Handbookfinal

under the Montreal Protocol

Data Reporting

HANDBOOK ON

United Nations Environment Programme

Division of Technology, Industry and Economics

OzonAction Programme

Multilateral Fund for the

Implementation of the Montreal Protocol

UNEP

Handbook on Data Reporting

under the Montreal Protocol

United Nations Environment Programme

OzonAction Programme under the Multilateral Fund

Division of Technology, Industry and Economics

Tour Mirabeau

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75739 Paris Cedex 15

France

Multilateral Fund for the Implementation of the Montreal

Protocol

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UNEP

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UNITED NATIONS PUBLICATION

ISBN 92-807-1735-9

ACKNOWLEDGEMENTS

This handbook was prepared by the United Nations Environment Programme Division of

Technology, Industry and Economics (UNEP TIE), and funded as part of UNEP's Work Pro-

gramme under the Multilateral Fund for the Implementation of the Montreal Protocol.

This project was managed by:

Mrs. Jacqueline Aloisi de Larderel,

Director, UNEP TIE

Mr. Rajendra Shende, Chief, UNEP TIE Energy and OzonAction Unit

Mr. James Curlin, Information Officer, UNEP TIE OzonAction Programme

Mr. Hu Shaofeng, Policy Consultant, UNEP TIE OzonAction Programme

The document was developed by:

Dr. Sebastian Oberthür, Senior Fellow, Ecologic – Centre for International and

European Environmental Research

with the assistance of Mrs. Neeta Sharma-Höfelein and Mr. Jan Peter Schemmel

Input was provided by:

Ozone Secretariat Multilateral Fund Secretariat

Nairobi Montreal

Draft versions of this report were quality reviewed by:

Dr. Nick Campbell Mrs. Ingrid Kökeritz

Regulatory Affairs & External Project Manager

Relations Manager Stockholm Environment Institute, SEI

ICI Klea

Dr. Janusz Kozakiewicz Mr. Tom Land

Head of the Ozone Layer Protection Unit Stratospheric Protection Division

Industrial Chemical Research Institute Environmental Protection Agency

Warsaw United States of America

Mr. Iain McGlinchy Mr. Wang Qing

Environmental Analyst Foreign Economic Cooperation Office

Ministry for the Environment State Environment Protection Administration

New Zealand China

UNEP TIE wishes to thank all of the above contributors and their employers for helping to

make this publication possible.

Contents

Foreword

Annual Data Reporting to the Ozone Secretariat at a Glance

Annual Data Reporting to the Fund Secretariat at a Glance

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1

1. Task 1: Identify Your Country's Reporting Obligations . . . . . . . . . . . . . . . . . . . . . .7

1.1 What to Report to the Ozone Secretariat and by

When . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7

1.2 What to Report to the Multilateral Fund Secretariat and by When . . . . . . . . . . . . .16

1.3 Common Questions and Answers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20

2. Task 2: Collect the Necessary Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .21

2.1 Collecting Data on Imports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .22

2.1.1 Import/Export Licensing and Monitoring System . . . . . . . . . . . . . . . . . . . . .23

2.1.2 How to Use Customs Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25

2.1.3 How to Use Information from Importers . . . . . . . . . . . . . . . . . . . . . . . . . . . .29

2.1.4 Data Estimates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30

2.2 Consumption (Use) by Sector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30

2.2.1 What are the Main User Sectors? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31

2.2.2 How to Collect Data on Consumption (Use) by Sector

(Three Data Collection Techniques) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .32

2.2.3 Limitations of the Techniques for Collecting

Consumption (Use) Data and How to Overcome Them . . . . . . . . . . . . . . . .34

2.3 Collecting Data on Exports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .35

2.4 Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .37

2.5 How to Generate Data on Exempted Categories . . . . . . . . . . . . . . . . . . . . . . . . . .38

2.6 Common Questions and Answers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .42

3. Task 3: Check the Data for Accuracy and Consistency . . . . . . . . . . . . . . . . . . . . . .43

4. Task 4: Communicate the Data to the Ozone and Fund Secretariats . . . . . . . . . . .45

4.1 General Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .45

4.2 How to Report to the Ozone Secretariat . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .46

4.3 How to Report to the Fund Secretariat . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .48

4.4 Common Questions and Answers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .50

5. Good Practice: How to Check Your Own Compliance . . . . . . . . . . . . . . . . . . . . . .51

5.1 Step 1: Identify the Applicable Phase-out Schedules . . . . . . . . . . . . . . . . . . . . . . .51

5.2 Step 2: Calculate Your Country's Production and Consumption . . . . . . . . . . . . . . .53

6. Sources of Further Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .57

6.1 Contact Addresses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .57

6.2 Relevant Publications and Websites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61

Glossary of Terms and Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .63

Annexes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .75

Annex I: Data Forms for Reporting to the Ozone Secretariat . . . . . . . . . . . . . . . . . . . .75

Annex II: Data Forms for Reporting to the Fund Secretariat . . . . . . . . . . . . . . . . . . . .97

Annex III: Data Form for Reporting on Essential Uses . . . . . . . . . . . . . . . . . . . . . . .107

Annex IV: Approved Destruction Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .109

Annex V: ODP Values of the Most Important ODS . . . . . . . . . . . . . . . . . . . . . . . . . .111

Annex VI: About the UNEP DTIE OzonAction Programme . . . . . . . . . . . . . . . . . . .113

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .115

Figures and Tables

Figure 1: The Data Reporting System under the Montreal Protocol . . . . . . . . . . . . . . . . . . .2

Table 1: Groups of ODS Controlled by the Montreal Protocol . . . . . . . . . . . . . . . . . . . . . . .8

Table 2: Producers of ODS 1986-1996 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11

Table 3: Reporting Obligations to the Ozone Secretariat . . . . . . . . . . . . . . . . . . . . . . . . . .14

Table 4: Other Reporting Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15

Table 5: Other Data Reporting Obligations to the Ozone Secretariat . . . . . . . . . . . . . . . . .15

Table 6: Customs Codes of Pure Controlled Substances . . . . . . . . . . . . . . . . . . . . . . . . . . .27

Table 7: The Main Sectors Using ODS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31

Table 8: List of Uses of Controlled Substances as Process Agents . . . . . . . . . . . . . . . . . . .41

Table 9: Phase-out Schedules under the Montreal Protocol . . . . . . . . . . . . . . . . . . . . . . . .52

Boxes

Box 1: Status of Ratification and Identification of Non-Parties . . . . . . . . . . . . . . . . . . . . . .9

Box 2: Bulk Substances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9

Box 3: Discrepancies in Data Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18

Box 4: Mixtures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .23

Box 5: Trans-shipment and Re-export of ODS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .36

Box 6: Keep in Mind a Number of "Rules of Thumb" . . . . . . . . . . . . . . . . . . . . . . . . . . . .44

Box 7: Reporting on Essential Uses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .46

Foreword

Data on the production and consumption of ozone depleting substances (ODS) are

literally the cornerstones that underpin the entire Montreal Protocol process: without

reliable and timely data provided by all Parties, decision-makers at the national, region-

al and international levels could not formulate appropriate control measures, devise

realistic phase-out strategies, or provide the necessary financial and technical assistance

required by developing countries. The accurate, timely, and comprehensive reporting of

data has therefore emerged as one of the key issues facing the Protocol today.

Recognising this, the Parties at their Ninth Meeting (Montreal, 15-17 September

1997) emphasised the importance of reporting data and the need for all Parties to give

it greater consideration. Within this context, they requested the UNEP Industry and

Environment centre to prepare a handbook to assist all Parties with fulfilling their data

reporting obligations (Decision IX/28). This handbook has been prepared in response

to that request, as part of UNEP's March 1998 Work Programme Amendment under the

Multilateral Fund. The handbook reflects the latest decisions of the Parties taken at their

Tenth Meeting (Cairo, 23-25 November 1998).

Data reporting is crucial for all Parties, not only for fulfilling their external oblig-

ations under the Protocol and its Amendments, but also internally for verifying their

position vis-à-vis their national strategies to phase out ozone depleting substances. It

should therefore be viewed as a useful tool, not simply as a requirement.

Reliable data reporting is particularly crucial for Article 5 countries, which will

soon face their first control measure: the freeze in their consumption and production of

Annex A CFCs at their 1995-1997 levels by 1 July 1999. Soon after, by 1 January

2002, the next freeze targets will come into effect for halons and methyl bromide, and

subsequent control measures requiring consumption reductions will follow. Under-

standing and following the correct data reporting procedures will therefore be crucial

for the establishment of the freeze levels and the subsequent progressive reductions of

those ODS.

The handbook was developed in co-operation with the Ozone Secretariat, the Mul-

tilateral Fund Secretariat, and the other Implementing Agencies, and quality re-viewed

by experts from ozone units, research institutes, and industry in Article 5 countries,

developed countries, and Countries with Economies in Transition. The handbook, then,

reflects the full diversity of perspectives and the breadth of knowledge of this repre-

sentative slice of the Montreal Protocol community.

Though specifically written for National Ozone Units (NOUs) in Article 5 (i.e.

developing) countries, the handbook will also be useful for Article 7 data reporting by

non-Article 5 (i.e. industrialized) countries.

To make this document as widely available as possible to all Parties, it will be pub-

lished in hard copy in six languages (Arabic, Chinese, English, French, Russian and

Spanish) and be accessible through the NOU Support Centre on the OzonAction Pro-

gramme's web site (http://www.unepie.org/ozonaction.html).

The UNEP TIE OzonAction Programme hopes that this publication will enable

all Parties to provide accurate, comprehensive, and timely data as per their specific

obligations.

– UNEP TIE OzonAction Programme

Annual Data Reporting to the Ozone Secretariat

at a Glance

Who has to report?

All Parties to the Montreal Protocol.

When do I have to report?

Annual data reports to the Ozone Secretariat in Nairobi are due by 30 September of

each year and have to contain data related to the previous year.

What data do I have to report?

There are eight groups of controlled substances on which you may be obliged to report.

These are contained in Annexes to the Montreal Protocol: CFCs and halons (Groups I

and II of Annex A), other fully halogenated CFCs, carbon tetrachloride and methyl

chloroform (Groups I, II and III of Annex B), HCFCs and HBFCs (Groups I and II of

Annex C) and methyl bromide (Annex E). A country’s data reporting on these groups

is dependent on its ratification of the Montreal Protocol and its Amendments (

è Sec-

tion 1.1 of this Handbook).

In general, all countries are required to report on certain categories: imports,

exports, production, some exempted categories of data as well as trade with

Non-Parties. Whether you have to report on the categories is largely dependent

on the specific characteristics of your country (è Section 1.1).

Which Data Forms do I have to use?

There are 5 Data Forms provided by the Ozone Secretariat for annual data reporting by

all the Parties (è Annex I):

• Data Form 1 – Imports,

• Data Form 2 – Exports,

• Data Form 3 – Production,

• Data Form 4 – Amounts Destroyed,

• Data Form 5 – Imports from and/or Exports to Non-Parties.

How can the data be collected?

Various techniques can be used to collect data on the different categories. Details on

these techniques are provided in Chapter 2.

Are there other reporting requirements?

Countries might have other reporting requirements (which are not covered by the Data

Forms 1-5). A special data form is provided for data reporting on essential uses. (è

Annex III). No forms exist for other reporting requirements and the required reporting

frequency varies (è Section 1.1).

UNEP

Ozone Secretariat

Annual Data Reporting to the Fund Secretariat

at a Glance

Who has to report?

All Article 5 Parties whose Country Programmes have been approved by the Executive

Committee of the Multilateral Fund.

When do I have to report?

Annual data reports to the Fund Secretariat in Montreal are due by 1 May of each year

and have to contain data related to the previous year.

What data do I have to report?

You have to report annually on all substances controlled under the Montreal Protocol

(CFCs, halons, other fully halogenated CFCs, carbon tetrachloride, methyl chloroform,

HCFCs, HBFCs and methyl bromide) (è Section 1.1).

Data on consumption (use) by sector, imports, exports and production

should be reported. The data reported to the Fund Secretariat should be consis-

tent with the data reported to the Ozone Secretariat (è Section 1.2).

Which Data Forms do I have to use?

There is one data form of the Fund Secretariat which has to be completed by the Arti-

cle 5 Parties annually (è Annex II).

• Data Form A – Data on controlled substances.

In addition, a data form to report on baseline data (Data Form B – Data on controlled

substances for the baseline year) is provided for use as appropriate (è Section 1.2 and

Annex II).

How can the data be collected?

Various techniques can be used to collect data on the different categories. Details on

these techniques are provided in Chapter 2.

Are there other reporting requirements ?

Information on administrative and supportive actions in the implementation of Country

Programmes has to be provided to the Fund Secretariat along with annual data reports

(è Data Form C included in Annex II.). Article 5 Parties may also have to report fur-

ther information to the respective Implementing Agency. To find out more about these

requirements please contact the Implementation Agency in charge of your institutional

strengthening project.

Fund Secretariat

Introduction

The Montreal Protocol on Substances that Deplete the Ozone Layer establishes

the phase-out schedules for production and consumption of the most harmful

ozone depleting substances (ODS). Different phase-out schedules apply to the

industrialised and developing countries (è Section 5.1). The ODS phase-out is

in different stages of implementation across the globe. Eventually, production

and consumption of ODS need to be phased out globally. Only then will the

ozone layer be able to recover.

The Importance of Data Reporting

Monitoring of the implementation of ODS phase-out relies on data reporting to

the Ozone Secretariat in Nairobi and the Multilateral Fund Secretariat in Mon-

treal by the Parties to the Montreal Protocol. Under the Protocol, data reporting

is a legal obligation for the Parties.

The Ozone Secretariat uses the data submitted by the Parties to assess com-

pliance with the agreed phase-out schedules. The data also serve as the basis for

monitoring the progress of the global efforts to protect the ozone layer and iden-

tifying any problems with reaching a timely transition to ozone-friendly alter-

natives. This enables the Parties to the Montreal Protocol to take timely action,

if needed, so as to protect the ozone layer effectively.

Data reporting by developing countries to the Fund Secretariat enables the

Multilateral Fund to assess the success of its efforts to support a smooth ODS

phase-out in developing countries. It also provides the basis of planning the

future activities of the Multilateral Fund including the efficient allocation of

resources among the Parties.

For the Parties, collecting the necessary data will not only serve the purpose

of fulfilling the reporting requirements under the Protocol. Such data collection

is also essential as a sound basis for monitoring the national phase-out of ODS,

planning further measures and developing national phase-out strategies. It

involves more than adding and subtracting figures, namely employing specific

data collection techniques (è Chapter 2).

The System of Data Reporting

For everyone involved in data reporting, it is important to be aware of the

process of data reporting itself. On the one side, usually the governmental

National Ozone Unit (NOU) collects the necessary information from various

sources and reports it to the Ozone or the Fund Secretariat. On the other side,

the Ozone Secretariat and the Fund Secretariat receive the data from the NOUs.

The Secretariats assess fulfilment of reporting requirements, and analyse the

information contained in the country data reports submitted by the NOUs.

Introduction

As the NOUs have to report data to the individual Secretariats, each with

differing data requirements, the two streams of data reporting have to be distin-

guished (è Figure 1):

1. All Parties have to collect and submit annually data on production, imports

and exports of ODS in accordance with Article 7 of the Protocol to the

Ozone Secretariat located in Nairobi (è Section 1.1).

2. Developing country Parties operating under Article 5 of the Protocol and

receiving assistance from the Multilateral Fund are required to submit data

to the Fund Secretariat in Montreal. Data on production, imports, exports

and consumption (use) by sector need to be reported in the course of pre-

paring Country Programmes as well as annually thereafter (è Section 1.2).

Figure 1: The Data Reporting System under the Montreal Protocol

Upon receiving data reports by the Parties, the Ozone Secretariat will calculate

production and consumption of the different groups of controlled substances

and report these data to the Meeting of the Parties (è Chapter 5). On the basis

Introduction

of these data, it will assess compliance with the phase-out schedules and report

to the Implementation Committee under the Non-Compliance Procedure for the

Montreal Protocol, if required.

The Fund Secretariat will also do some limited calculation of the data

received (including conversion of metric tons to ODP tons, è Glossary) and

report them to the Executive Committee of the Multilateral Fund. The latter will

then use the data to assess how the ODS phase-out is progressing as a basis for

its planning of support to Article 5 Parties.

Under the Protocol,

This consumption should not be mistaken for actual consumption (use) by sec-

tor to be reported to the Fund Secretariat. Consumption (use) by sector refers to

ODS use in individual sectors. Production is defined as gross production minus

amounts destroyed minus amounts used as feedstock (è Glossary).

Developing countries should make sure that the same government office

reports data to both Secretariats. Ideally, this should be the NOU. In addition,

data should be collected and data reports sent to the two Secretariats at the same

time, if possible, to reduce any discrepancies.

How to Use this Handbook

The Handbook on Data Reporting is structured to give the user a tool for refer-

ence when preparing and submitting data reports to the Ozone and Fund Secre-

tariats. Proper reporting of data involves four main Tasks and one Good Prac-

tice:

Task 1: Identify your country’s reporting obligations.

Task 2: Collect the necessary data.

Task 3: Check the data for accuracy and consistency.

Task 4: Communicate the data to the Ozone and Fund Secretariats in

the proper prescribed formats.

Good

Practice: How to check your own compliance with the phase-out

schedules under the Montreal Protocol.

Introduction

Consumption = production + imports – exports

Introduction

Guidance on how to accomplish the four Tasks and conduct the Good Practice

is provided in the subsequent five Chapters. You can also refer to the individual

Chapters depending on your needs. For example, if you know your country’s

reporting obligations, but are uncertain about how to collect the necessary data,

then you should go to Task 2 in Chapter 2. Here again you can select the data

categories (imports, consumption (use) by sector, exports, production, exempt-

ed categories) according to your needs.

If questions remain unanswered after referring to the relevant sections of this

Handbook, you may contact a number of different institutions or consult appro-

priate literature. Relevant addresses and references are given in Chapter 6.

The Glossary of Terms will assist you in clarifying the meaning of the cen-

tral terms of data reporting under the Montreal Protocol. The Annexes contain

the data forms to be used for reporting to the two Secretariats (Annexes I-III)

and some material that may assist NOUs in fulfilling the different Tasks

Introduction

involved in reporting properly under the Montreal Protocol. The Index will

guide you to the sections of the Handbook that deal with specific topics of inter-

est to you.

Throughout the Handbook, Decisions of the Meeting of the Parties to the

Montreal Protocol are referred to. The full decisions can be found in the Hand-

book for the International Treaties for the Protection of the Ozone Layer and its

1997 Update (è Section 6.2). The following symbols are repeatedly used:

Introduction

UNEP

= Fund Secretariat

Montreal

= Ozone Secretariat

Nairobi

These symbols indicate:

= National Ozone Units

= Production

= Imports &

exports

= Consumption

(use) by sector

= Exempted

categories

consumption

production

Task 1

Consequences of Non-Reporting

Developing countries temporarily classified as operating under Article 5 of the

Montreal Protocol that do not report data on the years 1986 (for Annex A sub-

stances) and 1989 (for Annex B and C substances), as required by the Protocol,

risk to lose their Article 5 status after two years. If they seek the assistance of

the Multilateral Fund and the Implementation Committee (è Glossary), this

period may be extended for another two years. Within one year of the approval

of the Country Programme and the institutional strengthening by the Executive

Committee of the Multilateral Fund, the data must be submitted (Decision VI/5).

In general, countries not submitting data or submitting inconsistent data

will be requested by the Ozone Secretariat to comply with the data reporting

requirements. Such cases can also be put on the agenda of the Implementation

Committee of the Montreal Protocol, which may ask Parties concerned for

explanations and could recommend suitable action to the Meeting of the Parties.

1.2 What to Report to the Multilateral Fund Secretariat

and by When

Only developing countries accessing the resources of the Multilateral Fund need

to report data (and other information) to the Fund Secretariat. In identifying

your country’s reporting obligations to the Fund Secretariat, you have to answer

the same questions as in the case of the Ozone Secretariat:

☞

Which Substances?

The Fund Secretariat on its data forms reproduced in Annex II requires data

reporting on all controlled ODS (è Section 1.1). As no use of HBFCs (C II) is

Chapter 1: Reporting Obligations

Which substances do I have to report on?

Which categories of data do I have to report on?

For which years do I have to report data?

When do I need to report?

go to p. 16

go to p. 17

go to p. 19

go to p.19

☞

➘

Fund Secretariat

Task 1

known and use of other fully halogenated CFCs (B I) has been negligible in

developing countries, data reporting to the Fund Secretariat focuses on the other

controlled ODS.

☞

Which Categories?

The Fund Secretariat requires reporting of consumption (use) data in total as

well as divided into specific sectors (aerosols, foam, fire fighting, refrigeration,

solvent applications, fumigation, other) (è Data Forms A and B in Annex II).

The reason for requiring consumption (use) data by sector is that the Multilat-

eral Fund aims at assisting in phasing out the use of ODS in Article 5 Parties.

Therefore, the progress of this phase-out has to be followed in the different sec-

tors in order to provide appropriate assistance. Such sector-specific data will

also be useful for developing your country’s phase-out strategies.

In addition to consumption (use) data, the Fund Secretariat requires data

reporting on imports, exports and production. The import, export and produc-

tion data reported to the Fund Secretariat (the first column of the following fig-

ure) should be consistent with the data reported to the Ozone Secretariat (è Sec-

tion 1.1). Amounts of ODS that do not need to be phased out (feedstock,

amounts destroyed, methyl bromide for QPS) should not be included in the data

reported to the Fund Secretariat. The formula in the second column of the fol-

lowing figure has to be applied:

Chapter 1: Reporting Obligations

Fund Secretariat Ozone Secretariat

Imports total imports of new (virgin) substances

imports used for feedstock

imports used for QPS

Exports total exports of new (virgin) substances to Parties

Production total production

amounts destroyed

amounts produced for domestic feedstock uses

amounts produced for domestic QPS

Please note that few countries have production facilities or use ODS as feed-

stock and a limited number of countries export ODS. For many countries,

therefore, imports to be reported to the Fund Secretariat equal total

imports of new (virgin) substances to be reported to the Ozone Secretariat

(minus imports for QPS in the case of methyl bromide). See Box 1 on p. 9

on how to determine Parties and Non-Parties to the Montreal Protocol.

By applying the formula in the second column of the table above, the

import, export and production data reported to the Fund Secretariat will be con-

sistent with the data submitted to the Ozone Secretariat. Note, however, that dis-

exports & imports

productions

Task 1

crepancies might occur between consumption data calculated by the Ozone Sec-

retariat (è Section 5.2) and the consumption (use) data reported to the Fund

Secretariat (è Box 3 on p. 18).

Chapter 1: Reporting Obligations

Box 3: Discrepancies in Data Reporting

Ideally, the data reported to the Fund Secretariat should match the data sub-

mitted to the Ozone Secretariat. Hence, “total consumption” (use) reported

to the Fund Secretariat should equal consumption as calculated by the

Ozone Secretariat according to the Montreal Protocol (è Section 5.2):

consumption = production + imports – exports.

