exports
exports
Export Controls
Handbook
Export Controls Handbook
Amended August 2017
Export Controls Division
Foreign Affairs, Trade and Development Canada
Website: www.exportcontrols.gc.ca
Ce document est également disponible en français.
Veuillez contacter la Direction des contrôles à l’exportation.
© Her Majesty the Queen in Right of Canada,
represented by the Minister of Foreign Affairs, 2015
1
Use of this Document
This Export Controls Handbook is intended as a reference tool for exporters and provides
practical information about the administration of Canada’s export controls which are
administered pursuant to the Export Control List, the Area Control List and the Automatic
Firearms Country Control List, under the authority of the Export and Import Permits Act.
Information contained in this Handbook includes: how to obtain the necessary permits for
the export or transfer of controlled items and how to comply with the requirements of the
Export and Import Permits Act and its related regulations.
The information in this Handbook does not pertain to applications to export goods
described in Items 5101 to 5204 (Forest Products, and Agriculture and Food Products) of
the Export Control List as administering controls over these items are not within the
mandate of the Export Controls Division.
In any case where a discrepancy arises between the Export Controls Handbook and the
relevant legislation and regulations, the legislation and regulations will prevail. For the
purposes of interpreting and applying the law, please consult Part III of the Canada
Gazette, “Acts of Parliament”, and Part II of the Canada Gazette, “Official Regulations”.
These publications are available in most public libraries and on the internet at
http://www.gazette.gc.ca/index-eng.html. Electronic copies of the Export and Import
Permits Act and its related regulations are also available on the internet at
http://laws.justice.gc.ca/en/E-19/index.html.
Contact Us
The Export Controls Division of Foreign Affairs, Trade and Development Canada is
responsible for the administration of export and import controls for strategic and military
goods and technology under the authority of the Export and Import Permits Act.
How to contact us:
Export Controls Division (TIE)
Foreign Affairs, Trade and Development Canada
125 Sussex Drive
Ottawa, Ontario K1A 0G2
Telephone: (343) 203-4331
Facsimile: (613) 996-9933
E-mail: tie.reception@international.gc.ca
Internet: www.exportcontrols.gc.ca
For general enquiries, including the status of an export permit application, please call
(343) 203-4331 or e-mail: tie.reception@international.gc.ca. Please quote the export
permit application identification (ref ID) number.
For Enquiries Related to the CBSA
For enquiries related to the Canada Border Services Agency (CBSA), including detention
or seizure of goods, Customs Declaration Form (B-13A), or the Customs Automated
Export Declaration (CAED), please call 1 (800) 461-9999 or contact your local CBSA
office. Telephone numbers are available in the blue pages of your local telephone book
under “Government of Canada”. Information is also available on the internet at www.cbsa-
asfc.gc.ca.
EXPORT CONTROLS HANDBOOK
2
Table of Contents
A. INTRODUCTION .............................................................................................4
WHAT IS AN EXPORT PERMIT? .................................................................... 4 A.1.
WHAT ARE THE EXPORT CONTROL AND THE AREA CONTROL LISTS? ............. 4 A.2.
FEES ...................................................................................................... 4 A.3.
B. OBJECTIVES OF EXPORT CONTROLS .......................................................6
WASSENAAR ARRANGEMENT (GROUPS 1 AND 2 ON THE EXPORT CONTROL B.1.
LIST) ...................................................................................................... 6
NUCLEAR SUPPLIERS GROUP (GROUPS 3 AND 4 ON THE EXPORT CONTROL B.2.
LIST) ...................................................................................................... 7
MISCELLANEOUS GOODS AND TECHNOLOGY (GROUP 5 ON THE EXPORT B.3.
CONTROL LIST)........................................................................................ 7
MISSILE TECHNOLOGY CONTROL REGIME (GROUP 6 ON THE EXPORT B.4.
CONTROL LIST)........................................................................................ 8
AUSTRALIA GROUP (GROUP 7 ON THE EXPORT CONTROL LIST) .................... 8 B.5.
C. HOW TO USE A GUIDE TO CANADA’S EXPORT CONTROLS (INCLUDING
THE EXPORT CONTROL LIST) .....................................................................9
ITEMS IDENTIFIED UNDER MORE THAN ONE GROUP OR EXPORT CONTROL LIST C.1.
ITEM 10
IMPORTANT NOTE ON U.S.-ORIGIN GOODS .............................................. 10 C.2.
ITEMS DESTINED TO A CHEMICAL, BIOLOGICAL OR NUCLEAR WEAPON OR A
C.3.
MISSILE APPLICATION ............................................................................. 10
ADVISORY OPINIONS .............................................................................. 11 C.4.
D. DESTINATION AND ORIGIN CONSIDERATIONS ....................................... 15
AREA CONTROL LIST .............................................................................. 15 D.1.
AUTOMATIC FIREARMS COUNTRY CONTROL LIST ...................................... 15 D.2.
EXPORT PROHIBITIONS ........................................................................... 16 D.3.
CANADIAN EXPORT CONTROLS ON U.S.-ORIGIN GOODS AND TECHNOLOGY 16 D.4.
Box 1: Exports of Controlled U.S. Goods and Technology ...................................... 17
EXPORTS TO THE UNITED STATES ........................................................... 17 D.5.
E. EXPORT PERMIT APPLICATION PROCESS .............................................. 27
CONFIDENTIALITY OF INFORMATION .......................................................... 27 E.1.
EXPORT CONTROLS ON-LINE (EXCOL) ................................................... 27 E.2.
HOW TO COMPLETE THE APPLICATION TO EXPORT .................................... 30 E.3.
Box 2: Examples of Consignees and End-Users ..................................................... 33
Box 3: Evaluating Foreign Clients ............................................................................ 34
Box 4: Applications to Export Goods Temporarily (including for Repairs,
Upgrades, and to Loan Equipment) .............................................................. 37
Box 5: Exports by Intangible Means ........................................................................ 40
Box 6: Applications to Permanently Export Goods After Temporary Import into
Canada (including Exports After Repairs and Returns of Equipment on
Loan) ............................................................................................................. 43
Box 7: Exchange Rate Fluctuations ......................................................................... 45
MANDATORY SUPPORTING DOCUMENTATION ............................................ 46 E.4.
EXPORT PERMIT VALIDITY ....................................................................... 50 E.5.
F. ADMINISTRATIVE PROCEDURES AND OTHER ISSUES .......................... 53
PROCESSING TIME ................................................................................. 53 F.1.
STATUS ENQUIRIES ................................................................................ 54 F.2.
POLICY REVIEW ..................................................................................... 54 F.3.
EXPORT CONTROLS HANDBOOK
3
CONSULTATIONS .................................................................................... 54 F.4.
MILITARY GOODS AND TECHNOLOGY ....................................................... 54 F.5.
GENERAL EXPORT PERMITS .................................................................... 54 F.6.
MULTIPLE DESTINATION PERMITS ............................................................ 55 F.7.
PROCEDURE FOR EXPORTING PARTS FOR USE IN AIRCRAFT ON THE GROUND F.8.
(AOG) .................................................................................................. 55
CONTROLLED GOODS PROGRAM ............................................................. 56 F.9.
CANADIAN NUCLEAR SAFETY COMMISSION ............................................... 56 F.10.
CANADIAN NATIONAL AUTHORITY FOR THE CHEMICAL WEAPONS CONVENTION F.11.
(CWC) ................................................................................................. 57
NATURAL RESOURCES CANADA (EXPLOSIVES REGULATORY DIVISION) ....... 57 F.12.
OTHER GOVERNMENT DEPARTMENTS ...................................................... 57 F.13.
G. AFTER ISSUANCE OF AN EXPORT PERMIT: COMPLIANCE WITH
EXPORT CONTROLS ................................................................................... 58
PERMIT ISSUANCE AND DISTRIBUTION ...................................................... 58 G.1.
TERMS AND CONDITIONS ........................................................................ 58 G.2.
AMENDMENTS OF EXPORT PERMITS ......................................................... 59 G.3.
INSPECTION AND RECORD-KEEPING ......................................................... 61 G.4.
OFFENCES AND PENALTIES ..................................................................... 61 G.5.
REPORT ILLEGAL EXPORTS ..................................................................... 62 G.6.
DISCLOSURES OF NON-COMPLIANCE ....................................................... 62 G.7.
H. CUSTOMS PROCEDURES (CANADA BORDER SERVICES AGENCY) .... 63
ENFORCEMENT ...................................................................................... 63 H.1.
EXAMINATION AND DETENTION ................................................................ 63 H.2.
ADMINISTRATIVE MONETARY PENALTY SYSTEM, SEIZURES AND ASCERTAINED H.3.
FORFEITURE .......................................................................................... 64
USEFUL INTERNET PAGES ....................................................................... 65 H.4.
I. APPLICATIONS TO EXPORT CRYPTOGRAPHIC ITEMS .......................... 66
INTRODUCTION ...................................................................................... 66 I.1.
GENERAL EXPORT PERMITS .................................................................... 66 I.2.
INDIVIDUAL EXPORT PERMITS .................................................................. 66 I.3.
MULTIDESTINATION EXPORT PERMITS ....................................................... 68 I.4.
J. APPLICATIONS TO EXPORT FIREARMS, RELATED GOODS, AND
AMMUNITION ............................................................................................... 71
SPECIFIC INFORMATION .......................................................................... 71 J.1.
EXPORT PERMIT REQUIREMENTS FOR FIREARMS ...................................... 72 J.2.
ADDITIONAL CONSIDERATIONS ................................................................ 73 J.3.
COMMON EXPORT SCENARIOS FOR FIREARMS, RELATED GOODS, AND J.4.
AMMUNITION ......................................................................................... 73
K. IMPORT-RELATED DOCUMENTS ............................................................... 77
IMPORT PERMITS ................................................................................... 77 K.1.
INTERNATIONAL IMPORT CERTIFICATES .................................................... 77 K.2.
DELIVERY VERIFICATION CERTIFICATES ................................................... 78
K.3.
L. FURTHER INFORMATION AND REFERENCE ............................................ 80
ARMS EXPORT STATISTICS ..................................................................... 80 L.1.
WEBSITES ............................................................................................. 81 L.2.
COMMONLY USED EXPORT CONTROLS ACRONYMS ................................... 81 L.3.
M. INDEX ........................................................................................................... 83
EXPORT CONTROLS HANDBOOK
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A. Introduction
What is an export permit? A.1.
The Export and Import Permits Act
1
authorizes the Minister of Foreign Affairs to issue to
any resident of Canada a permit to export items included on the Export Control List or to a
country included on the Area Control List, subject to certain terms and conditions.
An export permit describes, among other things, the quantity, description and nature of the
items to be exported, as well as the final destination country and final consignee. Unless
otherwise stated, an export permit may authorize multiple shipments, up to the expiry of
the permit and as long as the cumulative total of the quantity or value of items exported
does not exceed the quantity or value stated on the permit. An export permit constitutes a
legally-binding authorization to export Export Control List controlled goods or technology
as described.
2
“Do I need an export permit?” This is the first question about export controls facing an
exporter. Factors such as the nature, characteristics, origin, or destination of the goods or
technology being exported (also referred to in this document as “items”), affect export
permit requirements. As such, certain situations require that an exporter first obtain an
export permit from the Export Controls Division of Foreign Affairs, Trade and Development
Canada before these items can be exported legally. To help understand the decision
process involved, please refer to the flowchart on the next page.
What are the Export Control and the Area Control Lists?
A.2.
The Export Control List identifies specific goods and technology that are controlled for
export from Canada to other countries, regardless of their means of delivery (including, for
example, shipment of goods, electronic transfer or transmission of information, provision of
technical or consulting services, etc.). A Guide to Canada’s Export Controls
3
, which lists
the goods and technology controlled on the Export Control List, is available on the internet
at www.exportcontrols.gc.ca.
Exports of goods or technology on the Export Control List may be exempted from the
requirement to obtain an export permit if they are being shipped to certain countries. For
example, in most cases, controlled exports to final consignees in the United States are
exempt from permit requirements. Further information about the Export Control List is
available in section C.
The Area Control List
4
is a list of countries to which the Governor-in-Council deems it
necessary to control the export or transfer of any goods or technology. Further information
is available in section D.1.
Fees A.3.
Permits to export most goods and technology on the Export Control List, including those
destined to countries on the Area Control List, may be made free of charge.
