PART 4 -- RECORDKEEPING AND REPORTING INSTRUCTIONS FOR CLASS II
SUBSTANCES

[*4.1.* *INTRODUCTION 1*](#introduction)

[4.2. PRODUCERS OF CLASS II SUBSTANCES
2](#producers-of-class-ii-substances)

[4.2.1. Recordkeeping Requirements 2](#recordkeeping-requirements)

[4.2.2. Reporting Requirements 3](#reporting-requirements)

[4.2.3. Form Instructions: Producer Quarterly Report (Form 2014.02-P)
4](#form-instructions-producer-quarterly-report-form-2014.02-p)

[4.3. IMPORTERS OF CLASS II SUBSTANCES
7](#importers-of-class-ii-substances)

[4.3.1. Recordkeeping Requirements 7](#recordkeeping-requirements-1)

[4.3.2. Reporting Requirements 7](#reporting-requirements-1)

[4.3.3. Form Instructions: Importer Quarterly Report (Form 2014.02-I)
9](#form-instructions-importer-quarterly-report-form-2014.02-i)

[4.4. EXPORTERS OF CLASS II SUBSTANCES
13](#exporters-of-class-ii-substances)

[4.4.1. Recordkeeping Requirements 13](#recordkeeping-requirements-2)

[4.4.2. Reporting Requirements 13](#reporting-requirements-2)

[4.4.3. Form Instructions: Exporter Quarterly Report (Form 2014.02-E)
14](#form-instructions-exporter-quarterly-report-form-2014.02-e)

[4.5. DOMESTIC TRANSFERS OF ALLOWANCES
17](#domestic-transfers-of-allowances)

[4.5.1. Recordkeeping Requirements 18](#recordkeeping-requirements-3)

[4.5.2. Form Instructions: Domestic Transfers of Allowances (Form
2014.02-DT)
18](#form-instructions-domestic-transfers-of-allowances-form-2014.02-dt)

[4.6. REQUEST FOR ADDITIONAL CLASS II CONSUMPTION ALLOWANCES
21](#request-for-additional-class-ii-consumption-allowances)

[4.6.1. Recordkeeping Requirements 21](#recordkeeping-requirements-4)

[4.6.2. Reporting Requirements 21](#reporting-requirements-3)

[4.6.3. Form Instructions: Request for Additional Consumption
Allowances\
(Form 2014.02-RCA)
21](#form-instructions-request-for-additional-consumption-allowances-form-2014.02-rca)

[4.7. USED CLASS II SUBSTANCES - PETITION TO IMPORT
25](#used-class-ii-substances---petition-to-import)

[4.7.1. Petition Information Requirements
25](#petition-information-requirements)

[4.7.2. Recordkeeping Requirements 26](#recordkeeping-requirements-5)

# PART 4 -- RECORDKEEPING AND REPORTING INSTRUCTIONS FOR CLASS II SUBSTANCES {#part-4-recordkeeping-and-reporting-instructions-for-class-ii-substances .unnumbered}

## INTRODUCTION

Part 4 of this guidance document outlines industry recordkeeping and
reporting requirements for class II substances in the Stratospheric
Ozone Protection Program.

Producers, importers, exporters, persons requesting additional
consumption allowances, and hydrochlorofluorocarbon (HCFC) transferors
that deal in class II ozone-depleting substances (ODS) are required to
report periodically on a company-wide basis to EPA and to maintain
records. Reports and revisions of reports should be sent to the
Administrator 30 and 180 days after the end of the applicable reporting
period, respectively, unless otherwise specified. Records and copies of
reports should be retained for three years. Quantities of class II
substances should be reported in kilograms. Please refer to §82.24(a) of
40 CFR Part 82 for a description of these general recordkeeping and
reporting requirements. A control period calendar is provided in
Appendix D.

The following listed reporting forms are *recommended formats* for
providing the required information to EPA. Companies may, however,
provide the same information in another format if desired.

+-----------------------+---------------------+-------+--------------+
| **                    | **[EPA              | **[N  | **[CFR]{.    |
| [Title]{.underline}** | Form]{.underline}** | umber | underline}** |
|                       |                     | ]{.un |              |
|                       | **[Nu               | derli | **[N         |
|                       | mber]{.underline}** | ne}** | umber*\**]{. |
|                       |                     |       | underline}** |
|                       |                     | **[of |              |
|                       |                     | Pages |              |
|                       |                     | ]{.un |              |
|                       |                     | derli |              |
|                       |                     | ne}** |              |
+-----------------------+---------------------+-------+--------------+

***QUARTERLY REPORTS***

Producer Quarterly Report 2014.02-P-HCFC 3 82.24(b)(1)

Importer Quarterly Report 2014.02-I-HCFC 4
[82.24(]{.smallcaps}c[)(1),]{.smallcaps} 82.24(f)

Exporter Quarterly Report 2014.02-E-HCFC 3 82.24(d)

> 82.24(b)(1)(vi)

***OTHER REPORTS***

Domestic Transfers of Allowances 2014.02-DT-HCFC 3 82.23

Request for Additional 2014.02-RCA-HCFC 3 82.20(a)

Consumption Allowances

Petition to Import Used Substances no form \-- 82.24(c)(3)-(4)

*\* All citations are from the January 21, 2003 edition of 68 CFR 2820.*

The remainder of Part 4 describes the recordkeeping and reporting
requirements and provides instructions on how to complete each of the
forms listed above.

## PRODUCERS OF CLASS II SUBSTANCES 

Producers of class II substances are required to report to EPA. The
reports require data on a company-wide scale, even though recordkeeping
by some companies may be conducted on an individual facility or plant
basis. Section 82.24(b) describes the regulatory requirements for
recordkeeping and quarterly reporting of production.

For producers that fail to maintain records or submit the report, the
Administrator may assume that production reached full capacity during
the period for which records were not kept as explained in §82.24(b)(3).

Terms such as "production," "destruction," and "transform" are defined
in the regulations (§82.3) and reproduced in Appendix E to this guidance
document.

### Recordkeeping Requirements

Section 82.24(b)(2) describes the recordkeeping requirements for
producers in detail. The records that should be maintained by all
producers are summarized below.

