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9/6/12

INFORMATION COLLECTION REQUEST (ICR)

ENVIRONMENTAL PROTECTION AGENCY

STRATOSPHERIC OZONE PROTECTION

SUPPORTING STATEMENT PART A

1. Identification of the Information Collection

a) Title: Reporting and Recordkeeping Requirements of the HCFC Allowance System

OMB Number: 2060-0498

EPA ICR Number: 2014.04

b) Short Characterization:

The international treaty The Montreal Protocol on Substances that Deplete the Ozone 

Layer (Protocol) and Title VI of the Clean Air Act Amendments (CAAA) established limits on 

total U.S. production, import, and export of class I and class II controlled ozone depleting 

substances (commonly referred to as “controlled substances).

Under the commitments agreed to under the Protocol, the United States was obligated to 

cease production and import of class I controlled substances (e.g., chlorofluorocarbons or CFCs) 

with exemptions for essential uses, critical uses, previously-used material, and material that is

transformed, destroyed, or exported to developing countries. The Protocol also establishes limits 

and reduction schedules leading to the eventual phaseout of class II controlled substances (i.e., 

hydrochlorofluorocarbons or HCFCs).

The U.S. is obligated to limit HCFC consumption (defined by the Protocol as production 

plus imports, minus exports). The schedule called for a 35 percent reduction on January 1, 2004, 

followed by a 75 percent reduction on January 1, 2010, a 90 percent reduction on January 1,

2015, a 99.5 percent reduction on January 1, 2020, and a total phaseout on January 1, 2030. The 

U.S. Environmental Protection Agency (EPA) is responsible for administering the phaseout. The 

U.S. comfortably met the 35 percent and 75 percent reduction of the cap, and is on schedule to 

meet the 90 percent reduction for January 1, 2015.

To ensure U.S. compliance with these limits and restrictions, EPA established an 

allowance system to control U.S. production and import of HCFCs by granting control measures 

referred to as baseline and calendar-year allowances. Baseline allowances are based on the 

historical activity of individual companies. Calendar-year allowances grant companies the ability

to produce and/or import a limited quantity of HCFCs in a given year and are reflected as a 
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percentage of baseline allowances. There are two types of baseline and calendar-year 

allowances: consumption and production allowances. Since each allowance is equal to 1 

kilogram of HCFC, EPA is able to monitor the quantity of HCFCs being produced, imported and 

exported. Transfers of production and consumption allowances among producers and importers 

are allowed and are tracked by EPA.

The above-described limits and restrictions are monitored by EPA through the 

recordkeeping and reporting requirements established in the regulations in 40 CFR part 82, 

subpart A. To submit required information, regulated entities can download reporting forms from 

EPA’s web site (http://www.epa.gov/ozone/record.index.html), complete them, and send them to 

EPA electronically, via mail, courier, or fax. Almost all of the large regulated companies use the 

EPA reporting forms.

Upon receipt of the reports, the data is entered into the ODS Tracking System. The ODS 

Tracking System is a secure database that maintains the data submitted to EPA and helps the 

agency: (1) maintain oversight over total production and consumption of controlled substances; 

(2) monitor compliance with limits and restrictions on production, imports, and trades and 

specific exemptions from the phaseout for individual U.S. companies; (3) enforce against illegal 

imports; and (4) assess, and report on, compliance with the U.S. phasedown caps established 

under the Montreal Protocol.

EPA has implemented an electronic reporting system through the agency’s Central Data 

Exchange (CDX) that allows regulated entities to prepare and submit data electronically. 

Coupled with the widespread use of the standardized forms, electronic reporting has improved 

data quality and made the reporting process efficient for both reporting companies and EPA.

Most reports that are submitted to the agency are done so electronically.

Pursuant to regulations in 40 CFR part 2, subpart B, reporting businesses are entitled to 

assert a business confidentiality claim covering any part of the submitted business information as 

defined in 40 CFR 2.201(c). EPA’s practice is to manage the reported information as confidential 

business information.

Based on our records, the information collection requirements affect 49 respondents. We 

estimate the total average annual industry burden and cost as 1,601 hours and $161,793.

Terms of Clearance

When OMB approved the ICR in 2003, it encouraged EPA to develop a database that 

allows for direct electronic reporting. EPA has established an electronic reporting system that is 

widely used by companies. No Terms of Clearance were issued when OMB last approved the 

ICR.
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2. Need For, and Use Of, the Collection

a) Authority for the Collection

This information collection is authorized under section 603(b) of the Clean Air Act 

Amendments and is necessary to meet information collection obligations under Article 7 of the 

Montreal Protocol. Excerpts from these documents are as follows.

CAAA 603(b) Production, import, and export level reports

On a quarterly basis, each person who produced, imported, or exported a class I or class 

II controlled substance shall file a report with the Administrator setting forth the amount of the 

substance that such person produced, imported, and exported during the preceding reporting 

period. Each report shall be signed and attested by a responsible officer. No report shall be

required from a person after April of the calendar year after such person permanently ceases 

production, importation, and exportation of the substance and so notified the Administrator in 

writing.

Article 7 of the Montreal Protocol on Substances that Deplete the Ozone Layer: 

Reporting of data

1. Each Party shall provide to the Secretariat, within three months of becoming a Party, 

statistical data on its production, imports and exports of each of the controlled substances in 

Annex A for the year 1986, or the best possible estimates of such data where actual data are not 

available.

2. Each Party shall provide to the Secretariat statistical data on its production, imports 

and exports of each of the controlled substances

 - In Annex B and Groups I and II of Annex C for the year 1989;

 - In Annex E, for the year 1991,

or the best possible estimates of such data where actual data are not available, not later than three 

months after the date when the provisions set out in the Protocol with regard to the substances in 

Annexes B, C and E respectively enter into force for that Party.

3. Each Party shall provide to the Secretariat statistical data on its annual production (as 

defined in paragraph 5 of Article 1) of each of the controlled substances listed in Annexes A, B, 

C and E and, separately, for each substance:

 - Amounts used for feedstocks,

 - Amounts destroyed by technologies approved by the Parties, and

 - Imports from and exports to Parties and non-Parties respectively,

for the year during which provisions concerning the substances in Annexes A, B, C and E 

respectively entered into force for that Party and for each year thereafter. Each Party shall 

provide to the Secretariat statistical data on the annual amount of the controlled substance listed 

in Annex E used for quarantine and pre-shipment applications. Data shall be forwarded not later 

than nine months after the end of the year to which the data relate.
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3. Each Party shall provide to the Secretariat separate statistical data of its annual imports 

and exports of each of the controlled substances listed in Group II of Annex A and Group I of 

Annex C that have been recycled.

4. For Parties operating under the provisions of paragraph 8 (a) of Article 2, the 

requirements in paragraphs 1, 2, 3 and 3 bis of this Article in respect of statistical data on imports 

and exports shall be satisfied if the regional economic integration organization concerned 

provides data on imports and exports between the organization and States that are not members 

of that organization.

b) Practical Utility/Users of the Data

The reporting and recordkeeping requirements for class II controlled substances enable 

EPA to:

1) Ensure compliance with the restrictions on production, import and export of controlled 

substances;

2) Allow exempted production and import for certain uses and the tracking of that production 

and import;

3) Address federal concerns regarding the illegal import of controlled substances;

4) Satisfy U.S. obligations under the Montreal Protocol to report data annually to the Ozone 

Secretariat, as listed in Article 7 of the Protocol;

5) Fulfill statutory obligations under Section 603(b) of the CAAA for reporting and monitoring;

and

6) Provide information to report to Congress on the production, use and consumption of class II 

controlled substances as required in Section 603(d) of the CAAA.

