1
May 1999
MODEL REGULATIONS TO CONTROL CHEMICAL SUBSTANCES USED IN THE ILLICIT PRODUCTION OF NARCOTIC DRUGS AND PSYCHOTROPIC SUBSTANCES
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MODEL REGULATIONS TO CONTROL CHEMICAL SUBSTANCES USED IN THE ILLICIT PRODUCTION OF NARCOTIC DRUGS AND PSYCHOTROPIC SUBSTANCES
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PART I
PURPOSE AND SCOPE OF APPLICATION
ARTICLE 1
The purpose of these Model Regulations is to monitor and control the production, manufacture, preparation, transformation, storage, importation, exportation, marketing, transportation or other type of transaction involving chemical substances used in the production, manufacture, preparation, or extraction of narcotic drugs, psychotropic substances or other substances having a similar effect.
ARTICLE 2
The tables of substances in these Regulations shall contain, as a minimum the substances included in Table I and Table II of the Annex to the United Nations Convention Against Illicit Traffic in Narcotic Drugs and Psychotropic Substances, 1988 and may contain other substances in order to address regional needs and problems following verification of their use in the illicit manufacture or production of narcotic drugs and psychotropic substances or other substances having a similar effect.
ARTICLE 3
These Regulations shall be applicable in all national jurisdictions including freetrade zones and free ports or other customs operations.
PART II
DEFINITIONS
ARTICLE 4
The following definitions shall be applicable throughout the text of the Model Regulations except when another is expressly indicated or the context calls for another interpretation:
Chemical substances: Substancesused in the illicit production, manufacturing, preparation or extraction of narcotic drugs, psychotropic substances or other substances having similar effects.
Customs transit: Customs procedure whereby goods are transported under customs control from one customs jurisdiction to another, whether within the same country or to another.
Importation and exportation: respectively,entry into or exit from, a customs jurisdiction including temporary placement in the jurisdiction.
Marketing: Any transaction, whether direct or indirect, among natural and juridical persons.
Mixture: Any combination of one or more substances included in Tables I, II or III of the Model Regulations with one another or with another substance or substances, and that may be used in the illicit production, manufacture, preparation or extraction of narcotic drugs or psychotropic substances or other substances having similar effects.
Production and Manufacturing: As the case may be, whether carried out by industrial or non-industrial means.
Transshipment: procedure whereby goods are transferred under customs jurisdiction and control from one means of transportation to another.
PART III
TABLES OF CHEMICAL SUBSTANCES
ARTICLE 5
Chemical substances shall be identified by the names and corresponding numeric codes under which they are listed in the Harmonized Commodity Description and Coding System (HS) of the World Customs Organization (WCO). These classification systems should also be used in statistical records and in documents pertaining to importation, exportation, transit and transshipment and apply to other customs operations and in free trade zones and free ports.
ARTICLE 6
The competent authorities of each Member State may add, delete or relocate chemical substances in the pertinent tables under their internal norms, in accordance with national needs and circumstances.
These decisions will be reported to the Secretary General of the Organization of American States (OAS) through the Executive Secretariat of the Inter-American Drug Abuse Control Commission (CICAD).
ARTICLE 7
Countries that have identified the need to add, delete or relocate chemical substances included in Tables I or II, shall send a request to that effect to the Executive Secretariat of CICAD accompanied by the reasons underlying its proposal.
The Executive Secretariat will distribute the proposal to the member states for comments, which must be returned to the Secretariat within three months. The Secretariat will prepare a paper summarizing these comments for consideration by the Commission at its next Session.
The decision of the Commission will be communicated to the Member States and where the change proposed is adopted, it shall be duly reflected in the applicable table or tables of the Model Regulations.
PART IV
SUBSTANCES UNDER SURVEILLANCE
ARTICLE 8
There is hereby established a Table III containing substances not found in Tables I and II that, in the experience of some member countries, are being diverted to or are being used as substitutes in the production, manufacture, preparation, or extraction of narcotic drugs and psychotropic substances or other substances having similar effects.