However, sectoral consumption (use) data required by the Fund Secretariat

reflects actual “use,” since it is this use of ODS that needs to be phased out

in specific sectors. Consequently, discrepancies might occur between con-

sumption data calculated by the Ozone Secretariat and the consumption

(use) reported to the Fund Secretariat. These inconsistencies might occur

due to the application of different data collection techniques (è Chapter 2).

The reasons for this can be that:

• Stockpiling might lead to lower or higher consumption (use) of con-

trolled substances as compared to consumption calculated by the Ozone

Secretariat (production + imports – exports) depending on whether

stocks are increased or reduced in any one year. Increases and reduc-

tions in stocks should balance in the longer term. It might, however,

lead to considerable discrepancies in a given year.

• Imports of used substances (recovered and reclaimed) are not includ-

ed in the consumption as calculated by the Ozone Secretariat (è Sec-

tion 5.2), but are part of the total consumption (use) reported to the

Fund Secretariat. As there are only very limited imports of such used

ODS in developing countries, this has not yet been a serious problem.

• According to Article 3 (c) of the Protocol, (re-)exports to Non-Par-

ties are not deducted by the Ozone Secretariat when calculating con-

sumption (è Section 5.2). Thus, the consumption figure of the Ozone

Secretariat might be higher than the actual ODS consumption (use)

reported to the Fund Secretariat. As most of the major importers/con-

sumers of Annex A and B substances are Parties to the Montreal Proto-

col and the London Amendment, this problem should in reality not

have led to major discrepancies to date.

• Some re-exports from Article 5 Parties to other Parties may not be

reported. In this case, consumption (use) reported to the Fund Secre-

tariat by the re-exporting country might be lower than the consumption

calculated by the Ozone Secretariat for the same country.

Task 1

☞

For Which Years?

• In the Country Programme, data are submitted for the year selected as the

reference year (varies depending on time of preparation of Country Pro-

gramme).

• Data reports have to be provided to the Fund Secretariat annually after the

approval of the Country Programme (è Data Form A in Annex II).

• Developing countries reporting to the Fund also need to submit baseline

data for 1995, 1996 and 1997 for Annex A substances, 1998, 1999, and 2000

for Annex B substances, and 1995, 1996, 1997, and 1998 for Annex E sub-

stance (è Data Form B in Annex II).

☞

When?

Annual reports to the Fund Secretariat containing data on the previous year are

due by 1 May.

Other Reporting Requirements

In addition to annual data reporting to the Fund Secretariat, further Country Pro-

gramme-related reporting requirements to the Multilateral Fund and the Imple-

menting Agency responsible for your country exist, but these are not dealt with

in this Handbook. For example, annual reporting on the progress of implemen-

tation to the Fund Secretariat includes information on administrative and sup-

portive action (è Data Form C in Annex II). Also, the Fund Secretariat sends

out a questionnaire annually asking NOUs to verify consumption data and to

comment on problems faced or assistance needed. Please refer to the Imple-

menting Agency in charge of your country’s institutional strengthening project

for further guidance.

Consequences of Non-Reporting

The Multilateral Fund and its Implementing Agencies (UNDP, UNEP, UNIDO

and the World Bank) need to have information on the state of the ODS phase-

out as an input for their planning processes. In the case of non-reporting, the

Fund Secretariat will initially request you to report. Resource flows from the

Multilateral Fund might be delayed or temporarily halted. It is therefore in each

country’s interest to provide complete data on time to the Fund Secretariat.

Chapter 1: Reporting Obligations

additional reporting

1 May

Task 1

1.3 Common Questions and Answers

Chapter 1: Reporting Obligations

• Where can I find further information and assistance?

You will find detailed information in the previous subsections of this Hand-

book and the Glossary. If you need further assistance, you may approach the

contacts given in Chapter 6 of this Handbook.

• Why is it important to report properly and on time?

Annual data reporting enables the assessment of compliance of the Parties

with the phase-out schedules of the Montreal Protocol and the identification

of im-plementation difficulties. Furthermore, a review of your country's

trends in production and consumption of controlled substances facilitates

the monitoring of your country's phase-out strategy.

• When are the current year's data reports to the two Secretariats due?

Article 5 Parties' annual reports on the progress of implementation of Coun-

try Programmes to the Fund Secretariat in Montreal are due by 1 May of the

fol-lowing year. Each Party has to submit annual data to the Ozone Secre-

tariat in Nairobi by 30 September of the following year.

• Can I submit changes to earlier data if I find errors?

Yes, you can submit amended data to the Ozone and Fund Secretariats and

inform them of the inaccuracies found in the earlier report. The Secretariats

will subsequently replace the incorrect data with the amended data.

• What happens if I fail to submit data reports or submit data late?

You will be requested to report by the Secretariats or the Implementing

Agen-cies as appropriate. Resource flows from the Fund to your country

may be en-dangered or delayed. The Ozone Secretariat lists non-reporting

Parties in its annual report on data reporting to the Meeting of the Parties.

If you persistently fail to report to the Ozone Secretariat, this will be dis-

cussed by the Implementation Committee, which may recommend suitable

action under the Non-Compliance Procedure to the Meeting of the Parties.

• What do I have to report under the Montreal Protocol?

In accordance with Article 7 of the Montreal Protocol, each country which

is a Party to the Protocol is obliged to submit annually statistical data on its

pro-duction, imports and exports of controlled ODS and some exempted

categories of data to the Ozone Secretariat in Nairobi. The substances and

years for which data have to be reported are dependent on your country's

status of ratification (è Section 1.1 for further guidance).

In addition, Article 5 Parties are required to submit annually statistical

data on production, imports, exports and consumption (use) by sector of all

controlled substances to the Secretariat of the Multilateral Fund in Montre-

al (è Section 1.2 for further guidance).

Task 2

2. Task 2: Collect the Necessary Data

Once you have identified your country’s reporting obligations, you need to col-

lect the necessary data. Article 5 Parties reporting to both Secretariats should

make sure that data collection for this is done in one effort.

• Which substances you have to collect data on depends on your reporting

obligations as outlined in Chapter 1.

• Which categories of data you need to collect depends on the characteristics

of your country. All Parties to the Protocol have to collect import data. For

guidance on whether you have to collect data on other categories (exports,

production, exempted categories, consumption (use) by sector) refer to

Chapter 1.

This Chapter is organised as follows:

Chapter 2: Collecting Data

Task 2

2.1 Collecting Data on Imports

Which Data to Collect on Imports

All Parties to the Montreal Protocol have to report on imports of ODS (è Chap-

ter 1 and Annexes I and II). Therefore, a Party might have to collect import data

on the following data categories:

For many Parties, imports of new (virgin) substances and imports of methyl

bromide for QPS will be the only categories which will require reporting. See

Section 1.1 for guidance on assessing on which categories you have to collect

data and report. For data collection on exempted categories (QPS, feedstock,

essential uses) è Section 2.5.

Note that under the Montreal Protocol only data on bulk substances need

to be collected (è Box 2 on p. 9).The bulk ODS can be in the form of a pure

substance or a component of a mixture (è Box 4 on p. 23).

How to Collect Data on Imports

Four techniques for collecting data on imports are available. These data collec-

tion techniques are outlined below:

1. A properly designed licensing and monitoring system may be the best way

to collect import data.

2. Customs data is easily accessible and might help to generate approximate

import figures but will not suffice to meet the specific data requirements.

3. Direct information from importers can also be used, but may not be

complete.

Chapter 2: Collecting Data

imports

customs

Task 2

4. Data Estimates will only deliver crude results and may only be used for

double-checking other data sources and as a last resort.

Application of a combination of these techniques is advisable in order to dou-

ble-check results and thus generate data of a high quality. In the following sec-

tions, the four data collection techniques are described. Information on how to

use the technique for collecting import data as well as on the benefits and limi-

tations of the techniques is given. For licensing systems and customs data, some

background information is also provided. Please note that your country’s spe-

cific circumstances need to be taken into account when using the techniques.

2.1.1 Import/Export Licensing and Monitoring System

In 1997, the Meeting of the Parties to the Montreal Protocol agreed that each

Party should adopt a licensing system for the import and export of new, used,

recycled and reclaimed controlled ODS by 1 January 2000. This will help con-

trol trade in ODS and ensure compliance with the phase-out schedules under the

Montreal Protocol (è Section 5.1). Exemptions were made for developing

countries which can delay the establishment of such a licensing system for

methyl bromide until 1 January 2002 and for HCFCs until 1 January 2005.

Many countries already use a licensing system.

Chapter 2: Collecting Data

Box 4: Mixtures

Import and Export of bulk ODS can be in the form of a pure substance or a

mixture containing two or more ODS or one or more ODS mixed with other

non-ozone depleting chemicals. A number of mixtures containing ODS

have been introduced in recent years as replacements for pure ODS. In par-

ticular, a large number of ODS mixtures used as refrigerants and solvents

exist. Mixtures are, however, also in use in other sectors. An illustrative list

of refrigerant and fumigant mixtures is contained in Annex I; for a more

comprehensive list of mixtures see 1998 Report of the Technology and Eco-

nomic Assessment Panel (è Section 6.2).

Only those parts of mixtures that consist of the specific ODS you

report on should be included in the substance-specific data to be reported to

the two Secretariats. For example, R-406A contains 55% HCFC-22, 41%

HCFC-142b, and 4% HC-600a. If your country imported 1.5 metric tons of

R-406A, this would add 0.825 metric tons to your HCFC-22 figure (1.5

multiplied by 0.55) and 0.615 metric tons to your HCFC-142b figure (1.5

multiplied by 0.41). Hydrocarbon 600a is not an ODS (nor are HFCs) and

does not need to be reported. Other ODS containing mixtures are to be

treated accordingly.

licensing system

for example

Task 2

How Does an Import and Export Licensing System Work?

The basic principle of an import (and export; è Section 2.3) licensing system is

that designated authorities in a country are made responsible for granting

licences for import and export of ODS. A licence would be required for both

pure ODS and mixtures containing ODS (on mixtures è Box 4 on p. 23). In

practice, a licence can be granted for a specific use of ODS, for single shipments

or for a certain period of time (e.g. annually renewable licence). All importers

(and exporters) of ODS are then expected to have such a licence or permit prior

to undertaking trade in bulk ODS. For guidance on designing and implementing

such a licensing system, please refer to ODS Import/Export Licensing Systems:

A Resource Module (è Section 6.2).

A licensing system can take diverse forms. In the crudest form, the desig-

nated authority can issue licences for importing (and exporting) a certain quan-

tity of ODS, without requiring feedback reporting by the importing/exporting

company. However, the designated authority can set a mandatory requirement

on the importer/exporter to report back to it on actual amounts of ODS traded

under the licence. In general, feedback reporting by the importers/exporters can

be required on all needed categories of import/export data.

How to Use a Licensing System for Collecting Import Data

To have access to the data collected under a licensing system, the NOU has to

establish contact with the designated authority operating the licensing system

(e.g. the economics ministry or some other government agency), if this system

is not operated by the NOU itself. The designated authority should then transfer

to the NOU the information on the licences granted and any feedback reports on

trade in ODS received from importers/exporters. On this basis, the NOU will be

able to calculate country-wide data from the company-specific information.

The different forms of a licensing system clearly differ in usefulness as a

means of data collection. Without feedback reporting by importers/exporters,

the designated authority can only collect data on the ODS quantity it has per-

mitted to be shipped into and out of the country. It will be uncertain how much

of the allowance has actually been used by the company. This uncertainty will

be smaller if the licence is granted for a single shipment rather than a period of

time. In any event, a licensing system without feedback reporting will only be

an approximate source of overall import (and export) data, giving an upper limit

rather than an exact figure.

A licensing system can, however, also generate all needed import (and

export) data, if it requires feedback reporting on all categories of import/export

data (new/used ODS, feedstock, essential uses, QPS). Requesting information

on the country of origin/destination of ODS trade will make it possible to mon-

itor and prohibit ODS imports from (and exports to) Non-Parties. Please note

that a licensing system can be adapted so that it generates all import/export data

required.

Chapter 2: Collecting Data

Task 2

Benefits and Limitations of Collecting Import Data Using a Licens-

ing System

A licensing system may be the best source of the import/export data that need to

be reported to the Ozone Secretariat. However, if no reporting is required in the

framework of a licensing system, it will be insufficient for collecting the need-

ed import/export data. In this case, it is likely to generate information about

upper import/export limits rather than exact traded quantities.

The designated authority might need to balance the need for the informa-

tion with the creation of additional work for companies and government work-

ers to process applications and other available options to collect the same data.

Even if all needed data are collected, perfect enforcement of the licensing sys-

tem will remain a challenge. It is therefore advisable for Parties to use other data

sources in addition to a licensing system to double-check the data collected.

2.1.2 How to Use Customs Data

For checking ODS imports (and exports; è Section 2.3), customs statistics are

an obvious source of data. The customs authorities of most countries use com-

mon customs codes in their customs statistics. These are laid down in the frame-

work of an international customs agreement: the Harmonised Commodity

Description and Coding System (in short, the Harmonised System or HS)

under the HS Convention of 1988. As of March 1998, 91 countries were Party

to the Harmonised System Convention, but many more countries are believed to

apply the HS, giving it almost global coverage.

The HS can be reviewed and adapted. This is generally done once every

four years. Developing countries are allowed to delay the application of certain

parts of the HS. The HS has been adapted to take into account the concerns of

the Parties to the Montreal Protocol and might be changed further in this respect

in the future.

How Does the Harmonised Customs Coding System Work?

The Harmonised System is organised in 96 Chapters. These are subdivided into

different Headings and Subheadings. A traded product or a class of traded prod-

ucts is subsumed under a specific Subheading. It may be identified by a number

containing up to 6 digits, where:

1. the first two digits indicate the HS Chapter under which the product is cat-

egorised,

2. the next two digits indicate the relevant Heading, and

3. the last two digits indicate the Subheading under which the product is sub-

sumed.

Chapter 2: Collecting Data

customs

Task 2

While each Party to the HS Convention has to use the agreed HS number of up

to 6 digits, countries may decide to further subdivide the international nomen-

clature by adding more national digits. The Parties to the HS Convention co-

operating in the framework of the World Customs Organisation (WCO) can rec-

ommend assigning of such national digits to specific goods. Any such recom-

mendation is only binding to Parties that accept it.

All pure ODS are contained in different Subheadings of Chapter 29

“Organic Chemicals”, Heading 03 “Halogenated Derivatives of Hydrocarbons.”

The 6-digit number of any controlled substance thus usually takes the following

form:

Chapter 2: Collecting Data

HS 6-digit code of the

controlled substance

representing the

numbers indicating

for pure ODS

29 03. XX [yy]

Chapter Heading Subheading national extension

Organic Halogenated depending on depending on

Chemicals Derivatives of Subheading national code

Hydrocarbons system

Mixtures containing one or more ODS (è Box 4 on p. 23) are to be classi-

fied in one of the Chapters 30-38 of the HS depending on the function they are

meant to perform. Note, however, that a chemical that contains an anti-dusting

agent or colouring or odoriferous substance to facilitate its identification or for

safety reasons is considered a pure chemical under the HS, provided that the

additions do not render the product particularly suitable for specific use rather

than for general use. The same applies to products dissolved in other solvents

for reasons of safety or for transport.

How to Use Customs Data for Data Collection on Imports

To collect information on ODS imported (and exported) based on customs

codes, you must work together with the customs authority of your country. You

should inform them about the relevant customs codes and ask for information on

amounts and country of origin (or destination). The latter will enable you to

check which amounts of ODS might have been traded with Non-Parties (è Box

1 on p. 9 for guidance on how to identify Non-Parties).

The customs authority should then be able to provide data on imports (and

exports) that have occurred under each code within a specified period of time

(e.g. the calendar year). This should enable you to add up the total imports

of substances for which there are specific codes and obtain maximum quantities

for codes which have more than one substance or mixture included in them.

For further information on how to monitor imports using customs statistics see

also Monitoring Imports of Ozone-Depleting Substances: A Guidebook (è Sec-

tion 6.2).

Task 2

The following table shows the current customs codes of pure controlled sub-

stances under the HS:

Table 6: Customs Codes of Pure Controlled Substances

Chapter 2: Collecting Data

A G

n r in

n o Substance HS Code force separate national codes

e u since

x p

CFC-11 2903.41 1.1.96

CFC-12 2903.42 1.1.96

CFC-113 2903.43 1.1.96

CFC-114 2903.44 1.1.96

CFC-115

halon-1211 2903.46 1.1.96

halon-1301

halon-2402

CFC-13 2903.45 1.1.96

separate national codes

CFC-111 recommended since 20

CFC-112 June 1995

CFCs-211-217

Carbon 2903.14 start of

Tetrachloride HS

Methyl part of separate national codes recommended

Chloroform 2903.19 since 20 June 1995

HCFCs part of 1.1.96

separate national codes to be

2903.49 recommended for the following HCFCs:

¥ 22

¥ 123

¥ 124

¥ 141 & 141b

¥ 142 & 142b

¥ 225, 225ca, 225cb

¥ 21, 31, 133

HBFCs part of 1.1.96

2903.49

Methyl part of start of

Bromide 2903.30 HS

Mixtures containing one or more ODS. If there is no code reflecting the func-

tion (as in the case of refrigerants) or no function is specified, CFC-containing

mixtures would be subsumed under code 3824.71 (in force since 1 January

1996). Other ODS-containing mixtures that do not have a code reflecting their

function would fall under 3824.90 (“Other”). Halon-containing mixtures might

be traded under Heading 38.13 (fire extinguishants) and methyl bromide mix-

tures under 38.08 (including soil fumigants). Note, however, that methyl bro-

application recommended since 26 June 1990.

Source: UN doc. UNEP/OzL.Pro/WG.1/17/2, Issues before the Open-Ended Working Group at Its Seven-

teenth Meeting.

III

Task 2

mide mixtures that contain methyl bromide and chloropicrin which is added as

an odoriferous substance for safety reasons can be classified under code

2903.30, as the addition does not render the product particularly suitable for spe-

cific use. Apart from these, ODS mixtures could fall under a large number of

Headings and Subheadings of Chapters 30-38. Trade in ODS mixtures might

involve substantial amounts of controlled substances.

Benefits and Limitations of Collecting Import Data Using

Customs Data

Customs codes can be used to generate import (and export) data in particular for

the pure ODS for which unique customs codes exist: CFCs 11, 12, 113 and car-

bon tetrachloride. The situation with respect to methyl chloroform (1,1,1-

trichloroethane) and other fully halogenated CFCs (B I) depends on the appli-

cation of recommended separate national codes. In any case, however, it will not

be possible to identify whether and to which extent the imported amounts

belonged to an exempted category (used controlled substances, feedstock,

essential uses).

Furthermore, customs data will hardly allow you to generate substance-by-

substance data for other pure controlled substances, since

• CFCs 114 and 115, the three halons and all HCFCs are each subsumed

under one common customs code (è Table 6 on p. 27), and

• methyl bromide is subsumed under a customs code that also covers other

substances.

In these cases, substance-specific data can only be collected if customs author-

ities can provide additional information, e.g. on trade names of traded sub-

stances. By using the inventory of trade names available from UNEP TIE Ozon-

Action Programme (è Section 6.2) you might then be able to determine which

substance has been imported/exported.

In the case of mixtures, the inadequacy of customs codes is even greater.

The indicated customs codes do not exclusively cover mixtures containing

ODS. Furthermore, ODS mixtures may be recorded in many separate parts of

the HS. Customs data, therefore, do not allow you to easily identify imports of

ODS mixtures.

In addition, you should note that

• not all customs authorities necessarily use the HS, especially if application

is only recommended;

• some HS codes have only entered into force or been recommended recent-

ly (è Table 6 on p. 27). This is relevant if you want to collect historical data.

In conclusion, by using customs data, you are likely to miss some imports (and

exports) of ODS and will not be able to collect all necessary data. Customs data

may, therefore, serve mainly for a first approximation of import (and export)

data. In order to meet all the reporting requirements, data collection on ODS

Chapter 2: Collecting Data

Task 2

imports has to draw on additional sources, as presented in the previous and sub-

sequent sections.

2.1.3 How to Use Information from Importers

How to Collect Import Data from Importers

In the absence of legal requirements (e.g. under a licensing system), a voluntary

submission of data on imported quantities by importers has been widely used as

a source of data. In order to collect complete data, all relevant importers need to

be covered by the reporting scheme. In this respect, it is important to note that

some user industries might import directly for their own use. Also, wholesalers

that import need to be covered.

In identifying the ODS importers, it might be useful to refer to the invento-

ry of trade names available from UNEP TIE OzonAction Programme (è Sec-

tion 6.2), since many of the relevant companies will know the traded products

by trade name rather than substance/ODS. Note that the inventory is not neces-

sarily exhaustive. Please inform UNEP TIE OzonAction Programme if you dis-

cover additional trade names that are not on the list.

The data collection process itself can be organised in two different ways:

1. The import data can be reported regularly by the importers or their trade

associations to the NOU.

2. The NOU can conduct regular surveys of the importers asking them for the

relevant data. Note that such surveys can be combined with surveys of ODS

users by Article 5 Parties to generate consumption (use) data by sector to be

reported to the Fund Secretariat (è Section 2.2).

Benefits and Limitations of Using Direct Information from

Importers

All relevant categories of import data can, in general, be collected through this

voluntary system. To what extent all needed data are supplied by the importers

depends, however, on the negotiations with them. In addition:

• It is very difficult and often impossible to determine whether the informa-

tion is complete and accurate, as it is collected on a voluntary basis.

• Data can easily be double-counted or omitted. Some importers might be

overlooked.

• No legal action can be taken to force an importer to provide (accurate) data.

Because of these limitations, it is advisable not to rely exclusively on the vol-

untary approach for generating import data but to consult additional data

sources. More information on experiences with voluntary reporting on imports

Chapter 2: Collecting Data

information

from importers

Task 2

is contained in Monitoring Imports of Ozone-Depleting Substances: A Guide-

book (è Section 6.2).

2.1.4 Data Estimates

A particular problem is posed by the requirement of the Montreal Protocol to

report import, export and production data for past years irrespective of when a

country became a Party to the Protocol (è Chapter 1). In these cases, it might

be necessary to report on years for which actual data are not available. If so, the

Protocol requires Parties to submit estimates.

How to Estimate Import Data

For production, it should not be necessary to estimate past data; for exports, it

will hardly be possible (è Sections 2.3 and 2.4). In the case of imports, exist-

ing data can be used to extrapolate estimates for past years. For example, a non-

producing non-exporting country may have imported and consumed 12 tons of

CFC-11 in 1990 and 24 tons in 1994. Under the assumption of constant annual

growth rates, you might estimate imports of 6 tons for 1986.

Such extrapolation will only yield very crude results. Better results will be

achieved if you take into account any change that might have occurred in the

factors influencing ODS imports (economic growth, ODS consuming industries,

etc.). In particular, there is a correlation between the growth of Gross National

Product (GNP) and ODS consumption.

Estimating import data of countries producing and/or exporting ODS will

be more difficult. Imports have to be estimated not only on the basis of past

import data, but estimation has to take into account available production/export

data. Thus, imports may decrease if a country increases its production. In con-

trast, imports may increase if exports grow.

