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Billing Code: 3510-33-P
DEPARTMENT OF COMMERCE
Bureau of Export Administration
15 CFR Parts 710 through 722
[Docket No. 990611158-9311-02]
RIN 0694-AB06
Chemical Weapons Convention Regulations
PART 714 - ACTIVITIES INVOLVING SCHEDULE 3 CHEMICALS
Authority: 22 U.S.C. 6701 et seq.; E.O. 13128, 64 FR 36703.
§714.1 Declaration on past production of Schedule 3 chemicals for chemical weapons purposes.
(a) See §711.6 of this subchapter for information on obtaining the forms you will need to declare and report activities involving Schedule 3 chemicals.
(b) You must complete the Certification Form, Forms 3-1, 3-2, 3-4, Form A if you produced at one or more plants on your plant site any quantity of a Schedule 3 chemical at any time since January 1, 1946, for chemical weapons purposes. Form B is optional. You must declare the total quantity of such chemical produced, rounded to the nearest tenth of a metric ton (or 100 kilograms). You are not subject to routine inspection unless you are a declared facility pursuant to §714.2.
§714.2 Initial and annual declaration requirements for plant sites that produce a Schedule 3 chemical in excess of 30 metric tons.
(a) Declaration of production of Schedule 3 chemicals for purposes not prohibited by the CWC.
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(1)Production quantities that trigger the declaration requirement. You must complete the appropriate forms specified in paragraph (b) of this section if you have produced or anticipate producing a Schedule 3 chemical as follows:
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(i) Initial declaration. You produced at one or more plants on your plant site in excess of 30 metric tons of any single Schedule 3 chemical during calendar year 1996.
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(ii) Annual declaration on past activities. You produced at one or more plants on your plant site in excess of 30 metric tons of any single Schedule 3 chemical during the previous calendar year, beginning with 1997.
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(iii) Annual declaration on anticipated activities. You anticipate that you will produce at one or more plants on your plant site in excess of 30 metric tons of any single Schedule 3 chemical in the next calendar year.
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(2) Mixtures containing a Schedule 3 chemical.
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(i) The quantity of a Schedule 3 chemical contained in a mixture must be counted for declaration purposes only if the concentration of the Schedule 3 chemical in the mixture is 80% or more by volume or by weight, whichever yields the lesser percent.
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(ii) Counting the amount of the Schedule 3 chemical in a mixture. If your mixture contains 80% or more concentration of a Schedule 3 chemical, you must count only the amount (weight) of the Schedule 3 chemical in the mixture, not the total weight of the mixture.
(b) Types of declaration forms to be used
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(1) Initial declaration. You must complete the Certification Form and Forms 3-1, 3-2, 3-3, and Form A if you produced at one or more plants on your plant site in excess of 30 metric tons of any single Schedule 3 chemical during calendar year 1996. Form B is optional.
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(2) Annual declaration on past activities. You must complete the Certification Form and Forms 3-1, 3-2, 3-3, and Form A if one or more plants on your plant site produced in excess of 30 metric tons of any single Schedule 3 chemical during the previous calendar year, beginning with production during calendar year 1997. Form B is optional.
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(3) Annual declaration on anticipated activities You must complete the Certification Form, and Forms 3-1 and 3-3 if you anticipate that you will produce at one or more plants on your plant site in excess of 30 metric tons of any single Schedule 3 chemical in the next calendar year.
(c) Quantities to be declared.
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Production of a Schedule 3 chemical in excess of 30 metric tons. If your plant site is subject to the declaration requirements of paragraph (a) of this section, you must declare the range within which the production at your plant site falls (30 to 200 metric tons, 200 to 1,000 metric tons, etc.) as specified on Form 3-3. When specifying the range of production for your plant site, you must aggregate the production quantities of all plants on the plant site that produced the Schedule 3 chemical in amounts greater than 30 metric tons. You must complete a separate Form 3-3 for each Schedule 3 chemical for which production at your plant site exceeds 30 metric tons.
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(2) Rounding. To determine the production range into which your plant site falls, add all the production of the declared Schedule 3 chemical during the calendar year from all plants on your plant site that produced the Schedule 3 chemical in amounts exceeding 30 metric tons, and round to the nearest ten metric tons.
(d) "Declared" Schedule 3 plant sites. A plant site that comprises at least one plant that produced in excess of 30 metric tons of a Schedule 3 chemical during the previous calendar year, or that you anticipate will produce more than 30 metric tons of a Schedule 3 chemical in the next calendar year, is a "declared" Schedule 3 plant site. A plant site that submitted an initial declaration for 1996 and/or annual declaration on past activities for 1997 or 1998 is a "declared" Schedule 3 plant site for the years declared.
(e) Routine inspections of declared Schedule 3 plant sites. A "declared" Schedule 3 plant site is subject to routine inspection by the Organization for the Prohibition of Chemical Weapons (see part 716 of this subchapter) if the declared plants on your plant site produced during the previous calendar year or you anticipate they will produce during the next calendar year in excess of 200 metric tons aggregate of any Schedule 3 chemical. A plant site that submitted an initial declaration for 1996 and/or an annual declaration on past activities for 1997 or 1998, and exceeded the inspection threshold, is also subject to a routine inspection.
