon tetrachJoride)
Importer Number: the identification used for an import is usually the company's IRS number.
Please ensure the number is a complete U.S. Customs Service Importer Number. This number
appears on the Customs Entry Summary Form 7501 as two digits, followed by a dash, then
seven digits (e.g., 12-1234567).
Quantity of Commodity Imported: kilograms of the commodity imported.
Quantity of Controlled Substance Imported: kilograms of the controlled substance imported. For
pure controlled substances, this will equal the quantity of the commodity imported. For
mixtures containing controlled substances, multiply the percentage of controlled substance in the
mixture by the quantity of commodity imported.
Port of Entry into the U.S.: the port in the U.S. where the shipment landed.
15
-------
Date of Import: the import date, as shown in Block 27 of the Entry Summary Form. The date
of import is the date that the ship arrives at the port, or the truck or train enters the United
States.
Customs Entry Summary Number: this number identities the specific Customs Entry Summary
Form (from block number I of U.S. Customs Form 7501). The Customs Entry Summary
Number is generally thrae (3) letters followed by nine (9) digits.
Type of Import: check the box that applied to the specific transaction.
Section 3 - Company Import Data
3.1 Company Name: name of the company submitting the report, as in Section 1.3.
3.2 Company Import Totals: .
Chemical Name (Column A): the common names of the controlled.substances.
Global LaboratonLEssential Use ExemptionJJCoiumn B'): total quantity, in kilograms, of each
controlled substance imported during the quarter that meets the .purity standards for laboratory
applications. If the substance imported was a component of a mixture (i.e., the refrigerants R-
500 or R-S02), report only the amount of the controlled substance in the mixture.
The importer must submit the certification from a distributor of laboratory supplies or a
laboratory for the quantity listed for each substance in Column B1.
Essential Use Exemption (other than global laboratory) (Column B2): total quantity, in
kilograms, of each controlled substance imported and sold using essential-use allowances either
held or conferred. (Submit letters conferring essential-use allowances and certifying purchase
for the specific essential use.)
Transformation/Destruction Credits (Column C): total quantity, in kilograms, of each controlled
substance imported using transformation/destruction credits. (Submit the letter conferring the
credits.)
In-House Transformation (Column D): total quantity, in kilograms, of each controlled substance
imported for in-house transformation purposes during the quarter.
Second-Party Transformation (Column E): total quantity, in kilograms, of each controlled
substance imported and sold for second-party transformation during the quarter. (Submit the
IRS certificate of intent to use the substance as a feedstock for the first sale to a company in a
control period and only list subsequent quantities sold to that company.)
In-House Destruction (Column F): total quantity, in kilograms, of each controlled substance
imported in the quarter for in-house destruction. '
16
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Second-Party Destruction (Column G): totaJ .quantity, in kilograms, of each controlled substance
imported and .sold in the quarter for second-party destruction purposes. (Submit the .destruction
verification letters.)
Total Imports (Column H): the sum of the quantities listed in Column B1. + B- + C for each
controlled substance in the quarter.
If the substance was a component of a mixture, report only the amount of the controlied
substance in the mixture.
Total Imports of Used Controlled Substances (Column I): total quantity, in kilograms, of each
used controlled substance imported in the quarter.
TotaJ Heels: total quantity, in kilograms, of each controlled substance brought into the United
States as a heel that is less than 10% of the volume of each container. (Submit the certification
that the heel will be treated as required in 82.13(r)).
17
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FORM APPROVED OMB NO. 2060-017
U.S. Environmental Protection Agency .
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
IMPORTER QUARTERLY REPORT (Sec 82.13(g)(4))
.ECTION1
1.1 Date of
Submission
1.4 Quarter to Which This Report Applies:
IMPORTING COMPANY IDENTIFICATION
1.2 Number of
Transactions
Reported
[ ] 1st
1.3 Number
of Pages
Submitted
{ ] 2nd
[ ] 3rd
[ 1 4th
1.5 Importing Company
Company Name
Street Address
City
State
Zip Code
Phone Number
Fax Number
Company Contact Identification
Reporting Company Contact Person
1.7 Signature of Reporting Company Representative
/ certify under penalty of law that I have personally, examined and am familiar with Ihe information submitted in this and all
attached documents, and that based on my inquiry of those individuals immediately responsible fot obtaining the information, i
believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for
submitting false information, including the possibility of fine and imprisonment.
Name
Title
Signature
Date
SEND COMPLETED FORMS TO:
Tracking System Program Manager
Stratospheric Protection Division^
U.S. EPA (6205J)
401 M Street, SW
Washington. DC 20460
information in resorts submitted in compliance wrtn tne final rule may be claimed as confidential. A company may assert a claim of eofifidentiairty for information submitted by cieany marking mat
information as confidential Such information snail be treated in accordance with EPA's procedure* for information claimed as confidential at 40 CFR Part 2. Suboart B. and will oruy Be disclosee sy
tne means set forth in tne suboart if no claim of confidentiality accompanies tne report when it is received by EPA. rt may be made pubic without runner notice to the company (40 CFR 2.203}
EPA FORM 7600-5-PB-1 Revised 4/1/96
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FORM APPROVED OMB NO. 2060-0170
EPA U.S. Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS | CONTROLLED SUBSTANCE REPORT:
IMPORTER QUARTERLY REPORT (Sec 82.13(g)(4))
CTION 2
2.1 Company Name
TRANSACTION RECORD SUMMARIES
(Reproduce additional sheets as needed)
2.2 Transaction Summaries
TRANSAC1
Source Country
Port of Exit from Source Country
importer Number Quanti
Port of Entry into the U.S.
Transformation [ | Destruction
riOW it ^H
Chemical Name of Controlled Substance Imported
Commodity Code of Shipment
ty of Commodity Imported (kg) Quantity of Controlled Substance Imported (Kg)
Date of Import Customs Entry Summary Number
P~| Essential Uses | | T/D Credits | | Used | | Heels | j
TRANSACTION #
Source Country
Port of Exit from Source Country
Importer Number
Port of Entry into the .U.S.
Chemical Name of Controlled Substance Imported
Commodity Code of Shipment
Quantity of Commodity imported (kg)
Transformation | | Destruction { J
Date of Import
Essential Uses [ J
Quantity of Controlled Substance Imported (Kg)
Customs Entry Summary Number
T/D Credits f | Used QJ Heels | \
Source Country
Port of Exit from Source Country
Importer Number
P^fcf Entry into the U.S.
Chemical Name of Controlled Substance Imported
Commodity Code of Shipment
Quantity of Commodity imported (Kg) Quantity of Controlled Substance Imported (Kg)
Transformation | | Destruction | |
Date of Import
Customs Entry Summary Number
Essential Uses Q] T/D Credits | | Used [^ . Heels | |
EPA FORM 7600-5-PB-2 Revised 4/1/96
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AKKKUVfcU UMB NO. 2060-0170
EPA u-s Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
IMPORTER QUARTERLY REPORT (Sec, 82.13(g)(4))
c CTION 3
I'3.1 Company Name
3.2 Company Import Totals
COMPANY IMPORT DATA
A
Chemical
Name
CFC-11
CFC-12
CFC-1-13
CFC-11 4
CFC-11 5
HaIon-1211
Haton-1301
Halon-2402
CFC-13
CFC-111
CFC-11 2
CFC-21 1
CFC-21 2
CFC-21 3
CFC-21 4
CFC-21 5
CFC-216
CFC-21 7
Cartson
Tetrachloride
Methyl .
CUKDform
IVW
Bromide
HBFCs
EPA FORM 760
B
imports in kg of Controlled Substance
for Essential Uses
Global
Laboratory
Essential Use
Exemption
*
Essential Use
Exemption (Other
Than Global
Laboratory)
C
imports in kg of
Controlled Substance
with Transformation/
Destruction Credits
D
Imports in kg of
Controlled
Substance for
In-House
Transformation
j.
E
Imports in kg of
Controlled
Substance for
Second-Party
Transformation
F
. Imports in kg
of Controlled
Substance for {
In-House
Destruction
i
1
i
i
1
!
i
3-5-PB-3 Revised 4/1/96
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i wrrtuveu uwio NU. ^uou-ui
EPA u-s- Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
IMPORTER QUARTERLY REPORT (Sec. 82.13(g)(4))
SECTION 3
3.3 Company Name
3.4 Company Import Totals
COMPANY IMPORT DATA (Continued)
A
Chemical
Name
CFC-1 1
CFC-12
CFCX113
CFC-1 14
CFC-1 15
Halon-1211
^Pon-1301
Haion-2402
CFC-1 3
CFC-1 11
CFC-1 12
CFC-211
CFC-212
CFC-213
CFC-214
CFC-215
CFC-216
CFC-217
Carbon
T^rachloride
Mtyl
Chloroform
Methyl
Bromide
HBFCs
G
Imports in kg of
Controlled Substance
for Second-Party .
