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Recordkeeping and Periodic Reporting of the Production, Import, Recycling, Destruction, 

Transhipment, and Feedstock Use of Ozone-Depleting Substances (Renewal)

PART A OF THE SUPPORTING STATEMENT

1. Identification of the Information Collection

(a) Title: Recordkeeping and Periodic Reporting of the Production, Import, 

Recycling, Destruction, Transhipment, and Feedstock Use of 

Ozone-Depleting Substances (Renewal)

OMB Number: 2060-0170

EPA ICR Number: 1432.30

(b) Short Characterization

The Montreal Protocol on Substances that Deplete the Ozone Layer (Protocol) and Title VI of 

the Clean Air Act Amendments of 1990 (CAA) established limits on total U.S. production, 

import, and export of Class I and Class II controlled ozone depleting substances (ODSs). Under 

its Protocol commitments, the United States has been obligated to cease production and import 

of Class I controlled substances with exemptions for essential uses, critical uses, previously used 

material, and material that will be 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 with similar exemptions beyond the phaseout. Additionally, the 

CAA has its own limits on production and consumption of controlled substances that EPA must 

adhere to and enforce.

To ensure the United States’ compliance with the limits and restrictions established by the 

Protocol and the CAA, the ODS phaseout regulations establish control measures for individual 

companies. EPA monitors compliance with the limits and restrictions for individual United 

States companies through the recordkeeping and reporting requirements established in the 

regulations at 40 CFR part 82, subpart A. To submit required information, regulated entities can 

download reporting forms from EPA’s stratospheric ozone web site 

(http://www.epa.gov/ozone/record/index.html), complete them, and then send them to EPA via 

U.S. Mail or fax. Upon receipt of the reports, EPA enters and stores the data in the ODS 

Tracking System. The Tracking System is a secure database that maintains all of the data that is 

submitted to EPA and allows the Agency to: (1) track over total production and consumption of 

controlled substances to satisfy conditions of the CAA and fulfill the United States obligations 

under the Protocol; (2) monitor compliance with limits and restrictions on production, imports, 

exports, and specific exemptions to the phaseout for individual U.S. companies; and (3) enforce 

against illegal imports and violations related to the control of Class I and Class II substances. 

Additionally, reporting on the exemptions allows an entity to retain the benefit of being able to 

produce or import a controlled Class I ODS beyond the date of complete phaseout.
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In 2008, EPA began using an electronic reporting system for producers, importers, and exporters

of Class I ODS (except methyl bromide). The electronic reporting system operates through the 

Agency’s Central Data Exchange (CDX) and allows regulated entities to download, complete, 

and submit reports electronically. Electronic reporting can reduce time and resources spent 

fulfilling reporting requirements, reduce the use of paper, and improve the quality of the data.

Pursuant to regulations 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 Part 2, Subpart B.

Detailed burden and costs calculations for respondents and the Agency are presented in Section 6 

of this document. The burden and cost estimates for respondents decreased in this ICR because

the phaseout of Class I controlled substances has continued, per international agreement under 

the Protocol, and thus less reporting is taking place. Increases in the average hourly wage rate for 

industry caused by normal inflation contributed to higher respondent costs overall, but the total 

burden hours, including total burden hours per respondent, are less. EPA also refined its 

estimates based on more recent information from respondents. 

The burden and cost estimates for the Agency decreased largely because the use of electronic 

reporting as well as the progressed phaseout of Class I ODS.

2. Need For, and Use Of, the Collection

(a) Authority for the Collection

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

Article 7 of the Protocol. Section 603(b) of the Clean Air Act, “Production, import, and export 

level reports,” mandates that each person who produces, imports, or exports a Class I controlled 

substance file a report stating the amount of the substance that was produced, imported, and 

exported by that person during the preceding reporting period. Article 7 of the Protocol, 

“Reporting of data,” requires the United States to provide specific data annually on its 

production, imports, and exports of each controlled substance. 

(b) Practical Utility/Users of the Data

The reporting and recordkeeping requirements for Class I ODS will enable EPA to:

1. Ensure compliance with the restrictions on production, import, and export of ozonedepleting substances;

2. Allow exempted production and import for certain uses and the consequent tracking 

of that production and import;

3. Address industry and Federal concerns regarding the illegal import of mislabeled 

used controlled substances;

4. Satisfy the United States’ obligations to report data under Article 7 of the Protocol;
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5. Fulfill statutory obligations under Section 603(b) of the CAA for reporting and 

monitoring; and

6. Provide information to report to the U.S. Congress on the production, use, and 

consumption of Class I controlled substances as statutorily required in Section 603(d) 

of Title VI of the CAA.