1
http://laws.justice.gc.ca/en/E-19/index.html
2
For the purpose of this document, controlled goods means “goods or technology” included in the ECL .
3
http://www.international.gc.ca/controls-controles/about-a_propos/expor/guide-2013.aspx?lang=eng
4
http://laws-lois.justice.gc.ca/eng/regulations/SOR-81-543/FullText.html
SECTION A: INTRODUCTION
5
There is a $14 fee for each permit to export goods described in Items 5101 to 5204
(Forest Products, and Agriculture and Food Products) of the Export Control List, with the
exception of Item 5104 (Softwood Lumber Products), to which a $9 fee applies. For more
information about export controls for Agricultural and Food products (items 5201, 5203
and 5204 please contact the Trade Controls Policy Division at tic@international.gc.ca , or
the Softwood Lumber Division at softwood.boisdoeuvr[email protected].
Controlled goods or technology?
(section C of this Handbook )
Destination considerations?
(section D)
Yes
No
Yes
No
Apply for individual or
multidestination export
permit
(sections E, F, I, J & K)
Yes
No
Export permit issued?
Yes
Export illegal
(sections G.5 & G.6)
No
Export Permit Process Overview
Do I need to apply for a permit?
Export
(sections G & H)
Follow instructions
for relevant GEP
General Export Permit applies?
(section F.6)
Export permit required
(exception: section D.5)
EXPORT CONTROLS HANDBOOK
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B. Objectives of Export Controls
The principal objective of export controls is to ensure that exports of certain goods and
technology are consistent with Canada’s foreign and defence policies. Among other policy
goals, export controls seek to ensure that exports from Canada:
do not cause harm to Canada and its allies;
do not undermine national or international security;
do not contribute to national or regional conflicts or instability;
do not contribute to the development of nuclear, biological or chemical weapons of
mass destruction, or of their delivery systems;
are not used to commit human rights violations; and
are consistent with existing economic sanctions’ provisions.
Canada’s export controls are not intended to hamper legitimate trade but seek to balance
the economic and commercial interests of Canadian business with the national interest of
Canada.
In addition to compliance with the Export and Import Permits Act, exporters of goods and
technology that are subject to export controls have a responsibility to conduct due
diligence verifications of actual and potential foreign customers and to provide all relevant
information in an export permit application. The Government of Canada’s reviews of
permit applications to export goods and technology seek to ensure that exports from
Canada will not be diverted to illegitimate end-uses or end-users that would be contrary to
the policy goals stated above, or that could lead to considerable embarrassment or liability
for the exporter. In other words, this review can be seen as another step in the exporter’s
due diligence process.
Most items on the Export Control List derive from Canada’s commitments to like-minded
countries which participate in multilateral export control regimes or from Canada’s
international obligations as a signatory to multilateral or bilateral agreements. The export
of other types of goods and certain activities may also be subject to United Nations trade
sanctions or arms embargoes against particular countries or regions.
The four major multilateral export control regimes in which Canada participates are
described below. Participating governments negotiate common lists of goods and
technology that are implemented by all, according to national legislation. These lists
evolve in response to changing international and technological circumstances. Updates
and amendments are made on a periodic basis. Changes to Canada’s Export Control List
are incorporated annually through a regulatory amendment process.
Wassenaar Arrangement (Groups 1 and 2 on the Export Control List) B.1.
The Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-use
Goods and Technology was established in 1996 to contribute to regional and international
security and stability, by promoting transparency and greater responsibility in transfers of
conventional arms and dual-use goods and technology, thus preventing destabilizing
accumulations.
Participating States seek to ensure that transfers of these items do not contribute to the
development or enhancement of military capabilities which undermine these goals, and to
ensure that these items are not diverted to support such capabilities. The Wassenaar
Arrangement is also intended to enhance co-operation to prevent the acquisition of
armaments and sensitive dual-use items for military end-uses, if the situation in a region or
the behaviour of a state is, or becomes, a cause for serious concern to the Participating
States. The Wassenaar Arrangement is not directed against any state or group of states
and does not seek to impede bona fide transactions. The Wassenaar Arrangement also
SECTION B: OBJECTIVES OF EXPORT CONTROLS
7
complements and reinforces, with minimal duplication, other export control regimes for
weapons of mass destruction and their delivery systems.
Export Control List Group 1, which is comprised of dual-use items, pertains to goods and
technology originally designed for civilian purposes, but that could have a military use.
Export Control List Group 2, which is comprised of items that are specially designed or
modified for military purposes and those that present a strategic military concern, includes
items which Canada has committed to controlling for export as a result of its participation
in the Wassenaar Arrangement.
More information about the Wassenaar Arrangement is available on the internet at
www.wassenaar.org.
Nuclear Suppliers Group (Groups 3 and 4 on the Export Control List) B.2.
Canada has a long-standing nuclear non-proliferation policy that is designed, among other
objectives, to ensure that Canada’s nuclear exports are not used for any nuclear weapon
purposes. As a party to the Treaty on the Non-Proliferation of Nuclear Weapons that
came into force in 1970, Canada will not provide source or special fissionable material or
equipment or material especially designed or prepared for the processing, use or
production, of special fissionable material, to any Non-Nuclear Weapon State for peaceful
purposes, unless the source or special fissionable material is subject to International
Atomic Energy Agency safeguards.
In the late 1970s, a group of nuclear supplier countries, including Canada, agreed on a set
of guidelines for nuclear transfers to any Non-Nuclear Weapon State for peaceful
purposes. These became known as the Nuclear Suppliers Group Guidelines. In 1992, the
Nuclear Suppliers Group established a list of nuclear-related dual-use goods and
technology that could make a major contribution to a nuclear explosive activity or a non-
safeguarded nuclear fuel cycle activity.
Export Control List Group 3 includes items that are nuclear-specific. Export Control List
Group 4 includes nuclear-related dual-use items, i.e. items that are used in non-nuclear
applications but that could also be used in a nuclear explosive activity or a non-
safeguarded nuclear fuel cycle activity.
More information about the Nuclear Suppliers Group is available on the internet at:
www.nuclearsuppliersgroup.org.
Miscellaneous Goods and Technology (Group 5 on the Export Control List) B.3.
Export Control List Group 5 includes U.S.-origin goods (refer to section D.5), anti-
personnel land mines, blinding laser weapons and nuclear fusion reactors. In addition to
these are controls on a very limited number of goods that are subject to export controls for
reasons of economic policy, such as certain forest, agricultural and food products.
Item 5504 covers “strategic goods and technology” and includes certain global navigation
satellite systems, propulsion and space-related equipment, payloads, ground control
stations, chemiluminescent compounds, radiation-hardened micro-electronic circuits,
nuclear weapons test design and equipment, as well as related software and technology.
Group 5 also includes Item 5505 (Goods and Technology for Certain Uses – see section
C.3). This item is intended to be used to control exports that pose a significant risk to
weapons of mass destruction proliferation, and not to unnecessarily hinder legitimate
exports. It is assumed that exporters will conduct appropriate due diligence and that they
will not do business with foreign entities involved with weapons of mass destruction.
EXPORT CONTROLS HANDBOOK
8
Missile Technology Control Regime (Group 6 on the Export Control List) B.4.
The Missile Technology Control Regime was established in 1987 to address concerns
about the proliferation of systems capable of delivering weapons of mass destruction,
namely, chemical, biological or nuclear weapons. Export Control List Group 6 includes
items agreed upon by the Partners of the Missile Technology Control Regime that are
used in, or could be used in, the proliferation of systems capable of delivering chemical,
biological or nuclear weapons.
More information about the Missile Technology Control Regime is available on the internet
at www.mtcr.info.
Australia Group (Group 7 on the Export Control List) B.5.
The Australia Group was established in 1985 with the objective of preventing the
proliferation of chemical and biological weapons. The participants (national governments)
in the Australia Group have developed common export controls on chemical substances
and biological agents and related items that could be used in the production of chemical
and biological weapons. These export controls have been implemented in Canada on the
Export Control List as Group 7.
More information about the Australia Group is available on the internet at
www.australiagroup.org.
B.5.1. Chemical Weapons Convention / Biological and Toxin Weapons
Convention
Export Control List Group 7 also contains (as does Group 2, but to a lesser degree)
chemicals and precursors controlled under the Chemical Weapons Convention. Some of
the Chemical Weapons Convention chemicals and precursors are also controlled by the
Australia Group.
More information about the Chemical Weapons Convention is available on the internet at
the website of the Organization for the Prohibition of Chemical Weapons, www.opcw.org.
SECTION C: HOW TO USE A GUIDE TO CANADA’S EXPORT CONTROLS
9
C. How to Use A Guide to Canada’s Export Controls
(including the Export Control List)
A Guide to Canada’s Export Controls
5
(hereinafter referred to as the “Guide”), which
includes all items controlled on the Export Control List, is available on the internet at
www.exportcontrols.gc.ca. The Export Control List is divided into the following seven
Groups:
Group 1: Dual-Use List
Group 2: Munitions List
Group 3: Nuclear Non-Proliferation List
Group 4: Nuclear-Related Dual-Use List
Group 5: Miscellaneous Goods and Technology
Group 6: Missile Technology Control Regime List
Group 7: Chemical and Biological Weapons Non-Proliferation List
Each entry on the Export Control List is known as an Item and each Item is numbered.
The first digit of an Item number represents that Item's Group. Items are further
subdivided into more specific categories (or Sub-Items) with numbering schemes that vary
somewhat between Groups. Sub-items are also identified by indentations in the text.
To identify a specific Export Control List item, the numbers and letters of each subsequent
paragraph leading to that item are given. For example, 1-6.A.5.d.1 is an Export Control
List Item number addressing Semi-conductor lasers.
There are some terms on the Export Control List in double quotes and some in single
quotes. These quotes signify that the words or phrases contained in the quotes have
specific definitions in the Guide. Terms in single quotes are defined in technical notes that
apply to the Export Control List item, while those in double quotes are defined in specific
Definitions sections, which are located at the end of Groups 2, 4, 6 and 7. Below is an
example that illustrates Export Control List text. This example may help demonstrate how
the numbering system is structured and how items and sub-items relate to one another.
Example of ECL Text:
1-8.A. Systems, Equipment and Components
This large number is the main item number:
Item 1-8.A. It is part of Group 1 (Dual-Use
Goods).
1-8.A.1 Submersible vehicles and surface vehicles as
follows:,
…
a. Manned, tethered submersible
vehicles designed to operate at
depths exceeding 1,000 m;
This would be sub-item ‘1-8.A.1.’ The first level
of sub-division is flush with the left margin.
Additional levels of sub-division are indented
directly below the previous level.
b. Manned, untethered submersible
vehicles having any of the following:
1. Designed to ‘operate
autonomously’ and having a lifting
capacity of all the following:
a. 10% or more of their weight in
air; and
b. 15 kN or more;
This item is the fourth level of sub-division and
would be identified as sub-item 1-8.A.1.b.1.b.
5
http://www.international.gc.ca/controls-controles/about-a_propos/expor/guide-2013.aspx?lang=eng
EXPORT CONTROLS HANDBOOK
10
There are two main ways to locate specific items on the Export Control List:
Use the Index of the print version or use Adobe Reader's search capability to search
through the Portable Document Format (.pdf) file of the Guide’s Export Control List
which is available on the internet at www.exportcontrols.gc.ca to specifically find the
item; or
Search through Groups that contain like items to find items that might apply to your
items.
The first step should be a search through the Guide for the item. At the back of the Guide
is a detailed, but not exhaustive, Index. By using the Index or performing a search of the
electronic version of the Guide, readers can quickly find all of the important references that
may exist concerning a specific good or technology. Generic terms are generally used in
place of common or trade terminology.
If an item is not specifically mentioned in the Index, exporters are advised to review the
pertinent sections of the Guide to find out if controls nonetheless apply because some
Export Control List Items apply to broad types of goods or technology that are not listed by
name and do not appear in the Index. Item 5400 in Group 5 on the Export Control List is a
good example of this. No specific items are mentioned in Item 5400 but all U.S.-origin
items, as defined therein, require an export permit when exported to any destination other
than the United States regardless of the nature of the item.
Items Identified Under More Than One Group or Export Control List Item C.1.