Benefits and Limitations of Estimating Import Data

The same techniques may be applied for estimating past and present import

data. However, estimates generate only crude results. Data should therefore be

estimated only as a last resort. Estimation is especially useful, and might be

needed, for generating data for past years (including baseline years) when other

data sources are unavailable. In addition, estimates can be done to check the

accuracy and consistency of data collected from other sources.

2.2 Consumption (Use) by Sector

Which Data to Collect on Consumption (Use) by Sector

Article 5 Parties accessing resources of the Multilateral Fund have to report data

on consumption (use) by sector to the Fund Secretariat (è Section 1.2 and

Chapter 2: Collecting Data

for example

data estimates

consumption

(use) by sector

Task 2

Annex II). Therefore, sector-specific consumption (use) data have to be collect-

ed by these Parties.

For this purpose, identification of the main ODS using sectors is an impor-

tant first step (è Section 2.2.1). Information on how to use three different tech-

niques for collecting the consumption (use) data by sector (licensing system,

surveys, estimation) is provided in Section 2.2.2. Because of the limitations of

each of these techniques, it is best to apply them together as outlined in Section

2.2.3.

2.2.1 What are the Main User Sectors?

The following table shows the major sectors and sub-sectors that use controlled

ODS. The ODS most commonly used in these sectors are listed (main sub-

stances in bold). The sectors mentioned in the table are the same ones your

country has to report on to the Fund Secretariat (è Annex II):

Table 7: The Main Sectors Using ODS

Chapter 2: Collecting Data

Sector Sub-sectors ODS mainly used

(pure or mixture)

Aerosols and Ð CFCs 11, 12, 113, 114

Sterilants

Foams Polyurethane foam, phenolic foams, CFCs 11, 12, 113, 114;

polyolefin foams, extruded polystyrene (in HCFCs 22, 123, 124, 141b,

particular for various kinds of insulation, 142b,

packaging, cushions/bedding)

Fire Fighting Fire extinguishing Halons 1211, 1301, 2402;

HCFCs 22, 123, 124

Refrigeration Domestic, commercial, industrial, CFCs 12, 11, 113, 114, 115;

transport refrigeration; HCFCs 22, 123, 124, 142b;

food processing and storage; other fully halogenated CFCs

heat pumps; (CFC 13, 112)

air conditioning

Solvent Electronics; precision cleaning, metal CFC-113, Methyl Chloroform

applications cleaning, dry cleaning; coatings and inks; (1,1,1-trichloroethane),

aerosols Carbon Tetrachloride, HCFCs

225, 225ca, 225cb, 123, 141b

Fumigation etc. Fumigation of soil, durables, perishables, Methyl Bromide

and structures and transportation

Other e.g. tobacco fluffing CFC-11

Note: Small amounts of ODS that are not indicated in the table might be used in some sectors. For exam-

ple, halon 1211 and 1301 can be used as refrigerants, named R12B1 and R13B1. The following sub-

stances are not included in the list:

¥ B I substances (other fully halogenated CFCs) are rarely used.

¥ C II substances (HBFCs) are not used.

Source: Protecting the Ozone Layer, Vol. 1-6 (

Section 6.2).

Task 2

For more information on the relevant sectors and sub-sectors using ODS and the

available alternatives please refer to Protecting the Ozone Layer, Volumes 1-6

(è Section 6.2). If you are uncertain which sector an ODS consuming compa-

ny belongs to, you may ask the Implementing Agency in charge of your Coun-

try Programme for assistance.

2.2.2 How to Collect Data on Consumption (Use) by

Sector (Three Data Collection Techniques)

Collecting data on consumption (use) by sector is a complicated task. General-

ly, three different techniques can be used for collecting data on consumption

(use) by sector: use of a licensing system, surveys of user companies, and esti-

mation. Use of these techniques for this purpose is described in the following.

How to Collect Consumption (Use) Data by Sector Using an

Import and Export Licensing System

In the framework of an import/export licensing system (è Section 2.1.1),

importers can be required to provide data on the intended use/application for

which the ODS is imported (or exported). In such a system, importers would

have to keep records of their ODS sales and the intended uses. The information

can then either be inspected by the designated authority operating the licensing

system or reported by the importers on a regular (e.g. annual) basis. This enables

the designated authority to collect data on consumption (use) by sector. A well-

designed licensing system can generate all data that need to be reported.

The NOU, if not operating the licensing system itself, needs to acquire this

information from the designated authority (è Section 2.1.1 on import data). For

more information on the proper design of a licensing system for generating con-

sumption (use) data, refer to ODS Import/Export Licensing Systems: A Resource

Module (page 40 and Figure 11) and Monitoring Imports of Ozone-Depleting

Substances: A Guidebook (Section 3.3).

How to Collect Consumption (Use) Data by Sector Using Surveys

For conducting regular surveys of ODS using companies, you should have an

inventory of relevant companies. This inventory needs to include companies

using ODS in a production process (e.g. production of refrigerators and foams),

servicing equipment (e.g. re-filling refrigerators and fire extinguishers) and

applying them (e.g. for cleaning and, in the case of methyl bromide, fumiga-

tion). Wholesalers that might sell ODS to small end-users also need to be cov-

ered, since importers will only have limited knowledge of the final use of

imported ODS. Such an inventory can be created based on knowledge about the

main user sectors and sub-sectors (è Section 2.2.1).

Chapter 2: Collecting Data

licensing system

Task 2

Please keep in mind that only companies consuming bulk ODS (in pure or

mixed form) are relevant for the Montreal Protocol (è Box 2 on p. 9 and Box

4 on p. 23). Many of the relevant companies will know the ODS used by the

trade name rather than substance. In such cases, you can refer to the inventory

of trade names of ODS available from UNEP TIE OzonAction Programme (è

Section 6.2) to identify relevant users and when conducting the survey. The list

of trade names is, however, not necessarily comprehensive. Please inform the

UNEP TIE OzonAction Programme if you discover additional trade names that

are not on the list.

Consultants or government officers (NOUs) can conduct the surveys.

Please note that this can be done in combination with surveys on imports (è

Section 2.1.3). The surveyed companies need to provide the consumption (use)

data in these data collection efforts. This is best achieved if it is a legal require-

ment on companies. ODS users should support their reported figures with any

additional material available (e.g. records of sales/imports). If the survey is not

done by the NOU itself, the NOU should collect the data generated from the

consultants or government officers conducting the surveys.

How to Estimate Consumption (Use) Data by Sector

The consumption (use) by companies and sectors can also be estimated. For

example, a producer of refrigerators may be known to use CFC and to produce

“x” number of household refrigerators per year. In this case, you might multiply

the number of refrigerators produced “x” with the average CFC use per unit. The

average CFC use per unit could be derived from past experience of your coun-

try. Such use per unit depends on the applied technology. In this way, you will

arrive at the estimated annual consumption of CFC-12 by the manufacturer in

question. You can proceed in a similar way with respect to other sectors and may

even arrive at consumption (use) estimates for entire sectors.

The consumption (use) of sectors may be estimated on the basis of the

known net imports of controlled substances (import – export + production).

However, the possibility of discrepancies between net imports and consumption

(use), in particular because of stockpiling and unrecorded exports needs to be

taken into account (è Box 3 on p. 18). As most ODS are only used in a limited

number of user sectors (è Table 7 on p. 31), you may then derive sector-spe-

cific consumption (use) data from (net) imports data of major ODS. For exam-

ple, the total consumption (use) of carbon tetrachloride (excluding its use as

feedstock) and methyl chloroform (1,1,1-trichloroethane) (B II and B III sub-

stances) can be assigned to the solvents sector in total. Problems arise especial-

ly with respect to CFC-11, CFC-12 and some HCFCs that can be used in more

than one sector (è Table 7 on p. 31). For estimating the sectoral consumption

of these substances more detailed knowledge about the structure and importance

of the relevant sectors is needed (e.g. number of cars equipped with air condi-

tioners, types of foam-producing companies). If possible, you may evaluate the

consumption (use) in the major manufacturing companies in the relevant sector

Chapter 2: Collecting Data

data estimates

for example

Task 2

to reduce the quantities which have to be estimated on a more uncertain basis.

For assistance in estimating consumption (use), please contact the Implement-

ing Agency in charge of your Country Programme.

2.2.3 Limitations of the Techniques for Collecting Con-

sumption (Use) Data and How to Overcome Them

There are specific limitations to each of the techniques that can be used for col-

lecting data on consumption (use) by sector. You should thus be aware that:

1. The ODS may have been used for a different use from that reported under a

licensing system. This is because importers cannot guarantee the final use

of the ODS. Besides, not every country necessarily has the administrative

capacity to operate such an elaborate licensing system. In general, the sim-

pler the licensing system, the easier it will be for government and industry

to implement, but the information provided will be limited (è Section

2.1.1).

2. Surveyed user companies might not necessarily supply correct or complete

information. Companies, especially small and medium-sized enterprises,

might be overlooked or missed within a sector. On the other side, amounts

of ODS can easily be double-counted. This can occur because importers,

end-users and wholesalers might report on the same quantities of ODS

which they traded among themselves. Surveys can also be labour intensive

and may be costly if conducted by consultants.

3. If net imports are based on accurate data, estimates of consumption (use)

by sector can be quite reliable for ODS predominantly used in one sector.

However, in the case of CFC-11, CFC-12 and a number of HCFCs, the

uncertainties will remain. Also, estimates of consumption (use) by single

companies generate only crude results.

How to Overcome the Limitations

Estimates of consumption (use) by single companies might only be applied if no

other data sources are available and for cross-checking the results of other data

collection techniques. The limitations of the individual techniques for collecting

consumption (use) data might be overcome by applying as many of the tech-

niques as you can.

Data on (net) imports and a rough sectoral distribution may be collected

using a licensing system. Surveys can provide more detailed information on the

sectoral distribution of ODS consumption (use) in your country. Such surveys

can most easily be applied to generate information from the major ODS-con-

suming companies. Furthermore, you can allocate any unaccounted ODS

amounts to specific sectors using the outlined estimation technique.

Chapter 2: Collecting Data

licensing system

data estimates

information

from exporters

Task 2

Combining the collection techniques also implies that you have to look for

plausible explanations for any differences in the collected data. Survey data,

data collected in the framework of a licensing system and estimates of con-

sumption (use) data may diverge because of the limitations mentioned above

and the possibility of stockpiling (è Box 3 on p. 18). Any differences should be

reconciled by referring back to your data sources. For assistance, contact the

Implementing Agency in charge of your institutional strengthening project.

2.3 Collecting Data on Exports

Which Data to Collect on Exports

A limited number of countries export ODS in large quantities. These are gener-

ally the producing countries. However, many other countries may re-export

small quantities of ODS and ship ODS to neighbouring countries. Exporting

countries might have to collect data on one or more of the following categories

(è Section 1.1 and Annexes I and II):

In addition, exporting countries need to include information on the destinations

of exports of Annex A and B substances. è Section 1.1 for more detail and for

guidance on assessing whether you might have to report on these categories.

How to Collect the Data on Exports

It is very difficult to estimate export data, since – in contrast to the situation with

respect to consumption (use) by sector (è Section 2.2) – no criteria for deriving

such estimates are available. Apart from that, the same data collection tech-

niques as in the case of imports can in general be applied for exports:

Chapter 2: Collecting Data

exports

Task 2

• A licensing system can and should generally be designed to cover imports

and exports. The Meeting of the Parties to the Montreal Protocol agreed in

1997 that each Party should adopt a licensing system for the import and

export of controlled ODS by 1 January 2000. Exemptions were made for

developing countries which can delay the establishment of such a licensing

system for methyl bromide until 1 January 2002 and for HCFCs until 1 Jan-

uary 2005. Such a licensing system can, in general, be used to generate all

export data needed. The data can be collected in the same way as in the case

of imports (è Section 2.1.1).

• As customs authorities register not only imports but also exports, customs

data can also be used to generate export figures. Since the same limitations

as regarding imports apply, this source will at best deliver approximate

export figures. To collect data on exempted categories, additional sources

will need to be used. The data can be collected in the same way as in the

case of imports (è Section 2.1.2).

• Collection of export data can also rely on self-reporting of exporters and

surveys of potential exporters. To draw on this source, you have to identify

the exporting companies. While the large exporters are identified relatively

easily, experience in a number of countries has shown that even very small

companies might be involved in ODS export. These exporting companies

should not be overlooked. Otherwise, data collection can proceed similarly

to the data collection on imports (è Section 2.1.3).

Experience in several countries has shown that customs data on exports are fre-

quently deficient. You should, therefore, rely mainly on a licensing system and

direct information from exporters for collecting your export data. Missing some

Chapter 2: Collecting Data

Box 5: Trans-shipment and Re-export of ODS

A distinction has been drawn by the Meeting of the Parties to the Montreal

Protocol between the trans-shipment and the import and re-export of ODS

(Decision IV/14). Trans-shipment occurs if a controlled substance is only

shipped through a third (transit) country (without leaving the port or desig-

nated bonded warehouse or store) on its way from the country of origin of

the ODS to the country of final destination. While the countries of origin

and destination have to report on their export and import, as appropriate,

the transit country is not required to report.

In contrast, ODS can be imported by a country, stored and/or processed

(e.g. by repackaging it) and subsequently re-exported. In such cases, the

import and the (re-)export have to be treated as two separate transactions.

The country of origin would report export to the country of intermediate

destination. The latter is responsible for reporting the import from the coun-

try of origin as well as the re-export to the country of final destination,

which has to report the import.

licensing system

customs

information

from exporters

Task 2

exports will let your country’s consumption figure calculated by the Ozone Sec-

retariat appear to be higher than it is in reality (è Section 5.2). Giving credit for

an export so that the exporting company can import an equivalent amount of

ODS can help improve reporting on exports. You should draw on as many of the

indicated data sources (including customs data) as possible for double-checking

the data collected. Article 5 Parties reporting to the Fund Secretariat should also

check whether their data on imports, exports and production are consistent with

their consumption (use) data to be reported to the Fund Secretariat (è Box 3 on

p. 18).

2.4 Production

Which Data to Collect on Production

Few countries produce ODS. The chemical manufacturers that produce ODS

often also use them as feedstock. Producing countries might have to collect data

on one or more of the following categories of data (è Section 1.1 and Annexes

I and II):

Separate from the data forms, producing countries might have to report on the

transfer of production of Annex A, B or E substances according to Article 2.5 of

the Montreal Protocol as and when it occurs. è Section 1.1 and Annex I of this

Handbook for further guidance on assessing whether and to which extent you

might have to report on these categories.

How to Collect the Data on Production

The relevant data on all categories of production are to be provided by the man-

ufacturers based on voluntary or mandatory reporting. The manufacturers of

ODS are usually large chemical companies and are, therefore, in most cases

Chapter 2: Collecting Data

productions

Task 2

identified relatively easily. Note, however, that halons and carbon tetrachloride

may also be manufactured on a smaller scale. For these, you might need to

spend some effort to identify relevant companies.

To ensure high data quality, the information provided by industry can be

audited by an independent consultant and verified with the help of on-site

inspections and inspection of the company’s documentation. In the case of

increased production, companies not only have to provide data, but also the

related requests from developing countries (è Section 1.1).

2.5 How to Generate Data on Exempted Categories

Which Data to Collect on Exempted Categories

In addition to production, imports and exports, some Parties to the Montreal

Protocol will have to report data on a number of exempted categories of ODS

(è Section 1.1). Please note that the exempted categories are only relevant

to a small number of countries. The following categories are exempted:

For more details and for guidance on assessing whether you might have to report

on these categories è Section 1.1.

How to Collect the Data on Exempted Categories

For collecting data on production (including data on production for use as feed-

stock and process agents, for essential uses, QPS and increased production), you

can rely on the sources mentioned in Section 2.4. For export-related data, the

sources mentioned in Section 2.3 can be used. In addition, countries may have

to report on amounts destroyed as well as imports of used substances (recovered

Chapter 2: Collecting Data

exempted categories

Task 2

and reclaimed ODS), for QPS, for feedstock (including process agents) and for

essential uses (currently relevant to industrialised countries only). You should

note that you might need to verify any data on exempted categories.

Amounts Destroyed. Parties can claim credit for amounts of ODS

destroyed, i.e. they are allowed to either import or manufacture an equivalent

amount of new (virgin) substances, because there will be no increase in the

country’s consumption or in the damage to the ozone layer. If equipment like a

household refrigerator containing ODS is scrapped, this does not by itself rep-

resent a destruction of ODS. Only if the ODS itself is completely destroyed can

Parties be sure that it will not affect the ozone layer. Therefore, Parties only

report amounts destroyed using approved highly efficient destruction processes.

These are set out in Annex IV. The operation of approved destruction facilities

is subject to a code of good housekeeping, details of which are in Section 2.4 of

the Handbook for the International Treaties for the Protection of the Ozone

Layer. Thus far, few countries have reported on such substances (less than 10 in

1996). Data on amounts destroyed are to be provided by relevant industry oper-

ating approved destruction technologies contained in Annex IV.

Used Substances (recovered and reclaimed). As of 1998, only Non-Arti-

cle 5 Parties have reported on imports of used controlled substances. Customs

codes do not distinguish between new (virgin) and used (recovered and

reclaimed) substances and there are no criteria available to arrive at estimates of

imports of used ODS. The only way to generate such data, therefore, is by plac-

ing a special reporting obligation on importers, which can be implemented in the

framework of an import (and export) licensing system (è Section 2.1.1). Any

import of used controlled substances should carry appropriate documentation in

this respect. Importers should be willing to supply this information, as imports

of such used substances are not restricted. To avoid over-reporting, reports on

import of used ODS have to be verified carefully.

QPS Applications. Customs codes will not provide you with the needed

information on imports of methyl bromide for QPS applications. Reporting by

importers, preferably within the framework of a licensing system that issues

special licences for QPS, might help generate the necessary data. However,

importers might not be able to guarantee the use of imported methyl bromide for

QPS. To cross-check (or to get the information if there is no licensing system

available), border control authorities and companies engaged in pest control

(including on exported products) should report on methyl bromide used for QPS

to the NOU. Differences between reports by importers and actual users might

appear because of stockpiling or use of existing stockpiles (è Box 3 on p. 18).

As a last resort, QPS might also be estimated on the basis of existing data on the

amount of shipments requiring pre-shipment treatment and a proxy number of

applications for official pest control. In many developing countries, most methyl

bromide usage will be for QPS. This will be true especially where the country

exports primary produce to the US or Japan.

Chapter 2: Collecting Data

Task 2

Feedstock and Process Agents. Customs codes will also not provide you

with the needed information on imports for feedstock and process-agent appli-

cations. All Parties have to collect and report data on process agents separately

from feedstock data from the year 2000 on (è Section 1.1). Reporting by

importers, preferably within the framework of a licensing system, can best help

generate the necessary data. The importers should specify for which production

of other chemicals or process-agent application the ODS import is to be used to

allow for verification. The number of eligible process-agent applications is

strictly limited (è Table 8 on p. 41). Frequently, chemical companies using

ODS as a feedstock or process agent import the amounts needed themselves. If

not, the end-user of any imports of ODS for feedstock or process-agent applica-

tion might be requested to report separately, in order to double-check use of the

amounts declared by the importer. Table 8 on p. 41 may assist you in identify-

ing companies using ODS as process agents.

Essential Uses. Reporting on essential uses is currently relevant only to

industrialised countries with respect to substances already phased out by them

(Annexes A and B). Special information is required on essential uses approved

by the Meeting of the Parties and on laboratory and analytical uses. This is the

only data category that requires information to be submitted in addition to the

data contained in the regular annual data report to the Ozone Secretariat. Report-

ing on approved essential uses is part of the essential use process that is

described in detail in the Handbook on Essential Use Nominations of 1997 (è

Section 6.2). A special reporting framework also applies to the global essential

use exemption for laboratory and analytical uses (è Section 2.5 of the Hand-

book for the International Treaties for the Protection of the Ozone Layer of

1996). As essential use exemptions are to be granted by governments on appli-

cation by companies, data on actual essential uses are to be collected directly

from the applicants.

Chapter 2: Collecting Data

Task 2

Table 8: List of Uses of Controlled Substances as Process Agents

Chapter 2: Collecting Data

No. Substance Process agent uses (applications)

1 Carbon Tetrachloride elimination of NCl3 in the production of chlorine and

caustic soda

2 Carbon Tetrachloride recovery of chlorine in tail gas from production of chlorine

3 Carbon Tetrachloride manufacture of chlorinated rubber

4 Carbon Tetrachloride manufacture of endosulphan (insecticide)

5 Carbon Tetrachloride manufacture of isobutyl acetophenone (ibuprofen Ð

analgesic)

6 Carbon Tetrachloride manufacture of 1-1, Bis (4- chlorophenyl) 2,2,2-

trichloroethanol (dicofol insecticide)

7 Carbon Tetrachloride manufacture of chlorosulphonated polyolefin (CSM)

8 Carbon Tetrachloride manufacture of poly-phenylene-terephtal-amide

9 CFC-113 manufacture of fluoropolymer resins

10 CFC-11 manufacture of fine synthetic polyolefin fibre sheet

11 Carbon Tetrachloride manufacture of styrene butadiene rubber

12 Carbon Tetrachloride manufacture of chlorinated paraffin

13 CFC-113 manufacture of virorelbine (pharmaceutical product)

14 CFC-12 photochemical synethesis of perfluoropolyetherpolyperoxide

percursors of Z-perfluoropolyethers and difunctional

derivatives

15 CFC-113 reduction of perfluoropolyetherpolyperoxide intermediate

for production of perfluoropolyether diesters

16 CFC-113 preparation of perfluoropolyether diols with high functionality

17 Carbon Tetrachloride production of pharmaceuticals Ð ketotifen, anticol and

disulfiram

18 Carbon Tetrachloride production of tralomethrine (insecticide)

19 Carbon Tetrachloride bromohexine hydrochloride

20 Carbon Tetrachloride diclofenac sodium

21 Carbon Tetrachloride cloxacilin

22 Carbon Tetrachloride phenyl glycine

23 Carbon Tetrachloride isosorbid mononitrate

24 Carbon Tetrachloride omeprazol

25 CFC-12 manufacture of vaccine bottles

Note: Parties may propose additions to this list by sending details to the Secretariat, which will forward

them to the Technology and Economic Assessment Panel. The Panel will then investigate the proposed

change and make a recommendation to the Meeting of the Parties whether or not the proposed use should

be added to the list by decision of the parties.

Source: UNEP/OzL.Pro.10/9, Decision X/14

Task 2

2.6 Common Questions and Answers

Chapter 2: Collecting Data

• What shall I do if the different data sources generate varying data?

Minor differences might be due to varying imperfections of the applied data

collection techniques. You might then opt for the results of the more reliable

source or calculate the average. If there are major differences, you should

check your data sources and look for explanations (e.g. major imports of mix-

tures unaccounted for in customs data, major stockpiling causing differences

of import and consumption (use) data, unaccounted exports). If this does not

lead to satisfactory results, please ask for assistance (è Section 6.1).

• What can I do if available data sources do not tell me what specific

CFC, halon or HCFC was imported?