EPA stores and analyzes the reported information to ensure companies do not exceed their 

allowances. In this regard, the information in the reports is used for compliance monitoring for 

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

Protocol.

Information that is collected on the production, import, and export of controlled Class I

substances is also used to develop the reports provided to the Ozone Secretariat to meet U.S. 

international treaty obligations. Requirements to report the data annually are listed in Article 7 of 

the Protocol.

Industry representatives and many Federal agencies, including EPA, are concerned about claims 

of fraudulent imports of controlled substances that are mislabeled as used, recycled, or 

reclaimed. To this end, EPA has 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 

82.13(g)(2), companies that want to import used, recycled, or reclaimed controlled substances 

must provided detailed information in the form of a petition about the previous use and the future 

intended use of the substance.

3. Non duplication, Consultation, and Other Collection Criteria 

(a) Non duplication 

All of the information requested from respondents under this ICR is required by statute (CAA 

§603(b)) and is not available from other information sources because it is proprietary

information submitted by industry sources. 

(b) Public Notice Required Prior to ICR submission to OMB

A request for public comment for the renewal of this ICR was published in the Federal Register

on November 30, 2011 (76 FR 74055). EPA received no comments by the January 30, 2012 

deadline. EPA reached out to two stakeholders that are affected by the ICR being renewed and 

subsequently received one late comment. The commenter suggests EPA reduce the reporting 

frequency for CFC production (Class I substances) as no domestic company produces such 

material for emissive use any longer. While the comment does address general reporting issues 

related to ODS, suggesting a reduction in reporting frequency from quarterly to annually would 

reduce the reporting effort and EPA’s internal tracking effort to 25% of current rates, such a 

regulatory change would have to take place in regulatory effort separate from this ICR renewal. 

The comment, thus, falls out of the scope of this action. Nonetheless, EPA is going to consider 

the comment and whether reduced reporting in this particular instance is warranted. EPA finds 
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quarterly reporting of ODS is essential, generally, when it comes to determining compliance 

issues and ensuring the U.S.’ compliance with the Montreal Protocol.

(c) Consultations

 

Recordkeeping and reporting requirements were established in the original publication of the 

CFC phaseout and methyl bromide rules. This ICR (number 1432.30) does not add any 

additional recordkeeping or reporting requirements. To assess the current burden, EPA analyzed 

recent reporting and tracking data. EPA also reached out to two stakeholders, one that works 

with CFCs and the other that works with methyl bromide. One comment was received, as 

discussed above in 3(b). EPA had previously reached out to our methyl bromide stakeholders in 

2006 via a side event at the annual Methyl Bromide Alternatives Organization meeting to discuss 

reporting and tracking issues. Much detailed comment was received at that time. In addition, 

EPA routinely communicates with the same stakeholders annually as we prepare an accounting 

framework associated with methyl bromide critical use. This substantive past and ongoing 

communication might explain why the stakeholder EPA reached out to regarding this ICR did 

not submit comments.

(d) Effects of Less Frequent Collection

Less frequent collection of data would compromise EPA’s ability to meet statutory requirements 

under Section 603 of the CAA to monitor production, import, and export levels. Further, less 

frequent collection of information would hinder EPA’s ability to identify regulation violations. 

Penalties for violations are currently assessed at $32,500 per kilogram per day, and therefore, 

frequent information collection is vital to pursue and enforce violations. 

Less frequent collection of data would also potentially place the United States in a noncompliance status under the Protocol. Quarterly reporting provides EPA with the necessary time 

to take action if an individual reporting person or the United States as a whole were to begin to 

exceed the Protocol’s production, import, or export limits or the limits established in Section 604 

of the CAA. Additionally, if the United States were to exceed the limits established in the 

Protocol it would undermine its ability to effectively negotiate favorable positions in the 

international forum. 

(e) General Guidelines

This rule does not exceed any of the OMB guidelines found at 5 CFR 1320.5(d)(2).

(f) Confidentiality

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

the information they submit. Information claimed as confidential will be treated in accordance 

with the procedures for handling information claimed as confidential under 40 CFR part 2, 

Subpart B, and will be disclosed to the extent, and by means of procedures, set forth in Subpart 

B. 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 sensitive nature.

4. The Respondents and the Information Request

(a) Respondents/SIC Codes

The appropriate North American Industry Classification System (NAICS) for potentially affected 

entities are listed below in Table I1. 