Destruction
>
H
Total Imports m kg of
Controlled Substance
B,«-B2+C
Total Imports in kg of
"Used" Controlled
Substance
EPA FORM 7600-5-PB-4 Revised 4/1/96
Total Amount of "Heels" in
kg of Controlled
Substance
-------
-------
1.3 Number of Pages Submitted: total number of pages in the report, including transaction summary
pages.
1.4 Quarter to Which this Report Applies: check the appropriate box.
1.5 Reporting Company: name of the company and the business address of the contact person for the
report. . . ' .
1.6 Company Contact identification: the name, telephone number, and fax number of the company
.official who may be contacted by EPA concerning the report. In general, this should be the
same person for ail reports submitted under the Stratospheric Ozone Protection Program.
1.7 Signature of Reporting Company Representative: company official who is attesting to the
accuracy of the report. This may or may not be the company contact person identified in Section
1.6.
Section 2 - Transaction Summaries - Amounts Received from Producers or Importers
2.1 Company Name: company submitting the Importer Quarterly Report, as in Section 1.5.
2.2 Transaction Summaries: Enter "I" for first transaction of the quarter and proceed with "2", "3",
and so on, for additional transactions. This form may be reproduced as needed to obtain
sufficient blank copies.
Source Company: the company name and address from whom the material was received.
Chemical Name of Controlled Substance Received: the common name, such as CFC-11,
CFC-I2, of the substance received. If the substance is a component of a biend or a
mixture, identify both the controlled substance and the blend (i.e., "R-500 containing CFC-
12").
Quantity of Controlled Substance (kg) Received: kilograms of the commodity received.
Section 3 - Transaction Summaries - Amounts Supplied to Labs
3.1 Company Name: company submitting the Importer Quarterly Report, as in Section 1.5.
3.2 Transaction Summaries: Enter "1" for first transaction of the quarter and proceed with "2", "3",
and so on, for additional transactions. This form may be reproduced as needed to obtain
sufficient blank copies. If it is the first order placed by a lab for a specific chemical, the report
must be accompanied by the "Laboratory Certification Report."
Lab Company: .the lab name and address to whom the material was supplied.
* - -
Chemical Name of Controlled Substance Supplied to Lab: the common name, such as
CFC-11, CFC-12, of substance supplied to lab. If substance is a component of a blend or a
mixture, identify both the controlled substance and the blend (i.e., "R-500 containing CFC-
12").
23
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2.8 ESSENTIAL USE HOLDERS AND LABORATORY SUPPLIERS - RECOEtDKEEPING
AND REPORTING REQUIREMENTS
Recordkeeping
There are.no record keep ing requirements for people allocated essential-use allowances. There are no
recordkeeping requirements for distributors of laboratory supplies. However, EPA recommends that
companies placing orders for ozone-depleting substances with producers or importers for essential
uses or for distribution to laboratories maintain copies of their certification letters, the original
order/invoice, and other documents verifying shipment and receipt of the material.
Reporting - Essential Use Holder and Laboratory Supplier Quarterly Report
Companies allocated essential-use allowances in section §82.4 and distributors of laboratory supplies
must report quarterly. A company must report:
the quantity of each controlled substance received from each producer or importer
during the quarter,
* the amount supplied to each lab during the quarter, which must be accompanied by the
Laboratory Certification Report if it is the first order placed by that lab for a specific
controlled substance under the global laboratory essential-use exemption, and
a summary of the total quantity of each controlled substance received during the quarter,
and the total quantity supplied to labs if sold under the global laboratory essential-use
exemption.
ESSENTIAL USE HOLDER AND LABORATORY SUPPLIER
QUARTERLY REPORT
(Forni 7600-5-PZ)
The Essential Use Holder and Laboratory Supplier Quarterly Report has four sections:
Section 1 - Submitting Company Information
Section 2 - Transaction Summary of Amounts Received
Section 3 - Transaction Summary of Amounts Supplied to Labs
Section 4 - Total Quantities Received and Supplied
Section 1 - Company Identification
1.1 Date of Submission: date report is submitted to EPA.
1.2 Number of Transactions Reported: total number of individual transactions reported in all parts of
the report.
22
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Quantity of Controlled Substance (kg) Supplied toLab: kilograms of the commodity
supplied to the tab.
Section 4 - Total Amounts
4.1 Company Name: company submitting the Importer Quarterly Report, as in Section 1.5.
4.2 Company Totals:
Chemical Name (Column AV: list of class I controlled substances.
Total Quantity Received (Column B): total quantity, in kilograms, of each controlled
substance that the submitting company received in the quarter, either from a producer or
importer.
Total Quantity Supplied to Labs (Column O: total quantity, in kilograms, of each
controlled substance supplied to labs in the quarter.
24
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FORM APPROVED OMB NO. 2060-017
EPA u-s- Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS II CONTROLLED SUBSTANCE REPORT:
QUARTERLY REPORT OF PRODUCTION, IMPORT
EXPORT OF CLASS II CHEMICALS (Sec 82.13(nJ)
Company Name
Street Address
Crty
1.3 Company Contact Identification
Reporting Company Contact Person
.4 Quarter to Which This Report Applies
State
Zip Code
Phone Number
Fax Number
[ 1 1st
[ J 2nd
I ] 3rd
I ] 4th
1.6 Signature of Reporting Company Representative
/ certify under penalty of law that I have personally examined and am familiar with the information submitted in this and all
attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining the information. I
believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for
submitting false information, including the possibility of fine and imprisonment.
Name
Title
Signature
Date
SEND COMPLETED FORMS TO:
Tracking System Program Manager
Stratospheric Protection Division
U.S. EPA(6205J)
401 M Street. SW --.'~
Washington. DC 20460
information tn resorts submitted in compliance witn the final rule may be claimed as confidential. A company may as*ert a datm of confidentiality for information submitted ay cleany marking that
information as confidential Such information snail be treated in accordance with EPA's procedures for information claimed as confidential at 40 CFR Part 2, Subpart B. and will only be disclosed sv
the means set forth in me subpart if no claim of confidentiality accompanies tne report wnen it a received by EPA. it may be made public without further notice to tne company (40 CFR 2 203)
EPA FORM 7600-5-PJ-1 Revised 4/1/96
-------
-------
J^UKM APPROVED OMB NO. 2060-017
U.S. Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS II CONTROLLED SUBSTANCE REPORT:
QUARTERLY REPORT OF PRODUCTION, IMPORT, AND
EXPORT OF CLASS II CHEMICALS (Sec 82.13{n}}
SECTION 2
INFORMATION ON CLASS II CHEMICALS
mm^m^^^mmmmmmmmii^
Chemical Name
HCFC-21
HCFC-22
HCFC-31
HCFC-121
HCFC-122
HCFC-123
HCFC-124
HCFC-131
HCFC-132b
HCFC-133a
HCFC-141b
HCFC-142b
HCFC-151
HCFC-221
^FC-222
HCFC-223
HCFC-224
HCFC-225ca
HCFC-225cb
HCFC-226
HCFC-231
HCFC-232
HCFC-233
HCFC-234
HCFC-235
HCFC-241
HCFC-242
HCFC-243
HCFC-244
HCFC-251
HCFC-252
WC-253
flfPc-261
HCFC-262
HCFC-271
Production (kg)
Gross
Trans!
Destr.
Net
j. '
Imports (kg)
Gross
Net*
Exports (kg)
Gross
Net'
..
tt
'Excluding quantities that are used in processes resulting in complete transformation or destruction.
EPA FORM 76QO-5-PJ-2 Revised 4/1/96
-------
-------
U.S. Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
ESSENTIAL USE HOLDER AND LABORATORY
SUPPLIER QUARTERLY REPORT
SECTIONS
3.1 Company Name
AMOUNTS SUPPLIED TO LABS
(Reproduce additional sheets as needed)
3.2 Transaction Summaries-Amounts Supplied to Labs
TRANSACTION #
Lab Company
Street Address
City
State
Zip Code
Chemical Name of Controlled Substance Supplied to Lab
Quantity of Controlled Substance (kg) Supplied to Lab
TRANSACTION #
Lab Company
Street Address
City
State
Zip Code
Chemical Name of Controlled Substance Supplied to Lab
Quantity of. Controlled Substance (kg) Supplied to Lab
TRANSACTION #
Lab Company
Street Address
State
Zip Code
Chemical Name of Controlled Substance Supplied to Lab
Quantity ofControlled Substance (kg) Supplied to Lab
EPA FORM 7600-5-PZ-3 Revised 4/1/96
-------
-------
EPA u-s- Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
ESSENTIAL USE HOLDER AND LABORATORY
SUPPLIER QUARTERLY REPORT
SECTION 4
4.1 Company Name
4.2 Company Totals
TOTAL AMOUNTS
A
Chemical
Name
CFC-11
CFC-12
CFC-1t3
CFC-11 4
CFC-11 5
^FC-13
CFC-111
CFC-112
CFC-21 1
CFC-21 2
CFC-21 3
CFC-214
CFC-21 5
CFC-216
CFC-21 7
Carbon
Tetrachloride
^^thyl
Methyl
Bromide
HBFCs
B
Total Quantity Received in kg
of Controlled Substance
. -
,"
C . .