Goods or technology identified in one Group or Item of the Export Control List may also be
identified in other Groups or Items and each Group in the Guide must therefore be
considered independently. Exporters should ensure that they have reviewed the Guide in
sufficient detail to assure themselves that all relevant Groups and Export Control List items
have been considered.
Important Note on U.S.-Origin Goods C.2.
Exporters should note that the exports of all goods and technology of U.S.-origin, as
defined in Item 5400 on the Export Control List, regardless of their nature and destination,
require permits (refer to section D.4).
Items Destined to a Chemical, Biological or Nuclear Weapon or a Missile C.3.
Application
In 2002, Canada implemented “catch-all” controls that cover the export of any items not
listed elsewhere on the Export Control List. Item 5505 on the Export Control List, Goods
and Technology for Certain Uses, imposes a permit requirement on any item if it is
determined that the item is likely destined to an end-use or end-user involved in the
development, or production, handling, operation, maintenance, storage, detection,
identification, or dissemination of chemical or biological weapons, nuclear explosive or
radiological dispersal devices, or their missile delivery systems. Item 5505 applies to any
good or technology that is exported from Canada, regardless of whether or not they are
included in the Export Control List. Goods or technology may be subject to concurrent
control under Item 5505 and under one or more other Items of the Export Control List.
Before exporting any items, exporters must be satisfied that their exports are not being
transferred, directly or indirectly, to such an end-use or end-user. If in doubt, the exporter
should submit an export permit application that describes the circumstances of the
transaction. Goods or technology controlled under Item 5505 may not be lawfully exported
under the authority of a General Export Permit.
SECTION C: HOW TO USE A GUIDE TO CANADA’S EXPORT CONTROLS
11
More information on this subject is available in Notice to Exporters SER-176
6
, available on
the internet at www.exportcontrols.gc.ca.
Advisory Opinions C.4.
Goods and Technology requiring an export permit for the purposes of export or transfer,
as required under Section 13 of the Export and Import Permits Act
7
, are included in the
Export Control List, and published in A Guide to Canada’s Export Controls
8
.
In addition to self-assessment against the Index of the Guide, an exporter may also
choose to obtain greater certainty in regard to the control status of a particular export
under the Export and Import Permits Act by either applying for an advisory opinion or
submitting an export permit application.
The advisory opinion (AO) process is a tool provided by the Export Controls Division as a
courtesy to assist individuals with learning to navigate the Export Control List and
understand the commodity assessment process. The AO is not a legislated requirement
and does not bind the Minister's discretion under the Export and Import Permits Act or its
regulations. To obtain a binding decision, an Application for Export Permit must be
submitted.
Advisory Opinions are conducted as operational commitments permit. If you have an
urgent export requirement, it is recommended you complete and submit an Application for
Export Permit. For further information on how to apply for an export permit, please see
section E of this Handbook.
Please ensure that your Application for an Advisory Opinion contains all of the necessary
material for it to be processed. In this regard, please refer to sections C.4.1 through C.4.4
below.
C.4.1. Limitations of an Advisory Opinion
An Advisory Opinion does not provide a legally binding document and does not bind
the Minister's discretion in regard to permit issuance under the Export and Import
Permits Act or its regulations;
Does not establish whether an item is a “controlled good” under the Defence
Production Act or whether an individual or company must be registered under the
Controlled Goods Program administered by the Controlled Goods Directorate (for
more information on the Controlled Goods Program, please refer to section F.9
below.);
Does not address the requirements of other statutes or regulations, such as the
United Nations Act and the Special Economic Measures Act (for more information
on these statutes, please refer to section D.3 below.);
Does not address the likelihood of receiving an Export Permit;
Does not address issues that may be raised by virtue of particular destinations or
particular consignees (for more information on the export process, please refer to
sections D and E below.);
Is not conducted on generic descriptions, catalogues of items, company inventories,
hypothetical situations, country destinations, interpretations of control text, etc.; and,
6
http://www.international.gc.ca/controls-controles/systems-systemes/excol-ceed/notices-avis/176.aspx?lang=eng&view=d
7
http://laws.justice.gc.ca/eng/E-19/index.html
8
http://www.international.gc.ca/controls-controles/about-a_propos/expor/guide-2013.aspx?lang=eng
EXPORT CONTROLS HANDBOOK
12
Is restricted to uniquely identifiable items (i.e., unique engineering / shipping
configuration control nomenclature (product name, product number, part number,
configuration / revision designation, etc.)).
C.4.2. Advisory Opinion Letter Disclaimers
Legal considerations: This letter is provided as general advice based on the data
submitted. The process involved in the provision of Advisory Opinions (AOs) is of a
distinct nature from that involved in the assessment of an export permit application;
it does not entail any degree of data verification and internal government
consultation, such as would normally occur during an export permit application
process. Consequently, AOs contain no reference to, nor are they indicative of, the
prospects of the Minister subsequently issuing an export permit for
the item(s). Furthermore, this letter does not bind the Minister’s discretion under the
Export and Import Permits Act or its related regulations. Where an export permit
application is subsequently submitted, the Minister may nonetheless issue or refuse
to issue a permit, or return the export permit application with an indication that a
permit is not required. If an applicant requires a binding decision, an export permit
application should be submitted for processing to Foreign Affairs, Trade and
Development Canada.
Controlled Goods Program (CGP): An applicant should be aware that although the
AO process may include the technical assessment of a uniquely identifiable
commodity against the Export Control List for export in accordance with the Export
and Import Permits Act, it does not indicate whether the item is a “controlled good”
under the Defence Production Act nor whether registration with the Controlled
Goods Directorate (CGD) is required. Information on the CGP, the schedule of
“controlled goods” under the Defence Production Act, and clarification of the terms
'examine', 'possess' and 'transfer' may be found on the Public Works and
Government Services – Controlled Goods Directorate website
9
.
Economic Sanctions: An applicant should be aware that other legislated
authorizations may be required for exports to particular destinations subject to
Canadian Economic Sanctions, as provided for under the United Nations Act or the
Special Economic Measures Act. Information related to these sanctions can be
obtained from the Canadian Economic Sanctions
10
web page, or by contacting the
Economic Law Section (JLHB) of Foreign Affairs, Trade and Development Canada.
ECL Item 5505 – Goods and Technology for Certain Uses (Catch All): An applicant
should be aware that ECL item 5505 controls the export of goods and technology
not controlled elsewhere in the ECL, to certain countries of concern, when the items
are intended for certain uses or end-users. (For more information, please refer to
section C.3, above.)
Other Government Departments: As an exporter, you should be aware that other
government departments and agencies may require additional export authorisations
related to your export. You should contact your internal export compliance officer,
or your legal counsel to confirm whether any additional authorisations are required.
Post-AO Modifications: Notwithstanding the foregoing, any modifications
subsequently made for any reason to the uniquely identified commodities assessed
under an AO application would require a re-evaluation for control status under the
ECL.
Export Control List Changes: The technical assessment provided under the
Advisory Opinion is based on the Export Control List in force at the time of the
9
http://ssi-iss.tpsgc-pwgsc.gc.ca/dmc-cgd/index-eng.html
10
http://www.international.gc.ca/sanctions/index.aspx?lang=eng
SECTION C: HOW TO USE A GUIDE TO CANADA’S EXPORT CONTROLS
13
assessment. Amendments to the Export Control List are published in the Canada
Gazette. It is the individual’s responsibility to conduct the due diligence required to
confirm whether any intervening changes may have affected the control status of
their particular goods or technology to be exported or transferred.
C.4.3. AO Applications - Supporting Information
In order to assist the Export Controls Division in properly assessing the control status of
the identifiable commodity for which the applicant requires advice, it is highly
recommended that applicants refer to the following list to guide them on information which
should be included in an application for an AO, as applicable, in order to receive the most
accurate advice possible:
Identify the specific variant for which a technical assessment is requested and
provide the unique engineering / shipping configuration control nomenclature that
uniquely identifies the specific item (product name, product number, part number,
configuration / revision designation, etc.).
Provide technical information sufficient to fully describe the technical characteristics
/ capabilities of the item. This may take the form of product descriptions, marketing
brochures, technical specification sheets, etc.
Is the item part of a larger assembly or end-item? What is the larger
assembly? What is the ultimate end-item? Provide details. In many instances, an
exploded view drawing from a maintenance manual or parts manual highlighting the
item under assessment in relation to the larger assembly and ultimate end-item can
be extremely useful.
Was the larger assembly or ultimate end-item specially designed or modified for
military, nuclear, or space use? Provide details.
What was the item under assessment originally designed for?
Was the item under assessment specially designed or modified for military, nuclear,
or space use? Provide details.
Is the item a commercial-off-the-shelf (COTS) catalogue part? If it is a COTS
catalogue part, provide details including the catalogue front cover, applicable pages
(highlighting the specific item) and part number reference material (including
appropriate prefix and suffix references) cross referenced to the specific part for
assessment.
Are there different variants of the item? Are any of the variants for military, nuclear
or space use? If so, how do the commercial and other variants differ (e.g.,
functionality, mechanical, environmental, marking identification, etc.)? Provide
details.
Has the item been modified in any way (hardware or software) to meet a specific
end-use or end-users' requirements? Describe the modifications.
Does the item contain any United States origin items controlled under the U.S.
Munitions List of the International Traffic in Arms Regulations (ITAR)? Provide
details. (Note: Your U.S. suppliers can provide this information).
Where was the item originally manufactured?
If the item was originally manufactured in the U.S.:
EXPORT CONTROLS HANDBOOK
14
o Under what export authority (e.g., Dept. of Commerce (DoC) Export Control
Classification Number (ECCN), Dept. of State (DoS) Licence, etc.) was the
item exported to Canada? Provide details (e.g., DoC Commodity
Classification Automated Tracking System (CCATS) ruling with ECCN, DoS
licence, etc.) from the original manufacturer.
o Has the item been further processed or manufactured outside the US so as to
result in a substantial change in value, form or use of the items, or in the
production of new items? Provide details.
If the item was originally manufactured in the European Union (EU) or has been
imported from the EU, under what EU export authority was the item exported from
the EU (e.g., EU licence with the applicable EU Control List commodity
code). Provide details.
Has a technical assessment of the item or similar item been previously received,
whether by means of an Advisory Opinion, Export Permit, Canada Border Services
Agency (CBSA) Detention, or other Canadian government ruling? Provide details.
If the applicant has reviewed the Export Control List and believes that certain
section(s) may apply, provide a compliance spreadsheet / matrix of the item’s
technical capabilities / characteristics against each of the technical criteria
delineated in the ECL Item(s) that may be applicable.
C.4.4. How to apply for Advisory Opinions
Having reviewed the AO Limitations, AO Letter Disclaimers, and AO Application
Supporting Information sections, an AO request may be submitted through our online
EXCOL system, or directly at the EXCOL website. Once there, choose “Apply for...
Advisory Opinion” on the left-hand menu bar. Please ensure that your submission
includes as many AO Application Supporting Information elements as possible.
SECTION D: DESTINATION AND ORIGIN CONSIDERATIONS
15
D. Destination and Origin Considerations
Area Control List D.1.
The export or transfer of any goods or technology (including technical data, technical
assistance and information necessary for the development, production or use of a good) to
countries on the Area Control List
11
is controlled and must be authorized by an export
permit issued by the Minister of Foreign Affairs under the authority of the Export and
Import Permits Act.
As of June 20, 2017, the Area Control List comprised of only one country : the
Democratic People’s Republic of Korea (North Korea), added on July 14, 2010.
Policy guidance on exports to these countries is published in the following Notices to
Exporters, which are available on the internet at www.exportcontrols.gc.ca:
SER-172 Export Controls to the Democratic People’s Republic of Korea
12
Automatic Firearms Country Control List D.2.
Canada has inter-governmental defence, research, development, and production
arrangements with countries on the Automatic Firearms Country Control List
13
. Certain
prohibited firearms, weapons, devices, or components thereof that are included on the
Export Control List may be exported only to destinations on the Automatic Firearms
Country Control List and only to consignees that are government or authorized by
government. These must be authorized by an export permit issued by the Minister of
Foreign Affairs under the authority of the Export and Import Permits Act.