Table I. NAICS Classification of Regulated Entities

(b) Information Requested

(i) Data items, including recordkeeping requirements

Recordkeeping and reporting requirements changed substantially after the phaseout of Class I 

controlled substances on January 1, 1996 (except methyl bromide which was phased-out in 

2005). Prior to the phaseout of Class I controlled substances, EPA administered a system of 

production and consumption allowances and monitored compliance through quarterly reports. 

These types of allowances no longer exist due to the phaseout of Class I controlled substances. 

For the exempted production and import of Class I controlled substances (e.g., essential uses, 

quarantine and preshipment uses), EPA requires reporting and recordkeeping. All producers, 

importers, exporters, distributors, applicators, and others identified in 40 CFR 82.13 must record

and/or report the following either on a quarterly or annual basis as applicable (note, a 

comprehensive listing of recordkeeping and reporting requirements is listed in 40 CFR 82.13): 

I. Producers:

 production of each controlled substance, including the quantity produced for 

uses resulting in its transformation and/or destruction by the producer;

 production of each controlled substance under the exemptions for export to 

Article 5 countries, essential uses, critical uses, and QPS uses; 

 

1 NAICS codes were retrieved from the “2002 NAICS Codes and Titles” provided by the U.S. Census Bureau at, 

http://www.census.gov/epcd/naics02/naicod02.htm.

Category NAICS Code

Chemical Producers, Importers, and 

Exporters (CFCs) 

3251- Basic Chemical Manufacturing

Research and Development (Laboratories) 541710- Research and Development in the 

Physical, Engineering, and Life Sciences

MeBr Producers, Importers, Exporters, 

Distributors, and Applicators

325320- Pesticide and Other Agricultural 

Chemical Manufacturing
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 the amount of controlled substance sold or transferred during the quarter to a 

person other than the producer for use in processes resulting in its 

transformation or eventual destruction;

 for controlled substances provided to another entity for transformation, a copy

of an IRS certification or intent to transform the same controlled substance for 

a particular transformer and a list of additional quantities shipped to that same 

transformer for the quarter;

 for controlled substances provided to another entity for destruction, a copy of 

a destruction verification from that entity and a list of quantities shipped to 

that entity for the quarter;

 a list of U.S. purchasers of controlled substances that exported to an Article 5 

country in cases when Article 5 allowances were expended during production;

 a list of the essential-use allowance holders, distributors of laboratory supplies 

and laboratory customers from whom orders were placed and the quantity of 

specific essential-use controlled substances requested and produced;

 certifications from essential use allowance holders stating that the controlled 

substances were purchased solely for specified essential uses and will not be 

resold or used in any other manufacturing process;

 in the case of laboratory essential uses, certification from distributors of

laboratory supplies that controlled substances were purchased for sale to 

laboratory customers who certify that the substances will only be used for 

essential laboratory and analytical uses, and will not be resold or used in 

manufacturing; or, if sales are made directly to laboratories that the controlled 

substances will only be used for essential laboratory and analytical uses and 

will not be resold or used in manufacturing;

 written certification that quantities of critical use methyl bromide were 

purchased by distributors, applicators, or approved critical users to be used or 

sold only for critical uses;

 for critical use methyl bromide, dated records such as invoices and order 

forms, and a log of the quantity of controlled substances produced solely for 

export to satisfy critical uses;

 the amount of methyl bromide sold or transferred during the quarter to a 

person other than the producer solely for QPS applications;

 for methyl bromide produced for QPS uses, one copy of a certification that the 

material will be used only for QPS applications from each recipient of the 

material and a list of additional quantities shipped to that same person for the 

quarter;

 quantities of methyl bromide exported by the producer and/or other U.S.

companies in that control period, solely to satisfy the critical uses authorized 

by the Parties for that control period.
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II. Importers:

 the quantity of each controlled substance imported, either alone or in 

mixtures, including the percentage of each mixture that consists of a 

controlled substance;

 the quantity of each controlled substance imported that is used (including

recycled or reclaimed) and the information provided in the petition required to 

import used quantities of Class I controlled substances;

 the quantities of each controlled substance other than transhipments or used, 

recycled or reclaimed substances imported for use in their transformation or 

destruction, and the quantity sold for use in processes that result in their 

destruction or transformation; 

 the quantities of controlled substances imported for approved essential or 

critical uses;

 the amount of controlled substances sold or transferred during the quarter to 

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

destruction;

 for each quantity of a controlled substance imported: the date on which the 

controlled substance was imported; the port through which it passed; the 

country from which it was imported; the commodity code for the shipment; 

