40 CFR Part 82 -- PROTECTION OF STRATOSPHERIC OZONE
Section
82.1 Purpose and scope.
82.2
Effective date and savings provision.
82.3 Definitions.
82.4 Prohibitions.
82.5
Apportionment of baseline production allowances.
82.6
Apportionment of baseline consumption allowances.
82.7 Grant of
1991 production and consumption allowances for Group I, Group II,
and
Group III controlled substances.
82.8
Grant of 1991 production and consumption allowances for Group IV
and Group V
controlled substances.
82.9
Availability of production allowances in addition to baseline
production
allowances.
82.10
Availability of consumption allowances in addition to baseline
consumption
allowances.
82.11 Exports to
parties.
82.12
Transfers of production and consumption allowances.
82.13
Recordkeeping and reporting requirements.
82.14 Payment of fees. (Reserved)
82.20
Baseline data collection.
Appendix A to Part 82 -- Class I Controlled Substances (OMITTED)
Appendix B to Part 82 -- Class II Controlled Substances (OMITTED)
Appendix
C to Part 82 -- Parties to the Montreal Protocol
Appendix D to Part 82 -- Nations Complying With, But Not Parties
To, The Protocol
(Reserved)
Appendix E to
Part 82 -- Article 5 Parties
82.1 Purpose and scope.
(a) The purpose of these regulations is to implement the Montreal
Protocol on Substances that Deplete the Ozone Layer and section
604 of the Clean Air Act as amended by the Clean Air Act
Amendments of 1990, Public Law 101-549. The Protocol and section
604 impose limits on the production and consumption (defined as
production plus imports minus exports) of certain ozone-depleting
chemicals according to specified schedules. The Protocol also
requires each nation that becomes a party to the agreement to
impose certain restrictions on trade in ozone-depleting
substances with nonparties.
(b) This rule applies to any individual, corporate, or
governmental entity that produces, imports, or exports controlled
substances.
(53 FR 30598-30602, Aug. 12, 1988, as amended at 56 FR 9528, Mar.
6, 1991)
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(a) The regulations under this part take effect January 1, 1991.
(b) The regulations under this part were effective prior to
January 1, 1991 are saved for purposes of enforcing the
provisions that were applicable prior to January 1, 1991.
(56 FR 9528, Mar. 6, 1991)
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§82.3 Definitions.
As used in this part, the term:
(a) Administrator means the Administrator of the Environmental
Protection Agency or his authorized representative.
(b) Baseline consumption allowances means the consumption
allowances apportioned under 82.6.
(c) Baseline production allowances means the production
allowances apportioned under 82.5.
(d) Calculated level means the level of production, exports or
imports of controlled substances determined for each Group of
controlled substances by:
(1) Multiplying the amount (in kilograms) of production, exports
or imports of each controlled substance by that substance's ozone
depletion weight listed in appendix A to this Part; and
(2) Adding together the resulting products for the controlled
substances within each Group.
(e) Consumption allowances means the privileges granted by this
Part to produce and import calculated levels of controlled
substances; however, consumption allowances may be used to
produce controlled substances only in conjunction with production
allowances. A person's consumption allowances are the total of
the allowances he obtains under 82.7 (1991 allowances for Group
I, Group II and Group III controlled substances), 82.8 (1991
allowances for Group IV and Group V controlled substances) and
82.10 (additional consumption allowances), as may be modified
under 82.12 (transfer of allowances).
(f) Control period means the period from January 1, 1991 through
December 31, 1991.
(g) Controlled substance means any substance listed in appendix A
to this part, whether existing alone or in a mixture, but
excluding any such substance or mixture that is in a manufactured
product other than a container used for the transportation or
storage of the substance or mixture. Any amount of a listed
substance which is not part of a use system containing the
substance is a controlled substance. If a listed substance or
mixture must first be transferred from a bulk container to
another container, vessel, or piece of equipment in order to
realize its intended use, the listed substance or mixture is a
controlled substance. Controlled substances are divided into five
groups, Group I, Group II, Group III, Group IV, and Group V, as
set forth in appendix A to this part.
(h) Export means the transport of virgin, used or recycled
controlled substances from inside the United States or its
territories to persons outside the United States or its
territories, excluding United States military bases and ships for
on-board use.
(j) Facility means any process equipment (e.g., reactor,
distillation column) to convert raw materials or feedstock
chemicals into controlled substances.
(k) Import means to land on, bring into, or introduce into, or
attempt to land on, bring into, or introduce into, any place
subject to the jurisdiction of the United States whether or not
such landing, bringing, or introduction constitutes an
importation within the meaning or the customs laws of the United
States.
(l) Importer means the importer of record listed on U.S. Customs
Service Form 7501 for imported controlled substances.
(m) Montreal Protocol means the Montreal Protocol on Substances
that Deplete the Ozone Layer, a protocol to the Vienna Convention
for the Protection of the Ozone Layer, including adjustments
adopted by Parties thereto and amendments that have entered into
force.
(n) Nations complying with, but not joining, the Protocol means
any nation listed in appendix C to this Part.
