Guidance for responding to the Notice with respect to hydrofluorocarbons in bulk

Published in the Canada Gazette, Part I, on June 11^th, 2016

(PDF Format - 199 KB)

Table of Contents

• 1. Overview
  • 1.1 Purpose of the Notice
  • 1.2 Reportable substances
• 2. Who does the Notice apply to?
  • 2.1 Reporting criteria
  • 2.2 Exclusions
  • 2.3 Flowchart – Reporting Diagram
  • 2.4 Examples of how to determine whether the reporting criteria are met
  • 2.5 Do I manufacture?
  • 2.6 Do I import?
  • 2.7 Do I export?
  • 2.8 What is a mixture?
  • 2.9 What is a substance "in bulk"?
• 3. Information required
  • 3.1 Quantities
  • 3.2 End Use codes
  • 3.3 Information to which you may reasonably be expected to have access
• 4. Sections of the Notice to be completed
  • 4.1 Section 3 of Schedule 3
  • 4.2 Section 4 of Schedule 3
  • 4.3 Section 5(1) of Schedule 3
  • 4.4 Section 5(2) of Schedule 3
  • 4.5 Section 6 of Schedule 3
• 5. Request for confidentiality
• 6. Blind submission
• 7. Declaration of Stakeholder Interest
• 8. Declaration of Non-Engagement
• 9. Submission of voluntary information
• 10. Responding to the Notice
• 11. What if I need more time to comply with the Notice?
• 12. Contact information

This document provides guidance for responding to the Notice with respect to Hydrofluorocarbons in bulk (the Notice) published in the Canada Gazette, Part I: Vol. 150, No. 24 (PDF Format - 1 920 KB), on June 11, 2016 pursuant to paragraph 71(1)(b) of the Canadian Environmental Protection Act, 1999 (the Act). The document is available for guidance only and, in case of discrepancy between this document and the notice or the Act, the official versions of the notice and the Act take precedence.

1. Overview

1.1 Purpose of the Notice

The purpose of the notice is to assist Environment and Climate Change Canada in understanding the use of these substances and allow the department to assess the need for domestic control strategies as well as international actions under the Montreal Protocol on Substances that Deplete the Ozone Layer and the United Nations Framework Convention on Climate Change.

1.2 Reportable substances

Note that these substances are only reportable in bulk. See Section 2.9 for more information on bulk. Substances contained in manufactured items are not reportable. See section 2.2 for a list of all exclusions.

Hydrofluorocarbons that have the molecular formula C_nH_xF_(2n+2-x) in which 0 less than n less than 6 include, but are not limited to, the substances listed in the table below.

Table 1 Notes

[1]

CAS RN: Chemical Abstracts Service Registry Number. The Chemical Abstracts Service information is the property of the American Chemical Society and any use or redistribution, except as required in supporting regulatory requirements and/or for reports to the Government of Canada when the information and the reports are required by law or administrative policy, is not permitted without the prior written permission of the American Chemical Society.

[2]

Synonyms are provided to assist in identifying the substances subject to the notice. Other synonyms may also exist for the substances.

A non-exhaustive list of common mixtures and ASHRAE designations/trade names containing or used to identify a substance specified in Schedule 1 is provided in Table 2 as a reference.

Table 2 Notes

[1]

ASHRAE: American Society of Heating, Refrigeration and Air Conditioning Engineers. ASHRAE information is the property of the American Society of Heating, Refrigeration and Air Conditioning Engineers and any use or redistribution, except as required in supporting regulatory requirements and/or for reports to the Government of Canada when the information and the reports are required by law or administrative policy, is not permitted without the prior written permission of the American Society of Heating, Refrigeration and Air Conditioning Engineers.
© ASHRAE. 2010 ASHRAE Standard-34.

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2. Who does the Notice apply to?

2.1 Reporting criteria

To determine whether a company is required to respond, the following factors must be considered:

• Type of activity
• Calendar year
• Concentration
• Quantity
  • This is the quantity of the substance itself, and not the quantity of the product or mixture containing the substance.