The information reported to EPA is entered into an electronic tracking system to ensure 

companies do not exceed their allowances and to guarantee the U.S. does not violate its

obligations under the Protocol. Thus, the information is used for compliance monitoring for 

individual companies and for monitoring U.S. compliance with the obligations under the 

Protocol.

EPA and Customs and Border Protection (CBP) are concerned about fraudulent imports 

of controlled substances that are mislabeled as used, recycled, or reclaimed. To this end, EPA 

established a petition process to provide information for controlling the import of these materials 

and act as a deterrent to potential fraud. Under 40 CFR 82.24(c)(3), companies that wish to 

import used, recycled or reclaimed controlled substances must provide detailed information 

about the previous use and intended use of the material. 

As a specific example of the use of the data, EPA works closely with CBP to combat the 

import of controlled substances that are illegally imported into the United States. EPA provides 

CBP with information identifying controlled substances that are prohibited and/or restricted from 

being imported, and requests that CBP contact EPA if there are questions regarding the legality

of a shipment. When a shipment arrives at the border containing a controlled substance that is 

prohibited, CBP either contacts EPA to request additional guidance or takes enforcement action.
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The smuggling and distribution of ozone-depleting substances are being investigated 

through a multi-agency initiative known as Operation Catch-22. Operation Catch-22 has 

included the successful conviction of nearly a dozen individuals and corporations at every level 

of the refrigerant gas smuggling and distribution chain.

For example, Carlos A. Garcia pled guilty in April 2012 to a charge of knowingly 

receiving, buying, selling and facilitating the transportation, concealment, and sale of 

approximately 13,600 kilograms of the ozone-depleting substance HCFC-22. HCFC-22 is a 

widely used refrigerant for residential heat pump and air-conditioning systems. Garcia’s 

employer, Mar-Cone Appliance Parts Co. (Marcone), was convicted and sentenced for their role 

in the illicit conduct and ordered to pay a $500,000 criminal fine, a $400,000 community service 

payment, and was ordered to forfeit to the United States $190,534.70 in illegal proceeds. 

3. Nonduplication, Consultations, and Other Collection Criteria

a) Nonduplication

None of the information requested from respondents under this ICR is available from 

other sources because it is proprietary information submitted solely in response to CAAA 603(b).

b) Public Notice Required Prior to ICR Submission to OMB

In compliance with the Paperwork Reduction Act of 1995, EPA issued a public notice in 

the Federal Register on______________. ______ comments were received. 

c) Consultations

The recordkeeping and reporting requirements were established in the original HCFC 

allowance system rule promulgated January 21, 2003 (68 FR 2820). Prior to that rule, in 1998, 

EPA conducted two stakeholder meetings for members of the industry about the HCFC 

allowance system. In preparation for the 2010 reduction in HCFC production and consumption, 

EPA analyzed the future servicing needs for HCFC equipment and refined that analysis using 

stakeholder input from meetings held on September 29, 2006 and June 16, 2008. 

EPA’s report, The U.S. Phaseout of HCFCs: Projected Servicing Needs in the U.S. AirConditioning and Refrigeration Sector ("the Servicing Tail Report"), assessed the demand for 

HCFCs in 2010 and beyond. The first version of the Servicing Tail Report was released in 

November 2005 and announced via a Federal Register Notice of Data Availability (NODA) on 

November 4, 2005 (70 FR 67172). Comments received on the NODA were considered and a 

second version was released in September 2006. This version was distributed at a September 29, 

2006 stakeholder meeting, where the results were summarized and information on regulations 

under consideration was provided. Many of the assumptions made to model the demand for 

HCFC-22 were presented to the Air-Conditioning, Heating and Refrigeration Institute (AHRI) in 

April 2007, and based on feedback received, the assumptions were revised. A presentation on the 

results of the analysis was given January 30, 2007 at the winter meeting of the American Society 

of Heating, Refrigerating, and Air-Conditioning Engineers (ASHRAE). Comments provided on 
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the second version were considered and a third version was released in June 2008. Another 

stakeholder meeting was held June 16, 2008 where the results of the analysis were presented and 

additional information regarding regulations under development was provided. A summary of 

the June 16, 2008 stakeholder meeting is in the docket EPA-HQ-OAR-2009-0496. The final 

version of the report concentrates on the most widely used HCFC (HCFC-22) in the sector where 

it is most used (refrigeration and air-conditioning). 

This information was used in preparing the proposed, and then final "2009 Allocation Rule," (73 

FR 78680 and 74 FR 66412). This rule provided production and consumption allowances for 

HCFC-22 and other HCFCs for the years 2010 through 2014. However, the baselines and 

calendar year allowances for HCFC-22 and HCFC-142b were vacated by the U.S. Court of 

Appeals for the District of Columbia Circuit (Court) decision in Arkema v. EPA (618 F.3d 1, 

D.C. Cir. 2010). In response to the Court’s partial vacatur of the 2009 Allocation Rule, EPA 

published an interim final rule issuing HCFC-22 and HCFC-142b production and consumption 

allowances for 2011. Following that interim final rule, EPA proposed and finalized/will finalize

HCFC-22 and HCFC-142b baselines and calendar year allowances for 2012-2014 (77 FR 237 

and 77 FR XXXX). In the proposed rule, EPA took comment on an updated analysis of the 

HCFC-22 market and proposed to decrease the amount of allowed HCFC-22 consumption in 

2012-2014.

 

d) Effects of Less Frequent Collection

Less frequent collection of data would compromise EPA’s ability to fulfill the statutory

requirement under section 603 of the CAAA to monitor production, import and export levels.

Less frequent collection of information would hinder EPA's ability to identify a violation of the 

regulations. Our quarterly reporting requirements provide EPA the ability to resolve in a timely 

manner discrepancies in the data reported to us.

Less frequent reporting could put the United States in a non-compliance status under the 

Protocol. Quarterly reporting allows EPA the necessary time to take actions if production, import 

or export activities begin to exceed Protocol limits or the limits set in Section 605 of Title VI in 

the CAAA.

e) General Guidelines

Information collection performed under this clearance will follow all of OMB’s General 

Guidelines regarding federal data collection.

f) Confidentiality

EPA informs respondents that they may assert claims of business confidentiality for any

of the information they submit. Information claimed confidential is treated in accordance with 

the procedures for handling information claimed as confidential under 40 CFR Part 2, Subpart B, 

and will be disclosed only if EPA determines that the information is not entitled to confidential 

treatment. If no claim of confidentiality is asserted when the information is received by EPA, it 

may be made available to the public without further notice to the respondents (40 CFR 2.203).
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g) Sensitive Questions

This section is not applicable because this ICR does not involve matters of a sensitive 

nature.

