International Transfer of Scheduled Chemicals under the Chemical Weapons Convention

The Chemical Weapons Convention prohibits the transfer, directly or indirectly, of chemical weapons to anyone. It also bans the use of chemical weapons and any involvement in preparations to use chemical weapons.

In addition, the Convention monitors the production, processing, consumption, and the international transfer of toxic chemicals, which can be converted into or used to produce chemical weapons. The majority of these chemicals are dual-use compounds, i.e. they have legitimate commercial applications.

The Convention’s provisions affect a substantial segment of the global chemical industry. Compliance with the provisions of the Convention is monitored by the Organisation for the Prohibition of Chemical Weapons (OPCW). All States Parties to the Convention are obligated to establish or designate a National Authority, a government entity responsible for comprehensive national implementation of the Chemical Weapons Convention within each country.

For an adequate understanding of the Convention’s scope, it is important to emphasise that, in accordance with its purposes, the expression “chemical industry” comprises all chemical, pharmaceutical, and agrochemical enterprises and other related sectors, that not only produce and process, but also consume and/or trade internationally those chemicals identified in the Convention for verification purposes. This means that not only those firms or plants grouped within the traditional chemical industry sector may be subject to the Convention’s provisions. A considerable number of companies from other industrial or commercial sectors face obligations arising from the Convention.

Chemicals to Be Monitored

The chemicals, which are explicitly specified in the Convention for monitoring purposes, cover a wide range of compounds and include chemical warfare agents, as well as key and more distant precursors. These chemical compounds, or families of compounds, are listed in the three Schedules of the Convention’s Annex on Chemicals. Each of these Schedules has different requirements for verification. These requirements are more stringent in the case of those chemicals that are deemed to pose a greater risk. The Verification Annex also includes restrictions on the international transfer of scheduled chemicals.

Scheduled Chemicals

Schedule 1

Includes toxic chemicals and some precursors, and groups of these, with very limited or no commercial use. It includes known chemical weapons agents such as sulfur mustards, nitrogen mustards, lewisites, and the nerve agents tabun, sarin, soman and VX.

Schedule 2

Includes toxic chemicals and precursors, as well as groups of such chemicals, which have limited commercial use. This Schedule includes chemicals with some degree of warfare potential, as well as precursors or groups of compounds, which may be part of the final stages of production of chemical weapons. An example of the chemicals included in this Schedule is thiodiglycol, an immediate precursor of sulfur mustards, that is used in several industrial processes such as the production of water based inks, specialty resins, metal plating, etc.

Schedule 3

Includes chemicals produced in large volumes for industrial activities that have been used in the past as chemical weapons, and precursors, which may be part of the initial stages of production of chemical agents. This category comprises highly toxic gases such as phosgene and hydrogen cyanide which were used as chemical warfare agents during World War I, but which at present are produced in large quantities for industrial and commercial use. It also includes precursor chemicals such as ethanol amines that are used in petroleum/gas refining process and numerous consumer products.

Declarations Requirements for Scheduled Chemicals

Schedule 1 Chemicals

Any transfer of a Schedule 1 chemical from one State Party to another is required to be notified by both States Parties to the OPCW Technical Secretariat at least 30 days before the planned transfer, except for transfers with medical purposes in quantities smaller of 5 mg where the notification can be done after the transfer has taken place.

Every year, each State Party has to make a detailed annual declaration on transfers during the previous year. This declaration shall be submitted no later than 90 days after the end of that year and shall include specific information on each Schedule 1 chemical that has been transferred.

The First Review Conference also addressed transfers of Schedule 1 chemicals. In this context, it received a proposal to introduce a de minimis rule for the notification of transfers of Schedule 1 chemicals, and requested the Council to study this issue and, if agreed, to prepare a proposal for consideration by the Conference at one of its forthcoming annual sessions.