The Notice applies to any person who, during the 2015 calendar year, satisfied any of the following criteria:

• Manufactured a total quantity greater than 100 kg of a substance set out in Schedule 1 of the notice.
• Imported a total quantity greater than 100 kg of a substance, in bulk, set out in Schedule 1 of the notice whether alone or in a mixture, at a concentration equal to or above 1% by weight (w/w%).
• Exported a total quantity greater than 100 kg of a substance, in bulk, set out in Schedule 1 of the notice whether alone or in a mixture, at a concentration equal to or above 1% by weight (w/w%).

2.2 Exclusions

The Notice does not apply to a substance set out in Schedule 1 that:

1. is in transit through Canada; or
2. is, or is contained in, a hazardous waste or hazardous recyclable material within the meaning of the Export and Import of Hazardous Waste and Hazardous Recyclable Material Regulations and that was imported in 2015 pursuant to a permit issued under those Regulations.

Additionally, the Notice does not apply to a substance set out in Schedule 1 that is contained in:

1. pre-charged equipment, including but not limited to mobile or stationary refrigeration systems, mobile or stationary air conditioning systems;
2. consumer aerosols;
3. foam products including but not limited to insulating foam materials, pre-blended polyols, pre-polymers, flexible foams used for packaging, cushioning, buoyancy, furniture;
4. fire suppression systems; or
5. fire extinguishing systems.

Note that manufactured items are not subject to the notice (e.g. refrigerators, freezers, vehicles, air conditioners, heat pumps, foams, aerosol spray cans fire suppression/extinguishing systems, and compressed air sprayers.).

2.3 Flowchart – Reporting Diagram

The following flowchart can be used to determine whether a company is required to respond to the Notice:

Figure 1. Reporting Diagram for hydrofluorocarbons in bulk

2.4 Examples of how to determine whether the reporting criteria are met

1. Company meets the reporting criteria:
   • If during the 2015 calendar year, your company imported 20 000 kg of Mixture X in cylinders (in bulk) that contains 1% of a reportable substance, then 200 kg of the substance was imported. The reporting criteria are met because the concentration is equal to 1% and the quantity is greater than 100 kg.
   • If during the 2015 calendar year, your company imported 3 000 kg of Mixture Y in drums (in bulk) that contains 11% of a reportable substance, then 330 kg of the substance was imported. The reporting criteria are met because the concentration is greater than 1% and the quantity is greater than 100 kg.
   • If during the 2015 calendar year, your company exported 500 kg of Mixture X in drums (in bulk) that contains 10% of a reportable substance and 300 kg of Mixture Y in drums (in bulk) that contains 50% of the same reportable substance, then 200 kg of the substance was exported. The reporting criteria are met because the concentration is greater than 1% (in both mixtures) and the quantity is greater than 100 kg.
2. Company does not meet the reporting criteria:
   • If during the 2015 calendar year, your company imported 20 000 kg of Mixture X in bulk that contains 0.9% of a reportable substance, then 180 kg of the substance was imported, but the reporting criteria are not met because the concentration is less than 1%.
   • If during the 2015 calendar year, your company exported 4 000 kg of Mixture X in bulk that contains 2% of a reportable substance, then 80 kg of the substance was exported. The reporting criteria are not met because the total quantity is less than 100 kg.
   • If during the 2015 calendar year, your company imported 4 000 kg of Mixture X in bulk that contains 2% of a reportable substance and 8 000 kg of Mixture Y in bulk that contains 0.9% of the same reportable substance, then 80 kg at a concentration of 2% and 72 kg at a concentration of 0.9% of the substance in bulk were imported, respectively. The reporting criteria are not metbecause the quantity of the substance in Mixture Y is not reportable, since the concentration is less than 1%, and the quantity of the substance in Mixture X is less than 100 kg.
   • If during the 2015 calendar year, your company imported 80 kg of a reportable substance in bulk, the reporting criteria is not met because the total quantity is less than 100 kg both calendar years.
   • If during the 2015 calendar year, your company manufactured 80 kg of a reportable substance, the reporting criteria is not met because the total quantity is less than 100 kg.