the importer number for the shipment; a copy of the bill of lading for the 

import; the invoice for the import; and the U.S. Customs entry form;

 dated records documenting the sale or transfer of the controlled substance for 

use in processes resulting in transformation or destruction;

 copies of IRS certifications that the controlled substance will be transformed 

or destruction verifications that it will be destroyed;

 dated records of the quantity of controlled substances being purchased for 

essential and laboratory uses or for eventual sale to laboratories that certify 

that controlled substances are for essential laboratory and analytical uses;

 the amount of controlled substances sold or transferred during the quarter to

each person for an essential use;

 certifications from essential-use allowance holders stating that the controlled 

substances were purchased solely for specified essential uses and will not be 

resold or used in manufacturing; and the certifications from distributors of 

laboratory supplies that the controlled substances were purchased solely for

eventual sale to laboratories that certify the controlled substances are for 

essential laboratory and analytical uses, or if sales are made directly to 

laboratories, verifications from laboratories that the controlled substances will 

only be used for essential laboratory and analytical uses and will not be resold 

or used in manufacturing;

 in the case of laboratory essential uses, a certification from distributors of

laboratory supplies that controlled substances were purchased for sale to 

laboratory customers who certify that the substances will only be used for

laboratory applications and will not be resold or uses in manufacturing;

 for methyl bromide, dated records of the quantity of controlled substances 

imported for QPS applications and quantity sold for quarantine and 

preshipment applications;
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 written certifications that quantities of methyl bromide imported solely for 

QPS applications were purchased by distributors or applicators to be used 

only for quarantine and preshipment applications;

 written verifications from a U.S. purchaser that methyl bromide imported 

solely for QPS applications upon receipt of a certification;

 a list of the quantities of methyl bromide exported by the importer and or by

other U.S. companies, to a Party to the Protocol that will be used solely for 

QPS applications; 

 in the case of importing a container with a heel, the amount brought into the 

United States with a certification that the residual amount in each shipment is 

less than 10 percent of the volume of the container and the fate of the 

container; a report indicating the final disposition of each shipment must also 

be submitted;

 in the case of importing a used substance, a copy of the petition submitted, the 

EPA non-objection notice, and the bill of lading for the import;

III. Exporters:

 names and addresses of the exporter and the recipient of the exports;

 the exporter’s Employer Identification Number;

 for each export: the type and quantity of each controlled substance exported 

and what percentage, if any, of the controlled substance is used, recycled or 

reclaimed; the date on which, and the port from which, the controlled 

substances were exported to the United States or its territories; the country to 

which the controlled substances were exported; the amount exported to each 

Article 5 country, and the commodity code of the controlled substance 

shipped;

 the invoice or sales agreement containing language similar to the Internal

Revenue Service Certificate that the purchaser or recipient of imported

controlled substances, or destruction verifications that the purchaser or 

recipient intends to destroy the controlled substances, or the certification that 

the purchaser or recipient and the eventual applicator will only us the material 

for QPS applications;

IV. Persons that destroy Class I controlled substances:

 a one time report stating the destruction unit’s efficiency and the methods 

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

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

apply to the destruction process.
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V. Persons that purchase/receive and subsequently destroy Class I substances that

were originally produced without expending allowances:

 a destruction verification (to the producer or importer) containing the 

following: 

 the identity and address of the person intending to destroy controlled 

substances;

 indications of whether those 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 controlled 

substances;

 signature of the verifying person;

 the name and quantities of Class I controlled substances that were destroyed at 

the end of the control period.

VI. Persons that transform Class I controlled substances:

 the name and quantities of Class I controlled substances transformed at the 

end of the control period;

 in cases where Class I controlled substances are purchased for transformation, 

the person who transforms the substances is to provide the producer or 

importer with an IRS certification that the controlled substances are to be used 

in processes resulting in their transformation. 

VII. Persons that transship Class I substances:

 records that indicate that the shipment originated in a foreign country destined 

for another foreign country, and does not enter interstate commerce with the 

United States.