Schedule 2 and 3 Chemicals

States Parties are required to make initial and annual declarations on aggregate national data for the previous calendar year on:

The quantities of each Schedule 2 and 3 chemicals produced, processed, consumed, imported and exported; and
A quantitative specification of import an export for each country and chemical involved. In relation to transfers of scheduled chemicals to or from States not Party, the First Review Conference recalled the prohibitions on any such transfers of Schedule 1 chemicals and, since 29 April 2000, of Schedule 2 chemicals and urged all States Parties to fully and effectively implement these prohibitions, including by enacting the necessary legislation, and to share experiences about the implementation of these provisions.

Five years after the entry into force of the Convention (after 29 April 2003), the need to establish other measures regarding transfers of Schedule 3 chemicals to States not Party was reviewed. The First Review Conference requested the Council to continue working towards an early resolution of these issues, and to submit a recommendation on this matter to the next regular session of the Conference.

Discrete Organic Chemicals (DOC)

No restrictions or reporting requirements on transfers of these chemicals to/from States not Party have been established in the Convention.

States Parties are required to make initial declarations of their list of DOC production facilities for the previous calendar year and shall provide annually the information necessary to update the list. Over 4,500 such facilities have been declared.

Conference of the States Parties Decisions and Declarations

Excerpt from the “Plan of Action Regarding the Implementation of Article VII Obligations”, Eighth Session of the Conference of the States Parties, C-8/DEC.16, 24 October 2003

The Conference of the States Parties,
(...)
6. Encourages States Parties to lend advice, upon request, to other States Parties in drafting and adopting national measures necessary to implement the Convention, inter alia to ensure that the laws reflect the comprehensive nature of the Convention by covering all activities that are to be prohibited or required in accordance with the Convention, and that involve the use of any toxic chemicals and their precursors; to cover the provision of annual declarations on past and anticipated activities; to ensure the implementation of the provisions related to transfers of scheduled chemicals; and to cover the annual submission of information on national protective programmes in accordance with paragraph 4 of Article X;

Excerpt from “Guidelines Regarding Declarations of Aggregate National Data for Schedule 2 Chemical Production, Processing, Consumption, Import and Export and Schedule 3 Import and Export”, Seventh Session of the Conference of the States Parties, C-7/DEC. 14, 10 October 2002.

“The Conference of the States Parties,

(…)

Having considered that a standardised approach to declaration obligations is necessary for National Authorities to report Aggregate National Data (AND) and relevant plant site import and export data in a uniform and harmonised manner, and to provide more meaningful and comparable information for use by the Organisation in illustrating normal patterns of trade, and in identifying any trends important to the object and purpose of the Convention;

(…)

Decides on the following:
1.) that import and export data aggregated by each State Party in fulfilment of the declaration obligations of paragraph 1 of Part VII and paragraph 1 of Part VIII of the Verification Annex shall include activity by natural and legal persons transferring a declarable chemical between the territory of the declaring State Party and the territory of other States, as specified below; …

(…)

6.) that although this decision does not dictate how and on what basis States Parties should collect data, but rather how data collected should be reported by States Parties to the Secretariat, States Parties shall review this, and the implementation of these guidelines in general, on the basis of the Secretariat’s analysis of the first three years of harmonised AND submissions; and further
7. that the Council shall be tasked to continue work towards harmonising the reporting of Schedule 3 production AND.”

Excerpt from “Report of the First Special Session of the Conference of the States Parties to Review the Operation of the Chemical Weapons Convention (First Review Conference),” RC-1/5, 9 May 2003.

7.62) The First Review Conference stressed how important it is that all States Parties with facilities declarable under Article VI submit annual declarations in an accurate, complete, and timely manner. The same applies to the other declarations required under Article VI (aggregate national data, and notifications and declarations of transfers of Schedule 1 chemicals). (…)

7.83) The First Review Conference (…) (e) encouraged States Parties to lend advice, upon request, to other States Parties in drafting and adopting national measures necessary to implement the Convention, inter alia to ensure that the laws reflect the comprehensive nature of the Convention by covering all activities that are to be prohibited or required in accordance with the Convention, and that involve the use of any toxic chemicals and their precursors; to cover the provision of annual declarations on past and anticipated activities; to ensure the implementation of the provisions related to transfers of scheduled chemicals; and to cover the annual submission of information on national protective programs in accordance with paragraph 4 of Article X; (…)