In this case, you have two options. First, you can estimate the split based on

the results of other years taking into account the pattern of ODS use in your

country. Please indicate accordingly in your data report. Second, you can re-

port the respective amounts as "unidentified" CFCs, halons or HCFCs, which

might enable the Secretariat to do some preliminary allocation to specific sub-

stances. In any case you should try to ensure that specification is possible in

the future.Secretariat in Nairobi by 30 September of the following year.

• Where can I find further information and assistance

You will find detailed information in the previous Sections of this Hand-

book and the Glossary. If you need further assistance, you may approach the

con-tacts given in Chapter 6 of this Handbook.

• How can I generate data for the past to be reported to the Ozone

Secretariat according to Article 7 of the Protocol?

In principle, you might apply the same data collection techniques as for your

current annual data reports. If it proves impossible, however, to generate sta-

tistical data for past years, you may submit estimates taking into account

rele-vant changes of framework conditions (economic growth, establishment

of new ODS consuming companies etc.; è also Section 2.1.4).action under

the Non-Compliance Procedure to the Meeting of the Parties.

• How do I collect data for submission?

The different data categories on which you may need to report according to

Article 7 of the Montreal Protocol require varying efforts to collect data. For

import data, which is the category most widely applicable, generally four data

sources are available: (1) an import and export licensing and monitoring sys-

tem, (2) customs data, (3) information from importers, and (4) own estimates.

To collect consumption (use) data to be reported to the Fund Secretariat, you

can draw on a licensing system, information from users and estimates. For

how to make use of these data collection techniques and how to collect data

on other categories, please refer to the previous sections of this Chapter.

Task 3

3. Task 3: Check the Data for Accuracy and

Consistency

Proper reporting of data is essential. If inaccurate or inconsistent data are report-

ed to the Ozone Secretariat, your country might be questioned about its fulfil-

ment of the Protocol’s provisions. Good data are also important as a basis for

your government’s monitoring of, and planning for, the ODS phase-out. In order

to secure high data quality, it is advisable to check the accuracy of the data

before submitting them. To do so, you should first add up all the collected data

so that you arrive at aggregate figures for the data categories to be reported on

for each individual controlled substance. Several methods can be used for

checking the accuracy and consistency of the data:

Check Time Series

One of the easily available indicators of the accuracy and consistency of your

data reporting are your past reports. If you have access to these records, before

submitting of your country’s annual data report, you should compare the data of

several past years with the current data. By doing such a check of the time

series, you may be able to identify any unusual changes in the current year. If

you detect such changes – e.g. if the current figures are much higher or lower

than the numbers of previous years – you can check for a plausible explanation.

For example, an ODS consuming industry might have been established or

closed down, or applied data collection techniques/methodologies could have

changed etc. Otherwise, an error might have occurred while collecting (e.g.

incorrect data reports by industry) or calculating (e.g. typing errors) the data.

Compare Results of Different Data Sources

For import, consumption (use) and export data, you can and should draw on dif-

ferent data sources and data collection techniques as outlined in Sections 2.1,

2.2 and 2.3 (licensing system, customs data, information from importers/

exporters/users and own estimation, as applicable). By cross-checking the over-

all results of the different data sources, you might detect discrepancies. If so,

you should look for plausible explanations. For example, import data reported

by companies might be higher than customs data because the latter have missed

some imports of ODS mixtures. Also, importers might report an ODS import in

December, while it appears in customs data in January. Or, amounts reported as

imported by wholesalers may also be included in amounts reported by

importers. This can lead to double-counting (è Sections 2.1, 2.2 and 2.3).

If no plausible explanation exists, you should double-check your calcula-

tion and the sources of your data (typing errors, errors in the data sources, incor-

rect reports by industry). Producing and exporting countries should be aware

that discrepancies between consumption (use) data to be reported to the Fund

Secretariat and consumption data calculated by the Ozone Secretariat (imports

Chapter 3: Checking the Data

imports &

exports

consumption

(use) by sector

Task 3

– exports + production; (è Section 5.2) might be caused by inaccurate data on

production or exports. Inconsistent data might also be due to illegal imports that

would need to be investigated further.

Check Production Data

Production data for CFCs can be checked roughly by comparing ODS output

with the input of carbon tetrachloride as feedstock. The input of carbon tetra-

chloride to produce one ton of CFC-11 is approximately 1.14 tons and for CFC-

12 approximately 1.3 tons. CFC production figures should be matched by cor-

responding data on imports and production of carbon tetrachloride.

Auditing the relevant plants by an independent consultant and verification

by government officials on site can help check data accuracy. If a reliable report-

ing system for imports and exports is in place, inaccurate production data will

in the end also show up as questionable consumption figures, as calculated by

the Ozone Secretariat (production + imports – exports; è Chapter 5).

Check Your Consumption per Capita/per Unit GNP

Other factors being equal, consumption of ODS per capita usually increases

along with GNP. You may thus calculate per-capita consumption of certain

groups of ODS and compare them with values of countries which have a simi-

lar GNP per capita.

Relevant data on ODS consumption can be found in the Ozone Secretariat’s

annual report on data reporting under Article 7 of the Montreal Protocol to the

Meeting of the Parties and in Production and Consumption of Ozone Depleting

Substances (è Section 6.2). Data on GNP per capita are, for example, published

regularly by the World Bank. Be aware that in judging the available consumption

figures, the varying implementation of policies to phase out ODS have to be taken

into account. In case of large deviations, you might again double-check your data

sources and calculation. Applying this method requires time and special efforts.

Chapter 3: Checking the Data

Box 6: Keep in Mind a Number of ÒRules of ThumbÓ

• There is no known production or consumption of HBFCs (C II sub-

stances). If your data shows figures other than zero for these sub-

stances, you should double-check your data.

• Other CFCs (B I substances) are rarely used. If your data indicate any-

thing other than insignificant amounts, please check the data sources.

• Only a few of the HCFCs listed in Group I of Annex C of the Protocol

are commonly used (HCFCs 21, 22, 31, 123, 124, 133, 141b, 142b,

225, 225ca, 225cb). If your data show significant amounts of HCFCs

other than those indicated in the Ozone Secretariat’s data forms, you

should make sure an error has not occurred in data collection.

productions

Task 4

4. Task 4: Communicate the Data to the Ozone

and Fund Secretariats

After having collected the necessary data (Chapter 2) and having checked its

accuracy and consistency (Chapter 3), you need to submit them in a proper for-

mat to the Fund and Ozone Secretariats. The due date for submitting annual data

reports of the year to which they relate is 1 May of the following year for the

Fund Secretariat and 30 September of the following year for the Ozone Secre-

tariat. To avoid inconsistencies and duplication of work, Article 5 Parties are

encouraged to submit their annual data to the Ozone Secretariat at the time of

reporting to the Fund Secretariat.

General guidelines relevant to both streams of data reporting as well as

those referring to the specific requirements of each Secretariat are provided in

the following sections. Please read them before filling in the data forms con-

tained in Annex I (Ozone Secretariat) and Annex II (Fund Secretariat).

4.1 General Guidelines

Chapter 4: Communicating the Data

General Guidelines for Filling in Data Forms

• Make sure that you indicate your country and the year to which the data

report relates at the top of the reporting format.

• To avoid misunderstandings and confusion, use the English format for

numbers. Use a decimal point, not a comma. Use a comma to separate

thousands (3,000.00 to indicate 3000).

• Make sure that you are reporting metric tons, not any other measure (be

it ODP tons, grams or kilograms; conversion in ODP tons will be done

by the Fund Secretariat and the Ozone Secretariat).

• If your data indicates figures other than zero for C II substances, or sig-

nificant amounts of B I substances, or C I substances other than those

listed in the data forms, double-check your data for accuracy.

• Make sure that in the data that you report for each substance, you

include the amounts that are imported as components of mixtures.

Guidance on how to make the necessary calculations is provided in

Box 4 on p. 23. For an illustrative list of mixtures è Annex I.

• Article 5 Parties should ensure that it is the same government authori-

ty reporting to both Secretariats. Ideally, this should be the ODS officer

within the NOU. In addition, data should be collected and data reports

sent concurrently, if possible, to reduce any discrepancies.

Task 4

4.2 How to Report to the Ozone Secretariat

For reporting to the Ozone Secretariat, you are requested to complete a Ques-

tionnaire contained in Annex I. The Questionnaire should guide you in identify-

ing which forms are relevant for your country. You will then fill in the reporting

forms contained in Annex I that are relevant to the specifics of your country’s

obligations (è Section 1.1).

Annex I also contains instructions for filling in the forms, some definitions

of key terms as agreed by the Parties to the Protocol, a list of reporting require-

ments and an illustrative list of mixtures containing ODS. Please follow the

instructions given in Annex I carefully when filling in the forms.

You can make copies of the Questionnaire and the relevant reporting forms

from Annex I of this Handbook to submit your data to the Ozone Secretariat.

The reporting forms may be used for annual reports as well as data on other

years which might have to be reported (è Section 1.1). You can also retrieve the

data forms and instructions from the Ozone Secretariat’s website at

<http://www.unep.org/unep/secretar/ozone/reports.htm>.

You have to submit your annual report to the Ozone Secretariat (for address

details (è Section 6.1) by 30 September of the year following the one to which

the data relate, but you may submit your report earlier (e.g. concurrently with

reporting to the Fund Secretariat). There are special reporting procedures for

submitting data on essential uses (è Box 7 on p. 46).

Chapter 4: Communicating the Data

Box 7: Reporting on Essential Uses

Data on the production, import and export for all exempted essential uses

(i.e. essential uses approved by the Meeting of the Parties and laboratory

and analytical uses) are to be included in Data Forms 1-3 contained in

Annex I. In addition, the data form contained in Annex III should be used

for reporting annually on approved essential uses only (i.e. excluding labo-

ratory and analytical uses). Laboratory and analytical uses are to be report-

ed separately on an annual basis following the guidance provided in Sec-

tion 2.5 of the Handbook for the International Treaties for the Protection of

the Ozone Layer.

Once your annual data report has been received by the Ozone Secretariat, it will

be processed. Aggregate ODP-weighted data (è Section 5.2) for each group of

substances will be published in the annual report of the Ozone Secretariat on

data reporting to the Meeting of the Parties. As only aggregate ODP-weighted

figures on groups of substances are published, production/consumption of indi-

vidual substances remains confidential. You should check whether the data

entries of your country in the report of the Ozone Secretariat correspond to the

data you have submitted. In order to match your data with the published data of

UNEP

Ozone Secretariat

Task 4

the Ozone Secretariat, you will need to do some additional calculations. Guid-

ance in this respect is provided in Chapter 5.

In addition to the instructions in Annex I, you should keep the following in

mind while filling in the data forms:

Chapter 4: Communicating the Data

General guidelines for Reporting to the Ozone Secretariat

• Reporting on exempted essential uses (production, import and export,

(Box 7 on p. 46) is currently required only of industrialised countries.

• Controlled ODS are used as feedstock and process agents by only a

few countries. Reporting on feedstock (including process agents) (pro-

duction, import and export) is required only of these few countries (è

Section 1.1).

• Recovered and reclaimed ODS are exported and imported only by a

limited number of countries, mainly industrialised countries. Most

countries are therefore currently unlikely to have to report on imports

and exports of such used substances in Data Forms 1 and 2. This might

change in the future when the availability of new ODS decreases.

• Data Form 1 on Imports is relevant to most countries.

• Data Form 2 on Exports is relevant to a limited number of countries,

generally producing countries and other countries re-exporting ODS. A

number of countries do not export ODS and do not have to fill in or

send this form. If you belong to these countries, be sure to tick “NO”

for Export in the Questionnaire in Annex I.

• Data Form 3 on Production is relevant only to producing countries,

which are limited in number (compare the list in Section 1.1). The

majority of non-producing countries do not have to fill in or send this

form. If you belong to this majority, be sure to tick “NO” for Produc-

tion in the Questionnaire in Annex I.

• Data Form 4 on Amounts Destroyed. Only very few countries have

reported destruction using approved technologies. Most countries do not

need to fill in or send this form. If you belong to this majority, be sure to

tick “NO” for Amounts Destroyed in the Questionnaire in Annex I.

• Data Form 5 on Trade with Non-Parties. Before filling in this form,

you need to identify which countries are to be considered Non-Parties

with respect to which controlled substances. For guidance on this, è

Box 1 on p. 9. As nearly all exporters of Annex A and B substances are

Parties to the respective agreements, imports of these substances from

Non-Parties should be a rare exception. Trade with Non-Parties in

Annex C and E substances might be more common. If you do not trade

ODS with Non-Parties, be sure to tick “NO” for trade with Non-Parties

in the Questionnaire in Annex I.

Task 4

4.3 How to Report to the Fund Secretariat

For annual data reporting to the Fund Secretariat, you are requested to fill in

Data Form A contained in Annex II. Article 5 Parties accessing the resources of

the Multilateral Fund also have to provide data for calculating baseline data.

This requires data on Annex A substances for 1995, 1996 and 1997, Annex B

substances for 1998, 1999, and 2000, and Annex E substance for 1995, 1996,

1997, and 1998 (è Section 1.2 above). A separate Data Form B is available in

Annex II for providing such baseline data on Annex A and E substances for past

years.

Annex II also contains instructions which you should follow carefully when

filling in the forms. For your convenience, Form C on administrative and sup-

portive actions in the implementation of Country Programmes has been includ-

ed in the same Annex. This form needs to be filled in and submitted along with

the data forms.

You may receive the data forms in an electronic format (Microsoft Excel 5)

on diskette or as a hard copy from the Fund Secretariat. The data forms are con-

tained in the Policies, Procedures, Guidelines and Criteria of the Multilateral

Fund published by the Fund Secretariat (è Section 6.2). You can also make

copies of the reporting forms from Annex II of this Handbook for reporting data

to the Fund Secretariat.

You have to submit your annual data to the Fund Secretariat (for address

details è Section 6.1) by 1 May of the year following the one to which the data

relate. This has to be done annually after the approval of the Country Pro-

gramme. The reporting forms on baseline data have to be filled in and submit-

ted to the extent that such baseline data have not been submitted before.

Once your annual data report has been received by the Fund Secretariat, it

will be used to assess progress in the implementation of your Country Pro-

gramme and the phase-out of ODS. The Fund Secretariat may publish aggregate

ODP-weighted data for each group of substances in its documents.

In addition to the instructions given in Annex II, you should keep the fol-

lowing in mind while filling in the data forms:

Chapter 4: Communicating the Data

Fund Secretariat

Task 4

Chapter 4: Communicating the Data

General Guidelines for Reporting to the Fund Secretariat

• Consumption (use) Data. Consumption here refers to actual use by

sector in the respective year. You have to provide data on your coun-

try’s total consumption (use) of each ODS as well as a sectoral break-

down. If no sector-specific data are available, you should submit a rea-

sonable estimate of this breakdown. Consumption (use) by the single

sectors should add up to the total.

• Data on Imports, Exports and Production should be consistent with

the data reported to the Ozone Secretariat. The data forms of the Ozone

Secretariat require reporting on several categories of production,

imports, and exports each (è Section 1.1). In contrast, only one figure

on production, imports and exports each is to be reported to the Fund

Secretariat. The following rules apply (è Section 1.2):

➘ Data on Imports are relevant to most countries. Imports to be reported

to the Fund Secretariat equal total imports of new (virgin) substances –

imports used for feedstock (- imports for QPS) to be reported to the

Ozone Secretariat. ODS are used for feedstock only by few countries.

➘ Data on Exports are relevant to producing countries and countries

which re-export ODS (è Section 1.1). Exports to be reported to the

Fund Secretariat equal total exports of new (virgin) substances to Par-

ties to be reported to the Ozone Secretariat.

➘ Data on Production are only relevant for producing countries, which are

limited in number (è Section 1.1). The majority of countries do not have

to fill in the related column. Production to be reported to the Fund Secre-

tariat equals total production – quantities produced for domestic feedstock

use – amounts destroyed (– quantities produced for domestic QPS, in the

case of methyl bromide) to be reported to the Ozone Secretariat.

➘ Discrepancies of Data. Total consumption (use) should ideally equal

imports – exports + production (= calculated consumption). As total

consumption (use) reported to the Fund Secretariat is derived from sec-

toral use, it does not necessarily equal this formula (è Box 3 on p. 18).

You should ensure that discrepancies between calculated consumption

and consumption (use) reported to the Fund Secretariat are explained.

➘ Neither B I substances (other fully halogenated CFCs) nor C II sub-

stances (HBFCs) have been included in the data form since they have

never been used (C II) or are used in very small quantities (B I). If your

country has consumed these substances, please indicate so separately.

➘ C I substances. Only those HCFCs known to be used by Article 5 Par-

ties are listed on the data form. If other HCFCs have been used in your

country, these should be reported under “other” HCFCs. Please specify

which “other” type of HCFC is being included in the report.

Task 4

4.4 Common Questions and Answers

Chapter 4: Communicating the Data

• Where can I find further information and assistance?

You can find detailed information in the previous subsections of this Hand-

book and in the Glossary. If you need further assistance, you may approach

the contacts given in Chapter 6 of this Handbook.

• What if it has proven impossible to determine whether an import or

export of ODS originated from, or was destined for, a Non-Party?

In this case, you should indicate this when submitting the data to the Ozone

Secretariat. Since most of the exporting countries are Parties to the Mon-

treal Protocol and to the London Amendment, it is unlikely that imports of

Annex A and B substances would come from a Non-Party. Especially trade

in methyl bromide and HCFCs might at times involve Non-Parties, since a

number of relevant countries have not yet ratified the Copenhagen Amend-

ment.

• What if I detect that earlier data submissions were incorrect?

You have the option of submitting amended data to the Ozone and Fund

Sec-retariats and informing them of the inaccuracies found in the earlier

report. The Secretariats will subsequently replace the incorrect data with the

amended data. If doubts exist, however, the Secretariats might ask for

explanations.

• What if a company does not provide the needed data?

As a Party to the Montreal Protocol, you should ensure that companies are le-

gally obliged to provide the necessary data. Specific concerns about the com-

mercial sensitivity of data should be discussed with the relevant Secretariat.

• What shall I do if I detect inconsistencies of the two data sets generat-

ed for submission to the Fund and Ozone Secretariats?

You should check the reason for any inconsistency that may occur. If stock-

piles have been increased or reduced in the reporting years, consumption

(use) reported to the Fund Secretariat may be different from consumption

calculated by the Ozone Secretariat. If such explanations exist, inform the

Secretariats accordingly. Otherwise, inconsistencies are a sign of errors and

you should check your data collection and reporting (see Chapter 3).

• Which data forms should I use to fill and submit to the Ozone and

Fund Secretariats?

The data forms that should be used for data reporting are contained in

Annex I (Ozone Secretariat) and Annex II (Fund Secretariat) of the Hand-

book. In the case of the Ozone Secretariat, you will also find a question-

naire in Annex I that should help you find out which of the five formats you

need to fill in and sub-mit.

Good practice

5. Good Practice: How to Check Your Own

Compliance

Calculation of production and consumption also allows you to check the pro-

cessing of your data by the Ozone Secretariat, which publishes them in an aggre-

gate form in its annual report on data reporting to the Meeting of the Parties.

5.1 Step 1: Identify the Applicable Phase-out Schedules

Different phase-out schedules and baselines from which to calculate reduction

steps for controlled ODS apply to Article 5 Parties and Non-Article 5 Parties.

Three classes of Parties to the Montreal Protocol have to be distinguished in

both groups of countries regarding the phase-out schedules:

1. Countries that have ratified only the Montreal Protocol of 1987 are bound

to the phase-out schedules relating to Annex A substances (Groups I and II:

CFCs and halons).

2. Parties that have also ratified the London Amendment of 1990 have to

meet phase-out schedules applying to Annex A substances and Annex B

Substances (Groups I, II, and III: other fully halogenated CFCs, carbon

tetrachloride, and methyl chloroform [1,1,1-trichloroethane]).

3. Parties that have also ratified the Copenhagen Amendment of 1992 are

committed to phase-out schedules applying to Annex A and B substances as

well as those substances contained in Annex C (Groups I and II: HCFCs and

HBFCs) and Annex E (methyl bromide).

To check which phase-out schedules apply to your country (or any other, for that

matter), you have to know which agreements your government has ratified. A

list of ratifications is prepared and regularly updated by the Ozone Secretariat

(è Box 1 on p. 9). You can then use the following table to identify the phase-

out schedules currently applicable to your country.

Chapter 5: Checking Compliance

Step 1

Identify the applicable

control measures

(phase-out schedules)

Section 5.1

Section 5.2

Step 2

Calculate your

country’s

production &

consumption

Checking your country’s compliance

essentially involves two steps ...

Good practice

Table 9: Phase-out Schedules under the Montreal Protocol

Note: The control periods run from 1 January to 31 December of the indicated years except for the freeze

of Annex A I substances which starts at 1 July 1989 for industrialised countries and 1 July 1999 for Article 5

Parties. Parties can adjust the phase-out schedules without the need for subsequent ratification. They have

done so, inter alia, in 1990 (Annex A substances), 1992 (Annex A and B substances, not applied to Article

5 Parties), 1995 (baseline of HCFC controls for industrialised countries; HCFC and methyl bromide con-

trols) and 1997 (methyl bromide controls for all Parties); see Handbook for the International Treaties for the

Protection of the Ozone Layer and its 1997 Update.

Chapter 5: Checking Compliance

Good practice

These schedules can be revised by the Meeting of the Parties to the Montreal

Protocol. Depending on your country’s status of ratification, it can be subject to

controls under:

(1) the Montreal Protocol of 1987 or

(2) the Montreal Protocol and the London Amendment or

(3) the Montreal Protocol and the London Amendment and the Copenhagen

Amendment.

5.2 Step 2: Calculate Your CountryÕs Production and

Consumption

One of the main purposes of data reporting under the Montreal Protocol is to

assess Parties’ compliance with the phase-out schedules. To do so, individual

substances are not considered, but instead groups of substances as contained in

the Annexes of the Protocol (A I, A II, B I, B II, B III, C I, C II, E I). The envi-

ronmental impact of amounts of different controlled substances are made com-

parable by devising special values to each of them: their ozone depleting

potential (ODP) (è Annex V).

On this basis, compliance is assessed by the Ozone Secretariat and can be

double-checked by you. In order to do this, you have to multiply the number of

metric tons that you have reported to the Ozone Secretariat by the ODP value,

substance by substance (as their ODP values differ). You can therefore create

ODP-weighted data from your report in metric tons. In the case of HCFC-

141b, for example, 10 metric tons would equal 1.1 ODP tons, as HCFC-141b

has an ODP value of 0.11 (10 * 0.11 = 1.1). In contrast, 10 metric tons of halon-

1211 would equal 30 ODP tons, as halon-1211 has an ODP value of 3.0 (10 *

3.0 = 30.0). ODP tons are thus a measure of relative environmental damage

rather than a physical quantity.

The ODP values of all ODS known to be currently in use are contained in

Annex V. The ODP values of all controlled substances (including the ones cur-

rently not in use) can be found in the respective Annexes of the Montreal Pro-

tocol as, for example, contained in the 1997 Update of the Handbook for the

International Treaties for the Protection of the Ozone Layer.