-   Dated records of the quantity of class II substances produced at
    each facility;

-   Dated records of the quantity of class II substances produced with
    export production allowances or Article 5 allowances;

-   Dated records of the quantity of class II substances used at each
    facility as feedstocks, or destroyed in the manufacturing of a class
    II substance, or introduced into the production process of the same
    class II substance;

-   Dated records of the quantity of raw materials and feedstock
    chemicals used at each facility for the production of class II
    substances at each facility;

-   Dated records of the shipments of each class II substance produced
    at each plant;

-   Copies of invoices or receipts documenting sales of class II
    substances resulting in their transformation or destruction;

-   The quantity of class II substances, date received, and names and
    addresses of the source of used materials containing recycled or
    reclaimed class II substances at each plant;

-   Records of the estimated quantity of any spill or release of class
    II substance that equals or exceeds 100 pounds and the date of the
    incident(s);

-   Transformation or destruction verification certifying the intent to
    transform or destroy the class II substance or sell the class II
    substance for transformation or destruction in cases when allowances
    were not expended;

-   Written verification from the U.S. purchaser that the class II
    substance was exported to Parties to the Protocol, including exports
    to Article 5 countries, in cases where export production allowances
    were expended to produce the class II substances; and

-   Written verification from the U.S. purchaser that HCFC-141b was
    manufactured to meet HCFC-141b exemption needs, in accordance with
    §82.16(h), in cases where HCFC-141b exemption allowances were
    expended to produce the HCFC-141b.

### Reporting Requirements 

The following list summarizes reporting requirements for various types
of production (§82.24(b)(1)).

-   *[Production using Production and Consumption
    Allowances]{.underline}*

> Producers should report the total sum of expended and unexpended
> production and consumption allowances for each class II substance
> produced.

-   *[Production using Article 5 Allowances]{.underline}*

> Producers allocated baseline production allowances in \'82.18 may
> produce up to 15 percent of the baseline explicitly for export to
> Article 5 countries for the latter's domestic use. Producers should
> report the quantity produced for export to Article 5 countries and
> deduct expended Article 5 allowances from that producer's balance of
> Article 5 allowances. As explained in §82.24(b)(1)(x), producers that
> produce class II substances using Article 5 allowances should provide
> a list of U.S. entities that purchased those class II substances and
> exported them to Article 5 countries. In addition, producers should
> maintain dated records of the quantity of class II substances produced
> with Article 5 allowances. Appendix C lists Article 5 countries.

-   *[Production for In-House or Second-Party
    Transformation]{.underline}*

> Producers should report the quantities of class II substances produced
> for in-house or second‑party transformation.
>
> A person purchasing class II substances for second-party
> transformation should provide the producer with verification that the
> class II substances will be used in a process resulting in their
> transformation.
>
> Copies of transformation verifications for quantities sold for
> second-party transformation should accompany the Producer Report.

-   *[Production for In-House or Second-Party Destruction]{.underline}*

> Producers should report the quantities of class II substances produced
> for in-house or second-party destruction.
>
> A person purchasing class II substances for second-party destruction
> should provide the producer with verification that the class II
> substances will be used in a process resulting in their destruction.
>
> Copies of destruction verifications for quantities sold or transferred
> for second-party destruction should accompany the Producer Quarterly
> Report.

-   *[Production for HCFC-141b Exemptions]{.underline}*

> Producers should report the quantities of HCFC-141b produced for
> HCFC-141b exemption allowance holders.
>
> The producers should provide a list of all HCFC-141b exemption
> allowance holders from whom orders were received and for whom
> HCFC-141b was produced.

-   *[Production using Export Production Allowances]{.underline}*

> Producers that produce class II substances using export production
> allowances should provide a list of U.S. entities that purchased those
> class II substances and exported them to a Party to the Protocol. In
> addition, producers should maintain dated records of the quantity of
> class II substances produced with export production allowances.
>
> Producers who import and/or export class II substances should file an
> Importer and/or Exporter Report as well as a Producer Report.

### Form Instructions: Producer Quarterly Report (Form 2014.02-P)

The Producer Quarterly Report has three sections:

Section 1 -- Producing Company Identification

Section 2 - Company Production Data (company-wide)

Section 3 - Allowance of Expenditure Totals

Section 1 - Producing Company Identification

1.1 [Date of Submission]{.underline}*:* Date the report is submitted to
EPA.

1.2 [Producing Company]{.underline}: Name of the company and the
business address of the contact person for the report.

1.3 [Company Contact Identification]{.underline}: 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 and Year to which this Report Applies]{.underline}: Check
the appropriate box and enter the appropriate year.

1.5 [Importer Information]{.underline}: Check the appropriate box to
indicate the company\'s status as an importer.

1.6 [Exporter Information]{.underline}: Check the appropriate box to
indicate the company\'s status as an exporter.

1.7 [Signature of Reporting Company Representative]{.underline}: The
company official who is attesting to the accuracy of the report should
complete and sign this section. This person may or may not be the
company contact person identified in Section 1.3. 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]{.underline}: Name as it appears in Section 1.2.

2.2 [Company Production Totals]{.underline}:

> *Chemical Name (Column A):*
>
> The common names of class II substances.
>
> *Gross Production (kg) (Column B):*
>
> The total quantity, in kilograms, of the class II substances produced.
>
> *In-House Transformation (kg) (Column C):*
>
> The total quantity, in kilograms, of each class II substance produced
> for in-house transformation during the quarter.
>
> *Second-Party Transformation (kg) (Column D):*
>
> The total quantity, in kilograms, of each class II substance produced
> for second-party transformation. (Submit copy of the transformation
> verification from each company.)
>
> *In-House Destruction (kg) (Column E):*
>
> The total quantity, in kilograms, of each class II substance produced
> for in-house destruction.
>
> *Second-Party Destruction (kg) (Column F):*
>
> The total quantity, in kilograms, of each class II substance produced
> for second-party destruction. (Submit a copy of the destruction
> verification from each company.)
>
> *HCFC-141b Exemption (kg) (Column G):*
>
> The total quantity, in kilograms, of HCFC-141b produced for exemption
> allowance holders from whom orders were received. (Submit a list of
> all HCFC-141b exemption allowance holders for whom HCFC-141b was
> produced.)
>
> *Export Production (kg) (Column H):*
>
> The total quantity, in kilograms, of each class II substance produced
> by expending export production allowances. (Submit a list of all U.S.
> entities that purchased those class II substances and exported them to
> a Party to the Protocol.)
>
> *Article 5 Production (kg) (Column I):*
>
> The total quantity, in kilograms, of each class II substance produced
> explicitly for export to Article 5 countries during this quarter that
> will require expenditure of Article 5 allowances. (Submit a list of
> all U.S. entities that purchased those class II substances and
> exported them to Article 5 countries.) Appendix C lists Article 5
> countries.
>
> *Net Production of HCFC (kg) (Column J):*
>
> The remaining quantity of HCFCs after subtracting out the quantities
> produced as listed in Columns C, D, E, and F from Column B. Production
> quantities for Columns G, H, and I should not be included in the gross
> production in Column B.