Decision (C-V/DEC/16)

Implementation of Restrictions on transfers of Schedule 2 and Schedule 3 chemicals to and from states not party to the convention

Recalling the decision of the Conference of the States Parties at its Fourth Session on guidelines for provisions regarding scheduled chemicals in low concentrations, including in mixtures, in accordance with paragraphs 5 of Parts VII and VIII of the Verification Annex (C-IV/DEC.16, dated 1 July 1999);

Bearing in mind the special responsibility of States Parties with regard to transfers of Schedule 2 or Schedule 3 chemicals to States not party to the Convention, and recalling in this respect the obligation under paragraph 31 of Part VII of the Verification Annex, which came into effect on 29 April 2000, that Schedule 2 chemicals shall only be transferred to or received from States Parties;

Recalling further that, with regard to transfers of Schedule 3 chemicals, five years after the entry into force of the Convention (29 April 2002) the Conference shall consider the need to establish other measures;

Recognising the need to ensure that the transfer provisions regarding Schedule 2 or Schedule 3 chemicals do not encompass impurities and consumer goods;

Noting that transfers of the products under consideration in this decision shall only be for purposes not prohibited under the Convention, and recognising the desire of States Parties in relation to this decision, to keep under review technical and possible security aspects of transfers of products as defined in the operative subparagraphs 1(a) and (b) below;

Noting further the recommendation to the Conference adopted by the Executive Council at its Nineteenth Session (EC-XIX/DEC.11, dated 2 May 2000);

Hereby:

1.         Decides that, with regard to the application of the provisions on transfers of Schedule 2 chemicals to and from States not party to the Convention, paragraph 31 of Part VII of the Verification Annex shall not apply to:

(a)               products containing one percent or less of a Schedule 2A or 2A* chemical;

(b)               products containing 10 percent or less of a Schedule 2B chemical; and

(c)                products identified as consumer goods packaged for retail sale for personal use or packaged for individual use; and

2.        Further requests, with regard to the application of the provisions on transfers of Schedule 3 chemicals, the Executive Council to prepare a recommendation to be considered by the Conference at its Sixth Session.

Transfer restrictions regarding declarations of Schedule 3 Chemicals

Decision (C-VI/DEC/10)

Provisions on transfers of Schedule 3 chemicals to States not Party to the Convention

Recalling the decision of the Conference of the States Parties (hereinafter the “Conference”) at its Fifth Session on the implementation of restrictions on transfers of Schedule 2 and Schedule 3 chemicals to and from States not party to the Convention (C-V/DEC.16, dated 17 May 2000);

Recalling further the decision of the Conference at its Fifth Session on national implementation measures (C-V/DEC.20, dated 19 May 2000);

Recalling in particular the decision by the Executive Council (hereinafter the “Council) at its Twelfth Meeting to refer to the Conference, at its Sixth Session, its recommendation for approval of the provisions on transfers of Schedule 3 chemicals to States not party to the Convention (EC-M-XII/DEC.1, dated 4 May 2001);

Bearing in mind the special responsibility of States Parties with regard to transfers of Schedule 3 chemicals to States not party to the Convention, and recalling in this respect the obligation under paragraph 26 of Part VIII of the Verification Annex, to adopt the necessary measures to ensure that the transferred chemicals shall only be used for purposes not prohibited under this Convention;

Recalling further that, in accordance with paragraph 27 of Part VIII of the Verification Annex, five years after the entry into force of the Convention, i.e. by 29 April 2002, the Conference shall consider the need to establish other measures regarding transfers of Schedule 3 chemicals to States not party to the Convention;

Considering the effective contribution of such measures to preventing the proliferation of chemical weapons and promoting universal adherence to the Convention;

Hereby:

1. Calls to the attention of States Parties their obligation, when transferring Schedule 3 chemicals to States not party to the Convention, to require from the recipient State an end-use certificate in accordance with paragraph 26 of Part VIII of the Verification Annex and with Conference decisions C-III/DEC.6 and C-III/DEC.7, both dated 17 November 1998;

