PART 714—ACTIVITIES INVOLVING SCHEDULE 3 CHEMICALS Authority: 22 U.S.C. 6701 et seq.; Source: 71 FR 24929, Apr. 27, 2006, unless otherwise noted. § 714.1 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 Production quantities that trigger the declaration requirement. (i) Annual declaration on past activities. (ii) Annual declaration on anticipated activities. (2) Schedule 3 chemical production. (ii) For the purpose of determining if a Schedule 3 chemical is subject to declaration, you must declare an intermediate Schedule 3 chemical, but not a transient intermediate Schedule 3 chemical. (3) Mixtures containing a Schedule 3 chemical When you must count the quantity of a Schedule 3 chemical in a mixture for declaration purposes. (ii) How to count the amount of a Schedule 3 chemical in a mixture. (b) Types of declaration forms to be used Annual declaration on past activities. (2) Annual declaration on anticipated activities. (c) Quantities to be declared Production of a Schedule 3 chemical in excess of 30 metric tons. (2) Rounding. (d) “Declared” Schedule 3 plant site. (e) Routine inspections of declared Schedule 3 plant sites. (1) The declared plants on your plant site produced in excess of 200 metric tons aggregate of any Schedule 3 chemical during the previous calendar year; or (2) You anticipate that the declared plants on your plant site will produce in excess of 200 metric tons aggregate of any Schedule 3 chemical during the next calendar year. § 714.2 Annual reporting requirements for exports and imports in excess of 30 metric tons of Schedule 3 chemicals. (a) Any person subject to the CWCR that exported from or imported into the United States in excess of 30 metric tons of any single Schedule 3 chemical during the previous calendar year has a reporting requirement under this section. (1) Annual report on exports and imports. Note 1 to § 714.2( a Declared and undeclared plant sites must count, for reporting 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 § 714.2( a 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. (2) Mixtures containing a Schedule 3 chemical. Note to § 714.2( a The “80% and above” mixtures rule applies only for reporting 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 BIS (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 Declared Schedule 3 plant sites. (A) Completing question 3-3.3 on Form 3-3 on your declaration for that same Schedule 3 chemical; or (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. (ii) If your plant site is declared for production of a Schedule 3 chemical and you exported or imported in excess of 30 metric tons of a different Schedule 3 chemical, you must report the export or import by either: (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 (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. (2) If you are an undeclared plant site, a 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 Calculations. (2) Rounding. Note to § 714.2( c 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, with a quantitative breakdown for each country or destination involved. The U.S. Government will not § 714.3 Advance declaration requirements for additionally planned production of Schedule 3 chemicals. (a) Declaration requirements. (i) You plan that a previously undeclared plant on your plant site under § 714.1(a)(1)(ii) of the CWCR will produce a Schedule 3 chemical above the declaration threshold; (ii) You plan to produce at a plant declared under § 714.1(a)(1)(ii) of the CWCR an additional Schedule 3 chemical above the declaration threshold; (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) of the CWCR); or (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 § 714.1(a)(1)(ii) of the CWCR. (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 also should 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. (b) Declaration forms to be used. § 714.4 Amended declaration or report. In order for BIS to maintain accurate information on previously submitted plant site declarations, including information necessary to facilitate inspection notifications and activities or to communicate declaration or reporting requirements, amended declarations or reports will be required under the following circumstances described in this section. This section applies only to annual declarations on past activities and annual reports on exports and imports submitted for the previous calendar year or annual declarations on anticipated activities covering the current calendar year, unless specified otherwise in a final inspection report. (a) Changes to information that directly affects a declared plant site's Annual Declaration of Past Activities (ADPA) or Combined Annual Declaration or Report which was previously submitted to BIS. (1) Types of Schedule 3 chemicals produced (e.g., production of additional Schedule 3 chemicals); (2) Production range (e.g., from 30 to 200 metric tons to above 200 to 1000 metric tons) of Schedule 3 chemicals; (3) Purpose of Schedule 3 chemical production (e.g., additional end-uses); or (4) Addition of new plant(s) for production of Schedule 3 