2.5 Do I manufacture?

Manufacture relates to the creation or production of the substance itself, and not to the manufacture of a mixture or product containing the substance.

Manufacture includes to produce or to prepare a substance.

2.6 Do I import?

Import relates specifically to the movement into Canada from another country of any substance identified in the Notice in bulk, whether alone or in a mixture that contains such a reportable substance. This includes a reportable substance that is part of the “heel” quantity (i.e. the residual quantity left in a container after it has been emptied).

If you are aware that an imported mixture or blend contains a substance described in the Notice, you are required to report on this substance if you meet the reporting criteria. You are required to provide information that your company possesses or to which your company may reasonably be expected to have access (more information on this topic is presented in section 3.3 of this guidance document).

For the purpose of the Notice, possible situations where you are considered to have “imported” include, but are not limited to, the following examples:

• You are an individual, company or other person in Canada who ordered or purchased, from a foreign supplier, a substance set out in Schedule 1 to the notice, or a mixture containing such a substance that was shipped directly from a foreign source to an address in Canada (including a distribution warehouse).
• You are an individual, company or other person in Canada who received a substance set out in Schedule 1 to the Notice, or a mixture containing such a substance as an internal company transfer from a foreign source.

Your activities do not meet the definition of “import” if you purchased or received a reportable substance or a mixture, containing a reportable substance that was already located in Canada.

2.7 Do I export?

Export relates specifically to the movement out of Canada to another country of any substance in bulk set out in Schedule 1 to the Notice or any mixture that contains such a reportable substance.

If you are aware that an exported mixture contains a substance set out in the Notice, you are required to report on this substance if you meet the reporting criteria. You are required to provide information that your company possesses or to which your company may reasonably be expected to have access (more information on this topic is presented in section 3.3 of this guidance document).

Your activities do not meet the definition of “export” if:

• You sold or shipped a reportable substance or a mixture containing a reportable substance within Canada only or that was already located outside of Canada at the time of sale or shipment.
• You are exporting the heel quantity of a reportable substance or of a mixture containing a reportable substance (i.e. the residual quantity left in a container after it has been emptied).

2.8 What is a mixture?

A mixture is a combination or blend of substances that does not produce a substance that is different from the substances that were combined. For the purposes of the Notice, mixtures include, but are not limited to, the following examples:

• a refrigerant mixture made up of two or more substances,
• prepared formulations, and
• reaction mixtures that are characterized in terms of their constituents.

Section 1.2 of this document provides a non-exhaustive list of common mixtures and their ASHRAE designations/trade names.

2.9 What is a substance "in bulk"?

"In bulk" refers to a substance, whether alone or in a mixture, that is in a container intended for transportation or storage (e.g. rail tank cars, road tankers, cylinders and drums).

Data reporting is only required on bulk HFCs and not on HFCs contained in pre-charged equipment, products and manufactured items. As per Decision I/12A under the Montreal Protocol, “bulk substance” refers to a substance or mixture of substances that is not contained in a manufactured item such as refrigerators, freezers, vehicles, air conditioners, heat pumps, foams (including two-component spray foams), aerosol spray cans, compressed air sprayers and fire suppression/extinguishing systems. For other examples, see Section 2.2- Exclusions.

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3. Information required

The type of information required in the Notice includes:

• Quantity of the substance manufactured, imported or exported in 2015
• Concentration
• End Use Codes

3.1 Quantities

Within the Notice, it is necessary to report the total quantities of substances or mixtures that were manufactured, imported, or exported during the 2015 calendar year, as follows:

• All quantities should be reported in kilograms (kg), rounded to two significant digits. For example:
  • 0.0368 should be reported as 0.037
  • 541 231 should be reported as 540 000
  • 831.29 should be reported as 830
• The quantities reported in the Notice must be for the reportable substance itself or the mixture itself depending on the section in the Notice you are completing.

3.2 End Use Codes

The following End Use Codes must be used when completing Section 6 of the Notice.

It is important to note that codes with the application description of "Other (specify) " must only be used when there is no existing code match for the application. When selecting this code, a written description of the application must be provided, and the description should be as clear and concise as possible.