The following goods and their components and parts, as defined in Section 4.1 of the
Export and Import Permits Act and Section 84 of the Criminal Code, are subject to the
Automatic Firearms Country Control List, when these items are also included on the
Export Control List:
an automatic firearm, whether or not it has been altered to discharge only one
projectile with one pressure of the trigger;
any firearm that is prescribed by regulation to be a prohibited firearm;
any weapon, other than a firearm, that is prescribed by regulation to be a prohibited
weapon;
any component or part of a weapon, or any accessory for use with a weapon, that is
prescribed by regulation to be a prohibited device;
a cartridge magazine that is prescribed by regulation to be a prohibited device.
At the time of publication, the Automatic Firearms Country Control List was comprised of
the following countries:
11
http://laws.justice.gc.ca/en/showtdm/cr/SOR-81-543/?showtoc=&instrumentnumber=SOR-81-543
12
http://www.international.gc.ca/controls-controles/systems-systemes/excol-ceed/notices-avis/172.aspx?lang=eng
13
http://laws.justice.gc.ca/eng/regulations/SOR-91-575/page-1.html
EXPORT CONTROLS HANDBOOK
16
Albania
Australia
Belgium
Botswana
Bulgaria
Chile
Croatia
Czech Republic
Denmark
Estonia
Finland
France
Germany
Greece
Hungary
Iceland
Israel
Italy
Kuwait
Latvia
Lithuania
Luxembourg
Netherlands
New Zealand
Norway
Peru
Poland
Portugal
Republic of Colombia
Republic of Korea
Romania
Saudi Arabia
Slovakia
Slovenia
Spain
Sweden
Turkey
United Kingdom
United States
Export Prohibitions D.3.
Certain export prohibitions have been implemented under the authority of the Export and
Import Permits Act. Furthermore, the Parliament of Canada has enacted legislation
authorizing the imposition of trade and economic sanctions through the United Nations Act
and the Special Economic Measures Act. The Minister of Foreign Affairs is responsible for
the administration of these laws. The latest information on Canada’s economic sanctions
can be found on the internet at:
www.international.gc.ca/sanctions/index.aspx?lang=eng
At the time of writing, countries listed in Table 1 were subject to prohibitions on certain
exports. Exporters are advised to be aware of these and/or any applicable sanctions if
they are exporting to or otherwise doing business in/or with any of the countries named.
Sanctions do not necessarily take the form of export restrictions, nor do they necessarily
apply to any country as a whole.
Exporters should also note that certain individuals and entities have been designated as
terrorists under the Regulations Implementing the United Nations Resolutions on the
Suppression of Terrorism and the United Nations Al-Qaida and Taliban Regulations, which
both implement United Nations resolutions.
Canadian Export Controls on U.S.-Origin Goods and Technology D.4.
Export controls are generally defined with respect to technical characteristics, irrespective
of the country of manufacture of an item. Section E.4.3 provides information on exports of
military goods and technology that are of U.S.-origin.
However, Export Control List Item 5400 controls exports of the following:
All goods and technology of United States origin, unless they are included
elsewhere in this List [the Export Control List], whether in bond or cleared by
Canada Border Services Agency, other than goods or technology that have been
further processed or manufactured outside the United States so as to result in a
substantial change in value, form or use of the goods or technology or in the
production of new goods or technology.
For example, any goods or technology that are not controlled elsewhere on the Export
Control List and that have been manufactured or created in the United States, imported
into Canada, and are proposed for export without any value added in Canada, are
controlled by Export Control List Item 5400. For the purpose of ECL Item 5400, the clause
SECTION D: DESTINATION AND ORIGIN CONSIDERATIONS
17
“all goods and technology of United States origin” means items that are
manufactured/created in the United States. “Origin” does not mean from where the items
were last exported to Canada.
Exports that are controlled by Item 5400 must be authorized by an export permit. Two
types of export permits are possible in this case, depending on the destination of the
items:
Exports of Export Control List Item 5400 goods and technology to Cuba, Iran, North
Korea, and Syria or to any destination on Canada’s Area Control List require
individual export permits.
For all other destinations, General Export Permit No. 12 (GEP 12) applies. No
individual export permit application is required. The exporter must simply quote
"GEP 12" on the Export Declaration (B13A) or other export reporting documentation
for presentation to the Canada Border Services Agency when the goods are
tendered for export. For more information about General Export Permits, see
section F.6.
Exporters are advised to apply for an export permit if there is any doubt about the
application of Item 5400 to their exports. Exporters will be notified in writing if their items
are, or are not subject to export controls.
Box 1: Exports of Controlled U.S. Goods and Technology
The US Government imposes re-transfer conditions on certain U.S.-origin goods and
technology even after they have been exported from the United States. Under U.S. law,
U.S. export controls may apply extra-territorially, which means that they apply even after
the goods or technology in question are outside the United States and out of the
possession of U.S. persons or entities.
The two main U.S. export control systems are managed, respectively, by the Export
Administration Regulations (commonly referred to as the EAR), administered by the U.S.
Department of Commerce’s Bureau of Industry and Security (see www.bis.doc.gov for
more information), and the International Traffic in Arms Regulations (commonly referred to
as the ITAR), administered by the U.S. State Department’s Directorate of Defense Trade
Controls (see www.pmddtc.state.gov for more information).
As a condition of authorizing exports of certain goods or technology to a Canadian
company, the U.S. Government may require the Canadian company to obtain explicit re-
export authorization before exporting the items from Canada to a third destination.
When certain goods or technology are exported from the United States, invoices and
shipping documents should contain a destination control statement which forbids, for
example, further transfers to any country other than the specified destination “without the
prior written approval of the U.S. Department of State” [ITAR Section 123.9(b)] or which
prohibits “diversion contrary to U.S. law” (EAR Section 358.6).
Canadian exporters are advised to contact their U.S. suppliers or the U.S. Government for
more information about re-export authorizations which may be required.
Exports to the United States D.5.
Export permits are not required for many of the goods and technology listed in the Export
Control List if they are destined to a consignee in the United States.
Items that do require an export permit to the United States are defined on the Export
Control List (there is a statement that the control applies to “All Destinations”). Those
EXPORT CONTROLS HANDBOOK
18
items that require individual permits to the United States, at the time of writing, are listed in
the table below for reference convenience.
However, this exception does not apply to shipments that transit the United States to third
destinations. If exports are destined to bonded or sufferance warehouses located in the
United States, they are considered “in transit”. Exporters are advised to obtain written
assurances from their U.S. consignees that U.S. export controls will apply should the
goods be subsequently exported from the United States.
If uncertain as to whether an export permit for the U.S. is required, an exporter should
submit an export permit application to the Export Controls Division.
Export Control List Items that require permits for export to the United States
Group 2 (Munitions List)
• 2-1*
• 2-2.a*
• 2-2.b*
• 2-3*
• 2-4.a
Group 3 (Nuclear Non-
Proliferation List)
• all items
Group 4 (Nuclear-related
Dual-Use List)
• all items
Group 5 (Miscellaneous
Goods and Technology)
• 5101
• 5102
• 5103
• 5104
• 5201
• 5203
• 5204
• 5501
• 5502.1
• 5503
• 5504.2.h
Group 6 (Missile Technology
Control Regime List)
• 6-1
• 6-2
Group 7 (Chemical and
Biological Weapons Non-
Proliferation List)
• 7-3
• 7-13
* Exceptions apply to some exports of firearms to the U.S. Please consult section J.
19
Table 1 - Summary of Export Prohibitions*
Country
Effective Date and Source
Export Prohibition
Exceptions
.
Burma
(Myanmar)
December 13, 2007:
SEMA, Special Economic
Measures (Burma)
Regulations
Arms embargo including
prohibitions on exporting arms and
related material; technical and
financial assistance to military
activities; prohibition on general
categories of transactions, services
and dealings on properties of
designated persons wherever
situated.
Certain protective or non-lethal military clothing and equipment when intended for
use by media, humanitarian, human rights or other listed personnel; payments
required under contract entered into before a party was designated under the
Regulations; dealings related to humanitarian or development assistance and
dealings required to move financial assets away from designated persons
Central
African
Republic
June 19, 2014, UN Act –
UN Central African
Republic Regulations
Arms and related materials;
provision of technical assistance
related to military activities
Supplies for the support of or use by MICOPAX, MISCA, BINUCA and its guard
unit, MINUSCA, the African Union Regional Task Force, the French forces and
European union operations deployed in Central African Republic; non-lethal
military equipment for humanitarian or protective use and related technical
assistance or training approved in advance by the Committee of the Security
Council; protective clothing, including flak jackets and military helmets
temporarily exported by UN personnel, representatives of the media and
humanitarian and development workers and associated personnel for personal
use; small arms and other related equipment for use in international patrols
providing security in the Sangha River Tri-national Protected Area; arms and
related materials for Central African Republic security forces as approved by the
Committee of the Security Council
Côte
d’Ivoire
May 3, 2005: UN Act – UN
Côte d’Ivoire Regulations
Arms and related material; technical
assistance related to military
activities.
Subject to certain conditions, protective clothing: certain non-lethal military
equipment intended for humanitarian or protective use. Arms and related material
and technical assistance intended solely for the support of UNOCI and the French
armed forces in support of UNOCI, or for their use; or for evacuation of foreign
nationals; or for restructuring defence and security forces.
20
20
Table 1 - Summary of Export Prohibitions*
Country
Effective Date and Source
Export Prohibition
Exceptions
Democratic
People’s
Republic of
Korea
(DPRK)
August 11, 2011 and
November 28, 2013:
SEMA, Regulations
Amending Certain
Regulations Imposing
Sanctions on the
Democratic Republic of
Korea (DPRK) ,
July 14, 2010: EIPA
November 9, 2006: UN Act,
Regulations Implementing
the UN Resolution on the
DPRK
All goods and technical data.
See Area Control List (section D.1
of this Handbook); brokering or
other intermediary services in the
class of prohibited services or
assistance; prohibition on financial
services with respect to activities
already prohibited; transfers of bulk
cash (any amount of currency
whose total value is greater than
$10,000 CDN)
Generally, exports that respond to humanitarian needs or circumstances and settlers’
effects belonging to persons leaving Canada for DPRK; stabilization and
reconstruction assistance and activities; financial or other support provided by the
Government of Canada and non-commercial remittances.
Democratic
Republic of
the Congo
(DRC)
October 19, 2004 and
October 4, 2005
(amendments): UN Act –
UN DRC Regulations
Arms and related material; technical
assistance related to military
activities.
Subject to certain conditions, non-lethal military equipment intended solely for
humanitarian or protective use, and related technical assistance; arms and related
material and related technical assistance intended solely for support of, or use by,
the MONUC.
Egypt
March 23, 2011, December
14, 2012 and February 28,
2014 (amendments):
Freezing Assets of Corrupt
Foreign Officials (Tunisia
and Egypt Regulations)
Dealings with designated persons
21
Table 1 - Summary of Export Prohibitions*
Country
Effective Date and Source
Export Prohibition
Exceptions
Eritrea
April 22, 2010 –
Regulations implementing
the UN Resolutions on
Eritrea
Arms and related material;
technical, training, financial or other
assistance related to military
activities or to the supply, sale,
transfer, manufacture, maintenance
or use of arms and related material
Guinea
Dec 18, 2009: EIPA (DFAIT
News Release No. 393 of
Dec 18, 2009)
Military and strategic items intended
for use by the armed forces, police
or other governmental agencies of
Guinea.
Iran
February 22, 2007, May 17,
2007, and April 17, 2008
(amendments): UN Act –
Regulations Implementing
the UN Resolution on Iran
July 26, 2010, October 17,
2011 and November 21,
2011, January 31, 2012,
December 11, 2012 and
May 29, 2013: SEMA,
Special Economic
Measures (Iran)
Regulations
UN sanctions - Certain items,
materials, equipment, goods and
technology which could contribute
to Iran’s uranium enrichment-
related reprocessing or heavy
water-related activities or to the
development of nuclear weapon
delivery systems, technology
related to ballistic missiles capable
of delivering nuclear weapons;
arms and related materials; certain
items in Group 1 and 2 of the ECL
.
Dealings with "designated persons"
(entities and individuals). See
Section on “prohibitions” in the
Regulations Implementing the UN
Resolutions on Iran and the Special
Economic Measures (Iran)
Regulations for details on prohibited
exports.
A person wishing to sell certain goods and technology which are otherwise
prohibited for export may apply to the Minister for a certificate to exempt those
products from the application of the prohibition under certain circumstances.