Section 3 - Allowance Expenditure Totals

3.1 [Company Name]{.underline}: Name as it appears in Section 1.2.

3.2 [Allowance Balance Summary]{.underline}: Please supply this
information for all substances for which the company holds production,
consumption, export production, or Article 5 allowances.

> *Chemical Name (Column A):*
>
> The common names of class II substances.
>
> *Total Production Allowances for Year to Date (as of end of quarter)
> (Column B):*
>
> The total sum of expended and unexpended production allowances.
>
> *Total Consumption Allowances for Year to Date (as of end of quarter)
> (Column C):*
>
> The total sum of expended and unexpended consumption allowances.
>
> *Total Export Production Allowances for Year to Date (as of end of
> quarter) (Column D):*
>
> The total sum of expended and unexpended export production allowances.
>
> *Total Article 5 Allowances for Year to Date (as of end of quarter)
> (Column E):*
>
> The total sum of expended and unexpended Article 5 allowances.

## IMPORTERS OF CLASS II SUBSTANCES 

Importers of new class II substances are required to report to EPA.
Section 82.24(c) and §82.24(f) describe the regulatory requirements for
recordkeeping and quarterly reporting of importation. They are also
required to report blends and mixtures of class II substances. Terms
such as "importer," "heel," "destruction," "transhipment," and
"transform" are defined in the regulations (§82.3) and in Appendix E.

Importers of used class II substances are required to petition EPA and
the information required in the petition is described in §§82.24(c)(3)
through (c)(4).

### Recordkeeping Requirements

Section 82.24(c)(2) describes the recordkeeping requirements for
importers of class II substances. These requirements are summarized
below:

-   The quantity of each class II substance imported, either alone or in
    mixtures, and the percentage of each mixture containing a class II
    substance;

-   The quantity of class II substances excluding transhipments or used
    class II substances for use in processes resulting in their
    transformation or destruction;

-   The quantity of class II substances that are imported and sold for
    processes resulting in their transformation and destruction;

-   The date on which class II substances were imported;

-   The port of entry of the class II substances;

-   The country from which the class II substances were imported;

-   The commodity code for the class II substances shipped;

-   The importer number for the shipment;

-   A copy of the bill of lading;

-   Import invoices;

-   The U.S. Customs Summary Entry form;

-   Dated records of the sale or transfer of class II substances for use
    in processes resulting in their transformation or destruction;

-   Verification of transformation or destruction; and

-   Written verification from a U.S. purchaser that HCFC-141b was
    imported to meet HCFC-141b exemption needs, in accordance with
    §82.16(h), in cases where HCFC-141b exemption allowances were
    expended to import the HCFC-141b.

Section 82.24 (c)(5) describes the recordkeeping requirement for
companies that tranship a class II substance. Any importer who tranships
a class II substance should maintain the following records:

-   Records that the transhipment originated in a foreign country;

-   Records that the transhipment is destined for another foreign
    country; and

-   Records that the class II substance shipment will not enter
    interstate commerce within the U.S.

### Reporting Requirements

The following list summarizes specific reporting requirements for
various types of imports (§§82.24(c)(1) and 82.24(f)).

-   *[Imports for Expending Consumption Allowances]{.underline}*

> Importers should report the total sum of expended and unexpended
> consumption allowances for each class II substance imported.

-   *[Imports for In-House or Second-Party Transformation]{.underline}*

> Importers should report the quantities of class II substances imported
> for in-house or second‑party transformation.
>
> A person purchasing class II substances for second-party
> transformation should provide the importer with verification that the
> class II substances will be used in processes resulting in their
> transformation.
>
> Copies of transformation verifications for quantities sold for
> second-party transformation should accompany the Importer Quarterly
> Report.

-   *[Imports for In-House or Second-Party Destruction]{.underline}*

> Importers should report the quantities of class II substances imported
> for in-house or second-party destruction.
>
> A company purchasing class II substances for second-party destruction
> should provide the importer with verification that the class II
> substances will be used in processes resulting in their destruction.
>
> Copies of destruction verifications for quantities sold for
> second-party destruction should accompany the Importer Quarterly
> Report.

-   *[Imports of Used Class II Substances]{.underline}*

> Imports of used class II substances are reported separately in the
> Importer Quarterly Report

-   *[Imports of HCFC-141b]{.underline}*

> Importers should report the quantities of HCFC-141b imported for
> HCFC-141b exemption allowance holders.
>
> The importer should provide a list of all HCFC-141b exemption
> allowance holders from whom orders were requested and the quantities
> of HCFC-141b imported for each allowance holder.

-   *[Imports of 'Heels']{.underline}*

> The importer should label their bill of lading or invoice indicating
> that the class II substance in the container is a heel. The importer
> of heels should report and submit the certification that the material
> will either: (1) 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. In addition,
> importers should report on the final disposition of the heel.
> Importers also need to report total heels on a quarterly basis.

### Form Instructions: Importer Quarterly Report (Form 2014.02-I)

The Importer Quarterly Report has four sections:

Section 1 - Importing Company Identification

Section 2 - Transaction Records

Section 3 - Company Import Data (company-wide)

Section 4 - Allowance Expenditure Totals

Section 1 - Importing Company Identification

1.1 [Date of Submission]{.underline}: Date the report is submitted to
EPA.

1.2 [Number of Transactions Reported]{.underline}: Total number of
individual transactions reported in Section 2.

1.3 [Number of Pages Submitted]{.underline}: Total number of pages in
the report, including transaction summary pages.

