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Chemical Handler's Manual

SECTION V – RECORDKEEPING REQUIREMENTS

Recordkeeping requirements for handlers of scheduled listed chemical products (SLCP) can be found in Section IX, Retail Sales of Scheduled Listed Chemical Products.

Persons Required to Keep Records

Information regarding this subject may be found at 21 C.F.R. § 1310.03.

Each regulated person who engages in a regulated transaction involving a List I or List II chemical, a tableting machine, or an encapsulating machine shall keep a record of the transaction and file reports to the DEA as outlined in this section. For those listed chemicals for which thresholds have been established, the quantitative threshold or the cumulative amount for multiple transactions within a calendar month is to be utilized in determining whether a receipt, sale, importation, or exportation is a regulated transaction. Thresholds can be found in Appendix D.

Contents of Regulated Transaction Records

Information regarding this subject may be found at 21 C.F.R. § 1310.06.

Each record for a domestic transaction must contain the following information:

  1. The name, address, and if required, the DEA registration number of each party to the regulated transaction.
  2. The date of the regulated transaction.
  3. The name, quantity, and form of packaging of the listed chemical, or description of the tableting machine or encapsulating machine (including make, model, and serial number).
  4. The method of transfer (company truck, picked up by the customer, etc.).
  5. The type of identification used by the purchaser and any unique number of that identification.

Normal business records are considered adequate if they contain the information listed above and are readily retrievable from other business records of the regulated person.

Location and Availability of Records

Information regarding this subject may be found at 21 C.F.R. § 1310.04.

A record of a regulated transaction is required to be kept at the regulated person's place of business where the transaction occurred. Records may be kept at a single, central location of the regulated person if the regulated person has notified the DEA of the intention to do so. Written notification must be submitted by registered or certified mail, return receipt requested, to the Special Agent in Charge of the DEA Divisional Office for the area in which the records are required to be kept (see Appendix P).

A regulated person with more than one place of business where a record is required to be kept must devise a recordkeeping system that detects purchases which are made from multiple locations to circumvent the cumulative threshold requirements.

The records required to be kept shall be readily retrievable and available for inspection and copying by duly authorized DEA officials.

Maintenance of Records

Every record required to be kept for a listed chemical, a tableting machine, or an encapsulating machine shall be kept by the regulated person for two years after the date of the transaction. However, as with all regulations, regulated persons are advised to check with other Federal, State, and local agencies to verify compliance with those regulations as well. Information regarding this subject may be found at 21 C.F.R. § 1310.04.

End Use Exception

A non-regulated person who acquires listed chemicals for internal consumption or "end use" and becomes a regulated person by virtue of infrequent or rare distribution of a listed chemical from inventory, shall not be required to maintain receipt records of listed chemicals. Information regarding this subject may be found at 21 C.F.R. § 1310.03.

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