2. Decides, with regard to the application of the obligation to require an end-use certificate for transfers of Schedule 3 chemicals to States not party to the Convention, and without prejudice to the right of any State Party to adopt a more restrictive approach, that end-use certificates are not required for:

(i) products containing 30 percent or less of a Schedule 3 chemical;

(ii) products identified as consumer goods packaged for retail sale for personal use, or packaged for individual use;

3. Urges States Parties to adopt national legislative and administrative measures, as appropriate, to implement the provisions on transfers of Schedule 3 chemicals to States not party to the Convention, and, in accordance with paragraph 5 of Article VII of the Convention, to inform the Organisation concerning the measures taken;

4. Requests the Technical Secretariat to include in its regular reports on the implementation of the Convention the information provided by States Parties on the implementation of paragraph 26 of Part VIII of the Verification Annex on transfers of Schedule 3 chemicals to States not party to the Convention;

5. Requests the Council to consider the need to establish other measures regarding transfers of Schedule 3 chemicals under paragraph 27 of Part VIII of the Verification Annex and to report the results of its consideration to the Conference at its Seventh Session; and

6. Recommends that five years after the implementation of this decision the concentration limits contained in operative paragraph 2 above may be reviewed upon a recommendation of the Council.

Aggregate National Data: Transfers of Schedule 2 and Schedule 3 Chemicals

Development of uniform criteria for identifying and reporting on the import and export of scheduled chemicals is one of the most complex and demanding implementation-related tasks to confront States Parties to the Convention.

The Technical Secretariat has been confronted with critical discrepancies identified in the aggregate national data on the transfers of Schedule 2 and Schedule 3 chemicals declared by States Parties.

A large proportion of the declared transfers could not be reconciled on the basis of data provided by the importing and exporting States Parties. The States Parties and the Secretariat have discussed possible causes for these discrepancies, which include, inter alia, material in transit, differences in national regulations, different data collection methods, and clerical errors. Essentially, these differences also reflect to an extent the non-uniform implementation of the Convention at the national level. It is important for the credibility of the regime that States Parties improve the cooperation between their National Authorities, and that they agree on, and apply, similar rules and standards for collecting and reporting data.

Restrictions on the International Trans fer of Scheduled Chemicals

The Verification Annex of the Convention establishes the following restrictions on the international transfer of scheduled chemicals:

Schedule 1 chemicals:

Export:

Exports to States not Party to the Convention are prohibited.
Exports can be made to other States Parties only for justified non-prohibited (research, medical, pharmaceutical or protective) purposes and within a quantity which allows the purchasing State Party to retain an aggregate amount of such chemicals equal to or less than one tonne at any given time.

Import:

Imports from States not Party to the Convention are prohibited.
Imports from other States Parties for justified non-prohibited (research, medical, pharmaceutical, or protective) purposes are allowed, and only within a quantity which allows the importing State Party to keep an aggregate amount of such chemicals equal to or less than one tonne at any given time.

Schedule 2 chemicals:

Export:

Three years after the entry into force of the Convention, on 29 April 2000, the export of Schedule 2 chemicals to States not Party was prohibited;

Import:

Three years after the entry into force of the Convention, on 29 April 2000, the import of Schedule 2 chemicals from States not Party was prohibited;

Schedule 3 chemicals:

Export:

Each State Party shall adopt the measures necessary to ensure that transfers of Schedule 3 chemicals to States not Party shall be used only for purposes not prohibited by the Convention. Such measures shall include requesting from the recipient State a certificate which has to state, inter alia,
- that the transferred chemicals will be used only for purposes not prohibited by the Convention;
- that they will not be re-transferred;
- the types and quantities of the chemicals;
- their end-use(s); and
- the name(s) and address(es) of the end-user(s).

Discrete Organic Chemicals (DOCs)

The Convention also includes provisions for another group of chemicals, which is of considerable importance to the chemical industry: the group of (unscheduled) “discrete organic chemicals (DOCs)”.