4. The Respondents and the Information Requested

a) Respondents/NAICS Codes

Table 1 list the NAICS code associated with producers, importers, exporters, 

transformers, and destroyers of HCFCs affected by the reporting and recordkeeping requirements 

covered under this ICR.

Table 1: NAICS Codes Associated with the ICR

Category NAICS 

Code Examples of Regulated Entities

Industrial Gas Manufacturing 325120 Chlorofluorocarbon gas 

manufacturing and import

b) Information Requested 

EPA monitors the system of production allowances and consumption allowances for the 

production and import of class II controlled substances through quarterly and annual reports.

Producers, importers, exporters and others identified in §82.16, §82.18, §82.20, §82.23, and 

§82.24 must maintain records for three years and also report information to EPA, as follows:

(i) Data Items

Producers (§82.24(b))

 The following information must be reported:

 The quantity of production of each class II controlled substance used in processes 

resulting in their transformation by the producer and the quantity intended for 

transformation by a second party;

 The quantity of production of each class II controlled substance used in processes 

resulting in their destruction by the producer and the quantity intended for destruction 

by a second party;

 The expended allowances for each class II controlled substance;

 The producer's total of expended and unexpended production allowances, 

consumption allowances, export production allowances, and Article 5 allowances at 

the end of that quarter;

 The quantity of class II controlled substances sold or transferred during the quarter to 

a person other than the producer for use in processes resulting in their transformation 

or eventual destruction;
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 A list of the amounts and names of class II controlled substances, exported by the 

producer to a Party to the Protocol, that will be transformed or destroyed and 

therefore were not produced expending production or consumption allowances;

 For transformation in the U.S. or by a person of another Party, one copy of a 

transformation verification from the transformer for a specific class II controlled 

substance and a list of additional quantities shipped to that same transformer for the 

quarter;

 For destruction in the U.S. or by a person of another Party, one copy of a destruction 

verification for a particular destroyer, destroying the same class II controlled 

substance, and a list of additional quantities shipped to that same destroyer for the 

quarter;

 A list of U.S. purchasers of class II controlled substances that exported to a Party to 

the Protocol in cases when export production allowances were expended during 

production;

 A list of U.S. purchasers of class II controlled substances that exported to Article 5 

countries in cases when Article 5 allowances were expended during production; and

 A list of HCFC 141b-exemption allowance holders from whom orders were received 

and the quantity of HCFC-141b requested and produced.

 The following records must be retained:

 Dated records of the quantity of each class II controlled substance produced at each 

facility; produced and/or sold for use in processes that result in their transformation 

and/or destruction; produced with export production allowances or Article 5 

allowances; 

 Copies of invoices or receipts documenting sale of class II controlled substances for 

use in processes that result in their transformation and/or destruction;

 Dated records of the quantity of each class II controlled substance used at each 

facility as feedstocks or destroyed in the manufacture of a class II controlled 

substance or in the manufacture of any other substance, and any class II controlled 

substance introduced into the production process of the same class II controlled 

substance at each facility;

 Dated records of the quantity of raw materials and feedstock chemicals used at each 

facility for the production of class II substances;

 Dated records of the shipments of each class II controlled substance produced at each 

plant;

 Records of the quantity of class II controlled substances, the date received, and names 

and addresses of the source of used materials containing class II controlled substances 

which are recycled or reclaimed at each plant;

 Records of the date, the class II controlled substance, and the estimated quantity of 

any spill or release of a class II controlled substance that equals or exceeds 100 

pounds;

 Transformation verification in the case of transformation, or destruction verification, 

in the case of destruction, showing that the purchaser or recipient of a class II 

controlled substance, in the U.S. or in another country that is a Party, certifies the 

intent to either transform or destroy the class II controlled substance, or sell the class 
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II controlled substance for transformation or destruction in cases when allowances 

were not expended;

 Written verifications from a U.S. purchaser that the class II controlled substance was 

exported to a Party in cases where export production allowances and/or Article 5 

allowances were expended to produce the class II substance; and

 Written verifications from a U.S. purchaser that HCFC-141b was manufactured for 

the express purpose of meeting HCFC-141b exemption needs, in cases where HCFC141b exemption allowances were expended to produce the HCFC-141b.

Importers (§82.24(c))

 The following information must be reported:

 Summaries of the required records for the previous quarter (as described below);

 The total quantity imported of each class II controlled substance for that quarter;

 The commodity code for the class II controlled substances imported;

 The quantity of those class II controlled substances imported that are used class II 

controlled substances;

 The quantity of class II controlled substances imported for that quarter and totaled by

chemical for the control period to date;

 The importer's total sum of expended and unexpended consumption allowances by 

chemical as of the end of that quarter;

 The quantity of class II controlled substances imported for use in processes resulting 

in their transformation or destruction;

 The quantity of class II controlled substances sold or transferred during that quarter to 

each person for use in processes resulting in their transformation or eventual 

destruction; 

 Transformation verifications showing that the purchaser or recipient of imported class 

II controlled substances intends to transform those substances or destruction 

verifications showing that the purchaser or recipient intends to destroy the class II 

controlled substances; and

 A list of the HCFC 141b-exemption allowance holders from whom orders were 

received and the quantity of HCFC-141b requested and imported.

 The following records must be retained:

 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 those class II controlled substances imported that are used and the 

information provided with the petition;

 The quantity of class II controlled substances other than transhipments or used 

substances imported for use in processes resulting in their transformation or 

destruction;

 The quantity of class II controlled substances other than transhipments or used 

substances imported and sold for use in processes that result in their destruction or 

transformation;
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 For each quantity of class II controlled substance imported: the date imported; the port 

of entry; the country from which the class II controlled substances were imported; the 

commodity code for the class II controlled substances shipped; the importer number 

for the shipment; a copy of the bill of lading; import invoices; quantity of imports of 

used class II controlled substances; and the U.S. Customs Summary Entry form; 

 Dated records of the sale or transfer of class II controlled substances for use in 

processes resulting in their transformation or destruction; 

 Copies of 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 cases where HCFC-141b exemption allowances were 

expended to import the HCFC-141b.

 The following information must be submitted in a petition for importing used Class II 

substances: 

- The name and quantity of the used class II controlled substance to be imported;

- The name and address of the importer, the importer ID number, the contact person, 

and the phone and fax numbers;

- The name, address, contact person, (including phone number and email) of all 

previous source facilities from which the used class II controlled substance was 

recovered;

- A detailed description of the previous use of the class II controlled substance at each 

source facility and a best estimate of when the specific controlled substance was put 

into the equipment at each source facility, and, when possible, documents indicating 

the date the material was put into the equipment;

- A list of the name, make and model number of the equipment from which the material 

was recovered at each source facility;

- The name, address, contact person, (including phone number and email) of the 

exporter and of all persons to whom the material was transferred or sold after it was 

recovered from the source facility;

- The U.S. port of entry for the import, the expected date of shipment and the vessel 

transporting the chemical. If at the time of submitting a petition the importer does not 

know the U.S. port of entry, the expected date of shipment and the vessel transporting 

the chemical, and the importer receives a non-objection notice for the individual 

shipment in the petition, the importer is required to notify the Administrator of this 

information prior to the actual U.S. Customs entry of the individual shipment;

- A description of the intended use of the used class II controlled substance, and, when 

possible, the name, address, contact person, phone number and email of the ultimate 

purchaser in the United States;

- The name, address, contact person, phone number and email of the U.S. reclamation 

facility, where applicable;

- If someone at the source facility recovered the class II controlled substance from the 

equipment, the name and phone and email of that person;

- If the imported class II controlled substance was reclaimed in a foreign Party, the 

name, address, contact person, phone number and email of any or all foreign 

reclamation facility(ies) responsible for reclaiming the cited shipment;
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- An export license from the appropriate government agency in the country of export 

and, if recovered in another country, the export license from the appropriate 

government agency in that country;

- If the imported used class II controlled substance is intended to be sold as a refrigerant 

in the U.S., the name and address of the U.S. reclaimer who will bring the material to 

the standard required under subpart F of this part, if not already reclaimed to those 

specifications; and

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

 A person receiving an objection notice from the Administrator may re-petition within ten 

working days after receipt, only if the Administrator indicated “insufficient information” 

as the basis for the objection notice for the original petition.