(o) Party means any nation that is a party to the Montreal
Protocol and listed in appendix B to this part.
(p) Person means any individual or legal entity, including an
individual, corporation, partnership, association, state,
municipality, political subdivision of a state, Indian tribe, and
any agency, department, or instrumentality of the United States
and any officer, agent, or employee thereof.
(q) Plant means one or more facilities at the same location owned
by or under common control of the same person.
(r) Potential production allowances means the production
allowances obtained under 82.9(a).
(s) Production means the manufacture of a substance from any raw
material for feedstock chemical, but such terms do not include:
(1) The manufacture of a substance that is used and entirely
consumed (except for trace quantities) in the manufacture of
other chemicals, or
(2) The reuse or recycling of a substance. Production includes
spilling or venting of controlled substances equal to or in
excess of one hundred pounds per event; however, each production
plant is allowed two spills or ventings of less than 1,000 pounds
within a given control period.
(t) Production allowances means the privileges granted by this
Part to produce calculated levels of controlled substances;
however, production allowances may be used to produce controlled
substances only in conjunction with consumption allowances. A
person's production allowances are the total of the allowances he
obtains under 82.7 (1991 allowances for Group I, Group II and
Group III controlled substances), 82.8 (1991 allowances for Group
IV and Group V controlled substances), and 82.9 (b), (c) and (d)
(additional production allowances).
(u) Twenty-five-kilotonne Party means any nation listed in
appendix D to this Part.
(v) Unexpended consumption allowances means consumption
allowances that have not been used. At any time in any control
period, a person's unexpended consumption allowances are the
total of the calculated level of consumption allowances he has
authorization under this Part to hold at that time for that
control period, minus the calculated level of controlled
substances that the person has produced and imported in that
control period until that time.
(w) Unexpended production allowances means production allowances
that have not been used. At any time in any control period, a
person's unexpended production allowances are the total of the
calculated level of production allowances he has authorization
under this Part to hold at that time for that control period,
minus the calculated level of controlled substances that the
person has produced in that control period until that time.
(53 FR, 30598-30602, Aug. 12, 1988, as amended at 55 FR 24495,
June 15, 1990; 56 FR 9528, Mar. 6, 1991; 56 FR 10660, Mar. 13,
1991)
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§82.4 Prohibitions.
(a) No person may produce, at any time in the control period, a
calculated level of controlled substances in excess of the amount
of unexpended production allowances held by that person under the
authority of this part at that time for the control period. In no
event may any person produce in the first six months of the
control period a calculated level of Group I controlled
substances in excess of the total of:
(1) The unexpended production allowances (including
authorizations to convert potential production allowances) for
Group I controlled substances that the person held under the
authority of this Part on December 31, 1990; and
(2) Any additional production allowances (including
authorizations to convert potential productions allowances) for
Group I controlled substances that the person was granted in the
first six months of the control period under 82.9 (b) and (c) for
the Montreal Protocol period of July 1, 1990 through June 30,
1991 and 82.11.
Every kilogram of such excess constitutes a separate violation of
this regulation.
(b) No person may produce or import, at any time in the control
period, a calculated level of controlled substances in excess of
the amount of unexpended consumption allowances held by that
person under the authority of this Part at that time for the
control period. In no may any person produce or import in the
first six months of the control period a calculated level of
Group I controlled substances in excess of the total of:
(1) The unexpended consumption allowances for Group I controlled
substances that the person held under the authority of this part
on December 31, 1990; and
(2) Any additional consumption allowances that the person was
granted under 82.10 in the first six months of the control
period.
Every kilogram of such excess constitutes a separate violation of
this regulation.
(c) A person may not use his production allowances to produce a
quantity of controlled substances unless he holds under the
authority of this Part at the same time consumption allowances
sufficient to cover that quantity of controlled substances, nor
may he use his consumption allowances to produce a quantity of
controlled substances unless he holds under authority of this
Part at the same time production allowances sufficient to cover
that quantity of controlled substances. However, consumption
allowances alone are required to import controlled substances.
(d) Beginning January 1, 1991, no person may import any quantity
of controlled substances from any nation not listed in appendix B
to this part (Parties to the Montreal Protocol), unless that
nation is listed in appendix C to this part (Nations Complying
with, But Not Party to, the Protocol). Every kilogram of
controlled substances imported in contravention of this
regulation constitutes a separate violation of this regulation.
(e) Any person that receives a quantity of production or
consumption allowances under 82.9(e) must hold the same quantity
of unexpended production or consumption allowances on December
31, 1991. Every kilogram by which the person's unexpended
production or consumption allowances falls short of the amount
the person was originally granted under 82.9(e) constitutes a
separate violation.
(53 FR 30598-30602, Aug. 12, 1988, as amended at 56 FR 9528, Mar.
6, 1990; 56 FR 67371, Dec. 30, 1991)
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§82.5
Apportionment of baseline production allowances.