1.4 [Quarter and Year to which this Report Applies]{.underline}: Check
the appropriate box and enter the appropriate year.

1.5 [Importing Company]{.underline}: The name of the company and the
business address of the contact person for the report.

1.6 [Company Contact Identification]{.underline}: 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]{.underline}: 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. The person
signing the form should read the \"certification\" that the information
on the form is accurate.

Section 2 - Transaction Records

2.1 [Company Name]{.underline}: Company submitting the Importer
Quarterly Report, as in Section 1.5.

2.2 [Transaction Summaries]{.underline}: Enter \"1\" for first
transaction of the quarter and proceed with \"2\", \"3\", and so on, for
subsequent transactions. Reproduce this page as needed to obtain
sufficient blank spaces for multiple transactions.

> *Source Country:*
>
> The country that exported the class II substance to the U.S.
>
> *Port of Exit from Source Country:*
>
> The port city from which the class II substance was exported, as shown
> on the U.S. Customs Entry Summary Form 7501 or bill of lading.
>
> *Quantity of Commodity Imported:*
>
> The total quantity, in kilograms, of the commodity imported.
>
> *Commodity Code of Shipment:*
>
> The 10-digit code number in the Harmonized Tariff Schedule. The
> commodity codes for class II substances are designated by the U.S.
> Customs Service. The commodity codes for class II substances are
> listed below and in Appendix K to Subpart A of 40 CFR Part 82.
>
> HCFC-22\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.....2903.49.9010
>
> HCFC-21
>
> HCFC-31
>
> HCFC-123
>
> HCFC-124
>
> HCFC-133
>
> HCFC-141b
>
> HCFC-142b
>
> HCFC-225\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....2903.49.0000
>
> Mixtures, (Other)
>
> (One or more fully halogenated compounds indicated
> above)\...\...\...\...\...\...\...\...\...3824.79.0000
>
> *If Import is not a Blend:*
>
> The class II substance by its common name, such as HCFC-22, HCFC-124,
> HCFC-142b that is being imported and the total quantity, in kilograms,
> of the class II substance.*\
> *
>
> *If Import is a Blend:*
>
> The name of the blend containing HCFCs that is being imported (e.g.,
> R-409A) and the total quantity, in kilograms, of the blend.
>
> *HCFC in Blend, Quantity:*
>
> The class II substance by its common name, such as HCFC-22, HCFC-124,
> HCFC-142b and the total quantity, in kilograms, of each HCFC imported
> in the blend (e.g., if the blend is R-409A and the blend is comprised
> of 60 percent HCFC-22, 25 percent HCFC-124, and 15 percent HCFC-142b,
> then using these percentages, calculate and report the quantity of
> each HCFC within the blend).
>
> *Port of Entry into the U.S.:*
>
> The U.S. port where the shipment landed.
>
> *Date of Import:*
>
> The import date, as shown in Block 27 of the U.S. Customs Entry
> Summary Form. The date of import is the date that the ship arrives at
> the port, or the date the truck or train enters the U.S.
>
> *Customs Entry Summary Number:*
>
> This number identifies the specific shipment (from block number 1 of
> the U.S. Customs Entry Summary Form). The Customs Entry Summary Number
> is generally three (3) letters followed by nine (9) digits.
>
> *Importer Number:*
>
> The company's IRS number is usually used for identification. *Please
> ensure the number is a complete U.S. Customs Service Importer Number.*
> This number appears on the Customs Entry Summary Form as two digits,
> followed by a dash, then seven digits (e.g., 12-1234567).
>
> *Type of Import:*
>
> Check the box describing the purpose (transformation or destruction)
> or type of shipment (new, used, or heels).
>
> *If Heels, Indicate One of the Following Purposes:*
>
> Check the box describing the purpose (included in future shipment,
> transformation, destruction, non-emissive use) of the heels.

Section 3 - Company Import Data

3.1 [Company Name]{.underline}: Name of the company submitting the
report, as in Section 1.5.

3.2 [Company Import Totals:]{.underline}

> *Chemical Name (Column A):*
>
> The common names of the class II substances.
>
> *Gross Imports (kg) (Column B)\*:*
>
> The total quantity, in kilograms, of the class II substances imported.
>
> *In-House Transformation (kg) (Column C)\*:*
>
> The total quantity, in kilograms, of each class II substance imported
> for in-house transformation purposes.
>
> *Second-Party Transformation (kg) (Column D)\*:*
>
> The total quantity, in kilograms, of each class II substance imported
> and sold for second-party transformation. (Submit a copy of the
> transformation verification from each company.)
>
> *In-House Destruction (kg) (Column E)\*:*
>
> The total quantity, in kilograms, of each class II substance imported
> for in-house destruction.
>
> *Second-Party Destruction (kg) (Column F)\*:*
>
> The total quantity, in kilograms, of each class II substance imported
> and sold for second-party destruction. (Submit a copy of the
> destruction verification from each company.)
>
> *Net Imports (kg) (Column G):*
>
> The remaining quantity of class II substances after subtracting out
> the quantities listed in Columns C, D, E, and F from Column B.
>
> *Total 'Used' Imports (kg) (Column H):*
>
> The total quantity, in kilograms, of each used class II substance
> imported.
>
> *Total 'Heels' (kg) (Column I):*
>
> The total quantity, in kilograms, of each class II substance brought
> into the United States as a heel that is no more than 10 percent of
> the volume of each container. (Submit the certification that the heel
> will be treated as required in 82.24(f).)
>
> \* NOTE: If the substance is a component of a mixture, report only the
> quantity of the class II substance in the mixture.

Section 4 -- Allowance Expenditure Totals

4.1 [Company Name]{.underline}: Name of the company submitting the
report, as in Section 1.5.

4.2 [Yearly Balance Summary of Allowances]{.underline}: This information
should be supplied for all substances for which the company holds
consumption allowances or HCFC-141b exemption allowances.

> *Chemical Name (Column A):*
>
> The common names of class II substances.
>
> *Total Consumption Allowances for Year to Date (as of end of quarter)
> that were expended and unexpended (Column B):*
>
> The total sum of expended and unexpended consumption allowances by
> chemical for the control period to date.
>
> *Total HCFC-141b Exemption Allowances for Year to Date (as of end of
> quarter) that were expended and unexpended (Column C):*
>
> The total sum of expended and unexpended HCFC-141b exemption
> allowances by chemical for the control period to date. (Submit a list
> of all HCFC-141b exemption allowance holders for whom HCFC-141b was
> imported.)