chemicals. (b) Changes to export or import information submitted in Annual Reports on Exports and Imports from undeclared plant sites, trading companies and U.S. persons. (1) Types of Schedule 3 chemicals exported or imported (additional Schedule 3 chemicals); (2) Quantities of Schedule 3 chemicals exported or imported; (3) Destination(s) of Schedule 3 chemicals exported; and (4) Source(s) of Schedule 3 chemicals imported. (c) Changes to company and plant site information submitted in the ADPA, the Annual Declaration of Anticipated Activities, and the Annual Report on Exports and Imports Internal company changes. (i) Name of declaration/report point of contact (D-POC), including telephone number, facsimile number, and e-mail address; (ii) Name(s) of inspection point(s) of contact (I-POC), including telephone number, and facsimile number, and e-mail address(es); (iii) Company name (see 714.4(c)(2) for other company changes); (iv) Company mailing address; (v) Plant site name; (vi) Plant site owner, including telephone number and facsimile number; (vii) Plant site operator, including telephone number and facsimile number; (viii) Plant name; (xi) Plant owner, including telephone number and facsimile number; and (x) Plant operator, including telephone number and facsimile number. (2) Change in ownership of company, plant site, or plant. (i) Information that must be submitted to BIS by a company selling a declared plant site: (A) Name of seller (i.e., name of the company selling a declared plant site); (B) Name of declared plant site and U.S. Code Number for that plant site; (C) Name of purchaser (i.e., name of company purchasing a declared plant site) and identity of the new owner and contact person for the purchaser, if known; (D) Date of ownership transfer; (E) Additional (e.g., unique) details on the sale of the plant site relevant to ownership or operational control over any portion of the declared plant site (e.g., whether the entire plant site or only a portion of the declared plant site has been sold to a new owner); and (F) Details regarding whether the new owner will submit the declaration or report for the entire calendar year during which the ownership change occurred, or whether the previous owner and the new owner will submit separate declarations or reports for the periods of the calendar year during which each owned the plant site or trading company. ( 1 ( 2 ( 3 ( 4 (ii) Information that must be submitted to BIS by the company purchasing a declared plant site: (A) Name of purchaser (i.e., name of individual or company purchasing a declared plant site); (B) Mailing address of purchaser; (C) Name of declaration point of contact (D-POC) for the purchaser, including telephone number, facsimile number, and e-mail address; (D) Name(s) of inspection point(s)s of contact (I-POC) for the purchaser, including telephone number, facsimile number, and e-mail address(es); (E) Name of the declared plant site and U.S. Code Number for that plant site; (F) Location of the declared plant site; (G) Operator of the declared plant site, including telephone number, and facsimile number; (H) Name of plant where Schedule 3 production exceeds the declaration threshold; (I) Owner of plant where Schedule 3 production exceeds the declaration threshold; (J) Operator of plant where Schedule 3 production exceeds the declaration threshold; and (K) Details on the next declaration or report submission on whether the new owner will submit the declaration or report for the entire calendar year during which the ownership change occurred, or whether the previous owner and new owner will submit separate declarations or reports for the periods of the calendar year during which each owned the plant site or trading company. Note 1 to § 714.4( c You must submit an amendment to your most recently submitted declaration or report for declaring changes to internal company information (e.g., company name change) or changes in ownership of a facility or trading company that have occurred since the submission of this declaration or report. BIS will process the amendment to ensure current information is on file regarding the facility or trading company (e.g., for inspection notifications and correspondence) and will also forward the amended declaration to the OPCW to ensure that they also have current information on file regarding your facility or trading company. Note 2 to § 714.4( c You may notify BIS of change in ownership via a letter to the address given in § 711.6 of the CWCR. If you are submitting an amended declaration or report, use Form B to address details regarding the sale of the declared plant site or trading company. Note 3 to § 714.4( c For ownership changes, the declared plant site or trading company will maintain its original U.S. Code Number, unless the plant site or trading company is sold to multiple owners, at which time BIS will assign new U.S. Code Numbers. (d) Inspection-related amendments. (e) Non-substantive changes. (f) Documentation required for amended declarations or reports. (1) A letter containing all of the corrected information required, in