Persons who in 1986 produced one or more controlled substances
included in Group I or Group II or who in 1989 produced one or
more controlled substances included in Group III, Group IV or
Group V are apportioned calculated levels of baseline production
allowances as set forth in this section. Each person's
apportionment of production allowances for Group I or Group II
controlled substances is equivalent to the calculated level of
that person's production of Group I or Group II controlled
substances in 1986. Each person's apportionment of production
allowances for Group III, Group IV or Group V controlled
substances is equivalent to the calculated level of that person's
production of Group III, Group IV or Group V controlled
substances in 1989.
(a) For Group I controlled substances:
TABLE/GRAPH OMITTED
(b) For Group II controlled substances:
TABLE/GRAPH OMITTED
(c) For Group III controlled substances:
TABLE/GRAPH OMITTED
(d) For Group IV controlled substances:
TABLE/GRAPH OMITTED
(e) For Group V controlled substances:
TABLE/GRAPH OMITTED
(53 FR 30598-30602, Aug. 12, 1988, as amended at 56 FR 9529, Mar.
6, 1991; 56 FR 67371, Dec. 30, 1991)
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§82.6
Apportionment of baseline consumption allowances.
Persons who in 1986 produced, imported, or produced and imported
one or more controlled substances included in Group I or Group II
or who in 1989 produced, imported, or produced and imported one
or more controlled substances included in Group III, Group IV or
Group V are apportioned calculated levels of baseline consumption
allowances as set forth in this section.
(a) For Group I controlled substances:
TABLE/GRAPH OMITTED
(b) For Group II controlled substances:
TABLE/GRAPH OMITTED
(c) For Group III controlled substances:
TABLE/GRAPH OMITTED
(d) For Group IV controlled substances:
TABLE/GRAPH OMITTED
(e) For Group V controlled substances:
TABLE/GRAPH OMITTED
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§82.7 Grant of 1991
production and consumption allowances for Group I, Group II and
Group III controlled substances.
For the control period, every person is granted 85 percent of the
baseline production and consumption allowances apportioned to him
for Group I, Group II, and Group III controlled substances under
§82.5 and §82.6.
(56 FR 9529, Mar. 6, 1991)
§82.8
Grant of 1991 production and consumption allowances for Group IV
and Group V controlled substances.
For the control period, every person is granted 100 percent of
the production and consumption allowances apportioned to him for
Group IV and Group V controlled substances under 82.5 and 82.6.
(56 FR 9529, Mar. 6, 1991)
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§82.9
Availability of production allowances in addition to baseline
production allowances.
(a) For the control period, every person apportioned baseline
production allowances for one or more groups of controlled
substances under §82.5 is also granted a calculated level of
potential production allowances equivalent to 10 percent of his
apportionment for each group of controlled substances under
§82.5.
(1) 10 percent of his apportionment under §82.5(a), for each
control period ending before July 1, 1998; and
(2) 15 percent of his apportionment under §82.5(a), for each
control period beginning after June 30, 1998.
(b) A person may convert potential production allowances, either
granted to him under paragraphs (a) and (b) of this section or
obtained by him under §82.12 (transfer of allowances), to
production allowances only to the extent authorized by the
Administrator under §82.11 (Exports to Article 5 Parties) or
under paragraph (c)(1) of this section. A person may obtain
authorization to convert potential production allowances to
production allowances by requesting issuance of a notice under
§82.11, by completing a transfer of authorization under §82.12,
or in accordance with paragraph (c)(1) of this section.
(1) A nation listed in appendix B to this part (Parties to the
Montreal Protocol) must agree either to transfer to the person at
a specified time some amount of the calculated level of
production that the nation is permitted under the Montreal
Protocol or to receive from the person at a specified time some
amount of the calculated level of production that the person is
permitted under this part. For trades from a Party, the person
must obtain from the principle diplomatic representative in that
nation's embassy in the United States a document stating that the
nation agrees to reduce its allowable calculated level of
production by the amount being transferred to the recipient for
the Montreal Protocol periods to which the transfer applies
(either July 1, 1990, through June 30, 1991, or July 1, 1990
through December 31, 1992, or both). The person must submit to
the Administrator a transfer request that includes a true copy of
this document and that sets forth the following:
(i) The identity and address of the person;
(ii) The identity of the Party;
(iii) The names and telephone numbers of contact persons for the
person and for the Party;
(iv) The amount of allowable calculated level of production being
transferred;
(v) The Montreal Protocol control period(s) (either July 2, 1990
through June 30, 1991, or July 1, 1991, through December 31,
1992, or both) to which the transfer applies.
(2) After receiving a transfer request that meets the
requirements of paragraph (b)(1) of this section, the
Administrator may, at his discretion, consider the following
factors in deciding whether to approve such a transfer:
(i) Possible creation of economic hardship;
(ii) Possible effects on trade;
(iii) Potential environmental implications; and
(iv) A sufficient balance of unexpended production allowances.
(3) The Administrator will issue the person a notice granting
authorization to convert or deducting production allowances
equivalent to the calculated level of production transferred, and
specifying the control periods to which the transfer applies,
provided that the request meets the requirement of paragraph
(b)(1) of this section and, if necessary, paragraph (b)(2) of
this section. The change in production allowances will be
effective on the date that the notice is issued.
(c) Any person may obtain production allowances from, or transfer
his production allowances to, a foreign entity in accordance with
the provisions of this paragraph.