§714.3 Initial and annual report requirements for exports and imports of Schedule 3 chemicals.
(a) Any person subject to the CWCR that exported from or imported to the United States a Schedule 3 chemical in excess of 30 metric tons in any calendar year, beginning with calendar year 1996, has a reporting requirement under this section.
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(1) Initial report on exports and imports. Declared plant sites, undeclared plant sites, trading companies, and any other person subject to the CWCR that exported from or imported to the United States in excess of 30 metric tons of a Schedule 3 chemical in calendar year 1996 must submit an initial report on exports and imports.
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(2) Annual report on exports and imports. Declared plant sites, undeclared plant sites, trading companies, and any other person subject to the CWCR that exported from or imported to the United States in excess of 30 metric tons of a Schedule 3 chemical in a previous calendar year, beginning with calendar year 1997, must submit an annual report on exports and imports.
Note 1 to paragraphs (a)(1) and (a)(2). Declared and undeclared plant sites must count, for report purposes, all exports from and imports to the entire plant site, not only from or to individual plants on the plant site.
Note 2 to paragraphs (a)(1) and (a)(2): The U.S. Government will not submit to the OPCW company-specific information relating to the export or import of Schedule 3 chemicals contained in reports. The U.S. Government will add all export and import information contained in reports to establish the U.S. national aggregate declaration on exports and imports.
(3) Mixtures containing a Schedule 3 chemical. The quantity of a Schedule 3 chemical contained in a mixture must be counted for reporting an export or import only if the concentration of the Schedule 3 chemical in the mixture is 80% or more by volume or by weight, whichever yields the lesser percent. For reporting purposes, only count the weight of the Schedule 3 chemical in the mixture, not the entire weight of the mixture.
Note to paragraph (a)(3). The "80% and above" mixtures rule applies only for report purposes. This rule does not apply for purposes of determining whether the export of your mixture to a non-State Party requires an End-Use Certificate or for determining whether you need an export license from the Department of Commerce (see 15 CFR 742.2, 742.18 and 745.2 of the Export Administration Regulations) or from the Department of State (see the International Traffic in Arms Regulations (22 CFR parts 120 through 130)).
(b) Types of forms to be used.
- (1) Declared Schedule 3 plant sites.
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(i) If your plant site is declared for production of a Schedule 3 chemical (and has completed questions 3-3.1 and 3-3.2 on Form 3-3) and you also exported or imported that same Schedule 3 chemical in excess of 30 metric tons, you may report the export or import by:
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(A) Completing question 3-3.3 on Form 3-3 on your declaration for that same Schedule 3 chemical to be reported; or
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(B) Submitting, separately from your declaration, a Certification Form, Form 3-1, and a Form 3-3 for each Schedule 3 chemical to be reported, completing only question 3-3.3. Attach Form A, as appropriate; Form B is optional.
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(ii) If your plant site declared production of a Schedule 3 chemical and exported or imported a different Schedule 3 chemical in excess of 30 metric tons, you may report the export or import by:
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(A) Submitting, along with your declaration, a Form 3-3 for each Schedule 3 chemical to be reported, completing only question 3-3.3. Attach Form A, as appropriate; Form B is optional; or
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(B) Submitting, separately from your declaration, a Certification Form, Form 3-1 and a Form 3.3 for each Schedule 3 chemical to be reported, completing only question 3-3.3. Attach Form A, as appropriate; Form B is optional.
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(2) If you are an undeclared plant site or trading company, or any other person subject to the CWCR, you must submit a Certification Form, Form 3-1, and a Form 3-3 for each Schedule 3 chemical to be reported, completing only question 3-3.3. Attach Form A, as appropriate; Form B is optional.
(c) Quantities to be reported.
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(1) Calculations. If you exported from or imported to your plant site or trading company more than 30 metric tons of a Schedule 3 chemical in the previous calendar year, you must report all exports and imports of that chemical by destination, and indicate the total amount exported to or imported from each destination. Only indicate the total annual quantity exported to or imported from a specific destination if the total annual quantity to or from that destination is more than 1% of the applicable threshold (i.e., more than 0.3 metric tons). However, in determining whether your total exports and imports worldwide for the year in question trigger a report requirement, you must include all exports and imports, including exports and imports falling within the 1% exemption in your calculation.
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(2) Rounding. For purposes of reporting exports and imports of a Schedule 3 chemical, you must total all exports and imports per calendar year per recipient or source destination and then round to the nearest 0.1 metric tons.
Note to §714.3: Under the Convention, the United States is obligated to provide the OPCW a national aggregate annual declaration of the quantities of each Schedule 3 chemical exported and imported. The U.S. Government will not submit your company-specific information relating to the export or import of a Schedule 3 chemical reported under this §714.3. The U.S. Government will add all export and import information submitted by various facilities under this section to produce a national aggregate annual declaration of destination-by-destination trade for each Schedule 3 chemical.
§714.4. Advance declaration requirements for additionally planned production of Schedule 3 chemicals.