Total Quantity Supplied to
Labs in kg of Controlled
Substance
.
*
-
EPA FORM 7600-5-PZ-4 Revised 4/1/96
-------
-------
1.6 Signature of Reporting Company Representative: company official who is attesting to the
accuracy of the report. This may or may not be the company contact person identified in Section
1.6.
Section 2 - Information on Class II Chemicals
Chemical Name: list of class H controlled substances.
Production (kg): list the gross quantity, in kilograms, of each class II controlled substance
produced. List the portion of the gross quantity that is for transformation, and the portion of the
gross quantity that is for destruction. The net quantity is the gross quantity minus the quantity
transformed and destroyed. '
(GROSS PRODUCTION - TRANSFORMATION - DESTRUCTION = NET PRODUCTION)
Imports (kg): list the gross quantity, in kilograms, of each class II controlled substance imported.
Subtract from the gross quantity imported that portion that is for transformation or destruction to
calculate the net quantity imported.
(GROSS IMPORTS - TRANSFORMATION - DESTRUCTION = NET IMPORTS)
Exports (kg): list the gross quantity, in kilograms, of each class II controlled substance exported.
Subtract from the gross quantity exported that portion that is for transformation or destruction to
calculate the net quantity exported.
(GROSS EXPORTS - TRANSFORMATION - DESTRUCTION = NET EXPORTS)
30
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2.9 CLASS II CHEMICALS: PRODUCTION, IMPORT AND EXPORT - RECORDKEEPING
AND REPORTING REQUIREMENTS
Recordkeeping
There are no recordkeeping requirements for producers, importers or exporters of class II controlled
substances. However, EPA suggests companies dealing in class II controlled substances maintain
records which may be used in che future if the Agency decides to establish a baseline.
Class II substances listed in Appendix A have ozone-depleting potential (ODPs} that, while generally
lower than the ODPs of the class I substances, are not zero. Production and consumption of these
substances are not controlled under current regulations. Baseline allowances tor companies producing
or importing class II substances have not yet been calculated, nor have these companies been given
production and consumption allowances. EPA is reserving the right to establish the baseline for class
II chemicals. Information on production, import, and export of class II substances is collected by the
Agency, however, so that the U.S. can meet its reporting requirements to the United Nations
Environment Programme. This information is also required by §603 of the Clean Air Act
Amendments of 1990.
Reporting Quarterly Report of Production. Import, and Export of Class II Chemicals
All companies that produce, import or export any class Q controlled substance must report quarterly.
The report distinguishes-between the gross amount produced, imported or exported and the net
amount by subtracting the quantities transformed or destroyed.
QUARTERLY REPORT OF PRODUCTION, IMPORT, AND EXPORT OF
CLASS II CHEMICALS
(Fom 7600-5-PJ)
The Quarterly Report of Production, Import, and Export of Class II Chemicals has two sections:
Section 1 - Submitting Company Information
Section 2 - Information on Class 0 Controlled Substances
Section 1 Company Identification
I. I Date of Submission: date report is submitted to EPA.
1.2 Reporting Company: the name of the company and the business address of the contact person for
the report.
1.3 Company Contact Identification: the name, telephone number, and fax number of the company
official who may be contacted by EPA concerning the report. In general, this should be the
same person for all reports submitted under the Stratospheric Ozone Protection Program.
1.4 Quarter to Which this Report Applies: check the appropriate box.
29
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FORM APPROVED OMB NO. 2060-017C
EPA u-s- Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
ESSENTIAL USE HOLDER AND LABORATORY
SUPPLIER QUARTERLY REPORT
iECTION 1
1.1 Date of
Submission
COMPANY IDENTIFICATION
1.2 Number of
Transactions
Reported
1.3 Number of
Pages Submitted
1.4 Quarter to Which This Report Applies:
1.5 Company Information
Company Name
[ ] 1st »
I 1 3rd
[ ] 4th
Street Address
City
1.6 Company Contact Identification
reporting Company Contact Person
1.7 Signature of Reporting Company Representative
State
Zip Code
Phone Number
Fax Number
/ certify under penalty of law that I have personalty examined and am familiar with the information submitted in this and all
attached documents, and mat based on my inquiry of those individuals immediately responsible for nht#ining the information i
believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for
submitting false information, including the possibility of fine and imprisonment.
Name
Title
Signature
Date
SEND COMPLETED FORMS TO:
Tracking System Program Manager
Stratospheric Protection Division
U.S. EPA-(6205J)"'" ~
401 M Street, SW
Washington. DC 20460
information in reports submitted in compliance with the final rule may be claimed as confidential. A company may assert a claim of confidentiality for information submitted by clearly marking mat
information as confidential Such information shall be treated m accordance wrtn EPA's procedures for information claimed as confidential at 40 CFR Pan 2, SuBpart B. and will only be disclosed Dv
tne means set forth in tne subpart: If no claim of confidentiality accompanies the report when it is received by EPA. it may be made public without further notice to tne company (40 CFR 2.203)
EPA FORM 7600-5-PZ-1 Revised 4/1/96
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r-UKM APKKOVED OMB NO. 2060-017C
EPA u-s- Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
ESSENTIAL USE HOLDER AND LABORATORY
SUPPLIER QUARTERLY REPORT
iCTION 2
2.1 Company Name
TRANSACTION RECORD SUMMARIES
(Reproduce additional sheets as needed)
2.2 Transaction SummariesAmounts Received from Producers/Importers
TRANSACTION #
Source Company
Street Address
City
State
Zip Code
Chemical Name of Controlled Substance Received
Quantity of Controlled Substance (kg) Received
Source Company
Street Address
City
State
Zip Cede
Chemical Name of Controlled Substance Received
Quantity of Controlled Substance (kg) Received
TRANSACTION #
Source Company
Street Address
City
Chemical Name of Controlled Substance Received
State
Zip Code
Quantity of Controlled Substance (kg) Received
EPA FORM 7600-5-PZ-2 Revised 4/1/96
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2.10 USED CLASS I CONTROLLED SUBSTANCES - PETITION TO IMPORT
The Federal Register published May 10, 1995, established a petition process for importing used class
I controlled substances. Used jontroiled substances are defined as. "controlled substances that have
been recovered from their intended use systems (may include controlled substances that have been, or.
may be subsequently, recycled or reclaimed)."
An importer must petition EPA to import used class I controlled substances, at least 15 working-days
before the shipment is to leave the country of export. 'Petitions may be faxed, sent by certified mail,
express service, or regular mail to the Stratospheric Protection Division as listed on the cover of the
Guidance Document. There is no EPA petition form. The petition may be in any format as long as
it includes at least the folio wing information: ' .
the name and quantity of the used controlled substance to be imported {including material
that has been recycled or reclaimed);
the name and address of the importer, the importer I.D. number, the contact person and
phone and fax numbers;
*,
the name and address of the source facility (facilities) of the used controlled substance,
including a description of the previous use(s), when possible;
name and address of the exporter and/or foreign owner of the material;
the U.S. port of entry for the import, the expected date of shipment and the vessel
transporting the chemical;
the intended future use of the used controlled substance; and
\ ' - - '
» the name, address and contact person of the U.S. reclamation facility, where applicable.
In evaluating a petition, EPA needs to determine whether a controlled substance to be imported is, in
fact, previously used. In order to independently verify the previous use of the controlled substance,
EPA needs information on a contact person in the foreign country, including telephone and fax
numbers. In addition, EPA needs a detailed description of the source facility (facilities) and the
specific equipment from which the controlled substance was recovered.
EPA has 15 working days to review the information in the petition. The 15 working-day period
begins on the day following the date that the Stratospheric Protection Division receives the petition.
The petition should be sent to the Phaseout Manager,.Stratospheric Protection Division (6205J),
U.S. EPA, 401 M St., SW, Washington, DC 20460 or faxed to (2Q2)-233-9577 or (202)-233-6937.
If EPA does not respond to the petition within 15 working days, the import is automatically allowed.
EPA will normally issue either an objection notice or a non-objection notice before the end of the 15
working days. A copy of the petition must accompany the shipment through U.S. Customs. EPA
will notify the U.S. Customs Service and the Internal Revenue Service of the shipment.
33
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2.11 TRANSFORMATION AND DESTRUCTION CREDITS - REQUEST TO OBTAIN
CREDITS
Only persons who have been nominated by the United States to the Montreal Protocol for an
essential-use exemption to the bah on class I substances is eligible for transformation and destruction
credits.