(1) A nation listed in appendix D to this part
(Twenty-five-kilotonne Parties) must agree to either transfer to
the person at a specified time some amount of the calculated
level of production that the nation is permitted under the
Montreal Protocol or receive from the person at a specified time
some amount of the calculated level of production that the person
is permitted under this part. The person must obtain from the
principle diplomatic representative in that nation's embassy in
the United States a document clearly stating that the nation
agrees to reduce or increase, as applicable, its allowable
calculated level of production by the amount being transferred
for the Montreal Protocol control period(s) to which the transfer
applies (either July 1, 1990, through June 30, 1991, or July 1,
1991, through December 31, 1992 or both) and that after the
transfer the nation's total allowable production will not exceed
25 kilotonnes.
(2) The person must submit to the Administrator a transfer
request that includes a true copy of the document required by
paragraph (d)(1) of this section and that sets forth the
following:
(i) The identity and address of the person;
(ii) The identity of the Twenty-five-kilotonne Party;
(iii) The names and telephone numbers of Contact persons for the
person and for the Twenty-five-kilotonne Party;
(iv) The amount of allowable calculated level of production being
transferred; and
(v) The Montreal Protocol control period(s) (either July 1, 1990,
through June 30, 1991, or July 1, 1991, through December 31,
1991, or both) to which the transfer applies.
(3) After receiving a transfer request that meets the
requirements of paragraph (d)(2) of this section, the
Administrator will complete the following steps:
(i) Review any proposed transfer of production allowances to a
Twenty-five-kilotonne Party and approve the transfer if it is
consistent with the Montreal Protocol and domestic policy. The
Administrator will consider the following factors in deciding
whether to approve such a transfer:
(A) Possible creation of economic hardship;
(B) Possible effects on trade; and
(C) Potential environmental implications.
(ii) Notify the Secretariat of the Montreal Protocol of the
transfer to the person or to the Twenty-five-kilotonne Party if
approved under paragraph, (d)(3)(i) of this; and
(iii) Issue the person a notice granting or deducting production
allowances equivalent to the calculated level of production
transferred, and specifying the control periods to which the
transfer applies. The change in production allowances will be
effective on the date that the notice is issued.
(d) A person who does not produce controlled substances may
obtain production allowances equal to the calculated level of
controlled substances produced in the United States that the
person used and entirely consumed in the manufacture of other
chemicals in accordance with the provisions of this paragraph. A
request for production allowances will be considered a request
for consumption allowances under §82.10.
(1) A person must submit a request for production allowances that
includes the following:
(i) The identity and address of the person;
(ii) The name, quantity and calculated level of controlled
substance used and entirely consumed in the manufacture of
another chemical;
(iii) A copy of the invoice or receipt documenting the sale from
the producer of the controlled substance to the person; and
(iv) The name, quantity and verification of the commercial use of
the resulting chemical.
(2) The Administrator's designated representative will review the
information and documentation submitted under paragraph (1) of
this section, and will assess the quantity of controlled
substance that the documentation and information verifies were
used and entirely consumed in the manufacture of other chemicals.
The Administrator's designated representative will issue the
person production allowances equivalent to the calculated level
of controlled substances that the Administrator's designated
representative determined were consumed. The grant of allowances
will be effective on the date that the notice is issued.
(3) If the Administrator's designated representative determines
that the request for production allowances does not
satisfactorily meet the requirements stated in paragraph (d) of
this section, the Administrator's designated representative will
issue a note disallowing the request for additional production
allowances. Within ten working days after receipt of
notification, the party may file a notice of appeal, with
supporting reasons, with the Director, Office of Atmospheric and
Indoor Air Programs, Office of Air and Radiation. The Director
may affirm the disallowance or grant an allowance, as he finds
appropriate in light of the available evidence.
(e) Any person that:
(1) In a baseline year produced a controlled substance that was
either entirely transformed except for trace quantities by one or
more other persons into other chemicals or exported; and
(2) Reported this production to EPA as required by the final rule
published on November 26, 1990, at 55 FR 49116, may petition the
Administrator's designated representative for production and
consumption allowances to produce that controlled substance.
The petition shall include a copy of a legally binding contract
for the sale of the controlled substance to be produced by the
petitioning person to another person who agrees to use the
controlled substance that is the subject of the contract only and
entirely for the purpose of manufacturing one or more other
chemicals. The contract must include adequate guarantees that the
controlled substance produced and sold under the contract is in
fact entirely transformed (except for trace quantities) in the
manufacture of one or more other chemicals. If the
Administrator's designated representative concludes that the
control is binding and includes adequate guarantees of use in the
manufacture of other chemicals, that representative will issue
the petitioning person the production and consumption allowances
requested. The grant of allowances will be effective on the date
that the notice is issued.
(53 FR 30598-30602, Aug. 12, 1988, as amended at 54 FR 28065,
July 5, 1989; 55 FR 5010, Feb. 13, 1990; 55 FR 24495, June 15,
1990; 56 FR 9529, Mar. 6, 1991; 56 FR 30873, July 8, 1991)
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§82.10
Availability of consumption allowances in addition to baseline
consumption allowances.