22
22
Table 1 - Summary of Export Prohibitions*
Country
Effective Date and Source
Export Prohibition
Exceptions
Iraq
October 19, 2004: UN Act –
UN Iraq Regulations
Arms and related material.
Arms and related material that are required by the Government of Iraq, or by a
multinational force under unified command, to serve the purposes of Resolution
1546 (2004).
Lebanon
September 18, 2007,
January 29, 2009
(amendment): UN Act –
Regulations Implementing
the UN Resolution on
Lebanon
Arms and related material; technical
assistance related to the provision,
manufacture, maintenance or use
of arms and related material.
Arms and related material and related technical assistance authorized in advance
in writing by the Government of Lebanon or by the UN Interim Force in Lebanon.
Liberia
July 12, 2001, June 17,
2004 and January 29, 2009
(amendments): UN Act –
UN Liberia Regulations
Arms and related material; technical
assistance related to the provision,
manufacture, maintenance or use
of arms and related material.
Subject to certain conditions, non-lethal military equipment intended solely for
humanitarian or protective use, and the provision of related technical assistance;
arms and related material or technical assistance that is intended solely for the
UN Mission in Liberia or for an international training and reform program for the
Liberian armed forces and police.
Libya
September 22, 2011 and
September 30, 2013:
Regulations Amending the
Regulations Implementing
the UN Resolutions on
Libya and Taking Special
Economic Measures
Arms and related material;
technical, financial or other
assistance related to military
activities. Prohibitions on dealings
with designated persons.
Non-lethal military equipment intended solely for humanitarian or protective use
and related technical assistance and training; protective clothing and equipment,
including flak jackets and military helmets temporarily exported by United Nations
personnel, representatives of the media and humanitarian and development
works and associated personnel, for their personal use only; non-lethal military
equipment intended solely for security or disarmament assistance to the
Government of Libya, and related technical assistance, training and financial
assistance and other sales or supplies of arms and related materials, or
provisions of assistance or personnel as approved in advance by the Committee
of the Security Council.
Pakistan
May 28, 1998: EIPA
(DFAIT News Release No.
136 of May 28, 1998)
Military goods and technology
identified in Group 2 of the Export
Control List.
23
Table 1 - Summary of Export Prohibitions*
Country
Effective Date and Source
Export Prohibition
Exceptions
Russia
March, 17, 2014, as
amended in March 19,
2014, March 21, 2014, April
28, 2014, May 4, 2014,
May 12, 2014, June 21,
2014, July 24, 2014,
August 6, 2014, September
16, 2014, December 19,
2014 and February 17,
2015: SEMA: Special
Economic Measures
(Russia) Regulations
Dealings with designated persons;
restrictions on certain sectors like
the financial and energy sectors
Certain transactions in respect of diplomatic missions, UN agencies, the
International Red Cross and Red Crescent Movement and Canadian NGOs in
certain circumstances
Somalia
March 12, 2009 and June
8, 2012: Regulations
Amending the Regulations
Implementing the UN
Resolutions on Somalia
Arms and related material;
technical, financial or other
assistance related to military
activities. Dealings with "designated
persons" (entities and individuals).
Subject to certain conditions, protective clothing temporarily exported to Somalia
by UN personnel, representatives of the media and humanitarian and
development workers and associated personnel for their personal use only; non-
lethal military equipment intended solely for humanitarian or protective use;
supplies intended solely for the support of or use by the protection and training
mission in Somalia established by the Intergovernmental Authority on
Development and Member States of the African Union; supplies intended solely
for the support of or use by the African Union Mission in Somalia; supplies
intended solely for the purpose of helping develop security sector institutions.
South
Sudan
October 23, 2014: SEMA-
Special Economic
Measures (South Sudan
Regulations
Dealings with designated persons
Transactions in respect of diplomatic missions, UN agencies, the International Red
Cross and Red Crescent Movement and Canadian NGOs in certain circumstances.
24
24
Table 1 - Summary of Export Prohibitions*
Country
Effective Date and Source
Export Prohibition
Exceptions
Sudan
September 23, 2004 and
May 2, 2005 (amendment):
UN Act – Regulations UN
Sudan Regulations
Arms and related material; technical
assistance related to the provision,
manufacture, maintenance or use
of arms and related material.
Subject to certain conditions, protective clothing: non-lethal military equipment
intended solely for humanitarian, human rights monitoring or protective use, and
related technical assistance; arms and related material and related technical
assistance for a monitoring, verification or peace support operation, or that are
provided in support of implementation of the Comprehensive Peace Agreement or
are brought into the Darfur region of Sudan, if their movement is approved by the
Committee of the Security Council upon a request by the Government of Sudan.
Syria
May 24, 2011;
amendments in , August
11, 2011, October 3, 2011,
December 23, 2011,
January 25, 2012, March 5,
2012, March 20, 2012, May
17, 2012, July 5, 2012,
August 29, 2012,
November 28, 2012 and
January 29, 2014 : SEMA,
Special Economic
Measures (Syria)
Regulations
Any item listed on the Export
Controls List; chemicals that can be
used as precursors to chemical
weapons agents and dual-use
equipment that can be used in a
chemical weapons program; luxury
goods and goods that can be used
for internal repression; dealings
with designated persons (entities
and individuals)
Humanitarian efforts and goods, such as food and medical supplies or equipment;
Stabilization and reconstruction assistance and activities; Democratization and
development assistance; Financial or other support provided by the Government of
Canada; Payments made by or on behalf of designated persons pursuant to
contracts entered into prior to the coming into force of this person’s designation.
Tunisia
March 23, 2011;
amendments in December
14, 2012 and February 28,
2014: Freezing Assets of
Corrupt Foreign Officials
(Tunisia and Egypt)
Regulations
Dealings with designated persons
25
Table 1 - Summary of Export Prohibitions*
Country
Effective Date and Source
Export Prohibition
Exceptions
Ukraine
March 5, 2014: Freezing
Assets of Corrupt Foreign
Officials (Ukraine)
Regulations
March 17, 2014;
amendments on March 19,
2014, April 12, 2014, May
12, 2014, June 21, 2014,
July 11, 2014, July 24,
2014, August 6, 2014,
December 19, 2014 and
February 17, 2015; SEMA:
Special Economic
Measures (Ukraine)
Regulations
Dealings with designated persons
Yemen
September 26, 2014: UN
Act: Regulations
Implementing the UN
Resolutions on Yemen
Dealings with designated persons
Zimbabwe
September 4, 2008: SEMA,
Special Economic
Measures (Zimbabwe)
Regulations
Arms and related material; technical
or financial assistance or other
services related to the supply, sale,
transfer, manufacture or use of
arms and related materials.
Subject to certain conditions, non-lethal military equipment intended solely for
humanitarian or protective use, and related technical assistance and training;
protective clothing and equipment; arms and related material for use by a
member of the Canadian Forces who is in or travels to Zimbabwe in the
performance of official duties.
26
26
Table 1 - Summary of Export Prohibitions*
Country
Effective Date and Source
Export Prohibition
Exceptions
* This table has been prepared for convenience of reference only and has no official sanction. For all purposes of interpreting and applying the law, users should
consult the Acts as passed by Parliament. More information is available at www.international.gc.ca/sanctions/index.aspx?lang=eng.
Abbreviations used: EIPA – Export and Import Permits Act; SEMA – Special Economic Measures Act; MICOPAX - Mission for the consolidation of peace in the
Central African Republic, led by the Economic Community of Central African States; MISCA - the African-led International Support Mission in the Central African
Republic; BINUCA - the United Nations Integrated Peacebuilding Office in the Central African Republic; MINUSCA - the United Nations Multidimensional
Integrated Stabilization Mission in the Central African Republic; .UN – United Nations. UNOCI -- United Nations Operation in Côte d'Ivoire;
MONUC -- Mission de l' Organisation des Nations Unies en République démocratique du Congo (Mission of the United Nations in the Democratic
Republic of Congo); NGO - non-government organization
SECTION E: EXPORT PERMIT APPLICATION PROCESS
27
E. Export Permit Application Process
Exporters are encouraged to apply as early as possible in order to avoid unnecessary
delays to shipment schedules. Please refer to section F.1, below for processing times.
The first and most important step is to have a complete understanding of the export. What
is the item? Where is it going? Who is/are the consignees who will receive the shipment
directly, and what are the exporter’s contractual obligations for shipping controlled goods
or technology? For what will the exported goods or technology be used, and by whom?
The applicant must be able to answer all of these questions in detail before filling in the
application.
Confidentiality of Information
E.1.
Foreign Affairs, Trade and Development Canada is committed to respect the personal
information of private persons, including safeguarding the confidentiality of information
provided by companies and individuals.
Regardless of the method of application, the name and business contact information (such
as address, e-mail and telephone number) are required for both the exporter and the
consignee(s). The data is collected and used for the following purposes: evaluating and
approving applications for export permits for controlled goods and technology; tracking
goods and technology exported against authorized permits; and supporting other export
processes such as delivery verification.
Depending on the nature and destination of the export commodities, consultations with
other government departments may be required as part of the export permit approval
process (such as the Department of National Defence, Canadian Nuclear Safety
Commission, etc.). The Department of Foreign Affairs, Trade and Development commits
that the data are not used for any secondary purpose (e.g. to create profiles or marketing).
All the information collected is retained for a minimum of 2 years after the last
administrative use, is stored within the program records of the Export Controls Division,
and is noted under the Personal Information Bank: Export Import Controls.
Personal information is protected from disclosure to unauthorized persons and/or agencies
pursuant to the provisions of the Privacy Act. While third-party commercial information
may be subject to requests under the Access to Information Act, no information contained
in an export permit application may be released without first consulting with the applicant.
Export Controls On-Line (EXCOL) E.2.
EXCOL
14
is an internet-based system which allows applicants to apply for export control
documents electronically. EXCOL is offered through the Government of Canada’s Secure
Channel and assures client security and privacy for all on-line interactions. Users obtain
their own, unique, Government of Canada Key, which allows them to access the system
through a web browser.
EXCOL users are either “Recognized” or “Non Recognized”. By default, users are Non
Recognized and may apply for Export Permits, International Import Certificates, and
Delivery Verification Certificates on-line, as well as attach electronic copies of required
supporting documents to their applications.
Applicants who apply or have applied for more than one export permit annually are
advised to become Recognized Users of EXCOL. In addition to the functions available to
Non-Recognized Users, Recognized Users may also do the following on-line:
14
https://www.excol-ceed.gc.ca/default.aspx
EXPORT CONTROLS HANDBOOK
28
save partially completed applications and finish them later;
copy previously submitted applications, modify them, and submit them as new;
request permit amendments;
verify status of all submitted applications;
download and print issued permits and certificates; and
submit utilization reports.
E.2.1 EXCOL System Requirements
The following are current local system requirements to use EXCOL:
Internet browsers: Internet Explorer 6.0, 6.1, 7.0 or 8.0; or Netscape 7.02 or 8.0
International.
Operating systems: XP Home edition or XP Professional edition. Windows Vista,
Windows 7 is only supported with IE 8.
In order to support login in EXCOL, cookies will have to be permitted by the user as the
system relies on Government of Canada Credential Federation (GCCF) as an
authentication mechanism.
E.2.2. EXCOL Registration
Export permit applicants are encouraged to become Recognized Users of EXCOL.
This section explains several easy steps to do this.
Recognized User privileges require registration of the exporting company and of each
individual representative of the company who will access EXCOL. There are two forms:
the Application for an EXCOL Recognized Business and the Application for an EXCOL
Recognized Individual. These forms are available for printing from the EXCOL section
15
of
the website www.exportcontrols.gc.ca.
The information provided in the Recognized Business form is used to create an account
(EIPA Number) within EXCOL for the corporate entity. Each business then designates
individual Recognized Users who will be able to access this information and use EXCOL
on behalf of the corporate entity.
A Recognized User form must be submitted for each and every person who needs access
to EXCOL on behalf of the Recognized Business, even if there is only one individual from
the business who will use EXCOL. Each individual must sign the Recognized User form
and thereby attest that (a) he or she understands the rules regarding the Access Code and
electronic submissions, and (b) he or she consents to the collection, retention and sharing
of the personal information required for the EXCOL account.
Deletions and additions of Recognized Users can be requested in writing at any time.