(a) Declaration requirements.
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(1) You must declare additionally planned production of Schedule 3 chemicals after the annual declaration on anticipated activities for the next calendar year has been delivered to BXA if:
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(i) You plan that a previously undeclared plant on your plant site under §714.2(a)(1)(iii) will produce a Schedule 3 chemical above the declaration threshold;
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(ii) You plan to produce at a plant declared under §714.2(a)(1)(iii) an additional Schedule 3 chemical above the declaration threshold;
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(iii) You plan to increase the production of a Schedule 3 chemical by declared plants on your plant site from the amount exceeding the applicable declaration threshold to an amount exceeding the applicable inspection threshold (see §716.1(b)(3)); or
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(iv) You plan to increase the aggregate production of a Schedule 3 chemical at a declared plant site to an amount above the upper limit of the range previously declared under §714.2(a)(1)(iii).
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(2) If you must submit a declaration on additionally planned activities because you plan to engage in any of the activities listed in paragraphs (a)(1)(i) through (iv) of this section, you should also declare any changes to the anticipated purposes of production or product group codes. You do not have to submit a declaration on additionally planned activities if you are only changing your purposes of production or product group codes
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(b) Declaration forms to be used. If you are required to declare additionally planned activities pursuant to paragraph (a) of this section, you must complete the Certification Form and Forms 3-1, 3-2, and 3-3 as appropriate. Such forms are due to BXA at least 15 days in advance of the beginning of the additional or new activity.
§714.5 Frequency and timing of declarations.
Declarations and reports required under this part must be postmarked by the appropriate date identified in Table 1 of this section. Required declarations and reports include: (a) Declaration on past production of any amount of Schedule 3 chemicals for chemical weapons (CW) purposes since January 1, 1946; (b) Initial declaration (production of Schedule 3 chemicals during calendar year 1996); (c) Initial report on exports and imports from trading companies, plant sites and other persons (during calendar year 1996); (d) Annual declaration on past activities (production of Schedule 3 chemicals during the previous calendar year, beginning with 1997); (e) Annual report on exports and imports from trading companies, plant sites and other persons (during the previous calendar year, beginning with 1997); and (f) Annual declaration on anticipated activities (production during the next calendar year, beginning in calendar year 2000 for activities anticipated for calendar year 2001).
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Table 1 to §714.5
DEADLINES FOR SUBMISSION OF SCHEDULE 3 DECLARATIONS
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DECLARATIONS
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APPLICABLE FORMS
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DUE DATES
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Initial Declaration
(for calendar year 1996)
Declared plant site (production)
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Certification, 3-1, 3-2, 3-3 (if also exported or imported), A (as appropriate), B (optional) |
March 30, 1999] |
Initial Report on Exports and Imports
(for calendar year 1996)
Plant site, trading company, other persons
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Certification, 3-1, 3-3.3 and 3-3.4, A (as appropriate), B (optional) |
March 30, 1999 |
Annual Declaration on Past Activities
(previous calendar year, starting with 1997)
Declared plant site (production)
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Certification, 3-1, 3-2, 3-3 (if also exported or imported), A (as appropriate), B (optional) |
For 1997, 1998, and 1999, March 30, 1999
Thereafter, February 28 |
Annual Report on Exports and Imports
(previous calendar year, starting with 1997)
Plant site, trading company, other persons
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Certification, 3-1, 3-3.3 and 3-3.4, A (as appropriate), B (optional) |
For 1997, 1998, and 1999, March 30, 1999
Thereafter, February 28 |
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Annual Declaration on Anticipated Activities (Production)
(next calendar year)
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Certification, 3-1, 3-3.1 and 3-3.2, A (as appropriate), B (optional) |
September 3 of each year prior to the calendar year in which anticipated activities will take place, beginning in calendar year 2000 |
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Declaration on Additionally Planned Activities
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Certification, 3-1, 3-3.1 and 3-3.2, A (as appropriate), B (optional) |
15 calendar days before the additionally planned activity begins |
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Declaration on Past Production of Schedule 3 Chemicals for CW Purposes
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Certification, 3-1, 3-2, 3-4, A (as appropriate), B (optional) |
March 30, 1999 |
§714.6 Amended declaration or report.
(a) You must submit an amended declaration or report for changes to previously submitted information on chemicals, activities and end-use purposes or the addition of new chemicals, activities and end-use purposes.
(b) For declared plant sites subject to inspection, changes that may affect verification activities, such as changes of owner or operator, company name, address, or inspection point of contact, require an amended declaration.
(c) For declared plant sites not subject to inspection, undeclared plant sites, trading companies, and other persons, changes that do not directly affect the purpose of the Convention, such as changes to a company name, address, declaration point of contact, or non-substantive typographical errors, do not require submission of an amended declaration or report and may be corrected in subsequent declarations or reports.
(d) If you are required to submit an amended declaration or report pursuant to paragraph (a) or (b) of this section, you must complete and submit a new Certification Form and the specific form(s) being amended (e.g., annual declaration on past activities). Only complete that portion of each form that corrects the previously submitted information.
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