Under the Montreal Protocol, both production and consumption of the dif-

ferent groups of substances are subject to control (except for HCFCs where

only consumption controls apply). To check your country’s compliance, you

therefore first have to add up the ODP-weighted values of the substances in

Annex A I, A II, etc. to arrive at aggregate data for the groups of substances.

On this basis, you have to calculate your country’s production (if applicable)

and consumption of the groups of controlled substances. While this may sound

simple, care has to be taken since compliance with the production and con-

Chapter 5: Checking Compliance

for example

Good practice

sumption limits is assessed by special calculations under the Protocol, as

described below:

Production

According to the Protocol, some categories are exempted from the calculation

of production. Thus, amounts used as feedstock by the chemical industry and

amounts destroyed are being subtracted from total production (1) to arrive at

calculated production (2). Amounts exported for use as feedstock in other

countries are also subtracted. In the case of methyl bromide, produced amounts

to be used for quarantine and pre-shipment applications (QPS) (including

exports for this purpose) are also exempted. The Ozone Secretariat deducts the

reported amounts of these exempted categories and publishes the results as cal-

culated production (2) in its annual report on data reporting.

Not deducted by the Ozone Secretariat, but taken into account while assess-

ing compliance, are amounts produced for essential uses or for meeting the basic

domestic needs of developing countries (“increased production”). Please

remember that such increased production is limited to 10% of 1986, 1989 and

1991 levels of Annex A, B and E substances respectively before total phase-out

and 15% afterwards. Please refer to Chapters 1 and 2 for guidance on assessing

whether these categories might be relevant to your country and how to collect

the necessary data. The production level subject to the phase-out schedules (3)

contained in Table 9 on p. 52 can therefore be derived as follows (separately for

each group of controlled substances):

Chapter 5: Checking Compliance

productions

Good practice

The calculated production (2) as determined by you can be used to check

whether your country’s data has been received and processed accurately by the

Ozone Secretariat. If done properly, the calculated production should yield the

same figure as the one published by the Ozone Secretariat in its data report. The

final production figure (3) gives the production level that is subject to the phase-

out schedules contained in Table 9 on p. 52 and may be used to assess your

country’s compliance with the phase-out schedules.

To do so, you first need to calculate your country’s calculated production

(2) for the baseline applicable to your country (è Table 9 on p. 52). If the result

of Calculation 2 for the year in question is above the percentage of this calcu-

lated baseline production allowed to your country for the year in question (è

Table 9 on p. 52), your country will be in non-compliance. When verifying com-

pliance with production limits, any transfer of production according to Article

2.5 of the Protocol needs to be taken into account.

Consumption

As regards calculated consumption, the Protocol defines it as production plus

imports minus exports. In this case, production is determined to be total pro-

duction – amounts used as feedstock domestically – amounts destroyed. To

avoid exports to Non-Parties, exports to Parties only are deducted (see Article 3

remain unaccounted in calculating consumption. Thus, only imports of “new”

(unused or virgin) substances are added. In the case of methyl bromide, amounts

used for QPS are to be deducted. The Ozone Secretariat determines calculated

consumption (2) accordingly and publishes the resultant consumption figures in

its annual report on data reporting.

Amounts used domestically for essential uses (including laboratory and

analytical uses) are not deducted by the Ozone Secretariat when calculating

consumption, but are taken into account while assessing compliance. This is

currently relevant only to industrialised countries (è Section 1.1). ODS con-

sumption under the Montreal Protocol is therefore to be calculated as follows

(separately for each group of controlled substances):

Chapter 5: Checking Compliance

Good practice

Since the majority of countries do not have many of the activities listed (è Sec-

tion 1.1), the calculation is often simple:

imports = calculated consumption = consumption level subject to

phase-out schedules.

The calculated consumption (2) can be used to check the annual data reports of

the Ozone Secretariat to see whether the latter has received and processed your

country’s data accurately. The final consumption figure (3) gives the consump-

tion level that is subject to the phase-out schedules contained in Table 9 on p. 52

and may be used to assess your country’s compliance with the phase-out sched-

ules. To do so, you first need to calculate your country’s calculated consumption

(2) for the baseline applicable to your country (è Table 9 on p. 52). If the result

of Calculation 2 for the year in question is above the percentage of this calcu-

lated baseline production allowed to your country for the year in question (è

Table 9 on p. 52), your country will be in non-compliance. When verifying com-

pliance with consumption limits, any transfer of production (according to Arti-

cle 2.5 of the Protocol) that might have occurred needs to be taken into account.

Chapter 5: Checking Compliance

Info

6. Sources of Further Information

6.1 Contact Addresses

The following contact addresses include the Ozone and Fund Secretariats, the

Implementing Agencies of the Multilateral Fund (UNDP, UNEP, UNIDO, and

the World Bank) and the Regional and Sub-Regional Networks established in

the framework of the Fund Activities. Developing country NOUs looking for

further information are advised to contact their regional/sub-regional network

coordinator who will direct them as necessary.

Ozone Secretariat

Mr. K. M. Sarma

Executive Secretary

The Secretariat for the Vienna Convention and the Montreal Protocol

P.O. Box 30552

Nairobi, Kenya

Tel: (254-2) 62-3885 / -3851 Fax: (254-2) 62-3913

Email: [email protected]g

Mr. Michael Graber

Deputy Executive Secretary

The Secretariat for the Vienna Convention and the Montreal Protocol

P.O. Box 30552

Nairobi, Kenya

Tel: (254-2) 62-3855 Fax: (254-2) 62-3913

Email: [email protected]

Website: http://www.unep.org/unep/secretar/ozone/home.htm or

http://www.unep.ch/ozone/

Multilateral Fund Secretariat

Mr. Omar El-Arini

Chief Officer

Multilateral Fund for the Implementation of the Montreal Protocol

1800 McGill College Avenue, 27

Floor, Montreal Trust Building

Montreal, Quebec, H3A 3J6, Canada

Tel.: (1-514) 282-1122 Fax: (1-514) 282-0068

Email: [email protected]g

Chapter 6: Further Information

Info

UNEP Industry and Environment Programme Activity Centre

Mrs. Jaqueline Aloisi de Larderel

Director

UNEP TIE

Tour Mirabeau, 39-43 Quai Andre Citroen

F-75739 Paris Cedex 15, France

Tel.: (33-1) 4437-1441 Fax: (33-1) 4437-1474

Email: [email protected]

Mr. Rajendra Shende

Co-ordinator, OzonAction Programme

UNEP TIE

Tour Mirabeau, 39-43 Quai Andre Citroen

F-75739 Paris Cedex 15, France

Tel.: (33-1) 4437-1459 Fax: (33-1) 4437-1474

Email: [email protected]

Website:http://www.unepie.org/ozonaction.html

Regional Office for Africa (ROA)

Mr. Boubié Jérémy Bazye

Regional Network Coordinator

UNEP Regional Office for Africa (ROA)

Room S 330

P.O. Box 30552

Nairobi, Kenya

Tel: (254-2) 624281 Fax: (254-2) 623928

Email: Jeremy[email protected]g

Regional Office for Latin America and the Caribbean (ROLAC)

Ms. Catalina Mosler

Regional Network Coordinator

UNEP/ROLAC

Blvd. de los Virreyes No. 155

Col. Lomas Virreyes CP 11000, Mexico

Tel: (525) 202-4841 Fax: (525) 202-0950

Email: [email protected]

Regional Office for Asia and the Pacific (ROAP)

Mr. Thanavat Junchaya

Regional Network Coordinator

UNEP Regional Office for Asia and the Pacific

floor, UN Building, Rajdamnern Avenue

Bangkok 10200, Thailand

Tel: (662) 288-2128 Fax: (662) 280-3829

Email: [email protected]

Chapter 6: Further Information

Info

Regional Office for West Asia (ROWA)

Dr. Abdul Elah al-Wadaee

Regional Network Coordinator

UNEP/ROWA

P.O. Box 10880

Manama, Bahrain

Tel: (973) 276-072 Fax: (973) 276-075

Email: [email protected]

United Nations Development Programme (UNDP)

Mr. Frank J. P. Pinto

Principal Technical Adviser

Montreal Protocol Unit / EAP / SEED / BDP

United Nations Development Programme (UNDP)

Room FF-9116

304 East 45

Street

New York, NY 10017, USA

Tel.: (1-212) 906-5042 Fax: (1-212) 906-6947

Email: [email protected]

United Nations Industrial Development Organisation (UNIDO)

Mr. Angelo D’Ambrosio

Managing Director

Industrial Sectors and Environment Division

United Nations Industrial Development Organisation (UNIDO)

Vienna International Centre

A-1400 Vienna, Austria

Tel.: (43-1) 21131-5085 Fax: (43-1) 21131-6853

Mr. Sidi Menad Si Ahmed

Co-ordinator, Montreal Protocol Operations in UNIDO

Industrial Sectors and Environment Division

United Nations Industrial Development Organisation (UNIDO)

Vienna International Centre

A-1400 Vienna, Austria

Tel.: (43-1) 21131-3782 / -3654 Fax: (43-1) 21131-6804

Email: [email protected]g

Chapter 6: Further Information

Info

World Bank

Mr. Ken Newcombe

Global Manager, New Products & Partnerships

The World Bank

Room MC5-133

1818 H Street, N. W.

Washington, DC 20433, USA

Tel.: (1-202) 473-6010 Fax: (1-202) 477-0565

Email: [email protected]g

Mr. Steve Gorman, Unit Chief

Montreal Protocol Unit

Global Environment Department

The World Bank

Room S2-117

1818 H Street, N.W.

Washington, DC 20433, USA

Tel.: (1-202) 473-5865 Fax: (1-202) 522-3258

Email: [email protected].

Chapter 6: Further Information

Info

6.2 Relevant Publications and Websites

UNEP (Ozone Secretariat)

ebsite:

◆ http://www.unep.org/unep/secretar/ozone/home.htm

◆ http://www.unep.ch/ozone/

vailable at the website are, inter alia:

• list of ratifications,

• reports of the Meetings of the Parties to the Montreal Protocol (includes

texts of Decisions of the Meetings of the Parties),

• production and consumption data as reported by the Parties in accordance

with Article 7 of the Protocol.

Relevant publications:

Ad-Hoc Technical Advisory Committee on ODS Destruction Technologies,

May 1992.

1998 Report of the Technology and Economics Assessment Panel (1998

Assessment), April 1998.

Handbook for the International Treaties for the Protection of the Ozone Layer:

The Vienna Convention (1985) The Montreal Protocol (1987).

1997 Update of the Handbook for the International Treaties for the Protection

of the Ozone Layer: The Vienna Convention (1985) The Montreal Protocol

(1987).

Production and Consumption of Ozone Depleting Substances 1986-1995

(1997).

Handbook on Essential Use Nominations (1997).

Multilateral Fund Secretariat

ebsite:

◆ http://www.unmfs.org

vailable at the website are, inter alia:

• documentation and registration for upcoming meetings of the Executive

Committee of the Multilateral Fund.

UNEP TIE OzonAction Programme

ebsite:

◆ http://www7.unepie.org/ozonaction.html

Chapter 6: Further Information

Info

Available at the website are, inter alia:

• Inventory of Trade Names of Chemical Products Containing Ozone Deplet-

ing Substances and their Alternatives (also available as a hard copy),

• Policies, Procedures, Guidelines and Criteria of the Multilateral Fund.

Relevant publications:

Inventory of Trade Names of Chemical Products Containing Ozone Depleting

Substances and their Alternatives (also available at website).

Protecting the Ozone Layer. Aerosols, sterilants, carbon tetrachloride and mis

cellaneous uses (Volume 5) (1992).

Protecting the Ozone Layer. Foams. (Volume 4) (1992).

Protecting the Ozone Layer. Halons for fire fighting (Volume 3) (1992).

Protecting the Ozone Layer. Methyl bromide. (Volume 6) (1992).

Protecting the Ozone Layer. Refrigerants. (Volume 1) (1992).

Protecting the Ozone Layer. Solvents, coatings and adhesives. (Volume 2)

(1992).

Monitoring Imports of Ozone-Depleting Substances: A Guidebook (UNEP TIE

OzonAction Programme; Stockholm Environment Institute (SEI); Swedish

International Development Co-operation Agency 1996).

ODS Imports/Exports Licensing Systems: Resource Module (UNEP TIE

OzonAction Programme; Stockholm Environment Institute 1998).

Technology and Economic Assessment Panel (TEAP)

ebsite:

◆ http://www.teap.org

vailable at the website are, inter alia:

• 1998 Report of the Technology and Economics Assessment Panel (1998

Assessment), April 1998.

• Handbook on Essential Use Nominations (1997).

German Agency for Technical Cooperation (GTZ)

Relevant publications:

Production and Consumption of Ozone Depleting Substances 1986-1995: The

Data Reporting System under the Montreal Protocol (1997) (also available

from GTZ via E-Mail <[email protected]>).

Chapter 6: Further Information

Info

Glossary of Terms and Abbreviations

This glossary of terms provides quick and easy-to-understand definitions of the

main terms used in the Montreal Protocol’s data reporting system. Cross-refer-

ences are indicated in italics.

Amounts destroyed

Quantities of ODS destroyed through approved destruction technologies, and

calculated on the basis of the destruction efficiency of the facility used, are

exempted from controls under the Montreal Protocol (exempted category) and

are to be deducted from production (and consumption; è Section 5.2).

Annex A substances

Annex A of the Montreal Protocol contains two Groups of controlled sub-

stances, five CFCs (Group I) and three halons (Group II).

Annex B substances

Annex B of the Montreal Protocol contains three Groups of controlled sub-

stances, 10 other fully halogenated CFCs (Group I), carbon tetrachloride

(Group II) and methyl chloroform (also known as 1,1,1-trichloroethane) (Group

III).

Annex C substances

Annex C of the Montreal Protocol contains two groups of controlled substances,

34 HCFCs (Group I) and 34 HBFCs (Group II).

Annex E substance

Annex E of the Montreal Protocol contains one (group of) controlled substance,

methyl bromide (Group I).

Article 5 Parties

Developing countries which have ratified the Montreal Protocol and have a con-

sumption of Annex A substances of less than 0.3 kg/capita and Annex B sub-

stances of less than 0.2 kg/capita per annum operate under Article 5 of the Pro-

tocol.

Baseline Data

In addition to annual data, each Party must submit statistical data (or best esti-

mates) of production, imports and exports of controlled substances for specified

base years to establish the baseline of controls. For specification of the baseline

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of the different groups of controlled substances for Article 5 and Non-Article 5

Parties è Section 5.1 of this Handbook.

Basic domestic needs of developing countries

Article 5 Parties are allowed a grace period for the phase-out of controlled sub-

stances (è Section 5.1) in order to meet their basic domestic needs. However,

Article 5 Parties may not use this allowance to increase production of products

containing ODS for export (Article 5 and Decision I/12C).

Bulk chemicals/substances

Only a controlled substance or a mixture of controlled substances that is not part

of a use system (a product that is applied directly to realise its intended use; e.g.

a refrigerator or a fire extinguisher) is controlled under the Montreal Protocol.

A substance that is contained in a manufacturing product other than a container

used for storage or transport of the substance is not considered bulk controlled

substance. However, methyl bromide in cylinders and any other container is

regarded as a bulk substance, even if it can be used directly from the container

(Decisions I/12A and VIII/14).

Carbon tetrachloride

This controlled substance containing chlorine is included in Group II of Annex

B of the Montreal Protocol. It is used as a feedstock in the production of CFCs

and other chemicals and as a solvent.

CFCs (Chlorofluorocarbons)

These ODS contain fluorine and chlorine. The five main CFCs are controlled as

Annex A substances (Group I) by the Montreal Protocol. Ten other, less common

fully halogenated CFCs are controlled in Annex B (Group I). CFCs are entirely

anthropogenic in origin and are primarily used as aerosols, refrigerants, solvents

and for foam blowing.

Consumption

Under the Montreal Protocol consumption refers to production plus imports

minus exports. Article 5 Parties reporting to the Multilateral Fund are request-

ed to provide sectoral consumption (use) data.

Consumption (use) by sector

Article 5 Parties accessing resources of the Multilateral Fund have to report

annual data on consumption (use) of controlled substances by sector to the

Fund Secretariat (è Section 1.2 and Annex II). These data should reflect the

actual amount of ODS used in the different sectors (è Table 7 on p. 31) irre-

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spective of whether these amounts came from production, imports or stock-

piles.

Controlled substances

All bulk chemicals listed in Annexes A, B, C, and E to the Montreal Protocol,

whether existing as pure substances or as mixtures, are referred to as controlled

substances. Production and consumption of these substances is controlled (for

phase-out schedules (è Section 5.1).

Country Programme

Article 5 Parties wishing to receive assistance from the Multilateral Fund need

first to elaborate a Country Programme containing data on current and forecast

ODS production and consumption, phase-out projects and strategy, institutional

framework and more. The Fund provides guidelines for and offers assistance in

preparing the Country Programme. For more information, contact the Fund Sec-

retariat or an Implementing Agency.

Customs codes

Traded goods are generally assigned specific numbers serving as customs codes.

Custom authorities in most countries use the Harmonised System of customs

codes to assist in the easy identification of traded goods. Knowledge about the

relevant customs codes can be helpful for collecting import and export data of

controlled substances (è Section 2.1.2).

Destruction process/technology

Controlled substances can be destroyed using an approved destruction process

that results in the permanent transformation or decomposition of all or a signif-

icant portion of these substances. Any amounts destroyed in this way and report-

ed to the Ozone Secretariat are deducted when calculating production and con-

sumption (exempted category). The seven destruction processes currently

approved under the Protocol are listed in Annex IV.

Entry into force

The Montreal Protocol of 1987, the London Amendment of 1990 and the

Copenhagen Amendment of 1992 each enter into force for any country on the

ninetieth day following the date of deposit of its related instrument of ratifica-

tion, acceptance, approval or accession. Information on the status of ratification

by each Party to the Montreal Protocol is regularly updated by the Ozone Sec-

retariat. It is available as a hardcopy document and as a webpage at their web-

site at <http://www.unep.org/unep/secretar/ozone/ratif.htm>.

Chapter 6: Further Information

customs

Info

Essential uses

An exemption from the total phase-out of controlled substances can be granted

for certain essential uses upon application, if approved by the Meeting of the

Parties on a case-by-case basis (exempted category). This requires that the ODS

is either necessary for health, safety or for the functioning of society and no

acceptable alternative is available. A global exemption has been granted for lab-

oratory and analytical uses. For the essential use process see the Handbook on

Essential Use Nominations (è Section 6.2).

Executive Committee

An Executive Committee directs the activities of the Multilateral Fund. It con-

sists of seven representatives of Article 5 Parties and seven representatives of

Non-Article 5 Parties. The Executive Committee develops and monitors the

implementation of specific operational policies and administrative arrange-

ments, including the disbursement of resources, for achieving the objectives of

the Multilateral Fund.

Exempted categories

A number of categories are not subject to control (production and/or consump-

tion, as appropriate) under the Montreal Protocol and are thus exempted from

control. These include feedstock, amounts destroyed, used substances, QPS,

essential uses (including laboratory and analytical uses), and increased pro-

duction.

Feedstock

Controlled substances that are used in the manufacture of other chemicals and

are completely transformed in the process are defined as feedstock. For exam-

ple, carbon tetrachloride is commonly used in the production of CFCs.

Amounts used as feedstock are exempted from controls (exempted category)

and need to be reported (è Section 1.1 on p. 12).

Fund Secretariat

The day-to-day operation of the Multilateral Fund is undertaken by the Fund

Secretariat located in Montreal. The Fund Secretariat, inter alia, receives and

evaluates data reports from Article 5 Parties receiving assistance from the Fund.

Halons

These ODS contain fluorine, bromine and, possibly, chlorine. Three halons are

controlled in Group II of Annex A of the Montreal Protocol. Halons are primar-

ily used in fire extinguishers.

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Harmonised System (HS)

In most countries imports and exports are registered using the internationally

Harmonised System (HS) of custom codes maintained by the World Customs

Organization. The HS has been adjusted to include separate codes for some of

the controlled substances when traded as pure chemicals (è Section 2.1.2).

HBFCs (Hydrobromofluorocarbons)

These ODS contain fluorine and bromine and are controlled in Group II of

Annex C of the Montreal Protocol. There is no known production or consump-

tion of HBFCs.

HCFCs (Hydrochlorofluorocarbons)

These are partially halogenated ODS with chlorine and fluorine and controlled

in Group I of Annex C of the Montreal Protocol. While HCFC-22 has been in

use for a number of years, HCFCs are primarily used as substitutes for CFCs.

Refers to the Harmonised Commodity Description and Coding System (known

as the Harmonised System)

Implementation Committee

The Implementation Committee under the Non-Compliance Procedure for the

Montreal Protocol consists of five representatives of Article 5 Parties and five

representatives of Non-Article 5 Parties. It deals with the implementation of the

Montreal Protocol, including the data reporting by Parties under Article 7. The

Implementation Committee can make recommendations to the Meeting of the

Parties to improve the implementation of the Protocol and on actions in case of

non-compliance.

Implementing Agencies

Phase-out activities in Article 5 Parties supported by the Multilateral Fund are

implemented through so-called Implementing Agencies. UNDP, UNEP, UNIDO

and the World Bank serve as Implementing Agencies (for addresses è Section

6.1).

Increased production (for the basic domestic needs of developing countries)

Under the Protocol, a Party is allowed to increase its production of Annex A, B

and E substances above the restricted levels in order to supply the basic domes-

tic needs of Article 5 Parties. Such increased production is, within limits,

exempted from controls (exempted category) and needs to be reported (è Sec-

tion 1.1 of this Handbook).

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Laboratory and analytical uses

Production, import and export of phased-out controlled substances are allowed

under a global essential use exemption for specified laboratory and analytical

uses (è Section 2.5 of the Handbook for the International Treaties for the Pro-

tection of the Ozone Layer for specifications). The Meeting of the Parties is to

decide each year on any ODS use which should no longer be eligible under the

exemption for laboratory and analytical uses, and from which date. The Ozone

Secretariat will make available a consolidated list of uses that are no longer eli-

gible (Decision X/19). Special reporting obligations apply to this data category

(è Section 1.1 of this Handbook).

Licensing system

In accordance with the Montreal Amendment of the Montreal Protocol, each

Party to the Montreal Protocol (that has ratified the Montreal Amendment of

1997) has to adopt an import/export licensing system for monitoring the trade in

controlled substances by 1 January 2000. In case the Amendment has not

entered into force for the country by then, the licensing system has to be estab-

lished within three months after the entry into force of the Amendment. Such a

licensing system can be used to collect data needed for reporting to the Ozone

Secretariat and Fund Secretariat (è Section 2.1.1).

Methyl bromide

This partially halogenated ODS (also known as bromomethane) contains

bromine and is controlled in Group I of Annex E of the Montreal Protocol. It is

primarily used as a fumigant on soils, commodities and in quarantine and pre-

shipment applications.

Methyl chloroform

This partially halogenated ODS (also known as 1,1,1-trichloroethane) contains

chlorine and is controlled in Group III of Annex B of the Montreal Protocol. It

is primarily used as a solvent for cleaning metals. Note that neither methylene

chloride nor 1,1,2-trichloroethane is a controlled substance.