3.3 Information to which you may reasonably be expected to have access

You are required to provide information that your company possesses or to which you may reasonably be expected to have access. For example, when importing a substance or a mixture, you may reasonably be expected to have access to import records and the relevant Safety Data Sheet (SDS). A SDS is an important source of information on the composition of a purchased product. Note that the goal of the SDS is to protect the health of the workers, not the environment. Therefore, a SDS may not list all product ingredients on which the Minister of the Environment and Climate Change is requiring information under the Notice. You may wish to contact your supplier for more detailed information on product composition. Manufacturers would be reasonably expected to have access to their formulations.

Also, a company may have access to information from its parent company regarding substances and mixtures.

You are not required to conduct tests to comply with the Notice.

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4. Sections of the Notice to be completed

If a person meets the reporting criteria, they must respond to the Notice by completing the sections of Schedule 3 applicable to their activity.

Information provided in response to the Notice should be with respect to the involvement with a substance set out in Schedule 1, in bulk only, whether alone or in a mixture.

If you are a company who owns more than one facility, then you must respond to the Notice on a company-wide basis, and your response for each applicable question in the Notice should be an amalgamated response to include information from all facilities owned by the company.

4.1 Section 3 of Schedule 3

For each substance set out in Schedule 1 that a person manufactured, imported or exported alone, during the 2015 calendar year, for which the criteria set out in Schedule 2 have been met, the person shall provide the following information:

• each available identifier of the substance:
  1. CAS RN;
  2. Name; or
  3. Synonym; and
• the total quantity of the substance that was manufactured, imported into Canada or exported from Canada, reported in kilograms (rounded to two significant digits).

Example 1:

In 2015, you imported 1 000 kg, of HFC-152a (CAS RN 75-37-6) in bulk, to be used as an aerosol propellant.

4.2 Section 4 of Schedule 3

For each substance set out in Schedule 1 that a person imported or exported in a mixture designated by a specific ASHRAE number (R-#), during the 2015 calendar year, for which the criteria set out in Schedule 2 have been met, the person shall provide the following information:

• the year of reference;
• the ASHRAE number (R-#) of the mixture containing the substance(s) set out in Schedule 1; and
• the total quantity of the mixture containing the substance(s) that was imported into Canada or exported from Canada, reported in kilograms (rounded to two significant digits).

Example 2:

In 2015, you imported different HFCs in bulk: 4 000 kg of R-407c and 2 000kg of R-410a, for use in air-conditioning systems.

4.3 Section 5(1) of Schedule 3

For each substance set out in Schedule 1 that a person imported or exported in a mixture not designated by a specific ASHRAE number (R-#), during the 2015 calendar year, for which the criteria set out in Schedule 2 have been met, the person shall provide the following information:

• each available identifier of the mixture, not designated by a specific ASHRAE number (R-#), containing the substance(s):
  1. Name;
  2. Common or generic name; or
  3. Synonym; and
• the total quantity of the mixture containing the substance(s) that was imported into Canada or exported from Canada, reported in kilograms (rounded to two significant digits).

Example 3.1:

In 2015, you imported 5 000 kg of a mixture in bulk of different types of HFCs for end-use in foams (Mixture A) that does not have an ASHRAE number designation; the 5 000 kg mixture contains HFC-245fa (CAS RN 460-73-1) at a concentration of 3% and HFC-365mfc (CAS RN 406-58-6) at a concentration of 10%.

In 2015, you also imported 3 000 kg of a mixture in bulk of different types of HFCs for end-use in commercial refrigeration (Mixture B) that does not have an ASHRAE number designation; the 3 000 kg mixture contains HFC-134a (CAS RN 811-97-2) at a concentration of 60% and HFC-125 (CAS RN 354-33-6) at a concentration of 18%.

4.4 Section 5(2) of Schedule 3

For each mixture identified in Section 5, paragraph (1)(a), the person shall provide the following information:

• One of the identifiers of the mixture provided in paragraph 1(a);
• each available identifier of the substance(s) set out in Schedule 1 contained in the mixture, at a concentration equal to or above 1 % by weight (w/w %):
  1. CAS RN;
  2. Name; or
  3. Synonym; and
• for each substance listed in paragraph 5(2)(b), the concentration, or range of concentrations, by weight (w/w%) in the mixture.