Any person may obtain, in accordance with the provisions of this
subsection, consumption allowances equivalent to the calculated
level of controlled substances (other than recycled or used
controlled substances) that the person has exported from the
United States or its territories to any nation listed in appendix
B to this part (Parties to the Montreal Protocol). Consumption
allowances will be granted only for exports that depart the
United States during the control period, and the consumption
allowances granted will be valid only during the control period.
(a) The exporters of the controlled substances must submit to the
Administrator a request for consumption allowances setting forth
the following:
(1) The identities and addresses of the exporter and the
recipient of the exports;
(2) The exporter's Employer Identification Number;
(3) The names and telephone numbers of contact persons for the
exporter and the recipient;
(4) The quantity, calculated level, and type of controlled
substances exported, and what percentage, if any, of the
controlled substances are recycled or used;
(5) The source of the controlled substance and the date
purchased;
(6) The date on which and the port from which the controlled
substances were exported from the United States or its
territories;
(7) The country to which the controlled substances were exported;
(8) The bill of lading and the invoice indicating the net
quantity of controlled substances shipped and documenting the
sale of the controlled substances to the purchaser; and
(9) The commodity code of the controlled substance exported.
(b) The Administrator will review the information and
documentation submitted under paragraph (a)(1) of this section,
and will assess the quantity of controlled substances (other than
recycled or used controlled substances) that the documentation
verifies were exported. The Administrator will issue the exporter
consumption allowances equivalent to the calculated level of
controlled substances that the Administrator determined were
exported. The grant of the consumption allowances will be
effective on the date the notice is issued.
(c) A person who does not produce controlled substances may
obtain consumption allowances equal to the calculated level of a
controlled substance either produced in or imported into the
United States that the person used and entirely consumed in the
manufacture of other chemicals in accordance with the provisions
of this paragraph.
(1) A person must submit a request for consumption allowances
that includes the following:
(i) The identity and address of the person;
(ii) The name, quantity and calculated level of controlled
substance used and entirely consumed in the manufacture of
another chemical;
(iii) A copy of the invoice or receipt documenting the sale from
the producer or importer of the controlled substance to the
person;
(iv) The name, quantity and verification of the commercial use of
the resulting chemical.
(2) The Administrator's designated representative will review the
information and documentation submitted under paragraph (c) of
this section, and will assess the quantity of controlled
substance that the documentation and information verifies were
used and entirely consumed in the manufacture of other chemicals.
The Administrator's designated representative will issue the
person consumption allowances equivalent to the calculated level
of controlled substances that the Administrator's designated
representative determined were consumed. The grant of allowances
will be effective on the date that the notice is issued.
(3) If the Administrator's designated representative determines
that the request for consumption allowances does not
satisfactorily meet the requirements stated in paragraph (c) of
this section, the Administrator's designated representative will
issue a note disallowing the request for additional consumption
allowances. Within ten working days after receipt of
notification, the party may file a notice of appeal, with
supporting reasons, with the Director, Office of Atmospheric and
Indoor Air Programs, Office of Air and Radiation. The Director
may affirm or vacate the disallowance. If no appeal is taken by
the tenth day after notification, the disallowance will be final
on that day.
(53 FR, 30598-30602, Aug. 12, 1988, as amended at 55 FR 24496,
June 15, 1990; 56 FR 9530, Mar. 6, 1991)
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§82.11 Exports to parties.
In accordance with the provisions of this section, any person may
obtain authorization to convert potential production allowance to
production allowances by exporting controlled substances to
nations listed in appendix E (Article 5 Parties) of this part.
Authorizations to convert will be granted only for controlled
substances that depart the United States or its territories
during the control period, and the authorizations to convert
granted will be valid only during the control period. A request
for authorization under this section will be considered a request
for consumption allowances under 82.10 as well.
(a) The exporter must submit to the Administrator a request for
authority to convert potential production allowances to
production allowances. That request must set forth the following:
(1) The identities and addresses of the exporter and the
recipient of the exports;
(2) The exporter's Employee Identification Number;
(3) The names and telephone numbers of contact persons for the
exporter and for the recipient;
(4) The quantity, the calculated level, the type of controlled
substances exported, its source and date purchased, and what
percentage, if any, of the controlled substances that are
recycled or used;
(5) The date on which and the port from which the controlled
substances were exported from the United States or its
territories;
(6) The country to which the controlled substances were exported;
(7) The bill of lading and invoice indicating the net quantity
shipped and documenting the sale of the controlled substances to
the purchaser; and
(8) The commodity code of the controlled substance exported.
(b) The Administrator will review the information and
documentation submitted under paragraph (a) of this section, and
assess the quantity of controlled substances (other than recycled
or used control substances) that the documentation verifies were
exported to a Party. Based on that assessment, the Administrator
will issue the exporter a notice authorizing the conversion of a
specified quantity of potential production allowances to
production allowances in a specified control year, and granting
consumption allowances in the same amount for the same control
year. The authorization may be used to convert potential
production allowances to production allowances as soon as the
date on which the notice is issued.