These are understood to mean any chemical belonging to the class of chemical compounds consisting of all compounds of carbon —with the exception of its oxides, sulfides and metal carbonates— which are identifiable by means of their chemical name, structural formula (if known), and by their Chemical Abstracts Service registry number, if assigned.

In the case of such DOCs, production facilities —with the exception of those dedicated exclusively to the production of hydrocarbons,explosives or polymers/oligomers— must be declared whenever the aggregate annual production of all DOC’s surpasses 200 tonnes.

Should these compounds contain phosphorus, sulfur or fluorine, the declaration threshold for each chemical will be 30 tonnes per year.

Schedules of Chemicals

The following Schedules list toxic chemicals and their precursors. For the purpose of implementing this Convention, these Schedules identify chemicals for the application of verification measures according to the provisions of the Verification Annex. Pursuant to Article II, subparagraph 1 (a), these Schedules do not constitute a definition of chemical weapons.

(Whenever reference is made to groups of dialkylated chemicals, followed by a list of alkyl groups in parentheses, all chemicals possible by all possible combinations of alkyl groups listed in the parentheses are considered as listed in the respective Schedule as long as they are not explicitly exempted. A chemical marked “*” on Schedule 2, part A, is subject to special thresholds for declaration and verification, as specified in Part VII of the Verification Annex.)

Schedule 1	(CAS registry number)
A. Toxic chemicals:

(1) OAlkyl (<C10, incl. cycloalkyl) alkyl (Me, Et, nPr or iPr)phosphonofluoridates e.g. Sarin: OIsopropyl methylphosphonofluoridate (Me, Et, nPr or iPr) phosphoramidocyanidates	(107448) (96640)

(2) OAlkyl (<C10, incl. cycloalkyl) N,Ndialkyl (Me, Et, nPr or iPr) phosphoramidocyanidates e.g. Tabun: OEthyl N,Ndimethyl phosphoramidocyanidate	(77816)

3) OAlkyl (H or <C10, incl. cycloalkyl) S2dialkyl (Me, Et, nPr or iPr)aminoethyl alkyl (Me, Et, nPr or iPr) phosphonothiolates and corresponding alkylated or protonated salts e.g. VX: OEthyl S2diisopropylaminoethyl methyl phosphonothiolate	(50782699)

(4) Sulfur mustards:

2Chloroethylchloromethylsulfide	(2625765)
Mustard gas: Bis(2chloroethyl)sulfide	(505602)
Bis(2chloroethylthio)methane	(63869136)
Sesquimustard: 1,2Bis(2chloroethylthio)ethane	(3563368)
1,3Bis(2chloroethylthio)npropane	(63905102)
1,4Bis(2chloroethylthio)nbutane	(142868937)
1,5Bis(2chloroethylthio)npentane	(142868948)
Bis(2chloroethylthiomethyl)ether	(63918901)
OMustard: Bis(2chloroethylthioethyl)ether	(63918898)

(5) Lewisites:

Lewisite 1: 2Chlorovinyldichloroarsine	(541253)
Lewisite 2: Bis(2chlorovinyl)chloroarsine	(40334698)
Lewisite 3: Tris(2chlorovinyl)arsine	(40334701)

(6) Nitrogen mustards:

HN1: Bis(2chloroethyl)ethylamine	(538078)
HN2: Bis(2chloroethyl)methylamine	(51752)
HN3: Tris(2chloroethyl)amine	(555771)

(7) Saxitoxin	(35523898)

(8) Ricin	(9009863)


B. Precursors:

(9) Alkyl (Me, Et, nPr or iPr) phosphonyldifluorides e.g. DF: Methylphosphonyldifluoride	(676993)

10) OAlkyl (H or <C10, incl. cycloalkyl) O2dialkyl (Me, Et, nPr or iPr)aminoethyl alkyl (Me, Et, nPr or iPr) phosphonites and corresponding alkylated or protonated salts e.g. QL: OEthyl O2diisopropylaminoethyl methylphosphonite	(57856118)

(11) Chlorosarin: OIsopropyl methylphosphonochloridate	(1445767)