Example 3.2 (continued from example 3.1):

4.5 Section 6 of Schedule 3

For each substance in bulk set out in Schedule 1 that that a person manufactured or imported, whether alone or in a mixture, during the 2015 calendar year, for which the criteria set out in Schedule 2 have been met, the person shall provide the following information:

• the CAS RN of the substance or the ASHRAE number (R-#) or name of the mixture; and
• the End Use Code(s) set out in section 7 of the Notice (or section 3.2 of this document), that apply to the known or anticipated final use of the substance or  mixture.

Note that where End Use Code 1.5, 2.4, 3.4, 4.4, 5.5, 6.5, 7.5, 8.3, 9.3 or 999 is applicable for paragraph (1)(b), a written description must be provided.

Example 4:

In 2015, you imported the pure substance HFC-134a (CAS RN 811-97-2), an ASHRAE mixture R404 and another mixture HFC-125/134a 25/75, all three in bulk, for use in residential and commercial air conditioning manufacture.

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5. Request for confidentiality

Pursuant to section 313 of the Act, any person who provides information in response to the Notice may submit, with the information, a written request that it be treated as confidential. A request for confidentiality may be submitted for all or part of the information provided.

A request should only be made for information that is truly confidential.

When submitting a request for confidentiality, the following criteria should be considered:

• the information is confidential to your company and has consistently been treated as such by your company;
• your company has taken, and intends to continue to take, measures that are reasonable in the circumstances to maintain the confidentiality of the information;
• the information is not, and has not been, reasonably obtainable by third persons by use of legitimate means, except with the consent of your company;
• the information is not available to the public;
• disclosure of the information may reasonably be expected to cause substantial harm to the competitive position of your company; or
• disclosure of the information may reasonably be expected to result in a material financial loss to your company or a material financial gain to your company's competitors.

Upon receipt of a request for confidentiality under section 313 of the Act, in relation to information submitted pursuant to the Notice, the Minister of the Environment and Climate Change shall not disclose that information, except in accordance with the law.

Any person who provides information in response to the Notice, and requests that the information be treated as confidential is encouraged to include a rationale indicating the reason for requesting confidentiality. The rationale is requested for each substance on which the person has reported in their response to the Notice. The rationale can be provided by selecting at least one of the following criteria that applies to the information identified as confidential:

1. it is a trade secret of the submitter;
2. it is information of a financial, commercial, scientific or technical nature that is treated consistently in a confidential manner by the submitter;
3. its disclosure could reasonably be expected to result in material financial loss or gain to, or could reasonably be expected to prejudice the competitive position of the submitter; or
4. its disclosure could reasonably be expected to interfere with contractual or other negotiations of the submitter.

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6. Blind submission

A "Blind Submission" is a two-part submission where customers and their suppliers collaborate to meet the obligation to respond to the Notice.

The customer responds to the Notice, completing as much information as they can.  If customers do not possess some information, they may ask their suppliers if the mixtures they purchase contain substances set out in Schedule 1 to the Notice.

Suppliers looking to protect their formulations as confidential business information may be reluctant to provide the information to their customers. In this case, the customer submits all information in their possession and the supplier submits the remainder of the information directly to the Substances Management Coordinator, to complete the submission. A cover letter or note should be provided with each submission indicating that the supplier's submission completes the customer's submission.

If a supplier knows/suspects that a customer should report, based on quantities purchased, the supplier may choose to inform the customer of this.

Example 5:

During 2015, Company A imported Mixture 123 in bulk into Canada from Company B. Company A follows up with Company B to obtain information on the composition of Mixture 123 to determine whether any substance set out in Schedule 1 is present in Mixture 123.  Company B confirms that Mixture 123 contains a substance set out in Schedule 1 to the notice and that based on the total quantity of Mixture 123 sold to Company A in 2015, Company A would meet the reporting criteria outlined in Schedule 2 to the notice for that reportable substance.  However, Company B is reluctant to share their product composition information with Company A which would identify a substance set out in Schedule 1 is contained in Mixture 123, since their formulation is confidential.