(53 FR 30598-30602, Aug. 12, 1988, as amended at 56 FR 9530, Mar.
6, 1991)
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§82.12
Transfers of production and consumption allowances.
Any person ("transferor'') may transfer to any other person
("transferee'') any amount of the transferor's consumption
allowances, production allowances, potential production
allowances, or authorization to convert potential production
allowances to production allowances, as follows:
(a) The transferor must submit to the administrator's designated
representative a transfer claim setting forth the following:
(1) The identities and addresses of the transferor and the
transferee;
(2) The name and telephone numbers of contact persons for the
transferor and for the transferee;
(3) The type of allowances (i.e., consumption allowances,
production allowances, or potential production allowance) or
authorization being transferred;
(4) The group of controlled substances (i.e., Group I or Group
II) to which the allowances or authorization being transferred
pertains;
(5) The amount of allowances or authorization being transferred;
and
(6) The amount of unexpended allowances or authorizations of the
type and for the control period being transferred that the
transferor holds under authority of this part as of the date the
claim is submitted to EPA.
(b) The Administrator's designated representative wil determine
whether the records maintained by EPA, taking into account any
previous transfers and any production, imports or exports of
controlled substances reported by the transferor or revealed by
an EPA inspection, indicate that the transferor possesses, as of
the date the transfer claim is processed, unexpended allowances
or authorizations sufficient to cover the transfer claim. Within
three working days of receiving a complete transfer claim, the
Administrator's designated representative will take action to
notify the transferor and transferee as follows:
(1) If EPA's records show that the transferor has sufficient
allowances or authorizations to cover the transfer claim or if
review of available information is insufficient to make a
determination, the Administrator's representative will issue a
notice indicating that EPA does not object to the transfer. When
EPA issues a no objection notice, the transferor and the
transferee may proceed with the transfer. However, if EPA
ultimately finds that the transferor did not have sufficient
allowances or authorizations to cover the claim, the transferor
and transferee will be held liable for any violations of the
regulations of this part that occur as a result of, or in
conjunction with, the improper transfer.
(2) If EPA's records show that the transferor has insufficient
allowances or authorizations to cover the transfer claim, or that
the transferor has failed to respond to one or more Agency
requests to supply information needed to make a determination,
the administrator's designated representative will issue a notice
disallowing the transfer. Within 10 working days after receipt of
notification, either party may file a notice of appeal, with
supporting reasons, with the Director, Office of Atmospheric and
Indoor Air Programs, Office of Air and Radiation. The Director
may affirm or vacate the disallowance. If no appeal is taken by
the tenth working day after notification, the disallowance shall
be final on that day.
(c) In the event that the Administrator's designated
representative does not respond to a transfer claim within the
three working days specified in paragraph (b) of this section,
the transferor and transferee may proceed with the transfer.
However, if EPA ultimately finds that the transferor did not have
sufficient allowances or authorizations to cover the claims, the
transferor and transferee will be held liable for any violations
of the regulations of this part that occur as a result of, or in
conjunction with, the improper transfer.
(54 FR 6379, Feb. 9, 1989, as amended at 56 FR 9530, Mar. 6,
1991)
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§82.13
Recordkeeping and reporting requirements.
(a) Unless otherwise specified, the recordkeeping and reporting
requirements set forth in this section take effect beginning with
the first day of the control period.
(1) For Group I controlled substances, beginning with the first
day of the first control period specified in 82.3(f)(1).
(2) For Group II controlled substances, beginning with the first
day of the first control period specified in 82.3(f)(2).
(b) Reports and records required by this section may be used for
purposes of compliance determinations. The requirements of
records and reports is not intended as a limitation on the use of
other evidence admissible under the Federal Rules of Evidence.
(c) Unless otherwise specified, reports required by this section
must be mailed to the Administrator within 45 days of the end of
the applicable reporting period.
(d) Records and copies of reports required by this section must
be retained for three years.
(e) In reports required by this section, quantities of controlled
substances must be stated in terms of kilograms.
(f) Every person ("producer'') who will produce controlled
substance during the control period must comply with the
following recordkeeping and reporting requirements:
(1) Within 120 days of March 6, 1991, every producer must provide
a report to the Administrator describing the following, if he has
not already done so.
(i) The method by which the producer in practice measures daily
quantities of controlled substances produced;
(ii) Conversion factors by which the daily records as currently
maintained can be converted into kilograms of controlled
substances produced, including any constants or assumptions used
in making those calculations (e.g. tank specifications, ambient
temperature or pressure, density of the controlled substance,
etc.);
(iii) Internal accounting procedures for determining plant-wide
production;
(iv) The quantity of any fugitive losses accounted for in the
production figures; and
(v) The estimated percent efficiency of the production process
for the controlled substance.
Within 60 days of any change in the measurement procedures or the
information specified in the above report, the producer must
submit the revised data or procedures to the Administrator.
(2) Every producer must maintain the following:
(i) Dated records of the quantity of each of the controlled
substances produced at each facility;
(ii) Dated records of the quantity of controlled substances used
as feedstocks in the manufacture of controlled substances and in
the manufacture of non-controlled substances and any controlled
substances introduced into the production process of new
controlled substances at each facility;
(iii) Dated records identifying the quantity of each chemical not
a controlled substance produced within each facility also
producing one or more controlled substances.