 A person receiving a non-objection notice from the Administrator for a petition to import 

used class II controlled substances must maintain the following records:

- A copy of the petition submitted, the EPA non-objection notice, the bill of lading for 

the import, and U.S. Customs entry documents for the import that must include one of 

the commodity codes Appendix K to this subpart. 

 The following records must be retained by persons that trans-ship class II controlled 

substances:

 Records that indicate that the class II controlled substance shipment originated in a 

foreign country, is destined for another foreign country, and will not enter interstate 

commerce within the United States.

 Any importer who brings a container with a heel must indicate on its bill of lading or 

invoice that the class II controlled substance in the container is a heel.

 The following information on a container with a heel must be reported quarterly:

 The quantity of the heel brought into the U.S.; 

 Certification that the residual quantity in each shipment is no more than 10 percent of 

the volume of the container; and that the residual quantity in each shipment will either: 

(A) Remain in the container and be included in a future shipment; (B) be recovered 

and transformed; (C) be recovered and destroyed; or (D) be recovered for a nonemissive use.

 Any importer who brings a container with a heel into the U.S. must report on the final 

disposition of each shipment within 45 days of the end of the control period.

Exporters (§82.24(d))

 The following information must be reported:

 The names and addresses of the exporter and the recipient of the exports;

 The exporter's Employer Identification Number;

 The type and quantity of each class II controlled substance exported and what 

percentage, if any of the class II controlled substance is used;
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 The date on which, and the port from which, the class II controlled substances were 

exported from the U.S. or its territories;

 The country to which the class II controlled substances were exported;

 The quantity exported to each Article 5 country;

 The commodity code for the class II controlled substances shipped;

 For persons reporting transformation or destruction, the invoice or sales agreement 

containing language similar to the transformation verifications that the purchaser or 

recipient of imported class II controlled substances intends to transform those 

substances, or destruction verifications showing that the purchaser or recipient intends 

to destroy the class II controlled substances;

 In cases of export using export production allowances (in addition to applicable exporting 

requirements listed above), the following information must be reported:

 The Employer Identification Number on the Shipper's Export Declaration Form or 

Employer Identification Number of the shipping agent shown on the U.S. Customs 

Form 7525;

 The exporting vessel on which the class II controlled substances were shipped; and

 The quantity exported to each Party.

 In cases of export using Article 5 allowances (in addition to applicable exporting

requirements above), the following information must be reported:

 The Employer Identification Number on the Shipper's Export Declaration Form or 

Employer Identification Number of the shipping agent shown on the U.S. Customs 

Form 7525; and

 The exporting vessel on which the class II controlled substances were shipped.

 In cases of export of used class II controlled substances, the bill of lading or invoice must 

indicate that the class II controlled substance is used, as defined in §82.3.

Transformers and Destroyers (§82.24(e))

 The following records must be retained:

 Copies of the invoices or receipts documenting the sale or transfer of the class II 

controlled substances to the person;

 Records identifying the producer or importer of the class II controlled substances 

received by the person;

 Dated records of inventories of class II controlled substances at each plant on the first 

day of each quarter;

 Dated records of the quantity of each class II controlled substance transformed or 

destroyed;

 A copy of the person's transformation verification in the case where class II controlled 

substances were purchased or transferred for transformation purposes;

 Dated records of the names, commercial use, and quantities of the resulting 

chemical(s) when the class II controlled substances are transformed; 

 Dated records of shipments to purchasers of the resulting chemical(s) when the class II 

controlled substances are transformed.
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 A copy of the person's destruction verification in the case where class II controlled 

substances were purchased or transferred for destruction purposes;

 The following information on transformation and destruction must be reported:

 The names and quantities of the class II controlled substances transformed; 

 The names and quantities of the class II controlled substances destroyed; 

 In cases of purchasing class II controlled substances for purposes of transformation, 

purchasers must provide the producer or importer with a transformation verification, 

containing the following information:

 Identity and address of the person intending to transform the class II controlled 

substances;

 The quantity of class II controlled substances intended for transformation;

 Identity of shipments by purchase order number(s), purchaser account number(s), by

location(s), or other means of identification;

 Period of time over which the person intends to transform the class II controlled 

substances; and

 Signature of the verifying person.

 The following information on destruction must be reported:

 A one-time report stating the destruction unit's destruction efficiency, the methods 

used to record the volume destroyed and those methodologies used to determine 

destruction efficiency, and the name of other relevant federal or state regulations that 

may apply to the destruction process.

 Any changes to this information must be reflected in a revision to be submitted to EPA 

within 60 days of the change(s).

 In cases of purchasing class II controlled substances for purposes of destruction that were

originally produced without expending allowances, purchasers must provide the producer 

or importer from whom it purchased or received the class II controlled substance a 

destruction verification containing the following information:

 Identity and address of the person intending to destroy class II controlled substances;

 Information about whether those class II controlled substances will be completely 

destroyed, or less than completely destroyed, in which case the destruction efficiency

at which such substances will be destroyed must be included;

 Period of time over which the person intends to destroy class II controlled substances; 

and

 Signature of the verifying person.

HCFC-141b Exemption Petitioners (§82.16(h))

 A person petitioning for an HCFC-141b exemption must submit the following:

 Name and address of the HCFC-141b formulator, U.S. government entity or nongovernmental space vehicle entity;

 Name of contact person, phone number, fax number and e-mail address;
Page 14 of 26

 Quantity of HCFC-141b needed for each relevant calendar year, supported by

documentation about past use for at least the previous three years;

 Quantities of HCFC-141b, if any, contained in systems that were sold to other 

systems houses for at least the previous three years;

 Description of the markets and applications served by the use of HCFC-141b or 

systems based on HCFC-141b;

 Technical description of processes in which HCFC-141b is being used;

 Technical description of the specific conditions under which the product will be 

applied;

 Technical description of why alternatives and substitutes are not sufficient to eliminate 

the use of HCFC-141b;

 Amount of stockpiled HCFC-141b (on-hand, taken title to, or available from a 

supplier) along with a detailed analysis showing why stockpiled, recovered or recycled 

quantities are deemed to be unavailable, or technically or commercially infeasible for 

use (for example, taking into consideration undue costs for storage and transportation);

 An estimate of the number of control periods over which such an exemption would be 

necessary;

 A detailed description of continuing investigations into and progress on possible 

alternatives and substitutes;

 A list of alternatives considered, purchased or sampled, including dates and copies of 

receipts for verification;

 A summary of the petitioner's in-house development program including summaries of 

all relevant test results and their significance to subsequent decision-making and 

technology selection. Full supporting test data must be available on request including 

alternative tested and date on which it was tested;

 A clear statement of the preferred technical option(s) being pursued at the time of the 

petition and the reasoning for this selection;

 A summary of product test results conducted on the preferred technical option(s) by

accredited organizations in order to determine whether products meet applicable 

codes. Relevant test reports and certifications must be made available on request; and

 A description of the further development testing to be carried out over the number of 

control periods identified.