Steps for EXCOL registration:
Fill in Recognized Business
16
and Recognized User
17
forms and send them by fax
to (613) 992-9397, post or courier to: EXCOL Registration, Administration and
Technology Services Division (TIA), Foreign Affairs, Trade and Development
Canada, 125 Sussex Drive, Ottawa, Ontario, K1A 0G2.
Each individual must create a unique Government of Canada Credential Federation
(GCCF) account. To do this, users may access the EXCOL website
18
, choose to
15
http://www.international.gc.ca/controls-controles/systems-systemes/excol-ceed/index.aspx?lang=eng
16
http://www.international.gc.ca/controls-controles/systems-systemes/excol-ceed/recognized_business-
entreprise_reconnu.aspx?lang=eng
17
http://www.international.gc.ca/controls-controles/systems-systemes/excol-ceed/recognized_user-
utilisateur_reconnu.aspx?lang=eng
18
https://www.excol-ceed.gc.ca/default.aspx
SECTION E: EXPORT PERMIT APPLICATION PROCESS
29
“log-in with a Sign-In Partner,” the SecureKey Concierge or choose “log-in or
register with GCKey”, the Government of Canada’s GCKey service and then follow
instructions to “Register for a new GC Key.”
Following receipt by Foreign Affairs, Trade and Development Canada of the
forms described in step 1, each Recognized Individual receives an e-mail from
enrolment@ottawatechops.com containing an Access Code, the individual’s
own e-mail address, and a hyperlink for completing enrolment on-line. By
following the hyperlink, each user completes the registration process (users
need to log-in at this step).
EXCOL then launches and the user’s name appears in the upper left corner. For all
subsequent logins, users simply go to the EXCOL website
19
and login using their
Sign-In Partner or GCKey credentials.
E.2.3. On-line Applications for Export Permits
Instructions:
Access the EXCOL website
23
and choose the language of your choice.
Recognized Users choose “Login now” from the left-hand menu.
Under the heading “Apply for…” on the left-hand menu, select the type of
application:
For exports of complete firearms or receiver/frames (but not for other firearm parts,
accessories, or ammunition):
o on the left-hand menu under the heading “Apply for …” select Firearms.
For all other goods and technology (apart from logs and woodchips), including
firearm parts, accessories, or ammunition:
o on the left-hand menu under the heading “Apply for …”, select Other
Controlled Goods.
Two separate applications are required if firearms and other firearm parts,
accessories, or ammunition are being exported together.
Read and accept the Privacy Disclaimer.
Complete the form (see below for detailed instructions for export permit
applications). Please provide your Business Number with your first export permit
application.
Attach all supporting documentation electronically. All paper documents should be
scanned and saved in .pdf or .jpg formats. If it is impossible to attach electronic
documents, you must indicate on the export permit application that they will be sent
by fax to (613) 996-9933 or by mail to: Export Controls Division (TIE), Foreign
Affairs, Trade and Development Canada, 125 Sussex Drive, Ottawa, Ontario, K1A
0G2.
Once you have submitted your application, the system will automatically generate a
reference number (Ref. ID). Please quote the Ref. ID on all correspondence regarding
your export permit application.
If you have technical difficulties using the EXCOL system, please contact EXCOL Help
Desk at 1 (877) 808-8838 or via e-mail to: excol-ceed.TIA@international.gc.ca.
19
https://www.excol-ceed.gc.ca/Main-Principal/Home_Accueil.aspx
EXPORT CONTROLS HANDBOOK
30
E.2.4. Paper Applications for Export Permits
Data entry of all paper applications may delay the processing time for export permit
applications. Required forms may be downloaded from the Export Controls Division
website at www.exportcontrols.gc.ca (on the EXCOL information page) or may be
requested from the Export Controls Division at telephone number (343) 203-4331.
Forms that are not legible may be returned without action.
For exports of complete firearms or their receiver/frames (but not for other firearm parts,
accessories, or ammunition):
fill in forms EXT-1042 (General Information Form)
20
and EXT-1042-2 (Firearms
Application)
21
For all other goods and technology (apart from logs and woodchips), including firearm
parts, accessories, or ammunition:
fill in forms EXT-1042 (General Information Form)
24
and EXT-1042-1 (Controlled
Goods Detail Form)
22
Two applications are required if firearms and other firearm parts, accessories, or
ammunition are being exported together.
Export permit applications should be sent, with all supporting documents, by fax to (613)
996-9933 or by mail to: Export Controls Division (TIE), Foreign Affairs, Trade and
Development Canada, 125 Sussex Drive, Ottawa, Ontario, K1A 0G2.
How to Complete the Application to Export E.3.
The following section describes the content that is required in each field of the export
permit application, either in EXCOL or on paper forms.
Applicants should bear in mind that an export permit and all documentation submitted with
it are legally binding on all parties once an export permit is issued. The Export and Import
Permits Act prohibits the “export or transfer, or attempt to export or transfer, any goods or
technology included in an Export Control List or any goods or technology to any country
included in an Area Control List except under the authority of, and in accordance with an
export permit issued under this Act.” (Section 13) Furthermore, the Export and Import
Permits Act states that, “No person shall willfully furnish any false or misleading
information or knowingly make any misrepresentation in any application for a permit … or
for the purpose of procuring its issue or grant or in connection with any subsequent use of
the permit … or the exportation … of goods or technology to which it relates.” (Section 17).
Incomplete export permit applications may not be processed and will be returned without
action by the Export Controls Division. Information entered on the export permit
application must be consistent with information entered on the Export Declaration (or other
export reporting documents) submitted to the Canada Border Services Agency when the
items are presented for export. Otherwise the items tendered for export may be detained
at the border.
E.3.1. EXCOL Field: Applicant information
The Client Name is the name of the business or individual acting as Applicant.
20
http://www.international.gc.ca/controls-controles/assets/pdfs/forms/documents/EXT1042.pdf
21
http://www.international.gc.ca/controls-controles/assets/pdfs/forms/documents/EXT1042-2.pdf
22
http://www.international.gc.ca/controls-controles/assets/pdfs/forms/documents/EXT1042-1.pdf
SECTION E: EXPORT PERMIT APPLICATION PROCESS
31
Section 7 of the Export and Import Permits Act requires that the Applicant be a resident of
Canada (defined as “…in the case of a natural person, a person who ordinarily resides in
Canada and, in the case of a corporation, a corporation having its head office in Canada
or operating a branch office in Canada”).
The Applicant and Exporter do not need to be identical.
If the Applicant is a business, the Applicant must hold a resident Business Number
(formerly known as a GST Number) issued by the Canada Revenue Agency (more
information on the internet at www.cra-arc.gc.ca/tx/bsnss/tpcs/bn-ne/menu-eng.html). A
Business Number is not necessary for an application by an individual. The Applicant must
hold an EIPA Number issued by Foreign Affairs, Trade and Development Canada
(application forms are available on the internet at www.exportcontrols.gc.ca) before the
export permit application can be processed. However, export permit applications
submitted through EXCOL by businesses that do not already have an EIPA Number will
be assigned one upon receipt of the export permit application by Foreign Affairs, Trade
and Development Canada.
Please note that Canadian telephone numbers should be separated by a dash (e.g., 613-
996-2387).
E.3.2. EXCOL Field: Exporter information
In most instances, the applicant would also be the exporter of the controlled goods or
technology. In a case where the applicant and exporter are different entities (e.g. the
exporter is a non-resident of Canada), the Client Name provided must be the Exporter, the
business or individual which exports the goods or technology or has the legal right to
cause them to be exported. The wording “cause them to be exported” does not mean the
person involved in the transportation (carriage) of the goods. For more information, please
consult the publication “Exporting Goods from Canada, A Handy Guide for Exporters”,
available on the internet at www.cbsa.gc.ca.
The Exporter address must be the location from which the goods or technology will be
shipped at the time of export. Where the exporter is a non-resident of Canada, the address
to be listed in the application will be its foreign address. The exporter name and address
provided must match the exporter information as stated in the Export Declaration (B13A)
or other documentation which is presented to customs authorities when the goods are
presented for export.
The exporter may be a non-resident of Canada but the applicant must always be a
resident of Canada. In the case of a non-resident exporter, the applicant accepts legal
responsibility for the use of the export permit if issued and is responsible for the export and
potential violations.
If the Exporter is a business, the Exporter must hold a resident or non-resident Business
Number (formerly known as a GST Number) issued by the Canada Revenue Agency
(more information on the internet at www.cra-arc.gc.ca/tx/bsnss/tpcs/bn-ne/menu-
eng.html). A Business Number is not necessary for an exporter who is an individual. The
Exporter must hold an EIPA Number issued by Foreign Affairs and International Trade
Canada (application forms available at www.exportcontrols.gc.ca) before the application
can be processed. However, applications submitted through EXCOL by businesses that
do not have an EIPA Number will be assigned one upon receipt of the application in the
Export Controls Division.
E.3.3. EXCOL Field: Consignee information
Foreign parties (individuals, companies or other entities) that must be identified in an
export permit application typically fall into the following categories:
EXPORT CONTROLS HANDBOOK
32
Consignees
End-Users
Information on other foreign parties involved in the export, if any, such as freight
forwarders and financial institutions, may be provided by the applicant, or requested in
certain circumstances by the Export Controls Division, but does not usually appear on the
export permit.
Accurate and complete information about the foreign parties involved in the export of
goods and technology from Canada is essential to the Export Control Division’s review of
an application. Verification of the legitimacy of the foreign parties to the transaction is one
of the factors used to determine whether the proposed transaction is consistent with
Canada’s foreign and defence policies.
Such verification is also a responsibility of the applicant. It is expected that Canadian
exporters of controlled goods and technology will make appropriate enquiries as to the
intended end-use of the export and to fully declare this end-use when making an
application. Furthermore, any relevant information pertaining to the proposed export
should also be disclosed in the application (see Box 3: Evaluating Foreign Clients below,
for more information). In other words, an applicant/exporter should exercise due diligence
and know who the foreign parties are, including the end-users.
E.3.3.1. Consignee
The term “consignee” refers to the foreign party or parties to whom the Canadian exporter
will be shipping the goods or technology to directly.
In many cases, there are only two parties named in an export contract: the Exporter and
the Consignee. The Canadian exporter has signed a contract directly with and will deliver
the goods or technology to a foreign customer, for their own use. In this case, the
customer is the Consignee.
In cases where the Canadian exporter is carrying or shipping goods or technology to
several countries (for example, for demonstrations at trade shows or visits to customers),
the location in the first country of destination should be used for the Consignee. Other
destinations should be described in the Overall Description of Goods and End-Use (see
Section E.3.4 below). The Canadian export permit will cover the movement from Canada
to the first country of destination and subsequent movements between countries may be
subject to foreign export controls.
A “carnet” is a “cargo control document (CCD)” issued by the Canadian Chamber of
Commerce. This document may help facilitate subsequent movements between countries.
A carnet is an international customs document used for temporary, duty-free exports (i.e.,
the exported goods will return to Canada after less than 1 year). It is currently accepted in
over 71 countries. Items which enter a country under the authority of a carnet are not to
be sold. For more information about Canadian carnets, please visit a local Chamber of
Commerce or consult the following website:. http://www.chamber.ca/carnet/
Please note that the possession of a “carnet” does not absolve an exporter or importer
from the requirement to obtain a permit (if required) in order to export or import goods and
technology controlled under the Export and Import Permits Act.
Applicants may submit permit applications with multiple Consignees, provided they are
located in the same country.
SECTION E: EXPORT PERMIT APPLICATION PROCESS
33
For a Multiple Destination permit (MDP), choose “Multiple” under “Consignee Type” in
EXCOL and then the applicable multiple destination permit type. (For further information
on MDPs, see Section F.7, below).
E.3.3.2. End-user
When possible, applicants for export permits are required to identify end-users of the
goods or technology proposed for export. In general, the end-user is the entity that
employs or uses the goods or technology that were exported from Canada for the purpose
for which they were intended.
Box 2: Examples of Consignees and End-Users
The following examples may help to distinguish between consignees and end-users in
more complex cases.
Consignee re-sells to end-user: A company in the UK wins a contract to supply
parachutes to the UK Ministry of Defence. The UK company buys the parachutes from
Canada and, according to its contract with the UK company, the Canadian exporter
delivers the parachutes to the UK company. The UK company subsequently sells these
Canadian parachutes to the Ministry of Defence. In this scenario, the UK company is the
consignee and the Ministry of Defence is the end-user.
