There are eight Class I reporting forms available for use from EPA.

1. Producer Quarterly Report
2. Importer Quarterly Report
3. Exporter Annual Report
4. Notification of Transfers of Article 5 Allowances, Essential Use Allowances, or Essential Use Chlorofluorocarbons (CFCs)
5. Essential Use Allowance Holders and Laboratory Supplier Quarterly Report and Essential Use Allowance Holder Annual Report
6. Laboratory Certification Report
7. Second-Party Destruction Annual Report
8. Second-Party Transformation Annual Report

1. Producer Quarterly Report

Purpose: This form is used to capture all U.S. production of Class I substances for all purposes.

Reporting Frequency: Quarterly

Helpful Hints:

1. Production companies should report production totals to EPA for every quarter. If an entity has zero production for a given quarter, the entity should submit a fax to Mike James (fax # 202-343-2336) to confirm zero production. If a company fails to report or indicate no production for a quarter, EPA is unable to determine whether that is an indication of zero production or if an entity's report was not received. If your company has not produced a Class I substance for at least a year and does not intend to produce a Class I substance during the following year, it is not necessary to report zero production.
2. In "Section 2.2: Company Production Totals," the Second-Party Transformation column (column D) refers to an amount of Class I substance that was produced for second-party transformation. Only the actual producer of a Class I substance should use this form to report. Entities transforming Class I substances that they did not produce should not use the Class I Producer Form; these entities should use the Class I Second-Party Transformation Report instead.
3. Likewise, the Second-Party Destruction column (column F) in Section 2.2 refers to amounts of Class I substances that were produced for second-party destruction. Only the actual producer of the Class I substance being destroyed should complete this reporting form. Entities destroying Class I substances that it did not produce should use the Class I Second-Party Destruction Report instead.

Notable Changes:

1. As of January 1, 2010, Article 5 production allowances of Class I substances are no longer available. As a result, the column for data on Article 5 production has been removed from Section 2.2 and Section 3 has been deleted.

Top of Page

2. Importer Quarterly Report

Purpose: This form is used to capture information related to all imports of Class I substances into the United States.

Reporting Frequency: Quarterly

Helpful Hints:

1. Companies should report import totals to EPA for every quarter. If an entity has zero imports for a given quarter, the entity should submit a fax to Mike James (fax # 202-343-2336) to confirm zero imports. If a company fails to report or indicate no import for a quarter, EPA is unable to determine whether that is an indication of zero imports or if an entity's report was not received. If your company has not imported a Class I substance for at least a year and does not intend to import a Class I substance during the following year, it is not necessary to report zero imports.
2. For reporting purposes, the U.S. Territories (Puerto Rico, U.S. Virgin Islands, American Samoa, Guam, and Northern Mariana Islands) are treated as part of the United States. Report any import into a U.S. Territory from a foreign nation in your quarterly report. Imports into the continental United States from a U.S. Territory do not need to be reported in your quarterly report.
3. Do not include heels or used Class I substances in Column G of Section 3.2 (Gross Imports of Class I Substances). Rather, the quantity provided in column G should equal the sum of the amounts that are reported in columns B through F.

Notable Changes: None

Top of Page

3. Exporter Annual Report

Purpose: This form is used to capture information about Class I exports.

Reporting Frequency: Annually

Helpful Hints:

1. For reporting purposes, the U.S. Territories (Puerto Rico, U.S. Virgin Islands, American Samoa, Guam, and Northern Mariana Islands) are treated as part of the United States. Report any exports from a U.S. Territory to a foreign nation in your annual report. Exports from the continental United States to a U.S. Territory do not need to be reported in your annual report.
2. Chemical commodity codes are provided in Section 3 for commonly exported Class I substances. Reporting entities must provide a commodity code if data are reported on a chemical that is not already listed.

Notable Changes:

1. The previous version of the Class I Exporter Report contained sections for two different types of data: Article 5 Class I exporter quarterly data and non-Article 5 Class I exporter annual data. The sections that requested quarterly data on Article 5 exports (Sections 2.B and 3.B) have been removed because Class I Article 5 allowances were terminated beginning January 1, 2010 (40 CFR 82.9(a)(4)).

Top of Page

4. Notification of Transfers of Article 5 Allowances, Essential Use Allowances, or Essential Use Chlorofluorocarbons (CFCs)

Purpose: This form is used to capture trades of essential use allowances, or essential use CFCs. An "allowance" (for essential use allowances) refers to the right to produce a particular chemical, while a "trade" (for essential use CFCs) refers to a trade of product that has already been produced.

Reporting Frequency: The transferor should send a form to EPA for every transfer request. This may happen more than once, or not at all, in any particular quarter.

Helpful Hints: None

Notable Changes:

1. Due to the phaseout of Class I Article 5 allowances as of January 1, 2010, trades of Article 5 allowances are no longer possible. As such, the reporting form has been updated to remove the option of trading Article 5 allowances.

Top of Page

5. Essential Use Allowance Holders and Laboratory Supplier Quarterly Report and Essential Use Allowance Holder Annual Report

Purpose: This form is used to collect the types and amount of essential use chemicals obtained and supplied by essential use allowance holders and distributors of laboratory supplies. It is also used to collect annual data pertaining to the manufacture of metered dose inhalers (MDIs).