VIII. Persons allocated essential-use allowances:

 quantities of each controlled substance received from each producer and/or 

each importer during that quarter and the country from which the controlled 

substance was imported;

IX. Distributors of laboratory supplies receiving controlled substances under the

global laboratory essential use exemption:

 quantities received of each controlled substance from each producer or 

importer;

 quantities of each controlled substance purchased by each laboratory customer 

whose certification was previously provided to the distributor;

 in cases where the distributor sells the Class I controlled substances as 

reference standards for calibrating equipment, the distributor must submit the 

quantity of each controlled substance purchased by each laboratory customer 

whose certification was previously provided to the distributor.
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X. Persons that distribute quarantine and preshipment methyl bromide:

 certifications provided to the producer or importer that quantities received that 

were produced or imported solely for QPS applications under the exemptions 

will be used only for quarantine applications or preshipment applications;

 certifications from applicators, prior to delivery of the quantity, that the 

quantity of methyl bromide ordered will be used solely for QPS applications;

 the total quantity delivered to applicators in which certifications were received 

that state the methyl bromide would be use solely for QPS applications.

XI. Persons that apply quarantine and preshipment methyl bromide:

 a document from the commodity owner, shipper or their agent requesting the 

use of methyl bromide citing the regulatory requirement that justifies its use;

 a copy of the certification (provided to the distributor before a shipment) that 

the quantity of controlled substances will be used only for QPS applications.

XII. QPS commodity owner, shipper, or their agent:

 records for each request, certifying knowledge of the requirements associated

with the exemption for QPS applications; the record must include the 

certifying language listed in the regulation. 

XIII. Transfers of allowances for Class I controlled substances:

 in cases of transfers of essential-use CFCs:

 the specific MDI products that the transferee plans to produce with the 

transferred CFCs;

 the country(ies) where the CFC MDI produced with the transferred 

essential-use CFCs will be sold if other than in the United States; 

 certification that the essential-use CFCs will be used in the production 

of essential MDIs; if the MDIs are to be sold in the United States, the 

certification must state that MDIs produced with the transferred 

essential-use CFCs are listed as essential and were approved by the 

Food and Drug Administration before December 31, 2000; if the MDIs 

produced with the essential-use CFCs are to be sold outside the United 

States, the transferee must verify that the MDIs produced with the 

essential-use CFCs are considered essential by the importing country;

 a letter from the transferor stating that it concurs with the terms of the 

transfer as requested by the transferee;

 in cases where the trade is international:

 a signed document from the principal diplomatic representative in 

the Party’s embassy in the United States stating that the 

appropriate authority within the nation has approved the transfer of 

the essential-use CFCs.
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XIV. Persons wanting to import used Class I controlled substance

 a petition containing:

 name and quantity in kilograms of the used controlled substance to be 

imported;

 name and address of the importer, the importer ID number, the contact 

person, and the phone number;

 name, address, contact person, phone number and fax number of all 

previous source facilities from which the used controlled substance was 

recovered;

 a detailed description of the previous use of the 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;

 name, address, contact person, phone number and fax number 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 of the used controlled substance, and, when, 

possible, the name, address, contact person, phone number and fax number 

of the ultimate purchaser in the United States;

 name, address, contact person, phone number and fax number of the U.S. 

reclamation facility, where applicable; if someone at the source facility 

recovered the controlled substance from the equipment, the name and 

phone and fax numbers of that person; 

 if the imported controlled substance was reclaimed in a foreign Party, the 

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

reclamation facility(ies) responsible for reclaiming the cited shipment;

 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 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 Section 608 of the 

CAA, if not already reclaimed to those specifications;

 a certification of accuracy of the information submitted in the petition.
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In addition, all entities may be required to provide other such information that the Administrator 

may reasonably require to comply with requests from the Ozone Secretariat seeking information 

required by decisions taken by the Parties to the Montreal Protocol. All records and reports must 

comply with requirements for Class I controlled substances in Subpart A of the regulations. 

Reports and records associated with the reports listed above must be kept for three years. All 

amounts must be reported in kilograms. These 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. 

(ii) Respondent Activities

Persons that produce, import, export, distribute, supply, transform, destroy, and apply controlled 

Class I ODS are to maintain records and report to EPA or persons involved in transactions on a 

quarterly, annual, or transactional basis as mandated by applicable sections of the regulations. 

All records and reports must comply with applicable requirements specified in: §82.12(d)

(“Transfers of essential-use CFCs”), §82.13 (“Recordkeeping and reporting requirements for 

Class I controlled substances.”). These records and copies of reports are to be maintained for 

three years. 