ARTICLE 9
In accordance with their respective national legal systems and constitutional principles, member states may, as they deem appropriate, adopt, with respect to substances included in Table III, some or all of the control and monitoring measures in Parts VI, VII and IX of these Regulations.
PART V
MIXTURES
ARTICLE 10
Mixtures of substances included in the tables to these Model Regulations shall be subject to the control or monitoring measures set out in Parts VI, VII, VIII and IX. In determining the controls or measures of surveillance to be applied, countries shall take into consideration the following:
a) A mixture that contains in any concentration, one or more substances included in Table I, shall be subject to the controls applicable to Table I substances;
b) A mixture that contains chemical substances included in Table II at a level of concentration above 30%, shall be subject to the controls applicable to Table II substances. When a mixture contains two or more of the substances included in this table, the applicable controls shall be applied when the level of concentration of each of the substances added together exceeds the percentage as determined by each country.
Notwithstanding the foregoing, in accordance with its particular situation, a country may establish in its respective norms, percentages greater or less than those suggested, and may consider, in addition, other factors in subjecting mixtures to the applicable controls. Such factors could include, among others, the quantity and composition of the mixture and its importance in illicit production.
ARTICLE 11
When a mixture contains one or more substances included in Table III, the applicable measures shall be applied when the level of concentration of the substance alone, or the substances in combination, as the case may be, exceeds the percentage as determined by each country.
ARTICLE 12
Notwithstanding the foregoing, a mixture that contains substances included in Tables I, II or III that are not likely to be used as such in the illicit production, manufacture, preparation, or extraction of narcotic drugs, psychotropic substances or others having a similar effect, or from which it is difficult or impractical to extract those substances, shall not be subject to the controls or measures mentioned above.
PART VI
CONTROL MEASURES
A. LICENSES AND REGISTRATION
ARTICLE 13
Whosoever produces, manufactures, prepares, transforms, stores, imports, exports, markets, uses or engages in any other type of transaction involving substances included in Table I shall be subjected to controls, consisting of a permit, licensing or similar system.
The competent authorities shall maintain a record of all authorizations, licenses and the like, either granted, denied or revoked.
ARTICLE 14
Whosoever produces, manufactures, prepares, transforms, stores, imports, exports, markets, uses or engages in any other type of transaction involving substances included in Table II, shall register with the competent authorities so that the scope and nature of the activities they conduct may be known.
The licenses, permits and registration to which this Part refers shall be updated periodically.
ARTICLE 15
Member States may stipulate exceptions to the licensing, permit or registration requirements of this Part in accordance with their national needs and circumstances, provided that such exceptions are not inconsistent with the objectives of these Regulations.
ARTICLE 16
In addition, with respect to the issuance of licenses, permits or other forms of authorization, Member States may take into account background information relating to the applicant, such as evidence of his ability to maintain effective controls over the chemical substances, his compliance with applicable national laws for the control of chemical substances, whether he has been convicted of an offence relating to the trafficking of narcotic drugs and psychotropic substances or whether there have been convictions for such offences of senior managers in his employ.
In accordance with national law, factors such as the foregoing may be taken into account in order to suspend or revoke an existing license, permit or other authorization.
B. RECORDS
ARTICLE 17
The persons referred to in Articles 13 and 14 shall keep, for a period of not less than two years, a complete, accurate and up-to-date record of each of the substances listed in Tables I and II, including the following information at a minimum:
(1)Amounts received;
(2)Amounts produced, manufactured, prepared or extracted;
(3)Amounts imported;
(4)Amounts used to manufacture or prepare other products;
(5)Amounts marketed domestically;
(6)Amounts exported;
(7)Existing stocks;
(8)Amounts lost, destroyed or reduced by effects such as shrinkage and other causes such as accidents and pilferage;
(9)Amounts received in excess.