An eligible person may obtain destruction and transformation credits for a class I controlled substance
(except class I. Group VI) produced in the U.S., taken from a use system in the U.S. and destroyed
or transformed in the U.S. in cases where the controlled substance was produced for other than
destruction or transformation purposes in accordance with the provisions of this subpart, subtracting
an offset of 15 percent.
An eligible person may submit a request to EPA for transformation and destruction credits by
providing at least the information listed in §82.9 in the Federal Register published on May 10, 1995.
There is no EPA form for requesting credits. The request may be in any format as long as it contains
at least the required information.
EPA will issue a person destruction and transformation credits equivalent to the class I controlled
substance (except class I, Group VI) recovered from a use system in the U.S. that was transformed or
destroyed, subtracting an offset of 15 percent.
For controlled substances completely destroyed (98% or greater destruction efficiency) under this
rule, the Agency will grant destruction credits equal to 100 percent of volume destroyed minus the
offset. For those controlled substances destroyed at less than a 98 percent destruction efficiency, the
Agency will grant destruction credits commensurate with the percentage of destruction efficiency that
is actually achieved minus the offset.
An eligible person may use the credits by conferring them to a producer or importer for a quantity of
the specific controlled substance for which they were nominated for an essential use to the Protocol.
2.12 TRADE OF ARTICLE 5 ALLOWANCES
Domestic Allowance Transfers - Inter-company and Inter-pollutant Transfers
Under the rule, a company that intends to transfer Article 5 allowances to another company or to
another chemical must submit a transfer claim to EPA before the transfer takes place. The attached
form is designed to facilitate Agency review of the claim. Section 82.12 of the rale presents the
reporting requirements applicable to the transfer claim. A company should complete a transaction
summary for each trade involving a different chemical or a different transferee.
EPA will review the transfer claim within three working days of receiving it and respond with either
a "no objection" notice, if according to EPA's records, the transferring company has sufficient
allowances to cover the trade, or a "disallowance" notice if the transferring company does not have
sufficient allowances. If EPA does not act upon the transfer within the three-day review period, the
trading companies may proceed with the transaction. In cases where the Agency issues a notice of no
34
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objection or fails to respond expeditiously, if EPA later determines that insufficient allowances existed
to cover the trade, the companies may face enforcement actions.
The Agency assesses an offset of one percent of the total amount traded and subtracts the offset from
the balance of the company trading away the allowances. This offset applies only to inter-company
and inter-pollutant trades. The offset does not apply to trades of Article 5 allowances to or from
companies in countries that are Parties to the Montreal Protocol.
<
International Allowance Trades with Protocol Parties
A company' can increase its Article 5 allowances by receiving a trade from another Party to the
Protocol. A company with Article 5 allowances may also decrease its balance of unexpended
allowances by trading them to a Party to the Protocol.
Trades to Another Party .
A company may trade Article 5 allowances to another Party. For transfers to another Party, the
Agency will review the transfer request and approve the transfer if it is consistent with the Montreal
Protocol and domestic policy. The Agency will consider such factors as the possible creation of
economic hardship, possible effects on trade, potential environmental implications of the trade of
production to other Panics, and the total amount of unexpended Article 5 allowances held by United
States entities. The Agency will also consult with the Department of State, the Department of
Commerce, and the United States Trade Representative concerning requests for trades to Parties.
If the U.S. company trades away allowances from a chemical in Group I, the other Party may
increase its production of Group I chemicals by the amount of the transfer, weighted by the ODP of
the chemical being traded. The same would apply for the other groups of controlled substances. The
U.S. company must specify the controlled substance which will have its balance reduced as a result of
the trade. Thus, for example, a U.S. company could transfer away 75 kg of CFC-l 13 allowances.
The recipient country could then increase its weighted production of Group I substances by 75 x 0.8
(the ODP of CFC-113), or 60"weighted.kilograms. *
Trades from Another Party
To receive a trade from another Party, the company must submit proof that the Party has agreed to
reduce its production limit.
The international controls on ozone-depleting substances apply to groups of controlled substances, so
a U.S. company trading to receive allowances, in the case of a trade involving Group I chemicals,
receives from another Party the right to produce a given OOP-weighted quantity of Group I chemicals
rather than the right to produce specific quantities of the five chemicals in that group. The company,
therefore, must decide to which of its allowance accounts for Group I chemicals the trade should be
applied. For example, a company receiving 100 kg of weighted Group I Article 5 allowances might
decide to place them all in its account for CFC-l 13 Article 5 allowances. To convert the 100
weignted'kilograms of Group I allowances to CFC-113 allowances, the company must divide by the
ozone depletion potential of CFC-113, or 0.8. Thus the company receiving 100 Group ! Article 5
allowances from another Party to the Protocol would, by its choice, actually receive 125 Article 5
35
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allowances for CFC-113. Once the trade is approved, the Agency will add the correct number of
Article 5 allowances to the recipient company's accounts.
For trades to the United States, the transferring Party must submit a document from'that nation's
embassy in the United States stating that it has revised its production limits according to the
conditions stated in Section 616 of the 1990 Clean Air Act Amendments. An official letter from the
Party's embassy in Washington serves as proof that the Party intends to decrease its production of
controlled substances consistent with U.S. law.
NOTIFICATION OF ARTICLE 5 TRADES - FORM INSTRUCTIONS
(Form 7600-5-PQ
The form for Notification of Article 5 Trades has three sections:
Section 1 - Submitting Company Information
Section 2 - Transaction Summary of Trade
Section 3 - Summary of Unexpended Balances
Section 1 - Reporting Company Identification
i.l Date of Submission: date report is submitted to EPA.
1.2 Number of Transactions Reported: total number of individual transactions reported in Section 2.
1.3 Number of Pages Submitted: total number of pages in the report, including transaction summary
pages.
1 4 Company: the name of the company transferring the allowances and the business address of the
contact person for the report.
1.5 Company Contact Identification: the name, telephone number, and fax number of the company
official who may be contacted by EPA concerning the report. In genera!, this should be the
same person for all reports submitted under the Stratospheric Ozone Protection Program.
1.6 Signature of Reporting Company Representative: company official who is attesting to the
accuracy of the report. This may or may not be the company contact person identified in Section
1.5.
Section 2 - Transaction Summaries
Companies notifying EPA of trades in Article 5 allowances must complete this section for each trade
(transaction). Reproduce blank copies of Section 2 if needed. Enter " 1" for first transaction of the
quarter and proceed with "2", "3", and so on, for additional transactions.
Note that inter-pollutant trades can only be made between controlled substances in the same group.
For each transaction, complete the form as follows: .
36
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2.1 Transferee IdentitlcatioR: name and address of the transferee.company (the company receiving
allowances as a result of the trade). Identify a contact person and provide telephone and fas
numbers. If a company is trading allowances internally between two controlled substances, the
transferee company will be the same company identified in Section 1.5.
2.2 Tvpe of Allowances Being Transferred: the types of allowances being transferred. A transfer of
current year allowances is only for the current control period. A transfer of baseline allowances.
permanently reduces the number of Article 5 allowances that the transferor will receive in future
allocations. Only one box should be checked. . . .
2.3 Chemical Transferring From: the common name of the controlled substance that is having its
allowances reduced as a result of the trade (i.e., CFC-11 or CFC-113).
2.4 Ozone Depletion Potential (QDPV: the ozone depletion potential of the chemical listed in Section
2.3. ODPs of the class I controlled substances are listed in Appendix A.
2.5 Number of Article 5 Allowances of Chemical in Section 2.3 Being^Transferred: the number of
allowances of the chemical listed in 2.3 that are being transferred.
2.6 Calculated Level of Chemical in Section 2.3 Being Transferred: Trades of controlled substances
are made on the basis of calculated level. The calculated level of a quantity of controlled.
substance is equal to its mass in kilograms multiplied by its ozone depletion potential (OOP), a
measure of the substance's ability to destroy stratospheric ozone. Calculate the calculated level
of the chemical being transferred by multiplying the OOP listed in Section 2.4 by the quantity
transferred listed in Section 2.5; report the result in Section 2.6.
2.7 Chemical Transferring To: the common name of the controlled substance which will have its
balance of allowances increased as a result of the trade (i.e., CFC-11).
2.8 Ozone Depletion Potential (ODP): the OOP of the chemical listed in Section 2.7. Again, ODPs
of the class I controlled substances are listed in Appendix A.
2.9 Number of Allowances of Chemical in Section 2.7 Being Received: The number of allowances
received is equal to the calculated level of allowances being transferred divided by the ODP of
the chemical that is having its allowances increased as a result of the trade. Calculate the
number of allowances being received by dividing the calculated level reported in Section 2.6 by
the ODP listed in Section 2.8.
2.10 Amount of Offset: the amount of offset is calculated by multiplying the amount listed in 2.5
by 0.01.
2.11 Number of Article 5 Allowances Subtracted from Transferror's Balance of Chemical
Transferred From: Calculate the number of allowances that are to be subtracted from the
transferor's balance of the chemical listed in Section 2.3 by adding together Sections 2.5
and 2.10.