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

Management

(a) Agency Activities

 Enter, maintain, and manage information submitted from companies in the ODS Tracking 

System;

 Respond to companies submitting tracking/monitored information to confirm transactions 

and provide allowance balances;

 Review and respond to petitions submitted to import used Class I controlled substances;

 Review information and conduct compliance monitoring activities related to restrictions

on production, import, export, transformation, and destruction of Class I controlled 

substances for individual companies by comparing data with other sources of 

information;

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

destroyers of ODS;

 Review information in the Tracking System to ensure that the United States is not 

exceeding its obligations under the Montreal Protocol which limits production and 

consumption of controlled ODS;

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

do not exceed limits statutorily set in Section 604 of the CAA;

 Compile reports mandated by United States obligations under the Montreal Protocol and 

the CAA, including reports to Congress and the Ozone Secretariat.
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(b) Collection Methods

EPA provides reporting forms for regulated participants to use to report the required information. 

Reporting forms for Class I controlled substances, as well as guidance on completing the forms, 

are available on EPA’s website at http://epa.gov/ozone/record/classone.html. Reporting forms 

can be sent to EPA in hard copy form. EPA also provides the option for some reports to be 

submitted electronically and is expanding electronic reporting opportunities. 

The use of the reporting forms is voluntary, but they are generally used by every participant in 

the regulatory program. The forms facilitate and streamline the submission of required data for 

respondents. The reporting requirements, first promulgated in the July 30, 1992, final rule, and 

then simplified and reduced through amendments published in the Federal Register on May 10, 

1995, reduced the administrative and reporting burden. 

In general, the regulatory program and the reporting requirements are smaller after the phaseout. 

As of January 1, 1996 (the post-phaseout period), the system of production and consumption 

allowances was no longer used, simplifying overall tracking and monitoring. New reporting and 

recordkeeping requirements exist, however, for the exempt uses of Class I substances. The 

reporting procedures for the post-phaseout period were selected for their administrative 

feasibility and minimal reporting burden. 

(c) Small Entity Flexibility 

Much of this information collection is required by statute. Additional information collection is 

undertaken to support the United States’ reporting obligations under the Protocol. The 

information collection is required to 1) ensure essential-use material is available to stakeholders, 

2) develop these nationally and internationally mandated reports, and 3) maintain compliance 

with Sections 604 and 606 of the CAA.

The burden on all affected entities, and especially the burden on small entities, has been reduced 

to every extent possible. Laboratories, the only small entities required to submit information, are 

required to certify purchases of exempted Class I controlled substances once per year, indicating 

that they will only be used for laboratory or analytical purposes and not be resold, and 

identifying the specific use to which the substances will be put. This requirement is to ensure 

proper use of exempted production and import and to allow the United Sates to report specific 

information to the Secretariat to the Protocol regarding the use of ODS for laboratory purposes 

as required under Annex II of Decision VI/9. All other respondents to the program are large 

companies.
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(d) Collection Schedule

After the phaseout on January 1, 1996:

 Producers, importers, exporters of methyl bromide, laboratory suppliers, and distributors 

of QPS methyl bromide must report to EPA quarterly (45 days after the end of each 

quarter);

 Exporters of non-methyl bromide Class I controlled substances, and persons that destroy

and transform Class I controlled substances (including methyl bromide), are to report to 

EPA annually (45 days after the end of the control period);

 Persons wanting to trade essential use CFCs or import used Class I controlled substances

(i.e. petition) are to submit reports to EPA on a transactional basis.

 All entities may be required to provide other such information that the Administrator may

reasonably require to comply with ad hoc requests from the Ozone Secretariat seeking 

information required by decisions taken by the Parties to the Montreal Protocol 

subsequent to the publication of this ICR. The Agency anticipates this, on average, to 

occur less than annually per prospective respondent.

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. EPA identified 18 reporting activities which contain all information mandated by EPA’s 

regulations (see Table II. Respondent Burden for details). EPA estimated the number of 

respondents per reporting activity based on the quantity of respondents that submitted reports 

over the last several years. The number of reports submitted per year is either four (quarterly), 

one (annually), or other (per transaction). EPA estimated the amount of time for data compilation 

and report preparation by analyzing historical information. The last three collection activities are 

not submitted to EPA, rather they are provided to another entity, such as a producer or importer,

as mandated. This ICR (1432.30) does not add any additional recordkeeping and reporting 

requirements from the previous ICR.
15

Table II. Respondent Burden

A B C D E F G

Collection Activity: 

Recordkeeping and 

Reporting

Number of 

Respondents

Responses per 

respondent per 

control period

Total 

Responses 

(AxB)

Data 

Compilation 

(hours)

Report 

Preparation 

(hours)

Hours 

per 

Response 

(D+E)

Total 

Hours per 

year 

(CxF)