## EXPORTERS OF CLASS II SUBSTANCES 

Exporters of class II substances are required to report to EPA. Section
82.24(d) and §82.24(b)(1)(vi) describes the regulatory requirements for
recordkeeping and quarterly reporting of exports. Exports of blends and
mixtures of class II substances are also considered exports under the
regulations and should be reported. Terms such as "exporter,"
"destruction," and "transform" are defined in the regulations (§82.3)
and in Appendix E.

The exporter is the company that owns the class II 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 will accept the exporter\'s
business invoice as proof that the company had contracted to sell or
transfer the class II substance to a foreign entity. On-board bills of
lading are also necessary to verify that the export occurred.

Exporters may obtain consumption allowances equivalent to the quantity
of class II substances exported to a foreign state when that quantity
was produced in the U.S. with expended consumption allowances. The
exporter should complete *Form 2014.02-E-HCFC* to request additional
class II consumption allowances.

### Recordkeeping Requirements

There are no recordkeeping requirements for exporters. However, EPA
recommends that companies exporting class II substances maintain copies
of invoices and bills of lading for each shipment.

### Reporting Requirements 

In general, information provided about the recipient should pertain to
the location of the plant where the substance is to be used, rather than
the location of the corporate headquarters. For purposes of the
Stratospheric Ozone Protection Program, the destination is defined as
the ultimate destination of the export, rather than any transit
destinations.

The following list summarizes quarterly reporting requirements for
various types of exports (§82.24(d)(1)).

-   *[Exports for Transformation]{.underline}*

> Section 82.24(d)(1)(viii) requires the recipient or purchaser of class
> II substances for transformation to provide the exporter with
> verification that the class II substances are intended for
> transformation.
>
> The exporter report should be accompanied by copies of transformation
> verifications for quantities sold for transformation.

-   *[Exports for Destruction]{.underline}*

> Section 82.24(d)(1)(viii) requires the recipient or purchaser of class
> II substances for destruction to provide the exporter with
> verification that the class II substances are intended for
> destruction.
>
> The exporter report should be accompanied by copies of destruction
> verifications for quantities sold for destruction.

### Form Instructions: Exporter Quarterly Report (Form 2014.02-E)

The Exporter Quarterly Report has three sections:

Section 1 - Exporting Company Identification

Section 2 - Transaction Records

Section 3 - Company Export Totals (company-wide)

Section 1 -- Exporting Company Identification

1.1 [Date of Submission]{.underline}: Date the report is submitted to
EPA.

1.2 [Number of Transactions Reported]{.underline}: Total number of
individual transactions reported in Section 2.

1.3 [Number of Pages Submitted]{.underline}: Total number of pages in
the report, including transaction summary pages.

1.4 [Quarter and Year to which this Report Applies]{.underline}: Check
the appropriate box and enter the appropriate year.

1.5 [Exporting Company Information]{.underline}: The name of the company
and the business address of the contact person for the report.

1.6 [Company Contact Identification]{.underline}: 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]{.underline}: 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. The person
signing the form should read the \"certification\" that the information
on the form is accurate.

Section 2 - Transaction Records

2.1 [Company Name]{.underline}: Company submitting the Exporter
Quarterly Report, as in Section 1.5.

2.2 [Transaction Summaries]{.underline}: Enter \"1\" for first
transaction of the quarter and proceed with \"2\", \"3\", and so on, for
subsequent transactions. Reproduce this page as needed to obtain
sufficient blank spaces for multiple transactions.

> *Recipient Company Name:*
>
> The company receiving the class II substance.
>
> *Street Address:*
>
> The business address of the recipient company.
>
> *City:*\
> The city of the recipient company.
>
> *Country:*
>
> The country to which the class II substances were exported.
>
> *Postal Code:*
>
> The postal code of the recipient company.
>
> *Article 5 Country:*
>
> Check the box if the recipient company is located in an Article 5
> country. Appendix C lists Article 5 countries.
>
> *Company Contact Person:*
>
> The name of a contact person employed at the recipient company,
> his/her telephone number, and facsimile number.
>
> *Quantity of Commodity Exported:*
>
> The total quantity, in kilograms, of the commodity exported.
>
> *Commodity Code of Shipment:*
>
> The 10-digit code in the Harmonized Tariff Schedule. The commodity
> codes for class II substances are designated by the U.S. Customs
> Service. The commodity codes for class II substances are listed below
> and in Appendix K to Subpart A of 40 CFR Part 82.
>
> HCFC-22\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.....2903.49.9010
>
> HCFC-21
>
> HCFC-31
>
> HCFC-123
>
> HCFC-124
>
> HCFC-133
>
> HCFC-141b
>
> HCFC-142b
>
> HCFC-225\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....2903.49.0000
>
> Mixtures, (Other)
>
> (One or more fully halogenated compounds indicated
> above)\...\...\...\...\...\...\...\...\...3824.79.0000
>
> *If Export is not a Blend:*
>
> The class II substance by its common name, such as HCFC-22, HCFC-124,
> HCFC-142b that is being exported and the total quantity, in kilograms,
> of the class II substance.*\
> *
>
> *If Export is a Blend:*
>
> The name of the blend containing HCFCs that is being exported (e.g.,
> R-409A) and the total quantity, in kilograms, of the blend.
>
> *HCFC in Blend, Quantity:*
>
> The class II substance by its common name, such as HCFC-22, HCFC-124,
> HCFC-142b and the total quantity, in kilograms, of each HCFC exported
> in the blend (e.g., if the blend is R-409A and the blend is comprised
> of 60 percent HCFC-22, 25 percent HCFC-124, and 15 percent HCFC-142b,
> then using these percentages, calculate and report the quantity of
> each HCFC within the blend).
>
> *Date of Export:*
>
> Date of export as it appears on the bill of lading.
>
> *Port of Export from the U.S.:*
>
> U.S. port where the class II 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.
>
> *Type of Export:*
>
> Check the box describing the purpose (transformation or destruction),
> type of HCFC (used), or type of allowances expended (export production
> allowances, Article 5 allowances, or production allowances/consumption
> allowances).