37
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Section 3 -' Unexpended Balance Summary.
3.1 Balance of Unexpended Article 5 Allowances After the Reported Trades: For each chemical
involved in the trade, report the company's balance of unexpended Article 5 allowances after the
trade.
38
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FORM APPROVED OMB NO. 2 J60-017
EPA U.S. Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PR "'G! AM
CLASS I CONTROLLED SUBSTANCE REPORT:
NOTIFICATION OF ARTICLE 5 ALLOWANCE
TRADES (Sec. 82.12)
SECTION 1
1.1 Date of Submission
1.4 Reporting Company
Company Name
REPORTING COMPANY IDENTIFICATION
1.2 Number of
Transactions
Reported
1.3 Number of I
Pages Submitted
Street Address
City
State
Zip Code
Phone Number
Fax Number
Company Contact Identification
Reporting Company Contact Person
1.6 Signature of Reporting Company Representative
/ certify under penalty of law that I have personally examined and am familiar with the information submitted in fe> and &"
attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining the information, I
believe that the submitted information is true, accurate, and complete, lam aware that there are significant penalties for
submitting false information, including the possibility of fine and imprisonment.
Name
Title
Signature
Date
SEND COMPLETED FORMS TO:
Tracking System Program Manager
Stratospheric-Protect iorj^D+S^ton1
U.S. EPA(6205J)
401 IV! Street, SW
Washington, DC 20460
information in reports sucmirted tn compliance witfi the final rule may Be claimed as confidential. A company may assert a claim of confidentiality tor information submitted by deary marking tfat
information as confidential Sucn information snail be treated in accordance with EPA's procedures for information claimed as confidential at 40 CFR Part 2. Subpart B. and will or-f oe flisciosao ay
the means set forth in tne subpart If no Claim of confidentiality accompanies tne report wnen it is received by EPA. it may be maoe puMc witnout fuittier notice to tne company ;
-------
-------
Mrrrtuvcu UMO NU. 2060-017
U.S. Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
NOTIFICATION OF ARTICLE 5 ALLOWANCE
TRADES (Sec. 82.12)
CTION 2
TRANSACTION SUMMARIES
Transaction #
2.1 Transferee Identification
Transferee Company Name
(Reproduce additional sheets as needed)
Transferee. Contact Person
' Street Address
City
State
Zip Code
Phone Number
2.2 Type of Allowances Transferred
(check only one)
2.3 Chemical Transferring From
Fax Number
[ ] Current Year Allowances [ ] Baseline Year Allowances
2.4 OOP
2.5 Number of Article 5 Allowances of
Chemical in Section 2.3 Being Transferred (kg)
Calculated Level of Chemical in Section 2.3 Being Transferred
(Section 2.4 x Section 2.5)
2.7 Chemical Transferring To
2.8 OOP
2.9 Number of Article 5 Allowances of
Chemical in Section 2.7 Being Received
(Section 2.6 vSection 2.8) (kg)
2.10 Amount of Offset (kg) (1% of 2.5)
2.11 Number of Article 5 Allowances Subtracted from Transferor's Balance
of Chemical Transferred From (Section 2.5 + Section 2.10) (kg)
EPA FORM 760-5-PC-2 Revised 4/1/96
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FORM APPROVED OMB foo. ^060-01
EPA U.S. Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
NOTIFICATION OF ARTICLE 5 ALLOWANCE
TRADES (Sec. 82.12)
SECTION 3
UNEXPENDED BALANCE SUMMARY
3.1 Balance of Unexpended Article 5 Allowances Prior to Trades Reported
A
Chemical
Name
CFC-1 1
CFC-12
CFC-1 13
CFC-114
CFC-1 15
^C-13
.CFC-1 11
CFC-1 12
CFC-211
CFC-212
CFC-213
CFC-214
CFC-215
CFC-216
CFC-217
Carbon
Tetrachloride .
Methyl
Chloroform
Wthyi
Bromide
HBFCs
B
Balance of Unexpected
Article 5 Allowance
.
EPA FORM 7600-5-PC-3 Revised 4/1/96
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2.13 ESSENTIAL-USE EXEMPTION FOR LABORATORY AND ANALYTICAL
APPLICATIONS - CERTIFICATION
Recordkeeping
There is no recordkeeping requirement for labs that purchase class I controlled substances. However,
EPA recommends that each lab maintain order forms, invoices, certifications and receipts for each
shipment of class I controlled substances received each year.
Reporting - , .
A lab must provide the company from whom they are purchasing a class I controlled substance, for .
each controlled substance, a one-time-per-year certification that the material is being purchased solely
for laboratory applications and will not be resold or used in manufacturing.
The certification from the tab must identity the percent of the total quantity ordered that will be used1
for each type of laboratory application (e.g. reaction solvent, diluent for drug purity testing, reference
chemical). EPA has provided a form that identifies categories of laboratory applications.
EPA must collect the Lab Certification information to meet United States reporting obligations under
the international agreement of the Montreal Protocol. The reports will provide an estimate of the
total quantity of class I controlled substances used in various laboratory applications.
LABORATORY CERTIFICATION REPORT - INSTRUCTIONS
(Form 7600-5-PE) [ ' '.'
Labs purchasing class 1 controlled substances must certify to the company from whom they are
purchasing the material, one-time-per-year for each substance, that the material will be used solely for
laboratory applications and not be resold or used in manufacturing. ' ."
The Laboratory Certification Report has two sections:
Section 1 - Laboratory Company Information
Section 2 - Substance Identification and Use
Section 1 - Reporting Company Identification
1.1 Pate of Submission: date the report is submitted to the supplier of the class I controlled
substances.
1.2 Number of Controlled Substances Reported: the number of individual controlled substances
reported uvthe supplier.
1.3 Number of Pages Submitted: total number of pages in the report.
42
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1.4 Reporting Company: name of the company and the business address-of the contact person for the
report.
' *
1.5 Company Contact Identification: name, telephone number, and fax number of the company
official who may be contacted by EPA to answer questions concerning the report. In general,
this should be the same person for ail reports submitted under the Stratospheric Ozone Protection
Program. . ;
1.6 Signature of Reporting Company Representative: company official who is certifying that the
material is being purchased solely for laboratory applications and will not be resold or used for
manufacturing, and attesting to the accuracy of the report. "This may or may not be the company
contact person identified in Section 1.5.
Section 2 - Substance Identification and Use
2.1 Lab Name: name of the lab submitting the report, as in Section 1.4.
2.2 Controlled Substance: check one box to certify the specific laboratory applications for a
controlled substance purchased. Separate copies of Section 2 may be submitted for each
controlled substances purchased. Reproduce the blank form as needed.
2.3 Amount in .kg..of Controlled Substance: total quantity of the controlled substance specified in
Section 2.2 that was purchased for the first time in a control period.
2.4 Laboratory Applications: check the boxes corresponding to the applications for which the
specified controlled substance will be used, indicating the percent used for each application.
EXAMPLE: A Lab purchases 100 kgs. of CFC-113 from a distributor of laboratory
supplies. The lab estimates that 80 kilograms will be used as a "diluent," 10 kilograms as a
"separation media," and 10 kilograms as "chemical reference."
Section 3 - Supplier Identification
3.1 Supplier Name: name of the distributor of the controlled substance (the name of the supplying
company from whom the material specified in Section 2.2 is being purchased).
43
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FORM APPROVED OMB NO. 2060-0170
EPA U-S- Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
LABORATORY CERTIFICATION REPORT (Sec.82.13{u))
SECTION 1
1.1 Date of Submission
1.4 Reporting Company
Company Name
REPORTING COMPANY IDENTIFICATION
1.2 Number of Controlled
Substances Reported
1.3 Number of
Pages Submitted
Street Address
State
Phone Number
Zip Code
Fax Number
City
1.5 Company Contact Identification
Reporting Company Contact Person
1,6 Signature of Reporting Company Representative
/ certify that the quantities of controlled substances listed in this form are purchased solely for use in laboratory applications
and will not oe resold or used in manufacturing
I certify under penalty of law that I have personally examined and am familiar with the information submitted in this and all
.attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining ffis information, I
believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for
submitting false information, including the possibility of fine and imprisonment.