Mixtures of ODS

Chemicals which contain two or more controlled substances or one or more

controlled substances mixed with other non-ozone depleting chemicals are

defined as mixtures of ODS. For an illustrative list of mixtures used as refriger-

ants and fumigants è Annex I; for a more comprehensive list of mixtures è

1998 Report of the Technology and Economic Assessment Panel; è also

UNEP TIE’s Inventory of Trade Names of Chemical Products Containing Ozone

Depleting Substances and Their Alternatives (è Section 6.2).

Chapter 6: Further Information

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Multilateral Fund

The Multilateral Fund for the Implementation of the Montreal Protocol was

established in 1990 to assist Article 5 Parties financially and technically to elim-

inate controlled substances. It is directed by an Executive Committee, served by

the Fund Secretariat, and implemented by four Implementing Agencies.

National Ozone Units (NOUs)

The government unit that is responsible for managing the national ODS phase-

out strategy as, in the case of Article 5 countries, specified in the Country Pro-

gramme. NOUs are responsible for, inter alia, fulfilling the data reporting oblig-

ations under the Montreal Protocol. Although the term “National Ozone Unit”

usually refers to Article 5 Parties under the Multilateral Fund, for the purposes

of this Handbook it also refers to industrialised countries.

New Substances

Any controlled substance that has not been recovered, reclaimed or recycled

prior to use is a new substance. It contrasts with used substances that have been

recovered, reclaimed and/or recycled.

Non-Party

Any country whose government has not ratified, accepted, approved or accessed

the Montreal Protocol or one or more of its specific Amendments is a Non-Party

to the Protocol or to that particular amendment/those particular amendments (è

also Box 1 on p. 9).

NOUs

Refers to National Ozone Units

ODP

Refers to Ozone Depleting Potential

ODP-weighted data/ODP tons

ODP-weighted data are generated when an amount of a controlled substance is

multiplied by its ODP value. By this procedure, metric tons are converted into

ODP tons which indicate the relative environmental damage rather than the

physical quantity (è Section 5.2).

ODS

Refers to Ozone Depleting Substance(s)

Chapter 6: Further Information

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ODS officer

A member of an NOU

Ozone depleting potential (ODPs)

Each controlled substance is assigned a value indicating its impact on the

stratospheric ozone layer per unit mass of a gas, as compared to the same mass

of CFC 11. These ODP values for each of the controlled substances are given in

the Annexes of the Montreal Protocol (è also Annex V of this Handbook).

Ozone depleting substances (ODS)

All substances having an ODP above zero are, in principle, ODS. These are gen-

erally chemicals containing chlorine or/and bromine. The most important ODS

are controlled substances under the Montreal Protocol. A smaller number of

ODS are not (yet) controlled under the Protocol because they have not been pro-

duced or consumed in significant quantities. The term ODS in most cases refers

to controlled substances.

Ozone Secretariat

The Ozone Secretariat is the Secretariat for the Vienna Convention for the Pro-

tection of the Ozone Layer of 1985 and the Montreal Protocol on Substances

that Deplete the Ozone Layer of 1987. It is based at UNEP headquarters in

Nairobi, Kenya. The Ozone Secretariat receives and analyses data reports under

Article 7 of the Montreal Protocol from all Parties.

Party or Parties

Any country or regional economic integration organisation becomes a Party to

the Montreal Protocol and its Amendments 90 days after its ratification, accep-

tance, approval or accession of the Protocol or the particular amendment.

Pre-shipment applications

Amounts of methyl bromide applied directly preceding and in relation to export

of a product to meet phytosanitary or sanitary requirements of the exporting or

importing country are exempted from control (exempted category) (Decision

VII/5). Such pre-shipment applications need to be reported as QPS.

Process agent

Some amounts of controlled substances are used in the production of other

chemicals (e.g. as a catalyst or an inhibitor of a chemical reaction) without being

consumed. Only those uses of controlled substances listed in Table 8 on p. 41

are considered uses of process agents. For the reporting requirements on process

agents è Section 1.1 on p. 12.

Chapter 6: Further Information

UNEP

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Production

Under the Montreal Protocol, production of controlled substances by a country

is calculated as total production minus amounts destroyed minus amounts used

as feedstock. Controls do not apply for production for exempted categories.

Pure substances

A pure controlled substance contains only one ODS. It contrasts with a mixture

of ODS that is defined as any other product containing two or more controlled

substances or one or more controlled substances mixed with other non-ozone

depleting chemicals. Note, however, that a chemical that contains an anti-dust-

ing agent or colouring or odoriferous substance to facilitate its identification or

for safety reasons can be traded under the HS customs code of a pure chemical,

provided that the additions do not render the product particularly suitable for

specific use rather than for general use. The same applies to products dissolved

in other solvents for reasons of safety or for transport.

QPS

Refers to quarantine and pre-shipment applications

Quarantine applications

Amounts of methyl bromide used to prevent the introduction, establishment

and/or spread of quarantine pests (including diseases) and/or to ensure their offi-

cial control are exempted from control (exempted category) (Decision VII/5).

Such quarantine applications need to be reported as QPS.

Reclaimed substances

Imports and exports of recovered controlled substances that have been re-processed

and upgraded to a specified quality through filtering, drying, distillation and/or

chemical treatment are exempted from controls (exempted category). Imports and

Exports of such reclaimed used substances in bulk need to be reported.

Recovered substances

Imports and exports of controlled substances that have been collected from

machinery, equipment, containment vessels, etc. during servicing or prior to dis-

posal are exempted from controls (exempted category). Imports and exports of

such recovered used substances in bulk that have been part of a prior use system

need to be reported.

Recycled substances

Recovered controlled substances are re-used after a basic cleaning process such

as filtering and drying are exempted from controls (exempted category). Report-

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ing of such recycled used substances is not relevant, as recycling usually

involves recharge back into equipment. Recycled ODS are thus usually neither

imported nor exported in bulk.

Re-export

ODS can be imported by a country, stored and/or processed, and subsequently

re-exported. In such cases, the import and the (re-)export have to be treated as

two separate transactions (contrasting the treatment of trans-shipments). In

addition to the import from the country of origin, the country of intermediate

destination has to report on the re-export to the country of final destination.

Stockpile

A controlled substance can be stored or accumulated for use in the future. An

increase or decrease in a country’s stockpiles can lead to discrepancies in the

consumption calculated by the Ozone Secretariat and the consumption (use) as

reported to the Fund Secretariat.

Trade names

Pure controlled substances as well as mixtures of ODS are produced by a num-

ber of companies which give their products commercial trade names, rather than

the name of the ODS. These trade names are indicated on the product packag-

ing and transaction/manifest papers. Knowledge about trade names thus helps

identify ODS. An inventory of trade names is available from UNEP TIE Ozon-

Action Programme (è Section 6.2).

Transfer of consumption

A Non-Article 5 Party can transfer to another such Party a portion of its con-

sumption of HCFCs, if the transferring Party’s consumption of CFCs contained in

Group I of Annex A did not exceed 0.25kg/capita in 1989 (Article 2.5bis). Such

transfers must be notified to the Ozone Secretariat but have not occurred yet.

Transfer of production

A Party can transfer to another Party any portion of its production of the Annex

A, B and E substances provided that their combined production should not

exceed the limits set in the Protocol (Article 2.5). Such transfers must be noti-

fied to the Ozone Secretariat.

Trans-shipment

Trans-shipment occurs if a controlled substance is shipped through a third coun-

try on its way from the original exporter to the final importer. In this case, the

country of origin of the ODS shall be regarded as the exporter and the country

Chapter 6: Further Information

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of final destination as the importer. The transit country does not have to report

(in contrast to the situation with respect to re-exports).

UNDP

United Nations Development Programme. It is one of the Multilateral Fund’s

Implementing Agencies.

UNEP (IE)

United Nations Environment Programme (Industry and Environment Centre) .

It is one of the Multilateral Fund’s Implementing Agencies.

UNIDO

United Nations Industrial Development Organisation. It is one of the Multilat-

eral Fund’s Implementing Agencies.

Used substances

Controlled substances that have been part of a product, or manufacturing

process, and are recovered, reclaimed or recycled prior to re-use are termed as

used substances.

World Bank

Formerly known as the “International Bank for Reconstruction and Develop-

ment,” it is one of the Multilateral Fund’s Implementing Agencies.

Chapter 6: Further Information

Annex I

Annexes

Annex I: Data Forms for Reporting to the Ozone Secretariat

This Annex contains the data forms to be used for annual reporting of data to the Ozone Sec-

retariat including instructions to be followed when filling them. The forms are available as

Microsoft Excel file and the instructions as a text file from the Ozone Secretariat’s website at

<http://www.unep.org/unep/secretar/ozone/reports.htm>. You can also receive them as a hard

copy from the Ozone Secretariat. Alternatively, you may use copies of the reporting formats

reproduced below for reporting data to the Ozone Secretariat.

The forms and corresponding instructions might be adapted in the future to changing needs

and circumstances. Please refer to the Ozone Secretariat to receive the most recent version.

In addition to the Instructions provided below, please also read the general guidelines pro-

vided in Sections 4.1 and 4.2 before filling the forms. This will especially help you report data

in a consistent way to the Ozone and Fund Secretariats. Before filling the data forms you are

asked to answer a questionnaire, which will help you assess which data forms you need to sub-

mit. [References to the Handbook in italics]

The following is included in this Annex:

1. Questionnaire

2. Introduction

3. Reporting Requirements

4. General Instructions

5. Definitions

6. INSTRUCTION I: Data on Imports of ODSs (Data Form 1)

7. INSTRUCTION II: Data on Exports of ODSs (Data Form 2)

8. INSTRUCTION III: Data on Production of ODSs (Data Form 3)

9. INSTRUCTION IV: Data on Destruction of ODSs (Data Form 4)

10. INSTRUCTION V: Data on Imports from and Exports to Non-Parties (Data Form 5)

11. ILLUSTRATIVE LIST OF MIXTURES CONTAINING ODS

• Data Form 1: Data on Imports

• Data Form 2: Data on Exports

• Data Form 3: Data on Production

• Data Form 4: Data on Quantity of Substances Destroyed

• Data Form 5: Data on Imports from and/or Exports to Non-Parties

Source: Ozone Secretariat (http://www.unep.org/unep/secretar/ozone/reports.htm) as of July 1998.

Annex I

Data Reporting Forms

Party: Reporting Year:

Respondents are requested to read the Introduction on page 2 [page 77], the General Instructions

on page 4 [page 80] and the Definition on pages 5-6 [pages 81-82] carefully before proceeding to the

questionnaire and to refer to them as necessary when completing the data forms.

1. Questionnaire

1.1. Did your country import

CFCs, halons, carbon tetrachloride, methyl chloroform, HCFCs, or

methyl bromide in the reporting year?

Yes [ ] No [ ]

If No, ignore data form 1 and go to question 1.2. If Yes, go to data form 1 and enter the relevant

data. Please read Instruction I

on page 7 [page 83] carefully before filling in the form.

1.2. Did your country export

CFCs, halons, carbon tetrachloride, methyl chloroform, HCFCs, or

methyl bromide in the reporting year?

Yes [ ] No [ ]

If No, ignore data form 2 and go to question 1.3. If Yes, go to data form 2 and enter the relevant

data. Please read Instruction II

on page 8 [page 84] carefully before filling in the form.

1.3. Did your country produce

CFCs, halons, carbon tetrachloride, methyl chloroform, HCFCs, or

methyl bromide in the reporting year?

Yes [ ] No [ ]

If No, ignore data form 3 and go to question 1.4. If Yes, go to data form 3 and enter the relevant

data. Please read Instruction III

on page 9 [page 85] carefully before filling in the form.

1.4. Did your country destroy

any ODSs in the reporting year?

Yes [ ] No [ ]

If No, ignore data form 4 and go to question 1.5. If Yes, go to data form 4 and enter the relevant

data. Please read Instruction IV

on page 10 [page 86] carefully before filling in the form.

1.5. Did your country import from

or export to non-Parties in the reporting year?

Yes [ ] No [ ]

If No, ignore data form 5. If Yes, go to data form 5 and enter the relevant data. Please read

Instruction

V on page 10 [page 86] carefully, and, particularly, the definition of non-Parties

before filling in the form.

Annex I

Name of reporting officer: ..............................................Signature: .......................................................

Designation: .................................................................................................................................

Organization: ................................................................................................................................

Contact details: (Postal Address, Phone, Fax and E-Mail Address) ...........................................

Country: ...................................................

Date: ........................................................

2. INTRODUCTION

2.1 The attached data forms have been designed to make reporting easier for the Parties. The report-

ing is prescribed by Article 7 of the Montreal Protocol and by various decisions of the Meeting

of the Parties.

2.2 The major features of the forms are as follows:

(a) Five separate data forms are provided for imports, exports, production, destruction of ozone

depleting substances (ODSs) and trade with non-Parties, respectively. Please use only those

data forms applicable to your country and ignore the other forms, after ticking off the respec-

tive “No” box in the questionnaire on the page 1 [page 76] above. For example, many Par-

ties only import and do not export, produce, destroy or trade with non-Parties in any of the

substances. If this is the case, please use only the Imports Data Form 1 and ignore the other

forms, after ticking off the “No” boxes for questions 1.2 – 1.5 on page 1 [page 76].

(b) A row has been provided for each of the substances in Annex A. However, for categories of

Annex B CFCs and HCFCs, the form is made shorter by providing rows only for substances

which have been reported by Parties in the past. A few blank rows are provided for more

substances, if needed. HBFCs (Annex C, Group II) have already been phased out by all Par-

ties. Hence, only one blank row has been provided for them, as a formality. You can use the

computerized forms supplied by the Secretariat or paper forms. Parties who use the com-

puterized forms can easily add more rows as needed; if using paper forms, Parties are free

to add pages as required.

- Feedstocks for all the substances,

- Essential uses for substances as approved by a Meeting of the Parties from time

to time,

- Quarantine and pre-shipment applications for Methyl Bromide, and

- Critical or emergency uses of Methyl Bromide as approved from time to time.

It is necessary for each Party to specify how much of its production, export or import is used

for these exempted categories. The Secretariat will deduct these exempted quantities from

the total figures. Provision is made in the data forms for these exempted categories.

(d) The same forms can be used for the base year and other years.

(e) The basis for reporting requirements and definitions are given in section 3 and

section 5 below, respectively.

Annex I

3. REPORTING REQUIREMENTS

Reporting requirements under the Montreal Protocol and pursuant to decisions on requests for data by

Meetings of the Parties are as follows:

Basis for reporting Information to be provided

(a) To verify implementation - Increased (annual) production of each

ODS to meet of Articles 2A – 2H the basic

domestic needs of Article 5 Parties.

(b) Article 7 - Production, imports and exports of each of the

controlled substances.

- Amounts used for feedstock.

- Amounts destroyed.

- Imports from and exports to non-Parties.

- Imports and exports of recycled halons and HCFCs.

(d) Article 2, paragraphs 5, 5 bis 6,7 - Transfer or addition of production (as and when

it occurs).

(e) Decision IV/11, paragraph 3 - Report on statistical data on the actual quantities of

ODS destroyed.

(f) Decision IV/17 A, paragraph 1 - Information on the implementation of Article 4.

(g) Decision IV/24, paragraph 2 - Import and export of recycled and used controlled

substances.

(h) Decision V/15 Information relevant to international halon bank

management (to UNEP TIE PAC).

(i) Decision V/25 and VI/14 A Parties supplying ODS to Article 5 Parties to provide

annually summary of requests from importing

Parties.

(j) Decision VI/9, paragraph 3 - Reports on each controlled substance produced for

laboratory and analytical uses.

(k) Decision VI/19, paragraph 4 - List of reclamation facilities and their capacities.

Annex I

(l) Decision VII/9, paragraph 4 - Types, quantities and destinations of exports of Annex

A and Annex B substances.

(m) Decision VII/30 - Importing countries to report to the Secretariat on the

volumes of controlled substances imported for feed

stock.

(n) Decision VII/32 - Report on measures taken to regulate import and

export of products and equipment containing Annex A

and Annex B substances and technology used in their

manufacture.

(o) Decision VIII/9, paragraph 9 - Report on quantities and uses of ODSs produced and

consumed for essential uses.

Annex I

4. GENERAL INSTRUCTIONS

4.1 Parties are requested to report the production and consumption of bulk ODSs in metric tonnes,

without

multiplying by the relevant ODPs (ozone depleting potentials). [è also Section 4.1]

4.2 In order to avoid duplication, quantities contained in manufactured products should not be

included in a country’s consumption, regardless of whether the end-products are imported or

exported. [è Box 2 on bulk substances on p. 9]

4.3 The data reported in accordance with the data forms will be used to determine the calculated lev-

els of production and consumption, upon which the control measures are based. It is, therefore,

crucial that data be provided separately for each individual substance listed in the forms.

4.4 When calculating consumption, the Montreal Protocol allows countries to deduct amounts of

ODS used for feedstock uses, exempted essential uses and for quarantine and preshipment appli-

cations. However, when reporting data, Parties should not deduct

these figures from their data.

The Secretariat will make the necessary deductions.

4.5 It should be noted that both paragraphs 1 and 2 of Article 7 of the Montreal Protocol provide that

the Parties may submit the best possible estimate of data for the base year if actual data are not

available. [for guidance on how to estimate data è Section 2.1.4]

4.6 Parties producing or consuming controlled substances for approved essential uses should also

report to the Secretariat using the form approved by decision VIII/9, paragraph 9.

4.7 Parties might import or export mixtures containing controlled substances. If this is the case, the

Parties should calculate the quantity of each substance in the mixtures and fill in the appropriate

quantities of those substances in the data form and not

the quantities of the mixtures. In case of,

for example, R-502 (HCFC-22 48.8%; CFC-115 51.2%), please report the quantity of the indi-

vidual controlled substances contained in the mixture by entering the appropriate data under each

controlled substance (e.g. R-502 should be reported as CFC-115 and HCFC-22). An illustrative

list of mixtures containing ODS with their compositions is given in section 11, pages 11-12

[pages 87-88]. For further information about the composition of other mixtures containing ODS,

please refer to the diskette data base reference tool known as the OAIC-DV MKV, circulated by

UNEP Industry and Environment OzonAction Programme, 39-43, Quai André Citröen, 75739,

Paris, Cedex 15, France, or refer to the OzonAction website at: http:www.unepie.org/ozonac-

tion.html.

4.8 The Montreal Protocol stipulates, under paragraph 4 of Article 7, that the requirements in respect

of statistical data on imports and exports shall be satisfied if a regional economic integration

organization provides data on imports and exports between the organization and States that are

not members of that organization. However, if any member of such an organization (the Euro-

pean Community) produces and exports substances to other Parties for exempted uses (e.g. feed-

stock, essential uses, quarantine and pre-shipment applications for methyl bromide), such mem-

bers should report these by completing the relevant columns in data form 2. This will enable the

Secretariat to deduct their exports for exempted purposes from their levels of production which

they report in data form 3.

Annex I

5. DEFINITIONS

5.1 “Consumption” means production plus imports minus exports of controlled substances (Montre-

al Protocol, Article 1).

5.2 “Controlled substance” means a substance in Annex A, Annex B, Annex C or Annex E to the Pro-

tocol, whether existing alone or in a mixture. It includes the isomers of any such substance except

as specified in the relevant Annex, but excludes any controlled substance or mixture (blend)

which is in a manufactured product other than a container used for the transportation or storage

of that substance (Montreal Protocol, Article 1).

5.3 “Destruction process” is one which, when applied to controlled substances, results in the perma-

nent transformation or decomposition of all or a significant portion of such substances (decisions

I/12F, IV/11, V/26 and VII/35).

5.4 “Production” means the amount of controlled substances produced, minus the amount destroyed

by technologies approved by the Parties and minus the amount entirely used as feedstock in the

manufacture of other chemicals. The amount recycled and reused is not to be considered as pro-

duction (Montreal Protocol, Article 1). The data forms prescribe reporting of feedstock use and

of quantities destroyed separately, and reporting of total production without deduction. The Sec-

retariat would make the necessary deduction.

5.5 The amounts recovered, reclaimed or recycled (or reused) is not to be considered as “Produc-

tion”, even though they are to be reported.

“Recovery, Recycling and Reclamation” have been defined by the Parties (Decision IV/24) as

follows:

(a) “Recovery”: The collection and storage of controlled substances from machinery, equip-

ment, containment vessels, etc., during servicing or prior to disposal;

(b) “Recycling”: The reuse of a recovered controlled substance following a basic cleaning

process such as filtering and drying. For refrigerants, recycling normally involves recharge

back into equipment. It often occurs “on-site”;

through such mechanisms as filtering, drying, distillation and chemical treatment in order to

restore the substance to a specified standard of performance. It often involves processing

“off-site” at a central facility.

Annex I

5.6 “Quarantine and preshipment applications” have been defined by the Parties (decision VII/5) as

follows:

(a) “Quarantine applications”, with respect to methyl bromide, are treatments to prevent the

introduction, establishment and/or spread of quarantine pests (including diseases), or to

ensure their official control, where:

(i) Official control is that performed by, or authorized by, a national plant, animal or envi-

ronmental protection or health authority;

(ii) Quarantine pests are pests of potential importance to the areas endangered thereby and

not yet present there, or present but not widely distributed and being officially con-

trolled.

(b) “Pre-shipment applications” are those treatments applied directly preceding and in relation

to export, to meet the phytosanitary or sanitary requirements of the importing country or

existing phytosanitary or sanitary requirements of the exporting country.

5.7 The Parties decided at their Fourth Meeting (Decision IV/14):

“To clarify Article 7 of the amended Protocol so that it is understood to mean that, in cases of

transshipment of controlled substances through a third country (as opposed to imports and sub-

sequent re-exports), the country of origin of the controlled substances shall be regarded as the

exporter and the country of final destination shall be regarded as the importer. Cases of import

and re-export should be treated as two separate transactions; the country of origin would report

shipment of the country of intermediate destination, which would subsequently report the import

from the country of origin and export to the country of final destination, while the country of final

destination would report the import.”

5.8 “The Parties decided at their Eighth Meeting (Decision VIII/14):

“To clarify decision I/12A of the First Meeting of the Parties as follows: trade and supply of

methyl bromide in cylinders or any other container will be regarded as trade in bulk in methyl

bromide.”

5.9 “Regional Economic Integration Organization” means an organization constituted by sovereign

States of a given region which has competence in respect of matters governed by the Vienna Con-

vention or its protocols and has been duly authorized, in accordance with its internal procedures,

to sign, ratify, accept, approve or accede to the instruments concerned. The only such organiza-

tion for the purpose of the Montreal Protocol is the European Community.

The Montreal Protocol stipulates, under paragraph 8(a) of Article 2, that any Parties which are

member States of a regional economic integration organization as defined above may agree that

they shall jointly fulfil their obligations respecting consumption provided that their total com-

bined calculated level of consumption under Articles 2, 2A and 2H of the Protocol does not

exceed the levels required by these Articles.

Annex I

6. INSTRUCTION I: Data on Imports of ODSs (Data Form 1)

6.1 For reporting data on imports of substances listed in Annex A (CFCs and halons), Annex B (other

fully halogenated CFCs, methyl chloroform and carbon tetrachloride), Annex C (HCFCs or

HBFCs) or Annex E (methyl bromide), please use data form 1.