Persons allocated HCFC-141b Exemption Allowances (§82.24(g))

 Semi-annual report containing the following information:

 Total quantity HCFC-141b received during the 6 month period; and

 The identity of the supplier of HCFC-141b on a shipment-by-shipment basis during 

the 6 month period.

 The following records must be retained:

 Records of letters to producers and importers conferring unexpended HCFC-141b 

exemption allowances for the specified control period in the notice;

 Orders for the production or import of HCFC-141b under those letters; and
Page 15 of 26

 Written verifications that the HCFC-141b was produced or imported for the express 

purpose of meeting HCFC-141b exemption needs and that the quantity will not be 

resold.

Request for Additional Class II Consumption Allowances (§82.20)

 The following information must be submitted in a request for additional consumption 

allowances:

 The identities and addresses of the exporter and the recipient of the exports;

 The exporter's Employer Identification Number;

 The names and telephone numbers of contact persons for the exporter and the 

recipient;

 The quantity and type of class II controlled substances reported;

 The source of the class II controlled substances and the date purchased;

 The date on which, and the port from which, the class II controlled substances were 

exported from the U.S. or its territories;

 The country to which the class II controlled substances were exported;

 A copy of the bill of lading and the invoice indicating the net quantity of class II 

controlled substances shipped and documenting the sale of the class II controlled 

substances to the purchaser;

 The commodity codes of the class II controlled substances reported; and

 A written statement from the producer that the class II controlled substances were 

produced with expended allowances.

 Persons requesting a trade from a Party to increase or decrease its production allowances, 

export production allowances, or Article 5 allowances, for a specified control period, 

must submit the following information to EPA:

 A signed document from the principal diplomatic representative in that nation's 

embassy in the U.S. stating that the appropriate authority within that nation will 

establish or revise production limits for the nation to reflect the trade:

 A true copy of the document that sets forth the following:

 The identity and address of the person;

 The identity of the Party;

 The names and telephone numbers of contact persons for the person and for 

the Party;

 The chemical type and quantity of production being traded;

 Documentation that the Party possesses the necessary quantity of unexpended 

production rights;

 The control period(s) to which the trade applies; and

 For increased production intended for export to the Party from whom the 

allowances would be received, a signed statement of intent to export to the 

Party.

 A person requesting a trade to a Party to increase or decrease its production allowances, 

export production allowances, or Article 5 allowances, for a specified control period,

must submit a request to EPA that sets forth the following information:
Page 16 of 26

 The identity and address of the person;

 The identity of the Party;

 The names and telephone numbers of contact persons for the person and for the Party;

 The chemical type and quantity of allowable production being traded; and

 The control period(s) to which the trade applies.

Domestic Transfers of Allowances for class II controlled substances (§82.23)

 A person must submit the following information for inter-company transfers:

 The identities and addresses of the transferor and the transferee;

 The name and telephone numbers of contact persons for the transferor and the 

transferee;

 The type of allowances being transferred, including the names of the class II 

controlled substances for which allowances are to be transferred;

 The quantity of allowances being transferred;

 The control period(s) for which the allowances are being transferred;

 The quantity of unexpended allowances of the type and for the control period being 

transferred that the transferor holds under authority of this subpart on the date the 

claim is submitted to EPA; and

 For trades of consumption allowances, production allowances, export production 

allowances, or Article 5 allowances, the quantity of the 0.1 percent offset applied to 

the unweighted quantity traded that will be deducted from the transferor's allowance 

balance.

 A person must submit the following information for inter-pollutant transfers:

 The identity and address of the transferor;

 The name and telephone number of a contact person for the transferor;

 The type of allowances being converted, including the names of the class II controlled 

substances for which allowances are to be converted;

 The quantity and type of allowances to be converted;

 The quantity of allowances to be subtracted from the transferor's unexpended 

allowances for the first class II controlled substance, to be equal to 100.1 percent of 

the quantity of allowances converted;

 The quantity of allowances to be added to the transferee's unexpended allowances for 

the second class II controlled substance, to be equal to the quantity of allowances for 

the first class II controlled substance being converted multiplied by the quotient of the 

ozone depletion potential of the first class II controlled substance divided by the ozone 

depletion potential of the second class II controlled substance;

 The control period(s) for which the allowances are being converted; and

 The quantity of unexpended allowances of the type and for the control period being 

converted that the transferor holds under authority of this subpart as of the date the 

claim is submitted to EPA.
Page 17 of 26

 A person receiving a notice from the Administrator disallowing an inter-company or 

inter-pollutant transfer may file a notice of appeal, with supporting reasons, with the 

Administrator within 10 working days after receipt of notification.

(ii) Respondent Activities

 Producers must submit quarterly reports and keep records.

 Importers must:

- Submit quarterly reports and keep records 

- For imports of used controlled substances, submit information in a petition and repetition and keep records of petitions; 

- Indicate specified information of an import of heels on bill of lading; and

- Report quarterly on a container with heels and include the final disposition of each 

shipment of a container with heels in the report submitted within 45 days of the end of 

the control period.

 Exporters must submit quarterly reports and ensure bill of lading or invoice indicates that 

the class II controlled substance is used, as applicable. 

 Transformers and destroyers must:

- Submit annual reports within each control period within 45 days of the end of such 

control period, and keep records, if applicable; 

- Submit a transformation verification (transformers only) to the producer or importer, if 

applicable;

- Submit a one-time destruction efficiency report to EPA (destroyers only), as 

applicable; and

- Submit a destruction verification (destroyers only) to the producer or importer, as 

applicable.

 Persons wanting to petition for an HCFC-141b exemption allowance must submit a 

petition. 

 Persons allocated HCFC-141b exemption allowances must submit a report semi-annually

and keep records.

 Persons requesting additional consumption allowances must submit a report on a 

transactional basis.

 Persons requesting international transfers of allowances must submit information 

requirements on a transactional basis.

 Persons wanting to domestically transfer allowances of class II controlled substances 

must:

 Submit a report for inter-company transfers and/or inter-pollutant transfers on a 

transactional basis, as required by §82.23(a) and §82.23(b), respectively; and

 File a notice of appeal, as applicable.

 Persons wanting to increase or decrease production allowances, export production 

allowances, or Article 5 allowances, for a specified control period through trades with 

another Party to the Protocol must submit a request on a trade from a Party and a trade to 

a Party, on a transactional basis, as applicable.