Name
Title
Signature
Date
SEND COMPLETED FORMS TO:
The Company from Whom the
^lass hControlled-S-ttbstanee-wss-
Purchased.
information in repans submitted in compliance wim the final rvue may be claimed as confidential. A company may ispert a claim of confidentiality for information submitted by clearly marking Oat
information as confidential Such information snail De treated -n accordance win EPA's procedures for information claimed as confidential at 40 CFR Part 2. Sue-part B. and will only DC disclosed =y
me means set forth in the subpan If no claim of confidentiality accompanies the report when it is received By EPA. it may be made public without further notice to tfie company (40 CFR 2.203)
EPA FORM 7600-5-PE-1 Revised 4/1/96
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FORM APPROVED OMB : 'Q. 2060-0170
u-s Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PRO RAM
CLASS i CONTROLLED SUBSTANCE REPORT:
LABORATORY CERTIFICATION REPORT (Sec --2.13{u))
SECTION 2
2.1 Lab Name
2.2 Controlled Substance
CFC-r
SUBSTANCE IDENTIFICATION AND USE
CFC-115
CFC-111
^hloroforr
2.3 Amount in kg of Controlled Substance
2.4 Laboratory Applications (Select as many as apply and indicate % use)
1. Research and
Development
J a. Reaction Solvent
or Reaction
Feedstock Q %
2. Analytical Uses and
Regulated Applications
2.1 Reference
a. Chemical
b Toxicant
c. Proauct
2.2 Extraction"
a.
n.
a.
%
_%
~%
a. Pesticide and Heavy
Metal Detection [~ ]
.b. Oil Mist Analysis Q
c. Product Q
d. Color & Food
Additive Detection CD
SECTION 3
3.1 Supplier Name
%
%
%
%
2.3 Diluent
a. Zinc. Copper, Cadmium
Detection in Rants and Food CD ?A
b. Microchemical Methods to
Determine Molecular Weight
or Oxygen | | %
c. Measuring Drug Purity
and Residual Information CD%
d. Sterilization of Lab Equipment CD %
2.4 Carrier (Inert)
a. Forensic Methods CD %
b. Titration CD %
c. Analytical EquipmentCD %
2.5 Tracer
a. Sanitary Engineering D %
2.6 Miscellaneous (Including Testing)
a. Ingredient in Material
for Testing CD %
b. Separation Media CD %
SUPPLIER IDENTIFICATION
3. Miscellaneous
3.1 a. Laboratory Method
Development l~1 %
3.2 a. Sample Preparation
Using Solvent [""") %
.
EPA FORM 7600-5-PE-2 Revised 4/1/96
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2.14 EXPORTERS AND EXPORTS - RECORDKEEPING AND REPORTING
REQUIREMENTS
Recordkeeping . . .
There are no recordkeeping requirements for exporters. However, EPA recommends that companies
exporting controlled substances maintain copies of invoices and bills of lading for each shipment.
The regulation applies only to exports of bulk containers of controlled substances, and not to exports
of products or use systems that contain controlled substances.
* , .
The exporter is the company that owns the controlled substances when they are exported, not
necessarily the person that places them on the ship or in the truck. In addition, the exporter does not
need to be identified as such on any form collected to monitor exports (i.e., the Export Declaration
Form). Generally, the Agency wii! accept the exporter's business invoice as proof that the company
had contracted to sell or transfer to a foreign entity the controlled substance. On-board bills of lading
are also necessary to verify that the export occurred.
Reporting - End of Year Export Report
The EPA regulation requires exporters to submit a report at the end of a control period containing
summaries of exports. The specific information to be reported is reproduced in these forms for the
convenience of reporting companies. In general, information provided about the recipient should
pertain to the location of the plant where the controlled substance is to be used, rather than the
location of the corporate headquarters. Similarly, the destination is defined for purposes of the
Stratospheric Ozone Protection Program as the ultimate destination of the export, rather than any
transit destinations.
Exporters are required to send the report to EPA within 45 days after the end of the control period
(December 31st).
ANNUAL EXPORT REPORT INSTRUCTIONS
(Form 7600-5-PR
The Annual Export Report has two sections:
Section 1 - Exporting Company Information
Section 2 - Transaction Summary of Exports
Section 2 may be photocopied for reporting the exports of each controlled substance.
Section 1 - Exporting Company Identification
1.1 Date of Submission: date the report is submitted to EPA.
46
-------
I -2 Number of Controlled Substances Reported: the number of individual controlled substances
exported during the control period.
1.3 Number.of Pages Submitted; total number of pages in the report.
1.4 Exporting Company: name of the company and the business address of the contact person for the
report.
1.5 Company Contact Identification: name, telephone number, and fax number of the company
official who may be contacted by EPA to answer questions concerning the report. In general,
this should be the same person for all reports submitted under the Stratospheric Ozone Protection
Program.
1.6 Signature of Reporting Company Representative: company official who is attesting to the ,
accuracy of the report must complete and sign this section. This may or may not be the
company contact person identified in Section 1.5.
Section 2 * Transaction Record Summaries
2.1 Company Name: name of the company submitting the report, as in Section in 1.4. .
2.2 Transaction Summaries: Enter "1" for first transaction of the quarter and proceed with "2", "3",
and so on,.for additional transactions. Reproduce this page as needed to obtain sufficient blank
spaces for additional transactions.
Recipient Company Name: name and full address of the recipient company. Check the box if
the recipient company is located in an Article 5 country (see APPENDIX C for a list of Article 5
countries).
Company Contact Person: name of the contact person at the recipient company, including their
phone and fax numbers.
Controlled Substance Exported: name of the controlled substance exported, such as CFC-l1,
CFC-12.
Commodity Code of Shipment: Indicate the 10-digit code number as identified in the Harmonized
Tariff Schedule. The commodity codes for class I controlled substances changed in 1996. These
are the commodity codes designated by the U.S. Customs Service for the controlled substances.
However, the actual code used should be entered here if it is different from these codes.
CFC-11 (trichiorofluoromethane)
CFC-12 (dichlorodifluoromethane)
CFC -113 (trichlorotrifluoroethane)
CFC-114 (dichlorotetrafluoroethane)
2903.41.0000
2903.42.0000
2903.43.0000
2903.44.0010
47
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CFC-115 (chloropentafluoroethane) 2903.44.0020
Halons(121I, 1301 &2402) 2903.46.0000
.Mixtures with chlorofluorocarbons (CFCs) 3824.71.0000
such as R-500 and R-502
Mixtures, Other " 3823.79.0000
(one or more fully halogenated compounds :
as defined in commodity codes listed above)
Carbon Tetrachloride 2903.14.0000.
Methyl Chloroform (1,1.1- trichloroethane) 2903.19.6010
Methyl Bromide 2903.30.1520
Organic Composite Solvents and Thinners 3814.00.5010
(containing methyl chloroform or
carbon tetrachloride)
Ouantitv of Commodity Exported: kilograms of the commodity exported.
Quantity of the Controlled Substance Exported: kilograms of the controlled substance exported.
For pure controlled substances, this will equal the quantity of the commodity imported. For
mixtures containing controlled substances, multiply the percentage of controlled substance in the
mixture by the quantity of commodity imported.
Date of Export: date of the export as it appears on the bill of lading.
Port of Export from the U.S.: port in the U.S. where the controlled substance was loaded on the
exporting vessel.
Exporter EIN Number from Customs Form 7525: the "Employer Identification Number" (EIN)
shown on the Shipper's Export Declaration Form. This number may or may not refer to the
exporter as defined by EPA. If a shipping agent is acting on behalf of the exporter as defined
by the regulation, the EIN of the agent shown on the U.S. Customs Form 7525 should be
reported here.
.-
Section 3 - Total Export Summaries
A separate Section 3 should be completed for each controlled substance. Reproduce the blank form
as needed.
For each transaction summary, provide the following information:
2.1 Company Name: name of the reporting company, same as in Section 1.4.
-------
2.2. Transaction Summaries: check one controlled substance for each sheet.
List the total quantity (in kilograms) of the specified controlled substance (in the check-off box)
that was exported to each country during the control period.
Information provided .about the recipient should pertain to the location of the plant where the
controlled substance is to be used, rather than the location of the corporate headquarters.
Similarly, the destination is defined for purposes of the Stratospheric Ozone Protection Program
as the ultimate destination of the export, rather than any transit destinations.
49
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FORM APPROVED OMB NO. 2060-0170
U.S. Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
ANNUAL EXPORT REPORT {Sec. 82.13(h))
SECTION 1
1.1 Date of Submission
1.4 Exporting Company
Company Name
EXPORTING COMPANY IDENTIFICATION
1.2 Number of
Transactions
Reported
.3 Number of
Pages Submitted
Street Address
State
Zip Code
Phone Number
Fax-Number
City
t._ Company Contact Identification
Reporting Company Contact Person
1.6 Signature of Reporting Company Representative
/ certify under penalty of law that I have personally examined and am familiar with the information submitted in ffw* and a//
attached documents, and tfiaf based on my inquiry of those individuals immediately responsible for obtaining the information, I
believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for
submitting false information, including the possibility of fine and imprisonment.