6.2 In column 2 of Data Form 1, all substances of Annex A and Annex B (Groups II and III) have

been listed. For Annex B Group I (Other fully halogenated CFCs) and Annex C Group I

(HCFCs), only substances which have been reported by Parties in the past are listed. HBFCs have

already been phased out by all Parties and hence for HBFCs only one blank row has been pro-

vided as a formality. If you are importing controlled substances other than those listed, please use

the blank space to report data on these substances, and use additional pages, if necessary.

6.3 If your country imported mixtures (blends) of controlled substances, e.g. R-502 (HCFC-22

48.8%; CFC-115 51.2%), please report the quantity of the individual controlled substances con-

tained in the mixture by entering the appropriate data under each controlled substance (e.g. R-

502 should be reported as CFC-115 and HCFC-22). An illustrative list of mixtures with their

compositions is given in section 11 on pages 11-12 [pages 87-88]. For further information about

the composition of other mixtures, please refer to the diskette data base reference tool known as

the OAIC-DV MKV, circulated by UNEP Industry and Environment OzonAction Programme,

39-43, Quai André Citröen, 75739, Paris, Cedex 15, France, or refer to the OzonAction website

at: http://www.unepie.org/ozonaction.html.

6.4 Please enter the number of metric tonnes imported in column 3 of Data Form 1 for each substance

imported. If you did not import any of the substances listed, or if you have imported only recov-

ered or reclaimed substances, please enter zero (0) in column 3 for “New” for each substance. If

you imported any recovered or reclaimed substances, please enter the data in column 4. [è Sec-

tion 5.2 for information on calculated consumption]

6.5. When calculating a Party’s consumption, substances used as feedstock for the production of other

chemicals are exempted. Substances so used are completely transformed in the manufacturing

process of the new chemical. In reporting total quantities of new substances imported in column

3, the quantities imported for feedstocks, reported in column 5, should not be deducted.

Similar-

ly, the quantities imported for essential uses, reported in column 6, should not be deducted

. The

Secretariat will make the necessary deductions.

6.6 When calculating a Party’s consumption of methyl bromide, the quantities used for quarantine

and pre-shipment (QPS) applications are exempted. In data form 1, quantities of methyl bromide

imported for quarantine and preshipment applications should be entered separately at the bottom

of the form, and not deducted

from the total quantity imported. The Secretariat will make the nec-

essary deductions.

Annex I

7. INSTRUCTION II: Data on Export of ODSs (Data Form 2)

7.1. For reporting data on exports of substances listed in Annex A (CFCs and Halons), Annex B (other

fully halogenated CFCs, methyl chloroform and carbon tetrachloride), Annex C (HCFCs or

HBFCs) or Annex E (methyl bromide), please use data form 2.

7.2. The first column (“SUBSTANCES”) has been left blank because each Party may export differ-

ent substances. Please add the names and relevant information of only those substances being

exported by your country. [è Section 2.3 on how to collect exports data]

7.3. If your country exported mixtures (blends) of controlled substances, e.g. R-502 (HCFC-22

48.8%; CFC-115 51.2%), please report the quantity of the individually controlled substances con-

tained in the mixture by entering the appropriate data for each controlled substance (e.g. R-502

should be reported as CFC-115 and HCFC-22). An illustrative list of mixtures with their compo-

sitions is given in section 11 on pages 11-12 [pages 87-88]. For further information about the

composition of other mixtures, please refer to the diskette data base reference tool known as the

OAIC-DV MKV, circulated by UNEP Industry and Environment OzonAction Programme, 39-

43, Quai André Citröen, 75739, Paris, Cedex 15, France, or refer to the OzonAction website at:

http://www.unepie.org/ozonaction.html.

7.4. Decision VII/9, paragraph 4, requests the Parties to report on the destination of Annex A and

Annex B substances (new, recovered or reclaimed) that are exported. Fill in column 2 on the des-

tination of exports.

7.5. If your country is exporting new ODS, please provide in column 3 the quantity of metric tonnes

for the chemical(s) you exported. If you exported any recovered or reclaimed substances, please

enter the data in column 4.

7.6. When calculating a Party’s consumption, the Montreal Protocol does not include ODSs used as

feedstock for the production of other chemicals. ODSs so used are completely transformed in the

manufacturing process of new chemicals. On reporting in column 3 the total quantities of new

substances exported, the quantities exported to be used as feedstock reported in column 5, should

not be deducted. Similarly, the quantities exported for essential uses, reported in column 6,

should not be deducted

. The Secretariat will make the necessary deductions. [è Section 5.2 for

information on calculated consumption]

7.7 When calculating a Party’s consumption of methyl bromide, quantities used for quarantine and

preshipment (QPS) applications are exempted. In Data Form 2, quantities of Methyl Bromide

exported for quarantine and pre-shipment applications should be entered separately, and not

deducted from the quantity exported. The Secretariat will make the necessary deductions.

Annex I

8. INSTRUCTION III: Data on Production of ODSs (Data Form 3)

8.1. For reporting data on production of substances listed in Annex A (CFCs and Halons), Annex B

(other fully halogenated CFCs, methyl chloroform and carbon tetrachloride), Annex C (HCFCs

and HBFCs), or Annex E (methyl bromide), use data form 3.

8.2. In column 2 of data form 3, all substances in Annex A and Annex B, Groups II and III, have been

listed. For Annex B, Group I (other fully halogenated CFCs) and Annex C, Group I (HCFCs),

only substances which have been reported by Parties in the past are listed. HBFCs have already

been phased out by all Parties and hence for HBFCs only one blank row has been provided as a

formality. If you are producing controlled substances other than those listed, please use the blank

space to report data on these substances, or use additional pages, if necessary. [è Section 2.4 for

guidance on how to collect production data]

8.3. In column 3 of data form 3, please give the total

production of your country without making any

deductions for feedstock, destruction, export for feedstock uses, or any other use. The quantity of

production used for feedstock within

your country reported in column 4, and for essential uses

within your country reported in columns 5, should not be deducted

from the total production.

Similarly, production for supply to Article 5 Parties filled in the form in column 6, should not be

deducted from the total production. Please report exports of ODS to be used for feedstock by the

importing country in column 5 of data form 2 (Data on Exports) and not in data form 3 (this

form). The Secretariat will make the necessary deductions. [è Section 5.2 for calculated pro-

duction]

8.4. When calculating a Party’s consumption, the Montreal Protocol does not include ODS which is

used as a feedstock for the production of other chemicals. ODS so used is completely transformed

in the manufacturing process of the new chemical. If your country produced ODS for feedstock

use within the reporting period, please provide data on the quantity of each ODS produced for

feedstock purposes in column 4. [è Section 5.2 for information on calculated consumption]

8.5. Producers of Annex A and Annex B substances are allowed to produce additionally, 10 per cent

(prior to phase out) or 15 per cent (after phase out), of their base-year production to meet the

basic domestic needs of Parties operating under Article 5 paragraph 1. If your country produced

ODS for this purpose, please enter the amount so produced in column 6 on Data Form 3.

8.6. When calculating a Party’s consumption of methyl bromide, quantities produced for quarantine

and preshipment (QPS) applications are exempted. In data form 3, the total quantities of methyl

bromide produced for quarantine and preshipment applications should be entered separately at

the bottom of the form and not deducted

from the total quantity produced. The Secretariat will

make the necessary deduction.

Annex I

9. INSTRUCTION IV: Data on Destruction of ODSs (Data Form 4)

9.1. Very few countries have the capacity to destroy ODSs using approved destruction technologies

[è Annex IV for the list of approved destruction technologies]. If your country has destroyed any

of the substances listed in Annex A (CFCs and Halons), Annex B (other fully halogenated CFCs,

methyl chloroform and carbon tetrachloride), Annex C (HCFCs and HBFCs), or Annex E (methyl

bromide) in the reporting period, please use data form 4.

9.2. The first column (“SUBSTANCES”) has been left blank because each Party may destroy differ-

ent substances. Please list only the names of those substances destroyed in the reporting year.

9.3. When calculating a Party’s consumption, the Montreal Protocol does not include the amount of

substances destroyed, if destruction occurred through the use of a Protocol-approved technology.

If you have destroyed any substance in the reporting year, do not deduct

the quantity destroyed

reported in column 2 of Data Form 4 from the quantity produced reported in column 3 of Data

Form 3. The Secretariat will make the necessary deductions.

10. INSTRUCTION V: Data on Imports from and Exports to Non-Parties

(Data Form 5)

10.1 Please use Data Form 5 for reporting data on imports from and exports to non-Parties of sub-

stances of Annex A (CFCs and halons), Annex B (Other fully halogenated CFCs, methyl chloro-

form and carbon tetrachloride), Annex C (HCFCs and HBFCs) or Annex E (methyl bromide).

10.2. The first column “SUBSTANCES” has been left blank because each Party may import different

substances from and/or export different substances to non-Parties. Please fill in only the names

of those substances that were imported from and/or exported to non-Parties.

10.3. “Non-Party” means:

- With respect to Annex A substances, all countries that have not ratified the 1987 Montreal

Protocol.

- With respect to Annex B substances, all countries that have not ratified the London Amend-

ment.

- With respect to Annexes C and E substances, all countries that have not ratified the Copen-

hagen Amendment.

10.4 The status of ratification of the 1987 Montreal Protocol and of the London and Copenhagen

Amendments to the Montreal Protocol, can be found in a document published by the Secretariat

and updated four times a year. This information is also available on the website of the Ozone Sec-

retariat, at: http://www.unep.org/unep/secretar/ozone/ratif.htm.

Annex I

11. ILLUSTRATIVE LIST OF MIXTURES CONTAINING ODS*

11.1: Zeotrope Mixtures

No. Refrigerant Composition

Number

(Trade Name)

of Mixture

Component 1 Component 2 Component 3 Component 4

1 R401A (MP 39) HCFC22 53% HFC152a** 13% HCFC124 34%

2 R401B (MP 66) HCFC22 61% HFC152a** 11% HCFC124 28%

3 R401C (MP 52) HCFC22 33% HFC152a** 15% HCFC124 52%

4 R402A (HP 80) HFC125** 60% HC290** 2% HCFC22 38%

5 R402B (HP 81) HFC125** 38% HC290** 2% HCFC22 60%

6 R403A (69S) HC290** 5% HCFC22 75% FC218** 20%

7 R403B (69L) HC290** 5% HCFC22 56% FC218** 39%

8 R405A (G2015) HCFC22 45% HFC152a** 7% HCFC142b 6% C318 43%

9 R406A (GHG-12) HCFC22 55% HC600a** 4% HCFC142b 41%

10 R408A (FX10) HFC125** 7% HFC143a** 46% HCFC22 47%

11 R409A (FX56) HCFC22 60% HCFC124 25% HCFC142b 15%

12 R409B (FX 57) HCFC22 65% HCFC124 25% HCFC142b 10%

13 R411A (G2018A) HC1270** 2% HCFC22 88% HFC152a** 11%

14 R411B (G2018B) HC1270** 3% HCFC22 94% HFC152a** 3%

15 R412A (TP5R) HCFC22 70% FC218** 5% HCFC142b 25%

16 R414B(Hotshot) HCFC22 50% HCFC124 39% HCFC142b 9.5% HC600a** 1.5%

11.2: Azeotrope Mixtures

No. Refrigerant Number Composition

(Trade Name of Mixture

Component 1 Component 2

1 R500 CFC12 74% HFC152a** 26%

2 R501 HCFC22 75% CFC12 25%

3 R502 HCFC22 49% CFC115 51%

4 R503 HFC23** 40% CFC13 60%

5 R504 HFC32** 48% CFC115 52%

6 R505 CFC12 78% HCFC31 22%

7 R506 HCFC31 55% CFC114 45%

8 R507A (AZ50) HFC125** 50% HFC143a** 50%

9 R509 (TP5R2) HCFC22 46% FC218** 54%

* A more extensive list of trade names for mixtures and pure substances can be obtained from

UNEP TIE’s OzonAction Programme at Email address: [email protected], or at website:

http://www.unepie.org/ozonaction.html

** Not ozone-depleting substances.

Annex I

11.3: Unnamed Mixtures

No. Trade Name Composition

of Mixture

Component 1 Component 2 Component 3 Component 4

1 FX20 HFC125** 45% HCFC22 55%

2 FX55 HCFC22 60% HCFC142b 40%

3 D136 HCFC22 50% HCFC124 47% HC600a** 3%

4 Daikin Blend HFC23** 2% HFC32** 28% HCFC124 70%

5 FRIGC HCFC124 39% HFC134a** 59% HC600a** 2%

6 Free Zone HCFC142b 19% HFC134a** 79% Lubricant 2%

7 GHG-HP HCFC22 65% HCFC142b 31% HC600a** 4%

8 GHG-X5 HCFC22 41% HCFC142b 15% HFC227ca 40% HC600a** 4%

9 NARM-502 HCFC22 90% HFC152a** 5% HFC23** 5%

10 NASF-S-III* HCFC22 82% HCFC123 4.75% HCFC124 9.5% 3.75%

11.4: Methyl Bromide Mixtures

No. Trade Name of Mixture Composition

Component 1 Component 2

1 methyl bromide with chloropicrin** methyl bromide 67% chloropicrin 33%

2 methyl bromide with chloropicrin** methyl bromide 98% chloropicrin 2%

* A halon alternative

** Not ozone depleting substances.

Annex I

1. Fill in this form only if your country imported Data Form 1 UNEP/OzL.Pro/Dataform97

CFCs, HCFCs, halons, methyl chloroform, carbon

tetrachloride, or methyl bromide DATA ON IMPORTS

2. Please read Instruction I carefully in metric tonnes (not ODP tonnes)

before filling in this form.

Annexes A, B, C and E substances

Party : _________________________ Period : January Ð December 19 ___

ANNEX/GROUP SUBSTANCES TOTAL QUANTITY IMPORTED QUANTITY OF NEW QUANTITY OF NEW

FOR ALL USES SUBSTANCES IMPORTED SUBSTANCES IMPORTED

AS FEEDSTOCK FOR EXEMPTED ESSENTIAL

NEW RECOVERED AND USES

RECLAIMED

1 2 3 4 5 6

A-Group I CFC-11 (CFCl

)

CFC-12 (CFC

)

CFC-113 (C

)

CFC-114 (C

)

CFC-115 (C

Cl)

A-Group II HALON 1211 (CF

BrCl)

HALON 1311 (CF

Br)

HALON 2402 (C

)

B-Group I CFC-13 (CF

Cl)

B-Group II Carbon tetrachloride (CCl

)

B-Group III Methyl chloroform i.e. 1,1,1-

Trichloroethane (C

)

Annex I

Data Form 1 (continued) UNEP/OzL.Pro/Dataform97

ANNEX/GROUP SUBSTANCES TOTAL QUANTITY IMPORTED QUANTITY OF NEW QUANTITY OF NEW

FOR ALL USES SUBSTANCES IMPORTED SUBSTANCES IMPORTED

AS FEEDSTOCK FOR EXEMPTED ESSENTIAL

NEW RECOVERED AND USES

RECLAIMED

1 2 3 4 5 6

C-Group I HCFC-21 (CHFCl

)

HCFC-22 (CHF

Cl)

HCFC-31 (CH

FCl)

HCFC-123 (C

)

HCFC-124 (C

Cl)

HCFC-133 (C

Cl)

HCFC-141b (CH

CFCl

)

HCFC-142b (CH

Cl)

HCFC-225 (C

)

HCFC-225ca(CF

CHCl

)

HCFC-225cb

(CF

ClCF

CHClF)

C-Group II HBFCs

E-Group I Methyl bromide (CH

Br) Quantity of New Methyl

Bromide Imported to be

Used for Quarantine and

Preshipment Applications

Annex I

1. Fill in this form only if your country exported Data Form 2 UNEP/OzL.Pro/Dataform97

CFCs, HCFCs, halons, methyl chloroform,

or carbon tetrachloride. DATA ON EXPORTS

2. Please read Instruction II carefully in metric tonnes (not ODP tonnes)

before filling in this form.

Annexes A, B, C and E substances

Party : _________________________ Period : January Ð December 19 ___

SUBSTANCES COUNTRY OF TOTAL QUANTITY EXPORTED QUANTITY OF NEW QUANTITY OF NEW

DESTINATION FOR ALL USES SUBSTANCES EXPORTED SUBSTANCES EXPORTED

OF EXPORTS* AS FEEDSTOCK** FOR EXEMPTED ESSENTIAL

NEW RECOVERED AND USES

RECLAIMED

1 2 3 4 5 6

methyl bromide Quantity of New Methyl

(CH

Br) Bromide Exported to be

Used for Quarantine and

Preshipment Applications

* Applicable only to substances of Annexes A and B

** Do not deduct from total production in column 3 of data form 3 (data on production)

Annex I

1. Fill in this form only if your country produced Data Form 3 UNEP/OzL.Pro/Dataform97

CFCs, HCFCs, halons, methyl chloroform, carbon

tetrachloride, or methyl bromide DATA ON PRODUCTION

2. Please read Instruction III carefully in metric tonnes (not ODP tonnes)

before filling in this form.

Annexes A, B, C and E substances

Party : _________________________ Period : January Ð December 19 ___

ANNEX/GROUP SUBSTANCES TOTAL PRODUCTION PRODUCTION FOR EXEMPTED USES WITHIN PRODUCTION FOR SUPPLY

FOR ALL USES YOUR COUNTRY TO ARTICLE 5 COUNTRIES

IN ACCORDANCE WITH

Production for Feedstocks Production for Essential ARTICLES 2A - 2H AND 5

within your Country Uses within your Country

1 2 3 4 5 6

A-Group I CFC-11 (CFCl

)

CFC-12 (CFC

)

CFC-113 (C

)

CFC-114 (C

)

CFC-115 (C

Cl)

A-Group II HALON 1211 (CF

BrCl)

HALON 1311 (CF

Br)

HALON 2402 (C

)

B-Group I CFC-13 (CF

Cl)

B-Group II Carbon tetrachloride (CCl

)

B-Group III Methyl chloroform i.e. 1,1,1-

Trichloroethane (C

)

Annex I

Data Form 3 (continued) UNEP/OzL.Pro/Dataform97

ANNEX/GROUP SUBSTANCES TOTAL PRODUCTION PRODUCTION FOR EXEMPTED USES WITHIN PRODUCTION FOR SUPPLY

FOR ALL USES YOUR COUNTRY TO ARTICLE 5 COUNTRIES

IN ACCORDANCE WITH

Production for Feedstocks Production for Essential ARTICLES 2A - 2H AND 5

within your Country Uses within your Country

1 2 3 4 5 6

C-Group I HCFC-21 (CHFCl

)

HCFC-22 (CHF

Cl)

HCFC-31 (CH

FCl)

HCFC-123 (C

)

HCFC-124 (C

Cl)

HCFC-133 (C

Cl)

HCFC-141b (CH

CFCl

)

HCFC-142b (CH

Cl)

HCFC-225 (C

)

HCFC-225ca(CF

CHCl

)

HCFC-225cb

(CF

ClCF

CHClF)

C-Group II HBFCs

E-Group I Methyl bromide (CH

Br)

Total Quantity of New Methyl

Bromide Produced for

Quarantine and Pre-shipment

Applications within your

Country and for Export

Annex I

1. Fill in this form only if your country Data Form 4 UNEP/OzL.Pro/Dataform97

destroyed CFCs, HCFCs, halons, methyl

chloroform, carbon tetrachloride, or DATA ON QUANTITY OF SUBSTANCES DESTROYED

methyl bromide

2. Please read Instruction IV carefully in metric tonnes (not ODP tonnes)

before filling in this form.

Annexes A, B, C and E substances

Party : _________________________ Period : January Ð December 19 ___

SUBSTANCES QUANTITY DESTROYED

1 2

Annex I

1. Fill in this form only if your country imported or Data Form 5 UNEP/OzL.Pro/Dataform97

exported CFCs, HCFCs, halons, methyl

chloroform, carbon tetrachloride, or DATA ON IMPORTS FROM AND/OR EXPORTS

methyl bromide to Non-Parties. TO NON-PARTIES*

2. Please read Instruction IV carefully in metric tonnes (not ODP tonnes)

before filling in this form.

Annexes A, B, C and E substances

Party : _________________________ Period : January Ð December 19 ___

* See definiton of "Non-Parties" in Instruction V.

SUBSTANCES QUANTITY OF IMPORTS FROM NON-PARTIES QUANTITY OF EXPORTS TO NON-PARTIES

1 2 3

Annex II

Annex II: Data Forms for Reporting to the Fund Secretariat

This Annex contains the data forms to be used for annual reporting on progress of implemen-

tation of Country Programmes to the Fund Secretariat including instructions to be followed

when filling them. Separate forms are provided for past baseline years to enable presentation

of data for the calculation of the baseline consumption for Annex A (average of 1995-1997) and

Annex E (average of 1995-1998) substances. The forms are available in Microsoft Excel 5 on

diskette as well as in hard-copy form from the Secretariat. Alternatively, you may use copies

of the reporting formats reproduced below for reporting data to the Fund Secretariat.

The forms and corresponding instructions might be adapted in the future to changing needs

and circumstances. Please refer to the Fund Secretariat or your Implementing Agency or the

Regional Coordinators to receive the most recent version.

In addition to the Instructions provided below, please also read the general guidelines pro-

vided in Sections 4.1 and 4.3 before filling the forms. This will especially help you report data

in a consistent way to the Ozone and Fund Secretariats. The following is included in this Annex

[References to the Handbook in italics]:

• I. Instructions for Use with Electronic and Manual Versions of the Data Forms

• II. Instructions for Entering Data in the Electronic Format (Diskette Version)

• A. Progress of Implementation of Country Programmes: Data on Controlled Substances

• B. Progress of Implementation of Country Programmes: Data on Controlled Substances

for the Baseline Year 199x

• C. Implementation of Country Programmes: Administrative and Supportive Actions

(included for reasons of completeness)

Source: Multilateral Fund Secretariat as of August 1998.

Annex II

I. INSTRUCTIONS FOR USE WITH ELECTRONIC AND MANUAL

VERSIONS OF THE DATA FORMS

These data forms have been designed with the view to making the reporting of data to the Exec-

utive Committee on progress of implementation of Country Programmes easier. It is also

designed to facilitate the update of the data at any time e.g. following implementation or com-

pletion of projects that have impacts on the ODS consumption of the country or any time an

Ozone Office conducts an ODS survey. For many countries it should facilitate reporting of data

to the Ozone Secretariat as required under Article 7 of the Montreal Protocol.

1. For each sector enter data for controlled substances of the appropriate annex and group(s)

of chemicals only and skip all other not applicable, e.g. for “methyl bromide uses” skip

Annexes A-C chemicals.

2. Data should be provided in metric

tonnes and not in ODP tonnes. i.e. the data in metric

tonnes should not be multiplied by the ODP of the substance concerned. Conversion of the

data to ODP will be done by the Fund Secretariat.