(12) Chlorosoman: OPinacolyl methylphosphonochloridate	(7040575)


Schedule 2

A. Toxic chemicals:

(1) Amiton: O,ODiethyl S[2(diethylamino)ethyl] phosphorothiolate and corresponding alkylated or protonated salts	(78535)

(2) PFIB: 1,1,3,3,3Pentafluoro2(trifluoromethyl)1propene	(382218)

(3) BZ: 3Quinuclidinyl benzilate (*)	(6581062)


B. Precursors:

(4) Chemicals, except for those listed in Schedule 1, containing a phosphorus atom to which is bonded one methyl, ethyl or propyl (normal or iso) group but not further carbon atoms, e.g. Methylphosphonyl dichloride Dimethyl methylphosphonate Exemption: Fonofos: OEthyl Sphenyl ethylphosphonothiolothionate	(676971) (756796) (944229)

(5) N,NDialkyl (Me, Et, nPr or iPr) phosphoramidic dihalides

(6) Dialkyl (Me, Et, nPr or iPr) N,Ndialkyl (Me, Et, nPr or iPr)phosphoramidates

(7) Arsenic trichloride	(7784341)

(8) 2,2Diphenyl2hydroxyacetic acid	(76937)

(9) Quinuclidin3ol	(1619347)

(10) N,NDialkyl (Me, Et, nPr or iPr) aminoethyl2chlorides and corresponding protonated salts

(11) N,NDialkyl (Me, Et, nPr or iPr) aminoethane2ols and corresponding protonated salts Exemptions: N,NDimethylaminoethanol and corresponding protonated salts N,NDiethylaminoethanol and corresponding protonated salts	(108010) (100378)

(12) N,NDialkyl (Me, Et, nPr or iPr) aminoethane2thiols and corresponding protonated salts	(111488)

(13) Thiodiglycol: Bis(2hydroxyethyl)sulfide	(111488)

(14) Pinacolyl alcohol: 3,3Dimethylbutan2ol	(464073)


Schedule 3

A. Toxic chemicals:

(1) Phosgene: Carbonyl dichloride	(75445)

(2) Cyanogen chloride	(506774)

(3) Hydrogen cyanide	(74908)

(4) Chloropicrin: Trichloronitromethane	(76062)


B. Precursors:

(5) Phosphorus oxychloride	(10025873)

(6) Phosphorus trichloride	(7719122)

(7) Phosphorus pentachloride	(10026138)

(8) Trimethyl phosphite	(121459)

(9) Triethyl phosphite	(122521)

(10) Dimethyl phosphite	(868859)

(11) Diethyl phosphite	(762049)

(12) Sulfur monochloride	(10025679)

(13) Sulfur dichloride	(10545990)

(14) Thionyl chloride	(7719097)

(15) Ethyldiethanolamine	(139877)

(16) Methyldiethanolamine	(105599)

(17) Triethanolamine	(102716)

Inpections of Chemical Production Facilities

Schedule 1

The production of Schedule 1 chemicals shall be carried out only in a single small-scale facility approved by the State Party, and in other facilities as set forth in Part VI of the Verification Annex. Production of Schedule I chemicals at these facilities is subject to restrictions in terms of the amounts permitted to be produced and stored. These facilities are subject to systematic inspections by the Technical Secretariat of the OPCW. The OPCW has conducted 120 inspections at Schedule 1 facilities since Entry into Force of the Convention in April 1997.

Schedule 2

Schedule 2 facilities are subject to initial and subsequent inspections by the Technical Secretariat of the OPCW. The OPCW has conducted 225 inspections at these facilities since Entry into Force of the Convention in April 1997.

Schedule 3

Schedule 3 facilities are subject to inspections by the Technical Secretariat of the OPCW. The OPCW has conducted 105 inspections at these facilities since Entry into Force of the Convention in April 1997.

Discrete Organic Chemicals (DOC)

DOC facilities are subject to inspections by the Technical Secretariat of the OPCW. The OPCW has conducted 147 inspections at these facilities since 29 April 2000.