ARTICLE 18
Records of the amounts of substances referred to in items 1, 3, 5 and 6 of the preceding article shall include the following information, at a minimum:
(1)Date of the transaction;
(2)Name, address, telephone, facsimile number and e-mail address, where available, as well as license or registry number of each and every party involved in the transaction and those of the final consignee if not one of those parties;
(3)Name, amount, unit of measurement and form of presentation and packaging of the precursor, other chemical substance.
(4) Means of transportation and identification of the transport company.
PART VII
IMPORT, EXPORT TRANSIT AND TRANSSHIPMENT REQUIREMENTS
ARTICLE 19
In addition to the license and registry requirements, but without prejudice to any other authorizations required by the respective foreign trade system, importers and exporters of the substances listed in Table I shall obtain an import, export, transit or transshipment permit from the competent authorities.
The competent authorities may subject all or some of the substances listed in Table II to the same system as above.
ARTICLE 20
The competent authorities may also determine which of the substances included in Tables II and III shall be subject to an import, export, transit or transshipment notification.
ARTICLE 21
In all cases, the importer or exporter shall make the application for a license or the notification referred to above at least 15 days prior to the anticipated date of importation, exportation, transit or transshipment.
ARTICLE 22
Import or export permits shall expire not later than 180 days after the date of their issue. Such permits shall be issued for a single substance only and may not be used more than once.
If the 180-day period has passed and no importation or exportation has occurred, application for a new permit must be made.
ARTICLE 23
The application for a permit or notification shall contain the following information, at a minimum:
1. The importer’s or exporter’s name and address, license or registration, telephone, telex and fax numbers and e-mail address, where available;
2. The name and address and telephone, telex, and fax numbers and e-mail address, where available, of the agent of the importer or exporter and of the forwarder, if any;
3. The name and corresponding numeric codesunder which they are listed in the Commodity Description and Coding System of the WCO for each substance included in each of the Tables, and the description appearing on the drums, barrels or other containers or packaging in which the substance is contained;
4. Net weight or volume of the commodity, in kilograms or litters and fractions thereof;
5. Quantity and net weight of the drums, barrels or other containers or packaging;
6.Quantity and identification of containers, if applicable;
7.Scheduled shipping and import or export date. Place of origin, and the points of shipment, stopover ports, place of entry into the country, and final destination;
8. Means of transportation and identification of the carrier;
- Names, addresses and telephone, telex and fax numbers and e-mail addresses, where available, of the supplier and purchaser;
- Name, address and telephone, telex and fax numbers and e-mail address, where available, of the end-user or consignee, if known, or ascertainable through reasonable inquiry.
ARTICLE 24
The competent authorities may deny the permits, licenses or authorizations referred to herein or suspend a transaction when there exists a substantiated reason to believe that such items may be used for illicit production, manufacture, preparation or extraction of narcotic drugs, psychotropic substances, or other substances having similar effects.
PART VIII
PRE NOTIFICATION OF INTERNATIONAL MOVEMENTS
ARTICLE 25
Before exporting a substance included in Table I, a country intending to export such a substance shall provide, through its competent authorities the information required under Article 23 to the competent authorities of the importing country.
ARTICLE 26
The information requirements of the preceding article shall also be applied to acetic anhydride and potassium permanganate. Such requirements may also be applied to some or all of the remaining substances in Table II, where countries participating in the respective transactions so decide.
ARTICLE 27
Within 15 days of receipt of pre notification by the importing country, the competent authority of the importing country shall advise the exporting country whether or not the transaction is legitimate. Failure by the competent authority of the importing country to advise the exporting country within the above-noted time frame, shall signify acceptance of the transaction.
ARTICLE 28
The state receiving the pre notification shall preserve the confidentiality of any industrial, trade, commercial or professional information contained therein and any shall observe any other requirement made by the competent authority with respect thereto.