(iv) Dated records of the quantity of raw materials and feed
stock chemicals used at each plant for the production of
controlled substances.
(v) Dated records of the shipments of controlled substances
produced at each plant;
(vi) The quantity of controlled substances, the date received,
and names and addresses of the source of recyclable or
recoverable materials containing controlled substances which are
recovered at each plant;
(vii) Records of the date, the controlled substance, and the
estimated quantity of any spill or release of a controlled
substance that equals or exceeds 100 pounds.
(3) For each quarter, each producer must provide the
Administrator with a report containing the following information:
(i) The production by plant in that quarter of each controlled
substance, specifying the quantity of any controlled substance
used for feedstock purposes for controlled and non-controlled
substances for each plant and totaled for all plants owned by the
producer;
(ii) The calculated levels of production (expended allowances)
for substances for each plant and totaled for the control period
to date.
(iii) From each plant, the total shipments of each controlled
substance produced at that plant in the quarter.
(iv) The producer's total of expended and unexpended consumption
allowances, potential production allowances, expended and
unexpended production allowances and authorization to convert
potential production allowances to production allowances, as of
the end of that quarter;
(v) The quantity, the date received, and names and addresses of
the source of recyclable or recoverable materials containing the
controlled substance which are recovered at each plant; and
(4) For any person who fails to maintain the records required by
this paragraph, the Administrator may assume that the person has
produced at full capacity during the period for which records
were not kept, for purposes of determining whether the person has
violated the prohibitions at 82.4.
(g) Importers of controlled substances must comply with the
following recordkeeping and reporting requirements.
(1) Any importer must maintain the following records:
(i) The quantity of each controlled substance imported, either
alone or in mixtures;
(ii) The date on which the controlled substances were imported;
(iii) The port of entry through which the controlled substances
passed;
(iv) The country from which the imported controlled substances
were imported;
(v) The port of exit;
(vi) The commodity code for the controlled substances shipped;
(vii) The importer number for the shipment;
(viii) A copy of the bill of lading for the import;
(ix) The invoice for the import; and
(x) The U.S. Customs Entry Summary Form.
(2) For each quarter, every importer must submit to the
Administrator a report containing the following information:
(i) Summaries of the records required in paragraph
(g)(1)(i)-(vii) of this section for the previous quarter;
(ii) The total quantity imported in kilograms of each controlled
substance for that quarter;
(iii) The calculated levels of import (expended allowances) of
controlled substances for that quarter and totaled for the
control period to date; and
(iv) The importer's total sum of expended and unexpended
consumption allowances at the end of that quarter.
(h) For any exports of controlled substances not reported under
§82.10 (additional consumption allowances) or §82.11 (Exports
to Parties) or under this section, the exporter who exported the
controlled substances must submit to the Administrator the
following information within 45 days of the end of the control
period in which the unreported exports left the United States.
For any exports of controlled substances in Group I from July 1,
1990 through June 30, 1991 which were not reported under §82.10
(additional consumption allowances) or §82.11 (Exports to
Parties), the exporter who exported the controlled substances
must submit to the Administrator the following information within
30 days of the promulgation of this notice.
(i) Every person who has requested additional production
allowances under §82.9(e) or consumption allowances under
§82.10(c), or producers who purchase controlled substances used
or consumed as feedstock for other substances must maintain the
following:
(1) Dated records of the quantity and calculated level of
controlled substance used and entirely consumed in the
manufacture of another chemical;
(2) Copies of the invoices or receipts documenting the sale from
the producer or importer of the controlled substance to the
person;
(3) Dated records of the names, commercial use and quantities of
the resulting chemical(s); and
(4) Dated records of shipments to purchasers of the resulting
chemical(s).
(Information collection requirements contained in paragraph
(f)(2)(iv) approved by the Office of Management and Budget under
control number 2060-0170)
(53 FR 30598-30602, Aug. 12, 1988, as amended at 54 FR 28065,
July 5, 1989; 55 FR 24496, June 15, 1990; 55 FR 35142, Aug. 28,
1990; 56 9530, Mar. 6, 1991; 56 FR 67372, Dec. 30, 1991)
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§82.14 Payment of fees. (Reserved)
§82.20 Baseline data
collection.
(a) This section applies to any individual or legal entity who
engaged in any of the following activities in 1986 involving any
of the chemicals specified in §82.20(b) of this part:
(1) Producers who manufactured the chemicals listed in §82.20(b)
from raw materials or feedstock chemicals;
(2) Importers who transported the chemicals listed in §82.20(b)
from outside the United States or its territories to persons
within the United States or its territories; and
(3) Exporters who transported the chemicals listed in §82.20(b)
from within the United States or its territories to outside the
United States or its territories.