Section 3: Company Export Totals

A separate Section 3 should be completed for each class II substance.
Reproduce the blank form as needed.

3.1: [Company Name]{.underline}: Company submitting the Exporter
Quarterly Report, as in Section 1.5.

3.2: [Transaction Summaries:]{.underline} Select the class II substance
to be summarized for the first transaction of the quarter. Reproduce
this page as needed to proceed with summaries for class II substances
associated with transactions \"2,\" \"3,\" and so on.

> *Class II Substance:*
>
> The common names of the class II substances. Enter the common name of
> the class II substance in the space provided if it is not provided in
> the list.
>
> *Country Receiving Export:*
>
> The names of countries to which the class II substances were exported.
>
> *Quantity of Class II Substance Exported:*
>
> The total quantity, in kilograms, of the specific class II substance
> exported to each country.

## DOMESTIC TRANSFERS OF ALLOWANCES 

Domestic transfers of allowances (§82.23) are discussed below, while
international transfers of production allowances, consumption
allowances, export production allowances, and Article 5 allowances
should comply with the requirements in §§82.18(c) and 82.20(b).

*Form 2014.02-DT-HCFC ("Transfers of Allowances") may not be used for
international transfers of allowances.*

A producer may increase or decrease its production allowances, export
production allowances, or Article 5 allowances, for a specific control
period through transfers with another producer. Terms such as
"production allowances," "consumption allowances," "export production
allowances," or "Article 5 allowances" are defined in the regulations
(§82.3) and reproduced in Appendix E.

The following list summarizes information on various types of
allowances.

-   *[Production Allowances]{.underline}*

> A producer that was apportioned baseline production allowances for
> class II substances may increase or decrease its balance of allowances
> through transfer with another producer.

-   *[Consumption Allowances]{.underline}*

> A producer, importer, or exporter that was apportioned baseline
> consumption allowances for class II substances may increase or
> decrease its balance of allowances through transfers with any holder
> of consumption allowances.

-   *[Article 5 Allowances]{.underline}*

> A producer that was apportioned baseline production allowances is also
> apportioned Article 5 allowances, equal to 15 percent of the
> producer's baseline production allowances, for the specified HCFC for
> each control period until December 31, 2014; 10 percent from January
> 1, 2015 to December 31, 2029; and 15 percent from January 1, 2030 to
> December 31, 2039. The specified HCFC can be produced for export to
> Article 5 countries. Appendix C lists Article 5 countries.

-   *[Export Production Allowances]{.underline}*

> A producer that was apportioned baseline production allowances for
> HCFC-141b is also apportioned export production allowances, equal to
> 100 percent of its baseline production allowances, for HCFC-141b for
> each control period beginning January 1, 2003, until December 31,
> 2029. The baseline production allowances for HCFC-141b expired
> December 31, 2002. HCFC-141b can be produced *for export only* by
> expending export production allowances.

For transfers of production allowances, export production allowances, or
Article 5 allowances, the transfer claim should include the 0.1 percent
offset applied to the unweighted quantity transferred that will be
deducted from the transferor's balance of allowances.

If a person intends to transfer consumption allowances to another
company or to another chemical, *Form 2014.02-DT-HCFC* ("Domestic
Transfers of Allowances") can be used as a template for transfer claims,
and should be submitted to EPA before the transfer(s) take(s) place.
Section 82.23 of the rule presents the reporting requirements applicable
to the transfer claim and is summarized as follows:

A person should complete a transaction summary for each transfer
involving a different chemical or a different transferee.

For inter-pollutant transfers, the transfer claim should include the
quantity of allowances to be subtracted from the transferor's unexpended
allowances for the first class II substance to be equal to 100.1 percent
of the quantity of allowances converted. The quantity being converted
should account for differences in ozone depletion potentials (ODPs).
ODPs of the class II substances are listed in Appendix B.

EPA will review the transfer claim within three (3) working days of
receiving the claim, and respond with either a \"no objection\" notice
if, according to EPA\'s records, the transferring company has sufficient
allowances to cover the transfer, 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
transferring companies may proceed with the transaction. In cases where
the Agency issues a notice of no objection or fails to respond
expeditiously, if EPA later determines that insufficient allowances
existed to cover the transfer, the companies may face enforcement
actions.

For transfers of consumption allowances, the transfer claim should
include the 0.1 percent offset applied to the unweighted quantity
transferred that will be deducted from the transferor's balance of
allowances.

### Recordkeeping Requirements

There are no recordkeeping requirements for companies notifying the
Agency of a class II transfer.

### Form Instructions: Domestic Transfers of Allowances (Form 2014.02-DT)

The form for Domestic Transfer of Allowances has three sections:

Section 1 - Transferor Identification

Section 2 - Transaction Record

Section 3 - Unexpended Balance Summary

Section 1 - Transferor Identification

1.1 [Date of Submission]{.underline}: Date the report is submitted to
EPA.

1.2 [Number of Transactions Reported]{.underline}: Total number of
individual transactions reported in Section 2.

1.3 [Number of Pages Submitted]{.underline}: Total number of pages in
the report, including transaction summary pages.

1.4 [Company Information]{.underline}: The name of the company
transferring the allowances and the business address of the contact
person for the report.

1.5 [Company Contact Identification]{.underline}: 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.

1.6 [Signature of Reporting Company Representative]{.underline}: 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. The person
signing the form should read the \"certification\" that the information
on the form is accurate.

Section 2 - Transaction Record

Companies submitting a transfer claim should complete this section for
each transfer (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 multiple transactions.

For each transaction, complete the form as follows:

2.1 [Transferee Identification]{.underline}: Name and address of the
transferee company (the company receiving allowances as a result of the
transfer). Identify a contact person and provide telephone and fax
numbers. If a person is conducting an inter-pollutant transfer (i.e.
trading allowances internally between two class II substances), the
transferee company will be the same company identified in Section 1.5.
The type of allowance being transferred (Production, Consumption, Export
Production, or Article 5) should also be identified.

2.2 [Type of Allowances Transferred]{.underline}: A transfer of current
year allowances is only for the current control period. A transfer of
baseline allowances *permanently* reduces the number of allowances that
the transferor will receive in future allocations. Only one box should
be checked.