Canadian exporter delivers to end-user: A company in the UK wins a contract to source
parachutes for the UK Ministry of Defence. The UK company buys these parachutes from
Canada and contracts with the Canadian exporter to deliver them directly to the UK
Ministry of Defence. In this scenario, the Ministry of Defence is both the consignee and
the end-user.
Consignee is a manufacturer: A company in the UK that manufactures pilot ejector seats
buys parachutes from Canada. The Canadian exporter delivers the parachutes to the UK
company. The UK company sells its pilot ejector seats, which include the Canadian
parachutes, to a company in France, which installs the ejector seats on an aircraft. The
Canadian exporter has no direct relationship with the French company. The UK company
is the consignee and the end-user of the goods exported from Canada (the parachutes).
The end-use of the Canadian goods is for the production of pilot ejector seats in the UK,
for subsequent use by the French company in the assembly of an aircraft; this needs to be
fully described in the Canadian export permit application (preferably in a cover letter or in
the “Applicant/Exporter Comments” field, “Items” tab of the permit application).
Parts used for repair overseas: A company in Italy buys spare aircraft parts from a
Canadian exporter. According to its contract, the exporter ships the goods directly to a
company in Portugal which uses the goods to repair an aircraft owned by the Italian
company. In this scenario, the consignee is the Portuguese company and the end-user is
the company in Italy.
Multiple trade shows: A Canadian exporter intends to participate in trade shows in 3
different countries within a period of 2 months. The first trade show is in Germany, the
next one in France and the last in the Netherlands. After that, the goods return to Canada.
The Canadian export permit will identify a consignee in Germany only. The Canadian
exporter should obtain a carnet from the Canadian Chamber of Commerce to cover the
movement of the goods to France and the Netherlands. The details of the full itinerary
must be submitted with the permit application including, if possible, a copy of the carnet.
EXPORT CONTROLS HANDBOOK
34
Box 3: Evaluating Foreign Clients
The following questions are meant to assist exporters to evaluate the legitimacy and
credibility of foreign customers who wish to acquire goods or technology controlled under
the Export and Import Permits Act. If answers to the following questions raise suspicions
about potential foreign customers, exporters should describe the circumstances in their
export permit application in the EXCOL field "Overall Description of Goods and End-Use".
How well do you know the foreign customer? Is it difficult to obtain information
about that company or entity?
Is the customer reluctant to provide an end-use assurance document or is
information not forthcoming in comparison to past experiences with other
customers? Does the product fit the customer’s business profile?
If you have done business with the customer before, is this a usual request for
him/her to make?
Does the customer seem familiar with the product type and its performance
characteristics or is there an obvious lack of technical knowledge?
Does the customer reject the customary installation, training, or maintenance
services provided?
Is unusual packaging and labelling required?
Is the shipping route unusual?
Is the customer ordering an excessive amount of spare parts or other items that are
related to the product, but not related to the stated end-use?
Is the customer offering unusually profitable payment terms, such as a much higher
price than normal? Is the customer offering to pay in cash?
Is the customer or the end-user tied to the military or the defence industry, or to any
military or governmental research body?
In many cases, the Consignee is the end-user of an exported good or technology. In other
cases, when there are several foreign parties with an interest in a transaction, the end-
user may be more difficult to identify.
A foreign manufacturer that uses goods (such as components, assemblies, etc.) or
technology to produce or develop new products, or which integrates them into new
products, is the end-user of the goods or technology exported from Canada.
Subsequently, the new products may be sold by the foreign manufacturer to a third party.
The foreign manufacturer may consider the buyers of these new products with Canadian
content to be its own end-users.
In cases where the Consignee resells or distributes the goods or technology (in their
original form, as they were exported from Canada), the Consignee is not considered to be
the end-user. In this case, the end-user would be the third party who will acquire the
goods or technology.
In the case of repairs, the entity which owns the goods that are being repaired is typically
the end-user.
If the roles of the parties are uncertain, applicants should provide sufficient information
about the transaction for the Export Controls Division to make a determination, including
copies of contracts and invoices.
End-use assurances are an essential part of export permit applications. More information
about end-use assurances can be found in section E.4.2 below.
SECTION E: EXPORT PERMIT APPLICATION PROCESS
35
E.3.3.3. Other information about consignees
For the purpose of export permit applications, consignees are located outside Canada.
Export permit applications that list a Canadian consignee address cannot be processed
and will be returned without action.
Consignee addresses should identify the location of the consignees to whom the goods or
technology are to be shipped or conveyed to directly. Consignee addresses must be
complete. Post office boxes alone are not acceptable. Where available, consignee
website addresses should be indicated along with contact e-mail addresses.
When entering telephone and fax numbers, applicants should separate country and area
codes by using a dash between each set of numbers (e.g., 1-613-996-2387). Applicants
should verify all consignee contact information (including telephone and fax numbers, e-
mail addresses, and websites). Information that is found to be incomplete or inaccurate
may result in the return of the export permit application without action.
Exporters may wish to refer to Canada Border Services Agency Memorandum D20-1-1
23
,
which provides a definition of consignee for the purpose of export reporting.
E.3.4. EXCOL Field: Overall description of goods and end-use
This field is used by the applicant/exporter to share data with their permit officer. It is used
to provide details/clarification on the goods and their end-use
24
.
The exporter should provide general information about the proposed export in this field,
including the following (as applicable):
a description of the goods or technology which is understandable to a layperson;
a description of the exporter’s understanding of the end-use of the exported goods
or technology by the consignee and, if known, subsequently by other parties, if
different from the description provided in the supporting documents (e.g., end-use
statement);
in the case of temporary exports, such as for repair or for demonstration at a trade
show, a detailed explanation of the reason for the export and a statement as to
whether the exported goods or technology will remain in the possession of an
employee of the exporter while outside Canada;
in the case of an export for the purpose of marketing or bidding (such as responding
to a Request for Proposal) prior to a contract being concluded, supporting
documents to this effect must be attached to the application.
Example of how to complete “Overall Description of Goods & End-Use” field:
23
http://www.cbsa-asfc.gc.ca/publications/dm-md/d20/d20-1-1-eng.pdf
24
Data contained in this field will not be on the final permit for customs purposes.
EXPORT CONTROLS HANDBOOK
36
E.3.5. EXCOL Field: Applicant/Exporter comments
As illustrated below, in this field the applicant may, if available and desired, include
additional comments which are relevant and which may help understand the application,
such as:
in the case of U.S.-origin goods and technology, a declaration of the U.S. authority
under which the goods and/or their subcomponents or technology, were imported
into Canada. If controlled under the International Traffic in Arms Regulations, under
what authority are the goods, subcomponents or technology being re-exported from
Canada;
shipping date when the export is expected to leave Canada, if known;
requests for extended permit validity (see section E.5 for general guidelines on
permit validity);
justification for urgent requests;
where multiple parties are involved in the transaction, provide details regarding
contractual obligations. The role of the consignee should be specified; and
information about the rate of exchange used to convert value to Canadian dollars
(see Box 7 concerning currency fluctuation) if supporting documents reflect sales
that are not denominated in Canadian dollars.
Where the above listed information is provided in the “Applicant/Exporter Comment”, a
separate cover letter need not be submitted. In complicated transactions, the Applicant
may provide a cover letter clearly detailing the relevant information in order for the Export
Controls Division to fully understand and assess the transaction and the proposed export.
E.3.6. EXCOL Field: Export type
Indicate the type of export, whether permanent (the items will be exported and are not
intended to return to Canada) or temporary (the items will be exported and are intended to
return to Canada after a period of time).
E.3.6.1. Permits for Temporary Exports
Permits for temporary exports are common for controlled items exported for trade shows,
exhibitions, demonstrations, provision of services, repair by the original manufacturer, and
other activities after which the items will be returned to Canada. Exporters must apply for
an export permit in the normal manner and must note in the body of the application that
they are asking for a permit for a temporary export (including the required validity date for
the permit). In granting an export permit for a temporary export, the Export Controls
Division may place certain conditions on the export. These conditions may include:
adhering to the expiry date of the export permit (normally 12 months);
ensuring the items are properly supervised while abroad; and
SECTION E: EXPORT PERMIT APPLICATION PROCESS
37
submitting proof that the items were returned to Canada unchanged (except as
otherwise authorized by the export permit).
Box 4: Applications to Export Goods Temporarily (including for Repairs, Upgrades,
and to Loan Equipment)
In cases where equipment is being temporarily returned to the manufacturer or a foreign
client for repair, maintenance upgrade or on loan, the value on the permit application
should be stated in Canadian dollars as the normal commercial value of the goods or
technology being exported.
For clarity, the Item Description of each good that is being temporarily exported should
contain the following: “(to be repaired.)”, “(to be upgraded)”, or “(on loan)”.
Examples as they might be displayed on an export permit:
Item
No.
Item Description
Quantity
Unit
Value
Total
Value
1
X35 microprocessor
P/N 12345
(to be repaired)
10
$560
$5600
2
Utopia display unit
Model UPZ02
(to be upgraded)
2
$2000
$4000
3
XYZ amplifier
Model number ABC
(on loan)
1
$1000
$1000
E.3.7. EXCOL Field: Description
The “Description” field is one of the most important fields of the permit application as it
defines the parameters and limitations of the permit. It is also a key element of Canada
Border Service Agency review.
The Description is how the goods or technology will be identified on the export permit,
which will also be verified against the Export Declaration submitted to the Canada Border
Services Agency at the time of export (see section H). Exporters must ensure that item
descriptions declared on the customs export declaration is consistent with the description
found on the export permit. This may avoid unnecessary delays and potential detention of
the goods.
You should limit your item description to the following three points:
1- The name of the item – The name should clearly identify the item like a picture
would do; don’t use internal specialized company jargon, use laymen’s terms that licensing
and customs officials can relate to;
2- The identification number – Provide a model or part number making sure that it is
both on the documents and on the item; don’t put a list of numbers, keep it short;
3- What is it used for or part of - The third line of the item description (see below) may
be used to include details helping the reviewers to better understand the nature of the
goods being exported (e.g. items to be incorporated in a civilian aircraft XX324).
Item Descriptions that do not follow this format will no longer be considered for further
review and the application will be returned without action.
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38
Where quantity is given as a weight or volume, the unit of measure must be stated in the
Description field.
Additional description related details on packaging, use, or physical appearance of the
product may be provided in the field “Overall Description of Goods and End-Use” (see
section E.3.4). Do not include references to the Export Control List (self-assessments
should be provided in the field “ECL No.”, section E.3.14), Sales or Purchase Order
numbers or information that the sale was made in another foreign currency (e.g. that the
sale was in US dollars). This information can be placed in the “Applicant/Exporter
Comments” field.
When exporting complete systems or items such as aircraft, aircraft simulator or vehicle,
the same approach may be taken. A single line item description may be used to describe
the item, for example, “Ford 2001, F-350 Super Duty Truck”. However, if the item will be
disassembled for shipment into several major components, these components should be
clearly reflected in the line item description. For example, a disassembled car might be
described as follows: “disassembled Ford 2001, F-350 Super Duty Truck, components
include 5.4 L V8 engine block, Chassis, body”.
When exporting spare parts for a complex item, exporters should use several lines to
reflect the main systems. For example, a helicopter might be broken down by the
following systems: Fuselage, Wings, Flight Controls, Avionics, Engines, Hydraulics
system. Each line item description should include a high level list of the types of items that
would be exported under each of these systems. “Lot” may be used instead of specific
quantities when grouping these types of exports.
Example of how to complete line item description in EXCOL:
Item Name
Identifying Number
Used in / component of a system
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39
E.3.7.1. Kits
A kit is a collection of goods that are sold together as a defined product (as opposed to a
collection of spare parts put together for a specific customer).
When exporting "Kits" that contain a mixture of articles, the description line should include
the kit name, a high level list of the items which are included in the kit, and an identifying
number if available. For example:
E.3.7.2. Product Components
Similarly, when exporting spare parts for a product, the description line should include a
list of the types of components that will be exported and the name of the final product for
which they are intended (see line 2 in example provided below).