Name
Title
Signature
Date
SEND COMPLETED FORMS TO:
Tracking System Program Manager
Stratospheric ProtectiorFDTvisidh"~~
U.S. EPA{6205J)
401 M Street, SW
Washington. DC 20460
information in reports submitted in compliance witn me final rule may be claimed as confidential A company may assert a daim of confidentiality tor information submitted by clearly marxing that
information as confidential Such information snail be treated in accordance with EPA's procedures for information claimed as confidential at 40 CFR fait 2. Suopart 8. and will only be discloses ->
;ne means set form in tne sue-part if no claim of confidentiality accompanies tne report wnen it is received by EPA. it may be made public without runner notice to the company (40 CFR 2 2C3:
EPA FORM 7600-5-PD-1 Revised 4/1/96
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EPA u-s- Environmental Protection Agency
SECTION 2
2.1 Company Name
2.2 Transaction Summaries
FORM APPROVED OMB NO. 2060-017C
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
ANNUAL EXPORT REPORT (Sec. 82.13(h))
TRANSACTION RECORD SUMMARIES
(Reproduce additional sheets as needed)
Recipient Company Name
TRANSACTION #
Street Address
City
Postal Code
Country
Articles
Country
Company Contact Person
Phone Number
Fax Number
Controlled Substance Exported
Commodity Code of Shipment
Quantity of Commodity Exported (kg)
Quantity of Controlled Substance Exported (kg)
Date of Export
Port of Export from the U.S.
Exporter EIN Number from Customs Form 7525
TRANSACTION #
F^^Bient Company Name
City
Street Address
Postal Code Country
Company Contact Person
Controlled Substance Exported
Quantity of Commodity Exported (kg)
Date of Export
Phone Number
Q Articles
Country
Fax Number
Commodity Code of Shipment
Quantity of Controlled Substance Exported {kg}
Port of Export from the U.S. . E*
porter EIN Number from Customs Form 7S25
Recipient Company Name
TRANSACTION #
Street Address
City
Postal Code
Country
Articles
Country
Company Contact Person
Phone Number
Fax Number
rontrolled Substance Exported
Commodity Code of Shipment
Quantity of Commodity Exported (kg)
Quantity of Controlled Substance Exported (kg)
Date of Export
Port of Export from the U.S.
Exporter EIN Number from Customs Form 7525
EPA FORM 7600-5-PD-2 Revised 4/1796
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' EPA U.S. Environmental Protection Agency
FORM APPROVED OMB NO. 2060-017C
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
ANNUAL EXPORT REPORT (Sec. 82.13{h))
SECTION 3
3.1 Company Name
TOTAL EXPORT SUMMARIES
(Reproduce additional sheets as needed)
3.2 Transaction Summaries
(Select one below)
CFC-11 ;
CONTROLLED SUBSTANCE
IFC-114
CFC-115
CFC-111
;FC-112
CFC-211
CFC-212
Carbon
Tetrachlonde
Country Exported To
CFC-214
Methyl
Chloroform
Methyl
Bromide
CFC-216
HBFCs
CFC-217
Amount in kg of Controlled Substance
EPA FORM 7600-5-PD-3 Revised 4/1/96
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2.15 TRANSFORMATION AND DESTRUCTION - RECORDKEEPING AND
REPORTING REQUIREMENTS
Recurdkeeping
Section 82.13(i) lists the recordkeeping requirements for companies that transform or destroy class I
controlled substances.
Distinguishing between transformation and destruction may in some cases be difficult, and EPA
reserves the right to make the distinction on a case-by-case basis. Please contact the Stratospheric
Protection Division if there are questions. Generally, if the intent of the process is to eliminate the
controlled substance, it is likely a destruction process. If the controlled substance must be chemically
altered as an integral step in the manufacturing or production sequence, the process may qualify as a
transformation process. '
Reporting
Class I controlled substances sold by a producer or importer to another company for transformation
purposes or for a process resulting in its destruction should notify the purchaser of the EPA annual
reporting requirement.
Persons purchasing controlled substances for transformation (second-party transformers) or receiving
class I controlled substances for destruction (second-party destroyers) are required to report to EPA
the total quantities received for transformation or destruction on an annual basis in the "Annual
Report of Second-Party Transformation and Second-Party Destruction."
Producers must report sales to each of their customers arid provide copies of IRS certificates of intent
to use the material for feedstock (transformation) or a destruction verification where claiming to
destroy when submitting Quarterly Producer Reports. The certificates show the customer's intent to
transform or destroy, and thus substantiate the producer's claim that the entire quantity of controlled
substance may be produced. EPA will determine a producer's compliance by comparing the total
quantity of controlled substance it reported was manufactured for second-party transformation or
second-party destruction during the control period with the total quantity reported as purchased and
transformed or destroyed by all its customers. -1 '
2.16 SECOND-PARTY TRANSFORMATION AND SECOND-PARTY DESTRUCTION -
RECORDKEEPING AND REPORTING REQUIREMENTS
Recordkeeping
Section 82. 13(1) states that second-parry transformers of class I controlled substances must provide the
producer or importer from whom they purchase material with an IRS certification that the controlled
substances will be used in processes resulting in their transformation.
Section 82.13(k) states that second-party destroyers of class I controlled substances must provide the
producer or importer from whom they purchase material with a verification that the controlled
substances will be used in processes that result in their destruction. If, at any time, any aspects of
53
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this verification change, the person must submit a revised verification reflecting such changes to the
producer from whom the person purchases controlled substances intended for destruction.
Reporting - Annual Report of Second-Party Transformation and Second-Party Destruction
Producers and importers of class I controlled substances that are sold for second-party transformation
or second-party destruction should inform their customers of EPA's annual reporting requirement.
A company purchasing class I controlled substances for transformation or destruction must report to
EPA within 45 days of the end (December 31st) of the control period in which the substances were
purchased.
ANNUAL REPORT OF SECOND-PAJRTY TRANSFORMATION
AND SECOND-PARTY DESTRUCTION
- FORM INSTRUCTIONS
(Form 7600-5-PL)
The Annual Report of Second-Party Transformation and Second-Party Destruction has two sections:
Section 1 - Reporting Company Information
Section 2 - Transformation and Destruction Summary Information
Section 1 - Reporting Company Identification
i. I Date of Submission: date report is submitted to EPA.
1.2 Reporting Company: name of the company and the business address of the contact person for
" the report.
1.3 Company Contact Identification: the name, telephone number, and fax number of the company
official who may be contacted by EPA to answer questions concerning the report. In general,
this should be the same person for all reports submitted under the Stratospheric Ozone Protection
Program. ;
1.4 Signature of Reporting Company Representative: company official attesting to the accuracy of
the report must complete and sign this section. This may or may not be the company contact
person identified in Section 1.3.
Section 2 - Second-Party Transformation and Destruction Summary
Chemical Name: Column A lists the common names of class I controlled substances.
Seeond-Panv Transformation of Controlled Substance: quantity in kilograms of each chemical
which is transformed (second-party) in the calendar year (control period).
54
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Second-Party Destruction of Controlled Substance: quantity in kilograms of each class I
chemical which was destroyed (second-party) in the calendar year (control period).
55
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r-UKIVI APKKUVfcU
me means set form m me suooart If no claim of confidentiality accompanies the report wnen it is received by EPA. it may be made public without runner nonce to the company (40 CFR 2.2S3'
EPA FORM 7600-5-PL-1 Revised 4/1/96
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QMB NQ. 2060-01
EPA
Environmental Protection Agency
STRATOSPHERIC OZONE PROTECTION PROGRAM
CLASS I CONTROLLED SUBSTANCE REPORT:
ANNUAL REPORT OF SECOND-PARTY TRANSFORMATION
AND SECOND-PARTY DESTRUCTION (Sec. 82.13(k,l))
SECTION 2 TRANSFORMATION AND DESTRUCTION SUMMARY
A
Chemical
Name
CFC-1 1
CFC-12
CFC-1 13
CFC-1 14
CFC-1 15
Halon-1211
Halon-1301
Halon-2402
CFC-1 3
CFC-1 11
Ifc
WC-112
CFC-211
CFC-212
CFC-213
CFC-214
CFC-215
CFC-216
CFC-217
Carbon
Tetra chloride
Methyl
Chloroform
Methyl
Bromide
HBFCs
^
B
Second-Party Transformation of Controlled
Substance in kg
. \ /
444X.
-
C 1
Second-Party Destruction of Controlled Substance 1
in kg . |
|
1
. ,
t
i
«
i
'
t
EPA FORM 7600-5-PL-2 Revised 4/1/96
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APPENDIX A
THE LIST OF CONTROLLED SUBSTANCES AND THEIR ODPS
CLASS I CONTROLLED SUBSTANCES
A. Group i
CFC1, - Trichlorofluoromethane (CFG-11)
CF:C1: - Dichlorodifluoromethane (CFC-12)
CjFjCl, - Triehlorotrifluoroeihane (CFC-113)
C,F4CI: - Dichlorotetrafluoroethane (CFC-U4)
C:F5C1 - (Mono)chloropentafiuoroethane (CFC-115)
All isomers of the above chemicals.