2.3 [HCFC Transferring From]{.underline}: The common name of the class
II substance that is having its allowances reduced as a result of the
transfer (e.g., HCFC-22 or HCFC-123).

2.4 [Ozone Depletion Potential (ODP)]{.underline}: The ozone depletion
potential (defined as the measure of a substance's ability to destroy
stratospheric ozone) of the chemical listed in Section 2.3. ODPs of the
class II substances are listed in Appendix B.

2.5 [Quantity of HCFC in Section 2.3 Being Transferred
(kg)]{.underline}: The number of allowances of the class II substance
listed in 2.3 that are being transferred.

2.6 [Calculated Level of HCFC in Section 2.3 Being
Transferred]{.underline}: Transfers of class II substances are made on
the basis of calculated level. The calculated level of a quantity of
class II substance is equal to its mass in kilograms multiplied by its
ODP. Calculate the level of class II substance being transferred by
multiplying the ODP (listed in Section 2.4) by the quantity transferred
(listed in Section 2.5); report the result in Section 2.6.

2.7 [HCFC Transferring To]{.underline}: The common name of the class II
substance which will have its balance of allowances increased as a
result of the transfer.

2.8 [Ozone Depletion Potential (ODP)]{.underline}: The ODP of the class
II substance listed in Section 2.7. ODPs of the class II substances are
listed in Appendix B.

2.9 [Amount of Offset (0.001 x Section 2.5) (kg)]{.underline}: The
amount of offset is calculated by multiplying the amount listed in
Section 2.5 by 0.001.

2.10 [Number of Allowances Subtracted from Transferor\'s Balance of HCFC
Allowances (Section 2.5 + Section 2.9)]{.underline}: 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 Sections 2.5 and
2.9.

2.11 [Quantity of HCFC in Section 2.7 Being Received (Section 2.6 **÷**
Section 2.8) (kg)]{.underline}: The number of allowances received is
equal to the calculated level of allowances being transferred divided by
the ODP of the class II substance that is having its balance of
allowances increased as a result of the transfer. Calculate the number
of class II allowances being received by dividing the calculated level
reported in Section 2.6 by the ODP listed in Section 2.8.

Section 3 - Unexpended Balance Summary

3.1 [Balance of Unexpended HCFC Allowances Prior to Transfers
Reported]{.underline}: For each class II substance involved in the
transfer, report the company\'s balance of unexpended allowances before
the transfer.

> *Chemical Name (Column A):*
>
> The common names of class II substances. Enter the common name of the
> class II substance in the space provided if it is not already provided
> in the list.
>
> *Balance of Unexpended Production Allowances (Column B):*
>
> The unexpended production allowances held by the transferor within the
> production limit of that class II substance.
>
> *Balance of Unexpended Consumption Allowances (Column C):*
>
> The unexpended consumption allowances held by the transferor within
> the consumption limit of that class II substance.
>
> *Balance of Unexpended Export Production Allowances (Column D):*
>
> The unexpended export production allowances held by the transferor
> within the export production limit of that class II substance.
>
> *Balance of Unexpended Article 5 Allowances (Column E):*
>
> The unexpended Article 5 allowances held by the transferor within the
> production limit of that class II substance.

## REQUEST FOR ADDITIONAL class ii CONSUMPTION ALLOWANCES 

####### [Adjustment for Expended Consumption Allowances]{.underline} {#adjustment-for-expended-consumption-allowances .unnumbered}

At any time during the control period, an exporter may obtain
consumption allowances equivalent to the quantity of expended
consumption allowances after exporting class II substances from the U.S.
and its territories to a Party to the Protocol. Section 82.20(a)
describes the information and documentation required for such an
adjustment.

### Recordkeeping Requirements

There are no recordkeeping requirements for companies requesting
additional consumption allowances.

### Reporting Requirements

The exporter should submit a request for consumption allowances to EPA.
Section 82.20(a)(1) lists the reporting requirements for companies
requesting additional consumption allowances of class II substances.
Specific information requirements, not found in the reporting forms for
exporters requesting additional consumption allowances, are summarized
below.

-   *[Additional Documentation]{.underline}*

> Section 82.20(a)(1)(viii) states that the company requesting
> additional consumption allowances should submit a copy of the bill of
> lading and the invoice indicating the net quantity (kg) of class II
> substances shipped and documenting the sale of class II substances to
> the purchaser. According to §82.20(a)(1)(x), the company should also
> submit a written statement from the producer that the class II
> substances were produced with expended consumption allowances.

### Form Instructions: Request for Additional Consumption Allowances (Form 2014.02-RCA)

The form for the Request for Additional Consumption Allowances has three
sections:

Section 1 - Exporting Company Identification

Section 2 - Transaction Records

Section 3 - Company Export Totals

Section 1 -- Exporting Company Identification

1.1 [Date of Submission]{.underline}: Date the report is submitted to
EPA.

1.2 [Number of Transactions Reported]{.underline}: Total number of
individual transactions reported in Section 2.

1.3 [Number of Pages Submitted]{.underline}: Total number of pages in
the report, including transaction summary pages.

1.4 [Exporting Company]{.underline}: The name of the company requesting
additional consumption allowances and the business address of the
contact person for the report.

1.5 [Company Contact Identification]{.underline}: 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.

1.6 [Signature of Reporting Company Representative]{.underline}: 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. The person
signing the form should read the \"certification\" that the information
on the form is accurate.

Section 2 -- Transaction Records

2.1 [Company Name]{.underline}: Company submitting the Request for
Additional Consumption Allowances, as in Section 1.5.

2.2 [Transaction Summaries]{.underline}: Enter \"1\" for first
transaction of the quarter and proceed with \"2,\" \"3,\" and so on, for
subsequent transactions. Reproduce this page as needed to obtain
sufficient blank spaces for multiple transactions.