accordance with the provisions of this section, to amend your declaration or report; or (2) Both of the following: (i) A new Certification Form; and (ii) The specific forms required for the declaration or report type being amended (e.g., annual declaration on past activities) containing the corrected information required, in accordance with the requirements of this section, to amend your declaration or report. § 714.5 Declarations and reports returned without action by BIS. If you submit a declaration or report and BIS determines that the information contained therein is not required by the CWCR, BIS will return the original declaration or report to you, without action, accompanied by a letter explaining BIS's decision. In order to protect your confidential business information, BIS will not maintain a copy of any declaration or report that is returned without action. However, BIS will maintain a copy of the RWA letter. § 714.6 Deadlines for submission of Schedule 3 declarations, reports, and amendments. Declarations, reports, and amendments required under this part must be postmarked by the appropriate date identified in supplement no. 2 to this part 714 of the CWCR. Required declarations, reports, and amendments include: (a) Annual declaration on past activities (production of Schedule 3 chemicals during the previous calendar year); (b) Annual report on exports and imports of Schedule 3 chemicals from plant sites, trading companies, and other persons subject to the CWCR (during the previous calendar year); (c) Combined declaration and report (production of Schedule 3 chemicals, as well as exports or imports of the same or different Schedule 3 chemicals, by a declared plant site during the previous calendar year); (d) Annual declaration on anticipated activities (anticipated production of Schedule 3 chemicals during the next calendar year); (e) Declaration on Additionally Planned Activities (additionally planned production of Schedule 3 chemicals); and (f) Amended declaration and report, including combined declaration and report. Supplement No. 1 to Part 714—Schedule 3 Chemicals (CAS registry number) A. Toxic chemicals: (1) Phosgene: Carbonyl dichloride (75-44-5) (2) Cyanogen chloride (506-77-4) (3) Hydrogen cyanide (74-90-8) (4) Chloropicrin: Trichloronitromethane (76-06-2) B. Precursors: (5) Phosphorus oxychloride (10025-87-3) (6) Phosphorus trichloride (7719-12-2) (7) Phosphorus pentachloride (10026-13-8) (8) Trimethyl phosphite (121-45-9) (9) Triethyl phosphite (122-52-1) (10) Dimethyl phosphite (868-85-9) (11) Diethyl phosphite (762-04-9) (12) Sulfur monochloride (10025-67-9) (13) Sulfur dichloride (10545-99-0) (14) Thionyl chloride (7719-09-7) (15) Ethyldiethanolamine (139-87-7) (16) Methyldiethanolamine (105-59-9) (17) Triethanolamine (102-71-6) Note to Supplement No. 1: Supplement No. 2 to Part 714—Deadlines for Submission of Schedule 3 Declarations, Reports, and Amendments Declarations Applicable forms Due dates Annual Declaration on Past Activities (previous calendar year)—Declared plant site (production) Certification, 3-1, 3-2, 3-3 (if also exported or imported), A (as appropriate), B (optional) February 28 of the year following any calendar year in which the production of a Schedule 3 chemical exceeded the declaration threshold in § 714.1(a)(1)(i) of the CWCR. Annual Report on Exports and Imports (previous calendar year)—Plant site, trading company, other persons Certification, 3-1, 3-3.3 and 3-3.4, A (as appropriate), B (optional) February 28 of the year following any calendar year in which exports or imports of a Schedule 3 chemical by a plant site, trading company, or other person subject to the CWCR (as described in § 714.2(a) of the CWCR) exceeded the threshold in § 714.2(a) of the CWCR. Combined Declaration & Report Certification, 3-1, 3-2, and 3-3, A (as appropriate), B (optional) February 28 of the year following any calendar year in which the production of a Schedule 3 chemical and the export or import of the same or a different Schedule 3 chemical by a declared plant site exceeded the applicable thresholds in §§ 714.1(a)(1)(i) and 714.2(a), respectively, of the CWCR. Annual Declaration on Anticipated Activities (Production) (next calendar year) Certification, 3-1, 3-2, 3-3.2, A (as appropriate), B (optional) September 3 of the year prior to any calendar year in which Schedule 3 production is anticipated to occur. Declaration on Additionally Planned Activities Certification, 3-1, 3-3.1 and 3-3.2, A (as appropriate), B (optional) 15 calendar days before the additionally planned activity begins. Amended Declaration Certification, 3-1, 3-2, 3-3 —Declaration information —15 calendar days after change in information. —Company information —30 calendar days after change in information. —Post-inspection letter —45 calendar days after receipt of letter. Amended Report Certification, 3-1, 3-2, 3-3, A (as appropriate), B (optional) —15 calendar days after change in information. Amended Combined Declaration & Report Certification, 3-1, 3-2, 3-3, A (as appropriate), B (optional) —15 calendar days after change in information.