PART IX
REPORTS OF IRREGULAR MOVEMENTS
ARTICLE 29
Persons engaged in the production, manufacture, preparation, processing, storage, importation, exportation, marketing or transportation of chemical substances listed in Tables I, II or III shall immediately report to the competent authorities any transaction or proposed transaction to which they are parties when they have reasonable grounds to suspect that such substances may be used in the production, manufacture, preparation or extraction of narcotic drugs, psychotropic substances or other substances with similar effects.
It will be considered that there are reasonable grounds particularly when the quantity of the above-mentioned chemical substances involved in a transaction, the method of payment or the personal characteristics of the purchaser are extraordinary or unusual.
ARTICLE 30
The competent authorities shall also be apprised of any losses or unusual or significant disappearances of such substances under the person's control.
The report shall contain all available information and shall be made to the competent authorities, as soon as the circumstances that warrant suspicion are known, by the quickest means and as far in advance of the completion of the transaction as possible.
After the information has been confirmed, the competent authorities shall notify those authorities of the country of origin, destination or transit as soon as possible and provide them with all available information.
ARTICLE 31
All information provided shall be treated as confidential and not divulged to any person save and except for law enforcement, judicial or internal control purposes, or for international cooperation.
PART X
OFFENCES
ARTICLE 32
The following acts will be considered to constitute punishable offences:
1.The production, manufacture, preparation, processing, storage, importation, exportation, marketing, transportation, possession or any other type of transaction involving chemical substances listed in Tables I and II, knowing that they are intended to be used for the production, manufacturing, preparation or extraction of narcotic drugs, psychotropic substances, or other products having similar effects, in any manner prohibited by law, and whether or not the production, manufacture, preparation or extraction of these drugs or psychotropic substances themselves occurs in the same national territory or abroad.
2. The organization, management, or financing of the offences cited in the preceding paragraph.
3. The use of any means to induce or publicly incite the commission of any of the activities offences stipulated in this article.
- Participation in, association or conspiracy to commit, attempts to commit and aiding, abetting, facilitating and counseling the commission of any of the offences cited in this article.
PART XI
INVESTIGATION AND PROOF OF OFFENCES
ARTICLE 33
In accordance with national law, Member States may employ the following techniques, among others, in the investigation of the offences referred to in the preceding paragraph:
(1)controlled deliveries of the chemical substances listed in Tables I and II;
(2)interventions, the opening or interception of private documents or communications and the surveillance of suspects, with the prior approval of the appropriate competent authority; and
(3)undercover agents and informants.
ARTICLE 34
Any evidence obtained by employing the techniques referred to in the previous article shall be admissible in criminal proceedings and will be afforded the evidentiary value afforded to such evidence by national law.
PART XII
EXTRADITION AND MUTUAL LEGAL ASSISTANCE
ARTICLE 35
The offences referred to in Part X of these Regulations shall be extraditable, in accordance with the constitutional and legal principles of each respective Member State.
ARTICLE 36
Such offences shall be afforded the widest possible mutual legal assistance under the international treaties and agreements subscribed to by each respective Member State.
PART XIII
CIVIL, ADMINISTRATIVE AND OTHER CRIMINAL OFFENCES
ARTICLE 37
Contraventions of the control measures set out in these Model Regulations may result in the application of the following measures:
1. civil proceedings which can lead to the application of financial sanctions or injunctions;
2.administrative proceedings which can lead to the application of financial sanctions or the revocation, suspension or application of other sanction involving the required license or registration;
3.criminal sanctions in cases where the contravention is considered as an offence punishable under corresponding national law.
PART XIV
COMPETENT AUTHORITIES FOR INTERNATIONAL COOPERATION
ARTICLE 38
Member States shall designate a competent authority to attend to requests for international cooperation and information pursuant to these Model Regulations or to convey them to the authority responsible for their execution.