Producer's Report 7 4 28 2 0.5 2.5 70

Producer's Report (MeBr) 1 4 4 4 0.5 4.5 18

Importer's Report 5 4 20 4 0.5 4.5 90

Importer's Report (MeBr) 3 4 12 4 0.5 4.5 54

Exporter's Report 13 1 13 4 0.5 4.5 58.5

Exporter's Report (MeBr) 4 4 16 4 0.5 4.5 72

Destruction 7 1 7 4 0.5 4.5 31.5

Transformation 8 1 8 4 0.5 4.5 36

Essential Use Allowance 

Holders

0 4 0 4 0.5 4.5 0

Laboratory 

Supply/Distribution

8 4 32 4 0.5 4.5 144

Transfers of substances 

(int'l and domestic)

1 1 1 4 0.5 4.5 4.5

Transfers of allowances

(int'l and domestic)

0 0 0 4 0.5 4.5 0

QPS MeBr Distributor Report 15 4 60 4 0.5 4.5 270

Petitions for used imports

(for destruction)

3 11 33 1 0.5 1.5 49.5

Petitions for used imports 

(for reuse)

3 7 21 4 0.5 4.5 94.5

SUBTOTAL FOR 

REPORTING TO EPA ONLY

78 54 255 55 7.5 62.5 992.5

QPS MeBr Applicator 

Certification

15 6 90 0.5 0.5 1 90

Commodity Owner, Shipper 

or Agent Recordkeeping 

(MeBr)

50 10 500 0.5 0.5 1 500

Lab Certification 1,000 1 1000 0.5 0.5 1 1000

SUBTOTAL FOR 

CERTIFICATIONS

1,065 17 1,590 2 2 3 1,590

TOTALS (Respondents, 

Responses, and Hours)

1,143 1,845 2,583

TOTAL- BURDEN HOURS 

PER YEAR/ 

RESPONDENT

2.3

(b) Estimating Respondent Costs

(i). Estimating Labor Costs

To determine the labor costs associated with recordkeeping and reporting, EPA used an hourly 

industry wage rate of $50.08. This is the average hourly wage rate for professional and related 

persons derived from the Bureau of Labor Statistics Employer Cost and Employee Compensation 

Table 2 (http://www.bls.gov/news.release/ecec.t02.htm ), September 8, 2011. EPA added 110 
16

percent to the hourly industry wage rate to reflect additional costs for overhead and fringe, 

increasing the wage rate to $105.15 per hour. The total burden hours per year was estimated to 

be 2,583 hours, which when multiplied by the hourly industry wage rate of $105.15 equals

$271,550 for total yearly costs. To determine yearly costs per respondent, per report, EPA 

multiplied the burden hours per respondent per report by the average industry wage ($105.15). 

See Table III below for details. 

Table III. Yearly Respondent Costs Calculations

Industry Wage 

(includes overhead 

and fringe)

Total Burden Hours Total Yearly Costs

$105.15 2,583 $271,550

Industry Wage 

(includes overhead 

and fringe)

Total Burden 

Hours/Respondent

Total Yearly Respondent 

Costs/Respondent

$105.15 2.3 $238

(ii). Estimating Capital and Operations and Management Costs

Operation and maintenance costs include expenses such as photocopying, packaging, and 

postage. Although variations may occur based on the quantity of the data submitted to EPA as 

well as the method in which the respondent submits the data (i.e. regular post or express mail), 

$3.00 was estimated to be the cost per respondent per report. To determine the total capital and 

operations and management costs, 1,845 (total responses) was multiplied by $3.00 and equaled 

$5,535. 

(iii). Capital and Start-up Costs

Capital and start-up costs were estimated to be $0 because new recordkeeping or reporting

requirements have not been added to this ICR. Persons that are required to maintain records and 

report information have participated in the program for several years.

(iv). Annualizing Capital Costs

Capital/start-up costs were estimated to be $0. 

(c) Estimating Agency Burden and Costs

To determine agency and burden costs, EPA identified three main activities associated with 

recordkeeping and reporting: receiving and entering data submitted, reviewing data entries, and 

preparing and reviewing company data balance statements. EPA then estimated hours per 

activity, per report received, per Agency staff member. EPA also developed estimates for 

maintaining the Tracking System and processing reports for the control period. See Table IV 

below for details. 
17

The hourly wage rates for EPA technical and managerial staff were derived from the 2011 OPM 

hourly pay table and then multiplied by 1.6, the standard government benefits multiplier. The 

hourly wage rates are as follows: EPA estimates an average hourly labor cost of $59.30 X 1.6 = 

$94.88 (GS-15 level) for managerial costs and $42.66 X 1.6 = $68.26 (GS-13 level) for technical 

staff. Each hour of extramural (contractor) time is valued at $95.00 per hour including overhead 

and fringe. The total was estimated to be $93,033 per year. This is less than the previous ICR 

($106,057 per year) for a number of reasons. As mentioned previously, Class I reports are 

reducing due to the continued phaseout of Class I controlled substances. Also, EPA revised 

managerial hours associated with review of the reporting forms (from .5 hours to .2 hours per 

form), as most questions and review are made at the technical level. 