All records and reports must comply with requirements for class II controlled ODS in 

Subpart A of the regulations. Reports and records associated with the reports listed above must 
Page 18 of 26

be kept for three years. All amounts must be reported in kilograms. The recordkeeping 

requirements pertain to original documents that are held by companies in the normal course of 

conducting business such as Customs entry forms, accounts of daily production runs, sales 

invoices, and bills of lading. Information from these recordkeeping documents is summarized in 

reports. Recordkeeping requirements are designed to aid EPA in compliance monitoring, site 

inspection, and enforcement actions.

5. The Information Collected: Agency Activities, Collection Methodology, and Information 

Management

a) Agency Activities

 Notify producers/importers/exporters of baseline allowances;

 Modify the ODS Tracking System to incorporate revisions to the regulations;

 Revise guidance documents to describe reporting requirements;

 Enter and store information submitted from companies in the ODS Tracking System; 

 Respond to companies submitting tracked/monitored information, such as requests for 

transfers; 

 Review petitions to import used HCFCs;

 Review petitions requesting HCFC-141b exemptions;

 Review information and conduct compliance monitoring activities related to restrictions 

on production, import, export, transformation and destruction of HCFCs for individual 

companies;

 Inspect records maintained by producers, importers, exporters, transformers, and 

destroyers of HCFCs;

 Review information in the tracking system to ensure U.S. is not exceeding consumption 

and production caps agreed to as a Party to the Protocol;

 Review information in the ODS Tracking System to ensure exempted production and 

imports do not exceed limits in Section 605 of Title VI of the CAAA;

 Compile reports mandated by U.S. obligations under the Protocol and Title VI of the 

CAAA, including Reports to Congress.

b) Collection Methodology and Management

EPA provides forms for regulated entities to use to report the required information. They

are available on the EPA’s Stratospheric Ozone web site at: 

http://www.epa.gov/ozone/record/index.html. In addition, online instruction documents are 

available for class I, class II, and methyl bromide reporting forms, entitled, “What reporting 

forms should I complete?” and “Helpful Hints for Completing EPA’s Reporting Forms” to assist 

participants in completing the forms. Reporting forms can be sent to EPA electronically, by mail, 

private courier, or fax.

Although the use of the forms is voluntary, almost all respondents use them. EPA has 

implemented an electronic reporting system, which transmits the bulk of the reports EPA 

receives.
Page 19 of 26

c) Small Entity Flexibility

Much of this information collection is required by statute. Any additional information 

required is collected in response to Congressional requests for reports and U.S. reporting 

obligations under the Protocol. The EPA database manager actively works with small entities to 

resolve reporting issues.

d) Collection Schedule

The collection schedule is as follows:

 Producers, importers, and exporters report to EPA quarterly (45 days after the end of each 

quarter).

 Persons that transform and/or destroy class II controlled substances report to EPA 

annually (45 days after the end of the control period).

 Persons petitioning for HCFC-141b exemption allowances; transferring consumption 

allowances to another company or to another chemical; requesting additional 

consumption allowances; requesting international transfer of allowances; requesting a 

trade from or to a Party to increase or decrease production allowances; exporting

production allowances or Article 5 allowances; or importing used class II controlled 

substances (i.e., petition) must submit reports to EPA on a transactional basis.

 Entities holding HCFC-141b exemption allowances report to EPA semi-annually (30 

days after the end of the second and fourth quarters).

6. Estimating the Burden and Cost of Collection

a) Estimating Respondent Burden

The basis of the analysis is the identification of the principal steps involved in complying 

with EPA recordkeeping and reporting requirements and the estimated burden associated with 

each step. The burden is estimated by identifying the number of times the step will be undertaken 

and the number of hours required to complete each step. The burden estimates presented in this 

section are based on the quarterly, semiannual, annual, or other (per transaction) reporting 

requirements; EPA’s experience with reporting under both the CFC and HCFC allowance 

systems in the past; and dialogue with industry representatives.

It is estimated that the burden to respondents submitting paper reports is approximately

4.5 hours per report prepared. This assumption is based on previous consultations with industry

representatives conducted for the preparation of ICR 1432.25 and ICR 1432.29 (OMB Control 

Number 2060-0170), as discussed in section 3c of this ICR. Four hours are allotted for data 

compilation and 0.5 hours for report preparation. The burden to respondents submitting petitions 

is estimated at eight hours per petition prepared. Additional hours are assumed because petitions 

must be prepared individually depending on the respondent’s request, and no standard petition 

form exists.
Page 20 of 26

The process of preparing electronic submittals iss assumed to take approximately 4 hours

per report prepared. This assumption, similar to that for paper reporting, was based on the 

consultations with industry conducted for the preparation of ICR 1432.29. This indicated that 

the majority of respondents maintain their data in an electronic format and manually transcribe 

their data to the paper forms. However, because the option of electronic reporting will eliminate 

the transcription step (i.e., report preparation) as required using the paper forms, the estimated 

reporting time is reduced from 4.5 hours to 4 hours. In addition, it is assumed that eight hours 

would be spent during the first year of electronic reporting for the respondents to become 

familiar with the electronic reporting process, organize their files and data appropriately, and 

prepare a template to store their data in the correct format for submission through the agency’s 

CDX and eventual import into the ODS Tracking System. (Any additional burden associated 

with submitting data through CDX, such as registration, is accounted for in ICR 2002.04, 

“Cross-Media Electronic Reporting and Recordkeeping Rule,” OMB Control Number 2025-

0003.) The eight hours are annualized over the three years of this ICR, resulting in an additional 

annual burden to an electronic reporter of 2.7 hours (i.e., 8 hours/3 years = 2.7 hours). For 

respondents that must submit quarterly, this translates to a total annual burden of 18.7 hours (i.e., 

4 hours/report x 4 reports/year + 2.7 hours/year = 18.7 hours). Since the last ICR, for 

respondents that have established electronic reporting procedures, this ICR differentiates 

between burden for respondents that have established electronic reporting and burden for new 

respondents that may begin to report electronically (with annualized start-up costs of 2.7 hours 

removed for the established respondent burden).

b) Estimating Respondent Cost

To determine respondent costs, an average hourly wage rate of $47.73 per hour, the 

hourly wage rate for professional and related persons, was derived from the Bureau of Labor 

Statistics Employer Cost and Employee Compensation, Table 2 (“civilian workers, by

occupational and industry group”), March 2012. A 110 percent increase was added to reflect the 

estimated additional costs for overhead and fringe, which increased the wage rate to $100.23 per 

hour. Burden hours, as described above, were multiplied by the labor rate to determine 

respondent costs.

Operations and Maintenance (O&M) costs, including photocopying, packaging, and 

postage, were estimated for all respondents submitting paper reports. These costs were estimated 

at $5.00 per report.

Start-up costs for report submittal were estimated to be $0 because no new recordkeeping 

or reporting requirements have been added since the previous ICR, and it was assumed that only 

those respondents with the necessary computer equipment to report electronically would choose 

this option. 

c) Estimating Agency Burden and Cost

This analysis identifies the steps involved in implementing and operating the system. The 

costs associated with each step have been estimated by identifying the number of times the step 

will be undertaken, the number of hours required to complete each step, and the total dollar cost.
Page 21 of 26

Costs are subdivided into agency and contractor costs. The average hourly rates for EPA 

technical and managerial staff of $36.63 and $49.33, respectively, are derived from the 2012 

annual base pay table, which was retrieved from the Office of Personnel Management website.