> *Recipient Company Name:*
>
> The company receiving the class II substance.
>
> *Street Address:*
>
> The business address of the recipient company.
>
> *City:\
> *The city of the recipient company.
>
> *Country:*
>
> The country to which the class II substances were exported.
>
> *Postal Code:*
>
> The postal code of the recipient company.
>
> *Article 5 Country:*
>
> Check the box if the recipient company is located in an Article 5
> country. Appendix C lists Article 5 countries.
>
> *Company Contact Person:*
>
> The name of a contact person employed at the recipient company,
> his/her telephone number, and facsimile number.
>
> *Quantity of Commodity Exported:*
>
> The total quantity, in kilograms, of the commodity exported.
>
> *Commodity Code of Shipment:*
>
> The 10-digit code number in the Harmonized Tariff Schedule. The
> commodity codes for class II substances are designated by the U.S.
> Customs Service. The commodity codes for class II substances are
> listed below and in Appendix K to Subpart A of 40 CFR Part 82.
>
> HCFC-22\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.....2903.49.9010
>
> HCFC-21
>
> HCFC-31
>
> HCFC-123
>
> HCFC-124
>
> HCFC-133
>
> HCFC-141b
>
> HCFC-142b
>
> HCFC-225\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....2903.49.0000
>
> Mixtures, (Other)
>
> (One or more fully halogenated compounds indicated
> above)\...\...\...\...\...\...\...\...\...3824.79.0000
>
> *HCFC Chemical Exported:*
>
> The class II substance using its common name, such as HCFC-22,
> HCFC-123, HCFC-142b. If the class II substance exported is a component
> of a blend or a mixture, identify both the blend and the class II
> substance(s) that it contains (e.g., "R-401A containing HCFC-22 and
> HCFC-142b").
>
> *Quantity of HCFC Exported:*
>
> The total quantity, in kilograms, of the class II substance exported.
> For pure class II substances, this will equal the quantity of the
> commodity exported. For mixtures containing class II substances,
> multiply the percentage of class II substance in the mixture by the
> quantity of commodity exported.
>
> *Date of Export:*
>
> Date of export as it appears on the bill of lading.
>
> *Port of Export from the U.S.:*
>
> Port in the U.S. where the class II 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.
>
> *Source of HCFC:*
>
> Supplier if it is not the U.S. producer who expended consumption and
> production allowances in the production of the class II substance.
>
> *Date Purchased:*\
> Date that the class II substance was purchased from the supplier or
> the U.S. producer who expended consumption and production allowances
> to produce the class II substance.
>
> *Company that Produced the HCFC with Production and Consumption
> Allowances:*
>
> Indicate the company that produced the HCFC in the U.S. with
> production and consumption allowances.

Section 3 -- Company Export Totals

3.1 [Company Name]{.underline}: The company requesting the additional
consumption allowances of class II substances.

3.2 [Company Request Summary:]{.underline}

> *Chemical Name (Column A):*
>
> The common names of the class II substances.
>
> *Total Consumption Allowances Requested (kg) (Column B)\*:*
>
> The total quantity, in kilograms, of the class II substances exported.
>
> \* NOTE: If the substance was a component of a mixture, report only
> the amount of the class II substance in the mixture.

## USED class ii substances - PETITION TO IMPORT

A petition process is required for imports of used class II substances.
The term "used controlled substances" is defined in the regulations
(§82.3) and in Appendix E.

An importer needs to petition EPA to import each individual shipment
over 5 pounds of used class II substances, at least 40 working-days
before the shipment is to leave the country of export. The 40
working-day period begins on the day following the date that the
Stratospheric Ozone Protection Program receives the petition. Petitions
may be faxed, sent by certified mail, express service, or regular mail
to the Refrigerant Recycling Program Manager at the Stratospheric
Program Implementation Branch as listed in Part 1 of the guidance
document.

If EPA issues an objection letter, the importer has up to 10 working
days to re-petition if EPA indicated "insufficient information" as the
basis for the objection notice. If EPA issues a non-objection letter, a
copy of the non-objection letter and the petition should accompany the
shipment through U.S. Customs. The approved used class II substance
should be imported within the same control period as the date stamped on
the non-objection notice.

### Petition Information Requirements 

Section 82.24(c)(3)-(4) describes the information requirements for
petitioners in detail. There is no EPA petition form. The petition may
be in any format as long as it includes the following information:

-   Name and quantity of the used class II substance, in kilograms, to
    be imported (including material that has been recycled or
    reclaimed);

-   Name and address of the importer, the importer I.D. number, phone
    number, fax number, and the name of the contact person;

-   Name and address, contact person, phone and fax numbers of all
    previous source facilities from which the used class II substance
    was recovered;

-   A detailed description of the previous use of the class II substance
    at each source facility and a best estimate of when the class II
    substance was put into the equipment including any documentation
    indicating such dates;

-   A list of the name, make, and model of the equipment from which the
    class II substance was recovered at each source facility;

-   Name, address, contact person, and phone and fax number of the
    exporter and/or foreign owner of the class II substance;

-   U.S. port of entry for the import, the expected date of shipment,
    and the name of the vessel transporting the class II substance;

-   Intended future use of the used class II substance including the
    name, address, contact person, and phone and fax number of the
    ultimate U.S. purchaser, if known;

-   Name, address, contact person, and phone and fax number of the U.S.
    reclamation facility, where applicable;

-   Name of the person who recovered the class II substance from
    equipment at the source facility.

-   Name, address, contact person, and phone and fax number of all
    foreign reclamation facilities responsible for reclaiming the cited
    shipment, if any;

-   An export license from the appropriate government agency in the
    country of export and, if recovered in another country, the export
    license from that country;

-   Name and address of the U.S. reclaimer bringing the material to CAA
    specifications if the used class II substance is to be sold as a
    refrigerant in the United States.; and

-   A certification of the accuracy of the information submitted in the
    petition.

In evaluating a petition, EPA determines whether the class II substance
to be imported is, in fact, previously used. In order to independently
verify the previous use of the class II substance, EPA requires
information on a contact person in the foreign country, including
telephone and fax numbers. In addition, EPA requires a detailed
description of the source facility (facilities) and the specific
equipment from which the class II substance was recovered. This
information ensures U.S. compliance under the Montreal Protocol.

### Recordkeeping Requirements

Section 82.24(c)(4)(viii) describes the recordkeeping requirements for
companies receiving non-objection notices. The records that should be
maintained by all companies approved to import used class II substances
are summarized below:

-   A copy of the petition;

-   EPA non-objection notice;

-   Bill of lading for the import; and

-   U.S. Customs entry documents for the import including the commodity
    code of the used class II substance approved for import.