Company A can submit a "Blind Submission" jointly with Company B, in which:

• Based on information in their possession, Company A responds to the Notice providing as much information as they can (e.g., the quantity of Mixture 123imported in 2015, the end use code).  Along with their submission, Company A should provide a cover letter to clearly explain the situation and identify Company B as their direct foreign supplier.
• Company B provides the confidential information required to complete Company A's submission directly to the Substances Management Coordinator (e.g., the CAS RN, substance name, concentration of the reportable substance in Mixture 123). Along with their submission, Company B should provide a cover letter to clearly indicate that their information is confidential and that it completes Company A's submission.

The Substances Management Coordinator makes the necessary connection between the two submissions in order to complete the submission of Company A, while keeping all information confidential.

Please note that blind submissions cannot be submitted online via Environment and Climate Change Canada's Single Window. For further information on how to submit a blind submission, contact the Substances Management Information Line (see section 12 of this document).

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7. Declaration of Stakeholder Interest

Persons not subject to the Notice, but who have a current or future interest in a substance set out in Schedule 1 of the Notice, are encouraged to identify themselves as a “stakeholder” for the substance by completing the voluntary Declaration of Stakeholder Interest using the online reporting system via Environment and Climate Change Canada's Single Window. The online reporting system is available from the Chemical Substances Web site.

Interested stakeholders may be contacted for further information regarding their interest in these substances. When completing the declaration, you should:

• identify the substance(s) of interest to you, and
• specify your activity or potential activity with the substance(s) (e.g., import or manufacture)

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8. Declaration of Non-Engagement

Persons who do not meet the requirements to respond to the Notice and have no commercial interest in the substances covered by the Notice may submit a Declaration of Non-Engagement for the Notice using the online reporting system via Environment and Climate Change Canada's Single Window. The online reporting system is available from the Chemical Substances Web site.

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9. Submission of voluntary information

Interested stakeholders are encouraged to submit additional information that is deemed beneficial on any of the reportable substances voluntarily, through a Declaration of Stakeholder Interest using the online reporting system via Environment and Climate Change Canada's Single Window. The online reporting system is available from the Chemical Substances Web site.

For example, if you did not have activity with a substance in 2015, but had activity in alternate calendar years, you are encouraged to provide information deemed beneficial for the alternate calendar years voluntarily by completing a Declaration of Stakeholder Interest.

When providing voluntary information, please clearly indicate that the information is voluntary and provide the calendar year for which it applies.

This information will help the Government of Canada improve decision making for these substances and ensure all activities are considered before moving forward with further actions regarding these substances.

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10. Responding to the Notice

Responses to the Notice must be provided no later than August 10, 2016, 3 p.m. Eastern Daylight Saving Time, using the online reporting system available through Environment and Climate Change Canada’s Single Window available from the Chemical Substances Web site.

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11. What if I need more time to comply with the Notice?

If you require more time to comply with the Notice, you may submit a request in writing for an extension of time. The request should include the CAS RN of the substance(s) on which information will be reported and the reason for the request.

It is important to note that you must request an extension of time before the August 10, 2016, 3 p.m. Eastern Daylight Saving Time deadline. No extensions will be granted after the deadline has expired. It is recommended that any request for an extension be submitted at least five (5) business days before August 10, 2016, 3 p.m. Eastern Daylight Saving Time, so that a request can be processed by the Minister of the Environment and Climate Change before expiry of the deadline.

Requests for an extension of time should be sent to the Minister of the Environment and Climate Change, to the attention of:

Substances Management Coordinator
Chemicals Management Plan
Gatineau QC, K1A 0H3
eccc.substances.eccc@canada.ca

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12. Contact information

Inquiries concerning the Notice may be directed to the following numbers or email address:

• Telephone: 1-800-567-1999 (Toll-free in Canada) or 819-938-3232 (Outside of Canada)
• Email: eccc.substances.eccc@canada.ca(Indicate in the subject line "HFCs Inquiry")