EPA then multiplied hourly rates by the standard government benefits multiplication factor of 

1.6 to get hourly rates of $58.61 for technical staff and $78.93 for managerial staff. The cost of 

contractor time and overhead is valued at $88.00 per hour, including overhead and fringe. The 

number of occurrences of each activity is based on the reporting requirements and EPA’s 

experience with reporting under both the CFC and HCFC allowance systems.

d) Estimating the Respondent Universe and Total Burden and Costs

In this section, EPA estimates the number of respondents under each of the information 

collection requirements in this ICR. EPA tracks the number of respondents and submittals under 

the program through the ODS Tracking System. EPA referred to historical data in the ODS 

Tracking System to estimate the annual number of respondents in this ICR, as shown in Table 2.

Because not all submitted reports/petitions/requests are tracked by the ODS Tracking System, 

estimates for some of the number of respondents were based on the previous and expected 

receipt of these forms.

Table 2: Number of Respondentsa

Type of Respondent Annual Number of Respondents

Producer 7

Importerb 34

Exporter 15

Second-Party Transformers 7

Second-Party Destroyers 7

HCFC-141b Exemption Allowance Recipientsc 0

Otherd 17

Total Respondents 49

aNumbers in the table are not additive. The information collection will only affect 49

distinct companies. Several respondents submit multiple report types (e.g., producers 

can also be exporters).

b

Includes respondents that petition to import used substances.

cRepresents petitioners and recipients of HCFC-141b exemption allowances.

dRepresents requests for additional consumption allowances and international/domestic 

transfer of allowance reports.

EPA expects that large companies, which produce the majority of the reports, will submit 

electronically to EPA via the CDX, while others will continue to report by paper. Given that 

respondents’ annual burden will vary depending on whether they report by paper or 

electronically, EPA estimated the average annual number of respondents that would report by 

paper or electronically during the three-year period for each report. In 2011, a total of 8 

companies submitted a total of 53 importer, exporter, and producer reports electronically. Based 

on this information in addition to experience with electronic reporting and plans to expand 

electronic reporting, EPA expects that an average of 70 reports will be submitted electronically 

each year over the next three years. The estimates by report are presented in Table 3. These 

respondent estimates are used in the burden calculations presented in Table 4.
Page 22 of 26

Table 3. Average Annual Number of Respondents that Report by Paper or 

Electronically During Three-Year Life of ICR

Type of Respondent Average Annual Number of Respondents

Reporting by Paper Reporting Electronically

Producer 4 3

Importer 26 8

Exporter 10 5

Second-Party Transformers 7 0

Second-Party Destroyers 7 0

HCFC-141b Exemption Allowance Recipients 0 0

Othera 14 3

a

Includes requests for additional consumption allowances and international/domestic transfer of 

allowance reports.

Tables 4 and 5 below show the assumptions used and the calculations made to determine 

respondent and agency total burden and costs.
Page 23 of 26

Table 4. Respondent Burden and Costs Estimates

Information Collection Activity: 

Recordkeeping and Reportinga

Hours and Costs Per Activity Total Hours and Costs

Hours/ 

Activityb

Number of 

Activities/ 

Year

Annualized 

Startup Hours

Hours/

Year

Labor 

Costs/Year

Annualized Capital 

Startup Costs

Annual O&M 

Costs

Number of 

Respondents/ 

Activity

Total Hours/ 

Year Total Cost/Year

Producer

Submit Quarterly Reports

 Paper 4.5 4 0.0 18.00 $1,804.14 $0.00 $20.00 4 72.0 $7,296.56

 Electronic (Established) 4.0 4 0.0 16.00 $1,603.68 $0.00 $0.00 3 48.0 $4,811.04

 Electronic (New) 4.0 4 2.7 18.70 $1,874.30 $0.00 $0.00 0 0.0 $0.00

Importer

Submit Quarterly Reports

 Paper 4.5 4 0.0 18.0 $1,804.14 $0.00 $20.00 26 468.0 $47,427.64

 Electronic (Established) 4.0 4 0.0 16.0 $1,603.68 $0.00 $0.00 8 128.0 $12,829.44

 Electronic (New) 4.0 4 2.7 18.7 $1,874.30 $0.00 $0.00 0 0.0 $0.00

Petition to Import Used Substance 8.0 6 0.0 48.0 $4,811.04 $0.00 $30.00 4 192.0 $19,364.16

Exporter

Submit Quarterly Reports

 Paper 4.5 4 0.0 18.0 $1,804.14 $0.00 $20.00 10 180.0 $18,241.94 

 Electronic (Established) 4.0 4 0.0 16.0 $1,603.68 $0.00 $0.00 5 80.0 $8,018.64 

 Electronic (New) 4.0 4 2.7 18.7 $1,874.30 $0.00 $0.00 0 0.0 $0.00 

Transformers/Destroyers

Submit Second Party Transformation Report 4.5 1 0.0 4.5 $451.04 $0.00 $5.00 7 31.5 $3,192.25

Submit Second Party Destruction Report 4.5 1 0.0 4.5 $451.04 $0.00 $5.00 7 31.5 $3,192.25

Submit Transformation Verification Report 4.5 1 0.0 4.5 $451.04 $0.00 $5.00 7 31.5 $3,192.25 

Submit Destruction Efficiency Report 4.5 1 0.0 4.5 $451.04 $0.00 $5.00 2 9.0 $912.07 

Submit Destruction Verification Report 4.5 1 0.0 4.5 $451.04 $0.00 $5.00 7 31.5 $3,192.25 

HCFC-141b Exemption Allowance Recipients

Submit Semi-annual Reports 4.5 2.0 0.0 9.0 $902.07 $0.00 $10.00 0 0.0 $0.00

Other

Request for Additional Consumption Allowances

 Paper 4.5 2.0 0.0 9.0 $902.07 $0.00 $10.00 1 9.0 $912.07 

 Electronic (Established) 4.0 2.0 0.0 8.0 $801.84 $0.00 $0.00 0 0.0 $0.00

 Electronic (New) 4.0 2.0 2.7 10.7 $1,072.46 $0.00 $0.00 3 32.1 $3,217.38

Submit International Transfer of Allowances Report 4.5 1.0 0.0 4.5 $451.04 $0.00 $5.00 2 9.0 $912.07 

Submit Domestic Transfer of Allowances Report 4.5 5.0 0.0 22.5 $2,255.18 $0.00 $25.00 11 247.5 $25,081.93 

Petition for HCFC-141b Exemption Allowances 8.0 1.0 0.0 8.0 $801.84 $0.00 $5.00 0 0.0 $0.00 

Total 107 1,600.6 $161,793.14 

a Electronic reporting is only applicable to certain reporting requirements.

b Hours per activity were based on consultations with respondents. The similar ICR 1432.29 used the assumption of 4.5 hours per paper report prepared. Electronic 

reporting is estimated to require 4hours per report prepared, with an additional 8 hours during the first year of electronic reporting.
Page 24 of 26