(b) The chemicals covered by this section are the following:
(1) CFCl3 -- Trichlorofluoromethane (CFC-11)
(2) CCl2F2 -- Dichlorodifluoromethane (CFC-12)
(3) CCl2F-CClF2 -- Trichlorotrifluoroethane (CFC-113)
(4) CF2Cl-CClF2 -- Dichlorotetrafluoroethane (CFC-114)
(5) CClF2-CF3 -- (Mono)chloropentafluoroethane (CFC-115)
(6) CF2BrCl -- Bromochlorodifluoromethane (Halon 1211)
(7) CF3Br -- Bromotrifluoromethane (Halon 1301)
(8) C2F4Br2 -- Dibromotetrafluoroethane (Halon 2402)
(c) Individuals and legal entities meeting the conditions set
forth in §82.20 (a) and (b) must report the following
information along with supporting documentation:
(1) Name, address and telephone number of contact;
(2) The amount (kilograms) of each of the substances it produced
in 1986 in the United States or its territories and the location
of its production;
(3) The amount (kilograms) of each of the chemicals listed in
§82.20(b) which was used and entirely consumed as a chemical
intermediary in the production of other chemicals;
(4) The amount (kilograms) of each of the chemicals listed in
§82.20(b) which it imported into the United States or its
territories in 1986, along with the port and date of entry and
the country in which it was produced;
(5) The amount (kilograms) of each of the chemicals listed in
§82.20(b) which in 1986 it exported from the United States or
its territories, the producer of the chemical, the date and port
of exit, the country of final destination and the date of entry
into that country.
(d) Information required by 82.20(c) must be submitted to EPA
within 30 days after the date of publication of this section.
Reports should be addressed to: Stratospheric Protection Program;
Office of Program Development (ANR-445); Office of Air and
Radiation; U.S. Environmental Protection Agency; 401 M Street,
SW., Washington DC 20460.
(e) Failure to submit required information by this date shall be
a violation of section 114 of the Clean Air Act and may
invalidate future claims for allocation of rights to produce or
import chemicals listed in §82.20(b).
(52 FR 47488, Dec. 14, 1987)
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Appendix A -- Class I Controlled Substances
TABLE/GRAPH OMITTED
(56 FR 67372, Dec. 30, 1991)
Appendix B -- Class II Controlled Substances
TABLE/GRAPH OMITTED
(56 FR 67372, Dec. 30, 1991)
Appendix
C -- Parties to the Montreal Protocol
Parties to the Montreal Protocol: Argentina, Australia, Austria,
Bahrain, Bangladesh, Belgium, Brazil, Bulgaria (February 18,
1991), Burkina Faso, Byelorussian Soviet Socialist Republic,
Cameroon, Canada, Chile, China (September 12, 1991), Costa Rica
(October 28, 1991), Czechoslovakia, Denmark, Ecuador, Egypt,
European Economic Community, Fiji, Finland, France, Gambia,
Germany, Ghana, Greece, Guatemala, Hungary, Iceland, Iran,
Ireland, Italy, Japan, Jordan, Kenya, Libyan Arab Jamahiriya,
Liechtenstein, Luxembourg, Malawi (April 9, 1991), Malaysia,
Maldives, Malta, Mexico, Netherlands, New Zealand, Nigeria,
Norway, Panama, Philippines (October 15, 1991), Poland, Portugal,
Singapore, South Africa, Spain, Sri Lanka, Sweden, Switzerland,
Syrian Arab Republic, Thailand, Trinidad and Tobago, Togo (May
26, 1991), Tunisia, Turkey (December 19, 1991), Uganda, Ukrainian
Soviet Socialist Republic, Union of Soviet Socialist Republics,
United Arab Emirates, United Kingdom, United States of America,
Uruguay (April 8, 1991), Venezuela, Yugoslavia (April 3, 1991),
Zambia.
(56 FR 67372, Dec. 30, 1991)
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Appendix D to Part 82 -- Nations Complying With, But Not Parties
To, The Protocol (Reserved)
Appendix E -- Article 5
Parties
Argentina (June 21, 1991), Bangladesh (June 21, 1991), Brazil
(June 21, 1991), Burkina Faso (June 21, 1991), Cameroon (June 21,
1991), Chile (June 21, 1991), China (September 12, 1991), Costa
Rica (October 28, 1991), Ecuador (June 21, 1991), Egypt (June 21,
1991), Fiji (June 21, 1991), Gambia (June 21, 1991), Ghana (June
21, 1991), Guatemala (June 21, 1991), Iran (June 21, 1991),
Jordan, Kenya (June 21, 1991), Libyan Arab Jamahiriya (June 21,
1991), Malawi (June 21, 1991), Malaysia, Maldives (June 21,
1991), Mexico, Nigeria (June 21, 1991), Panama (June 21, 1991),
Philippines (October 15, 1991), Sri Lanka (June 21, 1991), Syrian
Arab Republic (June 21, 1991), Thailand, Togo (June 21, 1991),
Trinidad and Tobago (June 21, 1991), Tunisia (June 21, 1991),
Turkey (December 19, 1991), Uganda (June 21, 1991), Uruguay (June
21, 1991), Venezuela, Yugoslavia (June 21, 1991), Zambia (June
21, 1991).
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(56 FR 67372, Dec. 30, 1991)
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