Reporting Frequency: Quarterly (Sections 2, 3, and 4); Annually (Section 5)

Helpful Hints: 

1. All distributors of laboratory supplies, including secondary distributors, need to report all purchases and sales of Class I substances under the laboratory and analytical use exemption. A “distributor of laboratory supplies” is defined as any person that purchases and sells controlled substances to laboratory customers for essential laboratory and analytical uses.
2. Methyl bromide is permitted for use under the laboratory and analytical use exemption. Thus, purchases and sales of methyl bromide should be reported in Sections 2 and 3 of the report, respectively. Summary data on methyl bromide should also be detailed in Section 4.

3. Under Section 2, essential use allowance holders and distributors of laboratory supplies must provide the amount of ozone-depleting substances (ODS) purchased or received from producers and/or importers. In addition to quantities of ODS chemicals that are ultimately distributed, this includes quantities of ODS chemicals that are purchased strictly for internal laboratory and/or analytical use, even if the chemicals are not distributed under the laboratory and analytical laboratory use exemption.

   ODS chemicals used for internal use are reported under Section 3. If a distributor (Company X) also uses ODS chemicals internally, it should list itself (as Company X) as a “Lab Company” supplied to under the exemption.

4. Transactions listed in Section 2 should be summarized in Section 4, Column B (Total Quantity of Essential Use Class I ODS Received from Producers/Importers [kg]), even if the quantity received is to be distributed under the laboratory and analytical use Exemption.

Notable Changes:

1. Section 4 now includes a row for methyl bromide in Column A.

Section 5 Instructions:

• Column B of Section 5 (Amount Acquired by Production [kg]) should include only those newly produced CFCs for which essential use allowances were conferred in the given reporting period. If CFCs were received via 1) an EPA-approved transfer of essential use CFCs, or 2) a sale of pre-1996 CFCs, indicate those amounts, along with the source company, in the transmittal memo to EPA.
• Column C of Section 5 (Amount Acquired for Essential Uses by Import and Country[s] of Manufacture) should list only those CFCs that were imported on behalf of the reporting entity for MDI essential use purposes.
• Column D of Section 5 (Amounts on Hand at End of Year [includes pre-1996 amounts]) should only list the amounts of pharmagrade-CFCs that your company owns. This includes amounts that your company is currently holding and the amounts that another company is holding on your behalf. If another company is holding your pharmagrade CFCs, enter the name of that company and the quantity being held on your behalf. (Note, the amounts listed in this column include both pre-1996 and post-1996 CFCs.)
• Column E of Section 5 (Pre-phaseout [pre-1996] Stockpiled Amounts Held at the End of the Year [kg]) should list the amounts of pre-1996 pharmagrade-CFCs that your company owns. This includes amounts that your company is currently holding and the amounts that another company is holding on your behalf. If another company is holding your pre-1996 pharmagrade CFCs, enter the name of that company and the quantity being held on your behalf. (Note, the difference between amounts listed in Column D and Column E should be the amount of the post-1996 pharmagrade-CFCs that your company owns.)
• Column F of Section 5 (Amount Used for the Essential Uses [kg]) should list the amount of CFCs that were used in the manufacture of your MDIs (i.e., amounts contained in the MDIs). This amount does not include amounts of CFCs that were "lost" in the manufacturing process.
• Column G of Section 5 (Amount Contained in Exported Products [kg]) should list the amount of CFCs that were contained in MDIs that your company exported.
• Column H of Section 5 (Amounts Destroyed or Recycled [kg]) should list the amounts of CFCs that were "lost" (i.e., destroyed and/or recycled) in manufacturing your MDIs.
• Column I of Section 5 (Total Number of Marketable MDIs Manufactured) should capture the number of units produced.

Top of Page

6. Laboratory Certification Report

Purpose: This form is for distributors or laboratory customers purchasing Class I substances under the global laboratory essential use exemption. It is used to certify to the seller of laboratory use Class I substances that the buyer will use the substances solely for laboratory applications and will not resell or use the Class I laboratory substances in manufacturing. This form is not submitted to EPA.

Reporting Frequency: Annually

Helpful Hints: EPA does not collect this report. It is submitted by the distributor or laboratory customer to the company from whom the Class I substance was purchased. 

Notable Changes: None

Top of Page

7. Second-Party Destruction Annual Report

Purpose: The form is used to collect information on Class I substances that were destroyed by any entity that did not produce the material (a second party).

Reporting Frequency: Annually

Helpful Hints:

1. Any purchaser that destroys the chemical as a second party (an entity that did not produce the chemical) should use the Class I Second-Party Destruction Annual Report, not the Producer Report. Only the actual producer of the chemical should indicate, on the Producer Report, the amount that they "produced" for second-party destruction.

Notable Changes: None

Top of Page

8. Second-Party Transformation Annual Report

Purpose: The form is used to collect information on Class I substances that were transformed by any entity that did not produce the material (a second party).

Reporting Frequency: Annually

Helpful Hints: 

1. Any purchaser that transforms Class I substances as a second party (an entity that did not produce the chemical) should use the Class I Second-Party Transformation Annual Report, not the Producer Report. Only the actual producer of the chemical should indicate, on the Producer Report, the amount that they "produced" for second-party destruction.

Notable Changes: None

Top of Page