Table 5. Agency Burden and Costs Estimates

Information Collection Activity

Agency Hours and Costs Per Activity Total Hours and Costs

Managerial Technical Contractor Number of 

Occurrences 

per Year

Labor 

Costs/Year

Annualized

Capital 

Startup Costs

Annual O&M 

Costs

Total 

Hours/Year

Total 

Cost/Year $78.93 $58.61 $88.00 

Notify Submitters of Baseline Allowances 0.5 1 0 24 $2,353.80 $0.00 $0.00 36.0 $2,353.80

Modify Tracking System 10 26 100 1 $11,113.16 $0.00 $0.00 136.0 $11,113.16

Revise Guidance Document 6 8 30 3 $10,747.38 $0.00 $0.00 132.0 $10,747.38

Enter and Store Information in the Tracking 

System 0 480 0 1 $28,132.80 $0.00 $0.00 480.0 $28,132.80

Respond to Companies Submitting Transfer 

Requests 0 1 0 55 $3,223.55 $0.00 $0.00 55.0 $3,223.55

Review Petitions Submitted to Import Used 

HCFCs 2 4 0 4 $1,569.20 $0.00 $0.00 24.0 $1,569.20

Review Petitions Submitted Requesting HCFC141b Exemption Allowances 2 4 0 0 $0.00 $0.00 $0.00 0.0 $0.00

Review Information and Conduct Compliance 

Monitoring Activities Related to Restrictions 4 12 20 36 $100,045.44 $0.00 $0.00 1,296.0 $100,045.44

Inspect Records Maintained by Submitters 2 32 0 1 $2,033.38 $0.00 $0.00 34.0 $2,033.38

Review Information in Tracking System to Ensure 

Non-Exceedance of Montreal Protocol Caps 2 8 40 2 $8,293.48 $0.00 $0.00 100.0 $8,293.48

Review Information in Tracking System to Ensure 

Non-Exceedance of CAAA Limits 2 8 40 1 $4,146.74 $0.00 $0.00 50.0 $4,146.74

Compile Reports Mandated by Montreal Protocol 

and CAAA 4 20 40 1 $5,007.92 $0.00 $0.00 64.0 $5,007.92

Total $176,666.85 $0.00 $0.00 2,271.5 $176,666.85
Page 25 of 26

e) Bottom Line Burden Hours and Cost Tables

 (i) Respondent Tally

As shown in Table 6, EPA estimates the total annual hour and cost burden to all 

respondents to average 1,601 hours and $161,793. The bottom-line burden to respondents over 

three years is estimated to be 4,803 hours and $485,379

Table 6. Total Annual Respondent Hour and Cost Burden

Total Hours 

Per Year

Total Labor 

Cost Per Year

Total Capital 

Cost Per Year

Total O&M 

Cost per Year

Total Cost Per 

Year

1,601 $160,428 $0 $1,365 $161,793

(ii) Agency Tally

As shown in Table 7, EPA estimates the total annual hour and cost burden to the agency

to be 2,407 hours and $176,667. The bottom-line burden to the agency over three years is 

estimated to be 7,221 hours and $530,001.

Table 7. Total Annual Agency Hour and Cost Burden

Total Hours 

Per Year

Total Labor Cost 

Per Year

Total Capital 

Cost Per Year

Total O&M 

Cost per Year

Total Cost Per 

Year

 2,407 $176,667 $0 $0 $176,667

f) Reasons for Change in Burden

The previously approved ICR estimated a total annual respondent burden of 1,860 hours.

By comparison, this ICR estimates a total annual burden of 1,601 hours, which is a decrease

of 259 hours. This change is largely attributed to the establishment and expansion of the 

electronic reporting program. Since most companies that are expected to report electronically

over the next three years are already established electronic reporters, the burden associated with 

electronic reporting is minimal. In addition, the number of petitions submitted requesting HCFC141b exemption allowances has been reduced from eight to zero due to the reduced need for this 

exemption and elimination of the need to reapply for petitions once a petition has been approved.

Therefore, a total reduction in the reporting burden for respondents, as well as the O&M costs

during this ICR period is anticipated.

The previously approved ICR estimated a total annual agency burden of 2,272 hours.

This ICR estimates a total annual burden of 2,407 hours, which is an increase of 135 hours. This 

change can be attributed to two significant changes in hour estimates: (1) the number of hours 

required to “enter and store information into the Tracking System” and (2) the number of 

occurrences per year that the agency is required to “respond to companies submitting transfer 

request.” The number of hours required to “enter and store information into the Tracking 

System” is based on the number of paper and electronic reports submitted, with the burden 

associated with entering an electronic report being lower than the burden associated with 

entering a paper report. In the previous ICR, ambitious assumptions were made about the 

expansion of the electronic reporting program to companies that had not previously reported 

electronically. Based on activity observed over the past three years, the portion of reports that are 
Page 26 of 26

anticipated to be submitted electronically over the next three years has decreased. As a result, the 

total hours required to “enter and store information into the Tracking System” has increased. In 

the previous Class II ICR, the number of occurrences per year that the agency is required to 

“respond to companies submitting transfer request” was based on the number of respondents and 

not the number of reports submitted. The agency as a result underestimated the frequency of 

these reports. For this ICR, the number was recalculated to take into account the average number 

of reports submitted by each respondent per year. Both of these changes contributed to an

increase in the total annual burden to the agency.

g) Burden Statement

The annual public reporting and recordkeeping burden for this collection of information 

is estimated to average 5 hours per response. Burden means the total time, effort, or financial 

resources expended by persons to generate, maintain, retain, or disclose or provide information 

to or for a Federal agency. This includes the time needed to review instructions; develop, 

acquire, install, and utilize technology and systems for the purposes of collecting, validating, and 

verifying information, processing and maintaining information, and disclosing and providing 

information; adjust the existing ways to comply with any previously applicable instructions and 

requirements; train personnel to be able to respond to a collection of information; search data 

sources; complete and review the collection of information; and transmit or otherwise disclose 

the information. An agency may not conduct or sponsor, and a person is not required to respond 

to, a collection of information unless it displays a currently valid OMB control number. The 

OMB control numbers for EPA's regulations are listed in 40 CFR part 9 and 48 CFR chapter 15.

To comment on the agency's need for this information, the accuracy of the provided 

burden estimates, and any suggested methods for minimizing respondent burden, including the 

use of automated collection techniques, EPA has established a public docket for this ICR under 

Docket ID Number EPA-HQ-OAR-2003-0039, which is available for online viewing at 

www.regulations.gov, or in person viewing at the Air and Radiation Docket and Information 

Center in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution 

Avenue, NW., Washington, D.C. The EPA Docket Center Public Reading Room is open from 

8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number 

for the Reading Room is (202) 566-1744, and the telephone number for the Office of Air and 

Radiation Docket is (202) 566-1742. An electronic version of the public docket is available at 

www.regulations.gov. This site can be used to submit or view public comments, access the index 

listing of the contents of the public docket, and to access those documents in the public docket 

that are available electronically. When in the system, select “search,” then key in the Docket ID 

Number identified above. Also, you can send comments to the Office of Information and 

Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, D.C. 

20503, Attention: Desk Officer for EPA. Please include the EPA Docket ID Number EPA-HQOAR-2003-0039 and OMB Control Number 2060-0498 in any correspondence.