Table IV. Agency Burden and Cost

Agency Activity Number of 

Reports

Managerial 

Hours 

Technical 

Hours 

Extramural 

Hours 

Total Costs 

(Number of 

Reports x Labor 

Costs)

per Year $94.88 $68.26 $95.00 

1. Receiving and entering 

data;

255 0 1 0 $17,406 

$68.26 

2. Reviewing data entries; 255 0.2 1 0 $22,245 

$18.98 $68.26 ($4,840+$17,405)

3. Preparing and reviewing 

company data balance 

statements;

255 0.2 1 0 $22,245 

$18.98 $68.26 ($4,840+$17,405)

4. Maintaining ODS tracking 

system and reports

NA 20 150 200

(20*$94.88) (150*$68.26) (200*$95)

$1,897.60 $10,239.00 $19,000.00 $31,136.60 

Total Annual Burden Hours 932 

Grand Total Per Year = $93,033 

(d) Estimating the Respondent Universe and Total Burden and Costs 

The values for respondent universe and total burden and costs are based on estimates of the 

number of respondents and hours to compile data and prepare reports. Historical data from 

reports submitted over the last several years and informal consultations with stakeholders were 

used to develop estimates. Costs associated with compliance for EPA and respondents are 

averages and were estimated from publicly available data sources. The total burden hours for 

respondents decreased in this ICR because it refines the hourly burden estimates for certifying 

the Quarantine and Preshipment use of methyl bromide and laboratory use of all ozone depleting 

substances. Increases in the average hourly wage rate for industry caused by normal inflation 

also contributed to higher respondent costs. Additionally, estimates were refined based on 

historical information. The total also reflects Agency practice of periodically seeking necessary

information from the regulated community through the use of its authority under Section 114 of 

the Clean Air Act. No new recordkeeping and reporting requirements were added. 
18

(e) Bottom Line Burden Hours and Cost Tables

(i) Respondent Tally 

To determine bottom line burden hours and costs for respondents, EPA estimated the total 

number of responses per control period. The total number of responses for all respondents was 

calculated to be 2,583 hours. Therefore, over the three year span of this ICR, the total hours 

estimated for compliance for respondents is estimated to be 7,749 hours (2,583 x 3 years).

(ii) The Agency Tally

EPA estimated the amount of time required to complete each of the three main activities 

associated with the reports. In addition, hours and costs for maintaining the Tracking System and 

reporting forms were determined. Therefore, over the three year span of this ICR, the total 

Agency cost is estimated to be $279,099 ($93,033 x 3 years). 

(f) Reasons for Change in Burden

The burden and cost estimates for respondents decreased in this ICR because the phaseout of 

Class I controlled substances has continued, per international agreement under the Protocol, and 

thus less reporting is taking place. Increases in the average hourly wage rate for industry caused 

by normal inflation contributed to higher cost per respondent, but the total burden hours, 

including total burden hours per respondent, are less. EPA also refined its estimates based on 

more recent information from respondents.

Table V. Burden Summary

1432.29 1432.30

(ICR Renewal) (ICR Renewal)

Respondents annual burden hours 2,810 2,583

Respondents annual labor costs $263,662 $271,550

Respondent capital/start-up costs $0 $0

Respondents O&M costs $5,580 $5,535

Agency’s annual burden hours 1,352 932 

Agency’s annual labor costs $106,057 $93,033 

(g) Burden Statement 

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

estimated to average 2 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 
19

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 No. EPA-HQ-OAR-2011-0891, which is available for public viewing at the Air and 

Radiation Docket and Information Center in the EPA Docket Center (EPA/DC), EPA West, 

Room 3334, 1301 Constitution Ave., NW, Washington, DC. 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 Air and Radiation Docket and Information Center 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, DC 20503, Attention: Desk Office for EPA. Please 

include the EPA Docket ID No. EPA-HQ-OAR-2011-0891 and OMB control number 2060-0170

in any correspondence.

PART B OF THE SUPPORTING STATEMENT

EPA did not develop Part B of the supporting statement because this ICR did not involve 

statistical sampling.