B. Group II
CF:BrCI Bromochlorodifludromethane (Halon 1211)
CF3Br - Bromotrifluoromethane (Halon 1301)
C.F4Br, - Dibromotetrafluoroethane (Halon 2402)
Ali isomers of the above chemicals.
C. Group III
CFjCl - Chlorotrifluoromethane (CFC-13)
C,FC1S
C2F,C14
C3FC17
C3F,CI«
c,F;ci5
C3F4C14
C3F3Clj
C3F6Cl,
C3F7C1
(CFC-111)
-------
G. Group VII
* '
HBFCs -- Hydrobromofluorocarbons (HBFC-22BI)
All isomers of the above chemicals
CLASS II CONTROLLED SUBSTANCES
CHFCK » Dichlorotluoromethane (HCFC-21)
CHF,CI - Chlorodifluoromethane (HCFC-22)
CH,FC1 - Chlorofluoromethane (HCFC-31)
C,HFC14 (HCFC-121)
CHF,CI3 (HCFC-122)
C2HF3Ci2 (HCFC-I23)
C,HF4C1 (HCFC-124)
C,H,FCI3 (HCFC-131)
C,HjF:CU . (HCFC-132b)
C,H,FjCI (HCFC-133a)
C,H3FCI, (HCFC-141b)
C:H3F,cl (HCFC-142b)
C2H4FC1 (HCFC-151)
(HCFC-221)
(HCFC-222)
C3HF3C14 (HCFC-223)
C,HF4C13 (HCFC-224)
C3HFSC17 (HCFC-225ca)
(HCFC-225cb)
C3HFSCI (HCFC-226)
C3H2FC15 (HCFC-231)
C3H,F,CI4 (HCFC-232)
C3H3F3C13 (HCFC-233)
C3H,F4CI, (HCFC-234)
C,H,F3Ci (HCFC-235)
C3H5FC!4 (HCFC-24I)
C3H3F,C13 (HCFC-242)
C3H3F3C1, (HCFC-243)
C3H3F4CI (HCFC-244)
C3H4FC13 (HCFC-251) '
CjH4F,CU (HCFC-252)
C3H4F3C1 (HCFC-253)
C3H3FCI, (HCFC-261)
C3H5F,ci (HCFC-262)
C3H6FC1 (HCFC-271)
All isomers of the above chemicals.
0.74
[res.]
0.05
[res.)
[res.]
[res.]
0.02
0.02
[res.]
[res.]
[res.]
0.12
0.06
{res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.J
[res.)
[res.]
[res.]
Ires.]
[res.J
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
[res.]
59
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APPENDIX B
PARTIES TO THE PROTOCOL (AS OF DECEMBER 3, 1995)
Foreign State
\
Algeria
Antigua and Barbuda
Argentina
Australia
'Austria
Bahamas
Bahrain
Bangladesh
Barbados
Belarus
Belgium
Benin
Bolivia
Bosnia and Herzegovina
Botswana
Brazil
Brunei Darussalam
Bulgaria
Burkina Faso
Cameroon
Canada
Central African Republic
Chad
Chile
China
Colombia :
Comoros
Montreal Protocol
V "
V
V
V
V '
V
V
'V
A/
V
V
V
V
V
V
V
. V
V
V
V
V
V
V
V
V
V
V
London Amendments
V
V
V
V
V
V
V
V
V
V
V
'
V
V
V
v
,
V
V
V
V
Copenhagen Amend.
V
V
V
V
A/
""
V
V
V
60
-------
Foreign State
Congo
Costa Rica
Cote [voire
Croatia
Cuba
Cyprus
Czech Republic
Denmark
Dominica
Dominican Republic
Ecuador
Egypt
El Salvador
Ethiopia
European Community
Fiji
Finland
France
Gabon
Gambia
Germany
Ghana
Greece
Grenada
Guatemala . .
Guinea
Guyana
Honduras
Hungary
Montreal Protocol
V
V
V
V
V
V
V
V
V
V
V
V
V
V
v -. .
V
V
V
V
V
V
V
V
V
V
V
V
>/
V
London Amendments
V
V
V
V
V
V
V
V
V
, v
V
V
V
V
V
V
V
V
^
Copenhagen Amend.
V
-------
Foreign State
Iceland
India
Indonesia
Iran
Ireland
Israel
Italy
Jamaica
Japan
Jordan
Kenya
Kiribati
Korea, Democratic People's
Republic of
Korea, Republic of
Kuwait
Latvia
Lebanon
Lesotho
Libya
Liechtenstein
Lithuania
Luxembourg
Macedonia
Malawi
Malaysia
Maldives
Mali
Malta
Marshall Islands
Montreal Protocol
V
V
V
v
V
V '.
V
V
V
V
v>
V
V
V
V
V
V
V
V
v .
V
V
V
V
V
V
V
V
V
London Amendments
v :
V
V
V
V
V
V
v
V
V
V
V
..
V
V
--
V
*J
V
V
V
V
V
Copenhagen Amend.
V
V
V
V
.
V
V
-
V
V
V
v -
62
-------
Foreign State
Mauritania
Mauritius
Mexico
Monaco
Morocco
Mozambique
Myanmar . '
Namibia
Nepal
Netherlands
New Zealand
Nicaragua
Niger
Nigeria
Norway -
Pakistan
Panama
Papua New Guinea
Paraguay
Peru
Philippines
Poland
Portugal
Romania
Russian Federation
Saint Kitts and Nevis
Saint Lucia
Samoa
Saudi Arabia
Montreal Protocol
V
V
V
V
>/
V
J. '
V
V
V
V
V
V
V
V
V
V
v
V
V
V
V
V
V
V
V
V
V
V
London Amendments
V
V
V
V
Mr
V
V
V
-
V
V
V
V
V
V
V
V
V
V
V
Copenhagen .Amend.
>/"
V
..
V
V
V
V
V
'
V
'
V
to*.
63
-------
Foreign State
Senegal
Seychelles
Singapore
Slovakia
Slovenia
Solomon Islands
South Africa
Spain
Sri Lanka
Sudan
Swaziland
Sweden
Switzerland
Syrian Arab Republic
Tanzania. United Republic
Thailand
Togo
Trinidad and Tobago
Tunisia
Turkey
Turkministan
Tuvalu
Uganda
Ukranian SSR
United Arab Emirates
United Kingdom
Uruguay
United States
Uruguay
Montreal Protocol
V
V
V
V
V
V
V
V
V
V
V
V
V
V
V.
V
V
V
V
V
V
V
V
V
V
V
V
V
V
London Amendments
V
V
V
v/-
V
V
V
V
*
V
V
V
V
V
, V
V
V
V
V
J
Copenhagen Amend.
V
,
V
V
V
V
64
-------
Foreign 'State
Uzbekistan
Vanuatu
Venezuela
Viet Nam
Yugoslavia
Zaire
Zambia
Zimbabwe
Montreal Protocol
V
v-
V
J
V
V
V
V
London Amendments
V
V
>/
V
V
V
Copenhagen Amend.
V
V
V
V
65
-------
Algeria
Antigua and Barbuda9
Argentina
Bahamas
Bahrain
Bangladesh
Barbados
Benin
Bolivia0
Bosnia and Hersegovina
Botswana
Brazil
Burkina Paso
Cameroon
Central African Republic"
Chad0
Chile
China
Comoros"
Costa Rica
C6te d'lvoire
Croatia
Cuba
Dominica"
Dominican Republic
Ecuador
Egypt
El Salvador0
Ethiopia"
Fiji
Gabon
Gambia
Ghana
Grenada9
Guatemala
Guinea"
Guyana
Honduras"
India
Indonesia
Iran, Islamic Republic of
Jamaica
Jordan
Kenya
Kiribati8
APPENDIX C
ARTICLE 5 PARTIES (AS OF FEBRUARY 23, 19%)
Korea. Republic of
Korea. Democratic Peoples Republic of0
Kuwait
Lebanon
Lesotho"
Libyan Arab Jamahiriya0
Macedonia, former Yugoslav Republic of0
Malawi
Malaysia
Maldives
Mali0
Malta
Marshall Islands9
Mauritania
Mauritius
Micronesia, Federated States of
Mexico
Morocco"
Mozambique"
Myanmar
Namibia"
Nepal"
Nicaragua0
Niger
Nigeria
Pakistan"
Panama
Papua New Guinea
Paraguay"
Peru
Philippines
Romania
Saint Kitts and Nevis
Saint Lucia
Samoa"
Saudi Arabia
Senegal
Seychelles
Singapore
Solomon Islands
Sri Lanka
Sudan
Swaziland
Syrian Arab Republic
Tanzania", United Republic of
Thailand
Togo"
Trinidad & Tobago
Tunisia
Turkey
Tuvalu8
Uganda
Uruguay
Vanuatu"
Venezuela
Viet Nam
Yugoslavia ,
Zambia
Zimbabwe
Zaire
" temporary categorization
66
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