3. Import, export and production data should be consistent with data reported to or to be

reported to the Ozone Secretariat. Where there is a discrepancy, please provide clarifica-

tion in a separate note (MS Word 6.0 or higher format). [

Sections 1.2 and 4.3 for fur-

ther guidance]

4. Methyl bromide uses should

not include quantities for preshipment, quarantine or feed-

stock applications.

5. Figures for consumption and production should not include quantities used as feedstock for

producing other chemicals or quantities destroyed.

6. Quantities contained in end-products either imported or exported e.g. mobile automobile

air conditioners (MACs), domestic refrigerators and freezers etc. should not be included in

the country’s import, export or consumption figures.

7. Baseline Data

(a) Annex A Substances:

For Annex A controlled substances baseline data is based on the average of the data for the

years 1995, 1996 and 1997. Hence the complete baseline data for Annex A substances

Annex II

should be available in 1998 following completion of the data form for 1997. If you have

not yet reported on Annex A substances for these years, please fill the respective data forms

and submit them to the Fund Secretariat.

(b) Annex B Substances:

For Annex B controlled substances baseline data is based on the average of the data for

1998, 1999 and 2000. Baseline data for Annex B substances will be obtained from data to

be provided for 1998 to 2000. Separate baseline data forms will not therefore be required.

For Annex E controlled substance (methyl bromide) baseline data is based on the average

of the data for 1995, 1996, 1997 and 1998. Therefore, baseline data for the Annex E sub-

stance is required for these years. As in the case of Annex A substances, please fill the

respective data forms and submit them to the Fund Secretariat, if you have not yet report-

ed on Annex E substance for any of the passed baseline years.

Annex II

II. INSTRUCTIONS FOR ENTERING DATA IN THE ELECTRONIC

FORMAT (DISKETTE VERSION)

1. The diskette has been formatted as three Microsoft Excel 5 files.

2. The first file is in English, the second in French and the third is in Spanish.

3. Only one file, in the language of your choice, needs to be completed for your country.

4. The Microsoft Excel 5 diskette is organized by Worksheets corresponding to years (cur-

rently from 1995 to 2000), or nature of information (administrative measures).

5. The titles in the column and row fields are “locked” and cannot be changed.

6. The sub-total and total fields are “locked” and update automatically once data is entered.

7. Data should be provided in metric

tons and not in ODP tonnes. The conversion to ODP

tonnes will be made by the Fund Secretariat.

8. As much as possible, the consumption data should be consistent with the data reported to

the Ozone Secretariat. Where there is a discrepancy, please provide clarification in a sepa-

rate note (MS Word 6.0 or higher format). [

Sections 1.2 and 4.3 for further guidance]

9. Any other additional information or comments may be provided separately.

10. Please fill in the sheets for the appropriate years (i.e. Sheet 1998 in 1999 and sheets on

baseline data if not yet submitted to the Fund Secretariat). Sheets for current and future

years require no immediate action. They are provided for future use.

11. When the diskette has been completed please return a copy to the Secretariat along with a

corresponding print-out, by 1 May of the year following the year to which the data belong

(i.e. filled Sheet 1998 should be submitted by 1 May 1999).

100

Annex II

WORKSHEET NUMBER AND TITLE REQUIRED ACTION

Sheet 1995 (Data on Controlled Substances 1. Enter Country field in the cell “XXXX”

January to December – 1995) (for baseline 2. Enter data in the cells of the table for

data) Annex A Group I (CFCs) Annex A

Group II (Halons) and Annex E (methyl

bromide) only. It is not required to enter

any data in the cells for Annex B and

Annex C (HCFCs). Ignore those cells.

Sheets 1996 (Data on Controlled Same as for Sheet 1995

Substances January to December –

1996) (for baseline data)

Sheet 1997 (Data on Controlled 1. Enter Country field in the cell “XXXX”

Substances January to December -1997) 2. Enter applicable data in the applicable

cells. All the Annexes should be taken

into account. These represent the current

data for all the controlled substances

used in the country in 1997.

Sheets 1998, 1999, and 2000 (Data on Same procedure as for Sheet 1997, when

Controlled Substances January to applicable

December -1998, 1999, and 2000,

as appropriate)

Sheet Aver (Averages 1995 – 1997) No action required – it will update

automatically upon completion of Sheets

1995, 1996 & 1997

Sheets Adm & Adm2 1. Enter country field in the cell “XXXX”

2. In the last three columns, enter “y” for

yes as appropriate in the three last

columns. No other action is required

(i.e. – leave blank for “no”).

101

102

Annex II

A. PROGRESS OF IMPLEMENTATION OF COUNTRY PROGRAMMES

Data on Controlled Substances

COUNTRY: YEAR: January to December 199.....

Consumption by Sector in Metric Tonnes

Substance

Aerosol Foam Fire Fighting Refrigeration Solvent Fumigation Other

TOTAL Import Export

Production

applications etc.

Annex A, Group I

CFC-11

CFC-12

CFC-113

CFC-114

CFC-115

Sub-Total

Annex

A, Group II

Halon 1211

Halon 1301

Halon 2402

Sub-Total

Annex B, Gr

oup II

Carbon Tetrachloride

Sub-Total

Annex B, Gr

oup III

Methyl Chloroform

Sub-Total

Annex C, Gr

oup I

HCFC-22

HCFC-141b

HCFC-142b

HCFC-123

OTHER

Sub-Total

Annex E

Methyl Bromide

Sub-Total

TOTAL

Where the data involves a blend of two or more substances, the quantities of individual components of controlled substances must be indicated separately,

e.g.: For R502 consisting of 51.2% CFC-115 and 48.8% HCFC-22, indicate the total quantity of each controlled substance (i.,e., CFC-115 and HCFC-22) in the appropriate row.

Indicate relevant sector, e.g. tobacco.

Where applicable

Indicate relevant controlled substance(s).

103

Annex II

B. PROGRESS OF IMPLEMENTATION OF COUNTRY PROGRAMMES FORM FS-C.P.2

Data on Controlled Substances for the Baseline Year

199x

COUNTRY:

Consumption by Sector in Metric Tonnes

Substance

Aerosol Foam Fire Fighting Refrigeration Solvent Fumigation Other

TOTAL Import Export

Production

applications etc.

Annex A, Group I

CFC-11

CFC-12

CFC-113

CFC-114

CFC-115

Sub-Total

Annex

A, Group II

Halon 1211

Halon 1301

Halon 2402

Sub-Total

Annex E

Methyl Bromide

Sub-Total

TOTAL

THIS FORM IS TO BE COMPLETED ONE TIME ONLY.

Where the data involves a blend of two or more substances, the quantities of individual components of controlled substances must be indicated separately,

e.g.: For R502 consisting of 51.2% CFC-115 and 48.8% HCFC-22, indicate the total quantity of each controlled substance (i.,e., CFC-115 and HCFC-11) in the appropriate row.

Indicate relevant sector, e.g. tobacco.

Where applicable

104

Annex II

C. IMPLEMENTATION OF COUNTRY PROGRAMMES FORM FS-C.P.3

ADMINISTRATIVE AND SUPPORTIVE ACTIONS

COUNTRY: YEAR: January to December 199.....

(Any comments concerning items can be put in on second page)

TYPE OF ACTION / LEGISLATION Action was proposed Action taken this Action is ongoing

in country year or ongoing for for longer than

programme less than 1 year 1year

1. REGULATIONS:

1.1 Establishing general guidelines to control import (production

and export)

of ODS

1.2 Requiring special permits for import or sale of bulk ODS

1.3 Requiring special permits for import or sale of products or

equipment containing ODS

Banning import or sale of bulk quantities of:

1.4 CFC-11

1.5 CFC-12

1.6 Halon 1211

1.7 Halon 1301

Banning import or sale of:

1.8 used CFC-containing domestic refrigerators or freezers

1.9 ODS-containing aerosols except those for essential uses such as MDI

1.10 automobiles containing mobile air conditioning equipment

using CFC-12

1.11 air conditioners and chillers using CFC

1.12 Requiring training of refrigeration service technicians

1.13 Requiring certification of refrigeration service technicians

1.14 Banning the use of ODS in production of some or all types of foam

Other Regulations

1.15

1.16

1.17

2. ESTABLISHMENT OF INSTITUTIONAL FRAMEWORK FOR MANAGEMENT

OF ODS PHASE-OUT (e.g. national/sectoral committees, working groups)

Where applicable

MDI: metered dose inhalers

105

Annex II

TYPE OF ACTION / LEGISLATION Action was proposed Action taken this Action is ongoing

in country year or ongoing for for longer than

programme less than 1 year 1year

3. ESTABLISHMENT OF PROCEDURES FOR CERTIFICATION OF SERVICE

TECHNICIANS

4. ESTABLISHMENT OF CHANNELS FOR PUBLIC INFORMATION ON ODS

CONTROL ACTIONS

5. MONITORING ACTIVITIES:

5.1 Establishment of a system for monitoring and monitoring of import,

(production, export)

and use of ODS

5.2 Establishment of monitoring and evaluation system for implementation

of MLF projects and monitoring/evaluation of MLF projects

5.3 Establishment of procedures for ODS data collection/update

and transmission/dissemination

5.4 Annual collection/update and transmission/disseminationof ODS data

5.5 Monitoring of recovery and recycling of ODS

5.6 Monitoring and evaluation of training activities

5.7 Establishment of product quality standards1, e.g.: “Ozone Seal”, “Green

Label”, etc.

5.8 Enforcement of product quality standards

6. OTHER

Where applicable

MDI: metered dose inhalers

107

Annex III

A B C D E F G H

I J K L M

(D+E) (C-F) (H+F) (I-J-L)

Year of Ozone- Amount Amount Amount Acquired for Total Authorised On Hand Available Used for Quantity Destroyed On Hand

Essential Depleting Exempted Acquired Essential Uses by Acquired but not Start of for Use in Essential Contained End of

Use Substance for Year of by Import and Country(s) for Essential Acquired Year Current Use in Products Year

Essential Production of Manufacture Use Year Exported

Use

Amount Country(s)

Annex III: Data Form for Reporting on Essential Uses

All quantities expressed in metric tonnes. Source: Handbook on Essential Use Nominations (1997).

National Governments may not be able to estimate quantities on hand as at 1 January 1996 but can track the subsequent inventory of ODS

produced for essential uses (Column M).

Carried forward as Òon hand start of the yearÓ for next year.

Note that essential use for a particular year may be the sum of quantities authorised by decision in more than one year.

Annex IV

Annex IV: Approved Destruction Processes

[Source: Annex VI of the report of the Fourth Meeting of the Parties, as subsequently

amended]

• Thermal oxidation category

✔ Liquid injection incineration [approved by Decision IV/11]

✔ Reactor cracking [approved by Decision IV/11]

✔ Gaseous/fume oxidation [approved by Decision IV/11]

✔ Rotary kiln incinerators [approved by Decision IV/11]

✔ Cement kilns [approved by Decision IV/11]

✔ Municipal solid waste incinerators (for foams containing ozone-depleting substances)

[approved by Decision V/26]

Note: These technologies are described in the report of the Ad Hoc Advisory Committee

on Destruction Technologies

• Plasma destruction category

✔ Radio frequency plasma destruction technology [approved by Decision VII/35]

109

Annex V

Annex V: ODP Values of the Most Important ODS

Only the ODP values of the most important ODS are listed below. Other ODS are rarely used

and thus of little significance for reporting and assessing compliance. For a complete list of

ODP values of controlled substances refer to the Annexes of the Montreal Protocol.

111

Substance Ozone-Depleting Potential

Annex A Group I

CFC-11 1.0

CFC-12 1.0

CFC-113 0.8

CFC-114 1.0

CFC-115 0.6

Annex A Group II

halon-1211 3.0

halon-1301 10.0

Halon-2402 6.0

Annex B Group I

CFC-13, CFC-111, CFC-112 1.0

CFC-211 Ð 217

Annex B Group II

Carbon Tetrachloride 1.1

Annex B Group III

Methyl Chloroform 0.1

Annex C Group I

HCFC-21 0.04

HCFC-22 0.055

HCFC-31 0.02

HCFC-123

0.02

HCFC-124

0.022

HCFC-133 0.06

HCFC-141b 0.11

HCFC-142b 0.065

HCFC-225 0.07

HCFC-225ca 0.025

HCFC-225cb 0.033

Annex E Group I

Methyl Bromide 0.6

Source: 1997 Update of the Handbook for the International Treaties for the Protection of the Ozone Layer, Montreal Proto-

col, Annexes A, B, C and E

Only the most commercially viable isomer is given.

Annex VI

Annex VI: About the UNEP TIE

OzonAction Programme

Nations around the world are concerned about the emissions of man-made CFCs, halons, carbon tetra-

chloride, methyl chloroform, methyl bromide and other ozone-depleting substances (ODS) that have

damaged the stratospheric ozone layer Ð a shield around the Earth which protects life from dangerous

ultraviolet radiation from the Sun. More than 160 countries have committed themselves under the Mon-

treal Protocol to phase out the use and production of these substances. Recognizing the special needs

of developing countries, the Parties to the Protocol also established a Multilateral Fund and appointed

implementing agencies to provide technical and financial assistance to enable the developing countries

to meet their commitments under the treaty. UNEP is one of the FundÕs implementing agencies; the oth-

ers are UNDP, UNIDO and the World Bank.

Since 1991, the UNEP TIE OzonAction Programme in Paris has been strengthening the capacity of

governments (especially National Ozone Units) and industry in developing countries to make informed

decisions on technology and policy options that will result in cost-effective ODS phase-out activities with

minimal external intervention. The Programme accomplishes this by delivering a range of need-based

services, including:

Information Exchange

to enable decision makers to take informed decisions on policies and investments. Information and

management tools already provided for developing countries include the OzonAction Information Clear-

inghouse (OAIC) diskette and World Wide Web site, a quarterly newsletter, sector-specific technical

publications for identifying and selecting alternative technologies, and policy guidelines.

Training and Networking

that provide platforms for exchanging experiences, developing skills, and tapping the expertise of peers

and other experts in the global ozone protection community. Training and network workshops build skills

for implementing and managing phase-out activities, and are conducted at the regional level (support

is also extended to national activities). The Programme currently operates seven regional and sub-

regional Networks of ODS Officers comprising more than 80 countries, which have resulted in member

countriesÕ taking early steps to implement the Montreal Protocol.

Country Programmes and Institutional Strengthening

that support the development of national ODS phase-out strategies and programmes, especially for

low-volume ODS-consuming countries. The Programme currently assists 74 countries in the develop-

ment of their Country Programmes and implements Institutional-Strengthening projects for 50 countries.

For more information about these services please contact:

UNEP TIE Ozonaction Programme

39-43 quai AndrŽ Citro‘n

75739 Paris Cedex 15

France

Tel: +33 1 44 37 14 50 Fax: +33 1 44 37 14 74

Email: [email protected]

http://www.unepie.org/ozonaction.html

113

UNEP

Annex VI

114

About UNEP Industry and Environment

UNEP established its Industry and Environment office (UNEP TIE) in 1975 to bring industry and government

together to promote environmentally-sound industrial development. UNEP TIE is located in Paris. Its goals are:

¥ to encourage the incorporation of environmental criteria in industrial development plans;

¥ to facilitate the implementation of procedures and principles for the protection of the environment;

¥ to promote preventive environmental protection through cleaner production and other pro-active approaches;

and

¥ to stimulate the exchange of information and experience throughout the world.

To achieve these goals, UNEP TIE has developed the following main programme elements: Accident Prevention

(APELL), Cleaner Production, Energy, OzonAction, Industrial Pollution Management and Tourism. UNEP TIE orga-

nizes conferences and seminars, and undertakes training and cooperative activities backed by regular follow-up

and assessment. To promote the transfer of information and the sharing of knowledge and experience, UNEP TIE

has developed three complementary tools: technical reports, the quarterly Industry and Environment review and a

technical query-response service.

Index

115

Index

amounts destroyed 3, 9, 10, 12-14, 17,

38, 39, 47, 49, 54-56, 63, 65, 66, 71, 78

Annex A 2, 8, 10, 13-16, 18, 19, 35, 37,

40, 47, 48, 51-54, 63-67, 72, 77, 79,

81, 83-86, 97-99, 101-103, 111

Annex B 2, 3, 8, 10, 11, 13-19, 27, 28,

31, 33, 35, 37, 40, 44, 45, 47-49, 51-

54, 63-65, 67, 68, 72, 77, 79, 81, 83-

86, 89, 91, 92, 94, 95, 97, 99, 101-103,

107, 111

Annex C 2, 3, 8, 10, 11, 14, 16, 19, 27,

31, 44, 45, 47-49, 51-53, 63, 65, 67,

77, 81, 83-86, 89-95, 97, 98, 101-104,

107, 111

Annex E 2, 8, 10, 11, 13-15, 19, 27, 37,

47, 48, 51-54, 62, 63, 65, 67, 68, 72,

77, 81, 83-86, 89-95, 97, 99, 101-103,

107, 111

Article 5 Parties 2, 3, 7, 13, 16-18, 20,

21, 29, 30, 37, 39, 45, 48, 49, 51, 52,

63-67, 69, 72, 78, 85, 92, 93

baseline data 14, 19, 30, 48, 51, 52, 55,

56, 63, 64, 97-101

basic domestic needs 13, 54, 64, 67, 78,

bulk chemicals 9, 10, 22-24, 33, 64, 65,

71, 72, 80, 82, 104

carbon tetrachloride 2, 3, 8, 11, 28, 33,

38, 44, 51, 62-64, 66, 76, 83-86, 89,

91, 92, 94, 95, 113

CFCs (chlorofluorocarbons) 2, 3, 8, 13,

17, 27, 28, 31, 44, 49, 51, 52, 63, 64,

66, 67, 72, 76, 77, 83-86, 89, 91, 92,

94, 95, 101, 113

consumption (data) 1-4, 15, 17-19, 21,

29-35, 37, 39, 43, 44, 46, 49, 51-53, 55,

56, 61, 63-67, 72, 80, 82-86, 97, 98, 100

consumption (use) 2-5, 17, 18, 20, 21,

29-35, 37, 42, 43, 49, 50, 64, 72

controlled substance(s) 2, 8, 9, 12, 13,

18, 20, 26-28, 33, 36, 39, 41, 43, 47,

53-55, 63-73, 78-85, 97-99, 101-103

Country Programme 2, 16, 19, 20, 32,

34, 48, 65, 69, 97, 98, 103, 104, 113

customs codes 25-28, 39, 40, 65, 71

destruction process/technology 10, 12,

13, 39, 47, 61, 63, 65, 77, 81, 85, 86,

109

essential use(s) 2, 10, 13, 13-15, 22, 24,

28, 35, 37, 38, 40, 46, 47, 54, 55, 66,

68, 79, 80, 83-85, 104, 107

estimates (of data) 5, 14, 23, 30, 33-35,

42, 39, 49, 63, 80, 107

exempted category 2, 4, 5, 10, 12, 20,

21, 28, 36, 38, 39, 54, 63, 65-67, 70,

71, 77

feedstock 10, 12, 14, 17, 22, 24, 28, 35,

37, 38, 40, 44, 47, 49, 54, 55, 64, 66,

71, 78-81, 83-85, 98

Fund Secretariat 1-3, 7, 16-19, 29-31,

43, 45, 46, 48, 49, 57, 64-66, 68, 69,

97-100

halons 2, 3, 8, 11, 15, 27, 28, 31, 38, 51-

53, 63, 66, 76, 78, 83-86, 88, 89, 91,

92, 94, 95, 101-103, 111, 113

Harmonised System (HS) 25-28, 67

HBFC 2, 3, 8, 16, 27, 31, 44, 49, 51, 52,

63, 67, 77, 83-86, 90, 93

HCFC 2, 3, 8, 23, 27, 28, 31, 33, 34, 36,

44, 49, 51-53, 63, 67, 72, 76-78, 83-

86, 89, 91, 92, 94, 95, 101

Index

116

Implementing Agency 3, 19, 32, 34, 35,

65, 97

increased production 10, 13, 15, 37, 38,

54, 66, 67

laboratory and analytical uses 13, 15,

40, 46, 54-56, 66, 68, 78

licensing system (for ODS imports/

exports) 5, 22-25, 29, 31, 32, 34-36,

39, 40, 43, 68

methyl bromide 2, 3, 8-10, 12, 17, 22,

23, 27, 28, 32, 33, 35-37, 39, 49, 51,

52, 54, 55, 63, 64, 70, 71, 76, 80, 82-

86, 88, 89, 91, 92, 94, 95, 98, 99, 101,

113

mixtures 22-24, 26-28, 31, 43, 45, 46, 64,

65, 68, 71, 72, 75, 80, 81, 83, 84, 87,

Multilateral Fund 1, 2, 3, 5, 7, 16, 17,

19, 30, 48, 57, 62, 64-67, 69, 97, 113

new substance(s) 10, 17, 22, 35, 39, 49,

56, 69, 83, 84

Non-Parties 9, 10, 11, 14, 17, 18, 22, 24,

26, 35, 47, 55, 69, 75-78, 86, 95

NOUs (National Ozone Units) 1-5, 7,

19, 24, 29, 32, 33, 39, 45, 57, 69, 70

ODP tons 3, 45, 53, 69

ozone depleting potential (ODP) 3, 45,

46, 48, 53, 69, 70, 80, 91, 92, 94, 95,

98, 100, 111

ozone depleting substances (ODS) 1-3,

7-19, 22-40, 43-49, 51, 53, 55, 61-72,

75, 78, 80, 84, 85, 87, 98, 104, 105,

107, 111, 113

Ozone Secretariat 1, 2, 5, 7-11, 13-18,

25, 37, 40, 43-47, 49, 52-57, 61, 65,

68, 70, 72, 75, 86, 98, 100

process agent 12, 15, 38-41, 47, 70

production (data) 1-5, 9-13, 15, 17, 18,

21, 30, 32, 33, 37, 38, 40, 44, 46, 47,

49, 51, 53-56, 61, 63-67, 71, 72, 77,

78, 80, 81, 83-85, 91, 98, 104, 105,

113, 114

pure substance(s) 22, 23, 65, 71, 87

quarantine & preshipment applications

(QPS) 10, 12, 14, 15, 17, 22, 24, 35,

37-40, 49, 54, 55, 66, 70, 71, 83-85

reclaimed substances 10, 12, 18, 23, 39,

47, 55, 69, 71, 73, 81, 83, 84, 89-91

recovered substances 10, 12, 18, 39, 47,

55, 69, 71, 73, 81, 83, 84, 89-91

recycled substances 13, 23, 69, 71-73,

78, 81

re-export 11, 18, 35, 36, 47, 49, 72, 73,

trade names 28, 29, 33, 62, 38, 72, 87,

transfer of production 37, 55, 56, 72

trans-shipment 36, 72

UNDP 19, 57, 59, 67, 73, 113

UNEP 1, 9, 15, 19, 27-29, 33, 57-59, 61,

62, 65, 67, 70, 72, 73, 78, 80, 83, 84,

87, 89, 90-95, 113, 114

UNIDO 19, 57, 59, 60, 67, 73, 113

used substances 10, 13, 18, 22, 24, 28,

35, 38, 39, 47, 66, 69, 71-73

World Bank 19, 44, 57, 60, 67, 73, 113