E.3.7.3. Intangibles
The ECL covers both physical shipments of controlled goods, as well as technology
and/or transfers of controlled software or technology by intangible means. As illustrated
below, Item descriptions for intangible exports need to describe the goods or technology
being exported and provide information about the method of transfer (see also Box 5 –
Exports by Intangible Means)
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Box 5: Exports by Intangible Means
Certain types of products lend themselves to exportation by intangible means, such as:
software and source code, services, and other technology. Exports by intangible means
may occur by way of, for example:
provision of services or training
downloads or other electronic file transfers
file sharing
cloud access
e-mails
faxes
telephone conversations
teleconference
face-to-face meetings
How to apply for export permits for exports by intangible means
Transfers by intangible means of items such as software or technology that is subject to
export controls must be authorized by an export permit. When applying for export permits
which include exports of controlled software or technology by intangible means, the
applicant should indicate the product nomenclature that will be exported by intangible
means on a separate line on the export permit application. The export permit application
line description for items which will be exported or transferred by intangible means should
include the following elements:
What is it? e.g., what is the brand and product name?; is it technical data, technical
assistance, information, etc.? – usually a brief description is necessary in this field.
What is the purpose of the export or transfer of technology? e.g., for the
development or production or use of a product or article which is controlled for
export on the Export Control List? What is the name of the project under
development for which purpose the technology will be exported?
In what form will the technology be exported? e.g.:
o Technical data: blueprints, formulae, plans, models, engineering designs and
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41
specifications, manuals, instructions, etc.
o Technical assistance: instruction, skills development, working knowledge,
consulting services, training, etc.
o Software (you should clearly define the item being exported): executable
code, source code, version number, etc. (see section E.3.13 for other
examples)
o Services: such as training, consulting, troubleshooting, or instruction –
exports of services by intangible means are often linked to physical goods
exports. This link or relationship should be clearly stated in the item
description (see fictional examples below). Transfers by intangible means
should be covered on a separate export permit application line.
How will the product be exported? e.g., electronic file transfers, fax, in-situ training
seminars, “help desk” advice, telephone discussions or negotiations?
Line item descriptions should not contain Export Control List numbers or make reference
to documents or statements attached or mentioned elsewhere. The line item description
entered on the export permit application should stand alone as a description of the export
by intangible means, identifying the item being exported or transferred.
Line item descriptions allow the establishment of clear and appropriate parameters which
effectively define the proposed export or transfer and support its monitoring. A proper line
item description avoids potential confusion for all parties involved in the transfer/export
process.
Fictional examples of acceptable item descriptions would be:
Operation and maintenance manuals and diagrams for the use of X35 Transmitters
in the Acme military communications satellite program to be exported by downloads
from a secure website.
Technical and engineering services and manuals for overhaul of the N40 jet engine
to be directly provided by exporter's employees.
Source code sharing for international co-development of ABC operating system.
Executable software upgrade downloads for previously exported training simulators,
model XYZ (originally exported under export permit number xxx).
Due to the nature of technology and the ability to export intangibles in different forms (e.g.,
in a physical form or by electronic means), exporters may, when necessary, request
quantities as “lots” when applying for an export permit. Total value entered on such
applications should reflect the total value of the supply contract over the life of the export
permit. In some cases, a condition of using the export permit may be that reports of actual
shipments of the products authorized for export must be submitted at regular intervals. In
cases where the unit of measure used is “Lot”, exporters may report a share of the total
value of the “Lot” exported in the relevant period.
Compliance and records
Exporters of controlled goods and technology are obliged by law to maintain for a period of
six years all records with respect to exports made under the authority of export permits
issued under the EIPA. This record-keeping obligation applies equally to exports by
intangible means.
The export control function has historically been carried out by a company’s shipping
department. However, in the modern environment of electronic communications and
globalized technology development – an environment in which exports of controlled
technology can take place from a desktop – responsible exporters should ensure that all
business units conform to enterprise-wide policies and procedures on export controls
compliance.
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E.3.8. EXCOL Field: Item Type (including quantity and value)
E.3.8.1. Quantity
Select one item type: “quantity”, “lot” or “no commercial value” and provide the
corresponding information for the selection.
If a unit of measure is used, it should be stated in the item Description. This typically
occurs in the case of bulk shipments. For example, to describe an export of 10 litres of
milk, the applicant would state "10" in the quantity field and include a description of: "Milk
(quantity stated in litres)".
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43
Box 6: Applications to Permanently Export Goods After Temporary Import into
Canada (including Exports After Repairs and Returns of Equipment on Loan)
When applying to permanently export goods that have been temporarily imported into
Canada and are being returned to a foreign client, the value of each line item should
reflect only the cost of new revenue generated due to the transaction, as paid for by the
customer for the new export. This amount, in Canadian dollars, is entered in the Unit
Value field in EXCOL or on the paper forms.
With respect to repairs, if the cost of repairs is unknown at the time of the export permit
application, a high estimate may be entered to ensure that the actual value of repairs
which is declared on customs documents at the time of export does not exceed the value
stated on the export permit.
The repair value should be zero in the case of repairs made under warranty, which result
in no new revenue for the exporter; applicants for such permits may choose the “No
commercial value” option in the EXCOL Description field in order to obtain a dollar value of
zero.
Similarly, in cases where loaned or leased equipment is being returned to a foreign
consignee (that is, the owner of the goods) and does not result in any new revenue for the
Canadian business, the Unit Value should be reported as zero.
For clarity, the Item Description of each good that is being returned should contain the
following: “(Repair value stated.)” or “(Warranty repair.)” or “(Return of loaned
equipment.)”. Furthermore, the Item Description field should include the value that would
be charged for the export of each unit of the good if it were new (i.e. the normal sale price
or normal commercial value).
Examples as they might be displayed on an export permit:
Item
No.
Item Description
Quantity
Unit
Value
Total
Value
1
X35 microprocessor, P/N 12345
(Warranty repair. Normal commercial value is $560
per unit.)
10
$0
$0
2
Utopia display unit, Model AZP-02
(Repair value stated. Normal commercial value is
$2,000 per unit)
2
$400
$800
3
Amplifier, Model NEW-03
(Return of loaned equipment. Normal commercial
value is $1,000 per unit.)
1
0
0
Return of non-conforming or discrepant goods to a supplier is not treated in the same
manner. The Item Description field should indicate the full value of the goods being
returned as per the example below.
4
X35 microprocessor
P/N XYZ
(return of non-conforming good to supplier)
1
$560
$560
“No Commercial Value” is used when there is a positive quantity but a dollar value of zero
(used, for example, when goods are being exported under warranty; see Box 6 for more
information).
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“Lot” should be chosen for “bulk goods” or when the goods described on a single line
cannot be easily quantified but they have a positive dollar value for the purpose of the
application. Lots are commonly used with exports of information that may be transferred
in different intangible forms (such as in meetings and electronic downloads).
“Lot” may also be chosen for zero valued transactions, as in the export of information
through intangible means (e.g. updates and patches to previously exported software). In
this case, a nominal value of $1.00 or less may be indicated in the “Total Value” field, as
the system requires that a value be indicated when choosing “Lot”.
If repairs are anticipated over the duration of the permit, Exporters may add additional
lines to cover those potential repairs on their initial permit application.
The example below illustrates how to structure a permit to cover anticipated repairs. In
this example, the applicant has requested to export 100 widgets. Based on historical
sales, the exporter estimates that for every 100 widgets sold, 25% of the units will be
shipped back for repair. Line 2 reflects the number of goods to be repaired under
warranty. If a warranty plan will not cover all repairs, a third line item can be added to
cover anticipated repairs with a fee. By using this approach, exporters do not have to
apply for a new permit if their product is returned for repair during the validity period of
their permit.
E.3.8.2. Value
Value must be expressed in Canadian dollars and should represent the invoice or sale
price paid by the foreign customer (see Box 7 below on how to account for exchange rate
fluctuations if the sale price is denominated in another currency). If the exact unit value is
not known at the time that the application is submitted, it should be estimated. Exporters
should ensure that the actual value that will be declared at the time of export does not
exceed the estimate declared on the export permit.
For permanent exports of new goods or technology, the value should reflect the full sale
price.
For permanent exports of goods repaired in Canada, the value should reflect only the cost
of repairs in Canada (see Box 6: Applications to Export Goods Repaired in Canada).
The value of temporary exports from Canada should be declared as the normal
commercial value of the goods or technology being exported.
Exports which exceed those defined on the export permit in value or quantity may
constitute a violation of the Export and Import Permits Act. If the value of goods or
technology increases between the time the application was made and the date of export, a
Permit Amendment Request should be submitted to change the permit prior to shipment.
SECTION E: EXPORT PERMIT APPLICATION PROCESS
45
Box 7: Exchange Rate Fluctuations
The value of an export authorized by an export permit may not exceed the value stated on
the permit. Since this value is stated in Canadian dollars, when sales are denominated in
another currency, exchange rate changes may cause the value of the export to exceed the
value stated on the permit, even though the goods or technology being exported are
otherwise as described on the permit.
This problem may be more acute in the case of permits that are valid for several years.
This problem is particularly important when exporters are required to submit periodic
reports of exports made under the authority of a permit (see for example section G.2.1
below).
To avoid this problem, applicants are encouraged to use an estimated rate of exchange
(up to 15% above the actual rate) that offsets potential currency fluctuations. The
exchange rate used should be identified in the “Exporter/Applicants Comments” field of the
permit application (for example, "Sales are made in US dollars. Exchange rate used here
is $1.35 Canadian = $1 US").
When the exchange rate fluctuates outside this range, exporters must submit a Permit
Amendment Request to change the unit value reflected on the permit prior to shipment in
order to ensure that the Canadian dollar value of an export authorized by a permit does
not exceed the value stated on the permit. The applicant should attach a statement which
notes the exchange rate at the time of the original application and the prevailing exchange
rate at the time of the amendment request.
E.3.9. EXCOL Field: U.S. Content
U.S.-origin value is an estimated percentage of the total value in Canadian dollars.
If the goods or technology being exported contain some U.S. content and are controlled in
Groups 2 or 6, or by Item 5504 of the Export Control List, refer also to section E.4.3 below.
E.3.10. EXCOL Field: Country of Manufacture
Country where the goods or technology were produced or assembled into their final form
prior to export from Canada.
E.3.11. EXCOL Field: Goods are specially designed or modified for
Specify whether the goods are designed or modified for (select one): "military use", "space
use", "nuclear use", "other (specify)". Appropriate supporting documentation should be
attached to the application. Otherwise leave blank.
E.3.12. EXCOL Field: Goods employing cryptography
For information security products, indicate if the goods employ cryptography (including
encryption or decryption). Otherwise leave blank.
E.3.13. EXCOL Field: Supplementary information
Optional statements that clarify the nature of the export, such as:
cryptographic executable code
cryptographic source code
complete system
part of a system
raw material
replacement part
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software executable code
software source code
substance or compound
technical data for design or
development
technical data for production
technical data for repair/overhaul
test, inspection or production
equipment
E.3.14. EXCOL Field: ECL No.
Using the latest version of the Export Control List as published in the Guide
25
, identify the
Export Control List Item number which describes the goods or technology proposed for
export. See section C for information on determining the Export Control List Item Number.
E.3.15. EXCOL Field: Additional information attached
Specify any additional, supporting documentation that is attached to the application (you
must attach some documents, see section E.4 below.)
Mandatory Supporting Documentation E.4.
Supporting documentation is an important part of the application. Exporters must submit
at least one technical document and an end-use assurance document to supplement the
completed export permit application form. Additional documents (such as cover letters,
purchase order or contracts) may be added to further support the export request.
Electronic documents (including scans of paper copies) should be attached to export
permit applications made on-line using the EXCOL system. As indicated in the example
on the next page, Applicants are requested to separate different documents for ease of
reference at different stages of the review process.
E.4.1. Technical description of the goods or technology
The Export Controls Division undertakes a technical assessment of the goods, services,
and technology listed in the export permit application to determine under which Export
Control List Item(s) they fall. For this purpose, technical specifications of the export must
be detailed and adequately describe the characteristics of the goods, services and
technology. Enough details must be provided to establish the true nature of the items.
These could be provided in the form of drawings, data sheets, manuals, component lists,
block diagrams, exploded view drawings, and so on. Marketing brochures may also
provide useful additional information. The information that is submitted should make clear
the type and function of the goods or technology and provide key technical parameters.
Failure to provide technical specifications for the items may delay the processing of your
export permit application or result in it being returned to you without action.
Example of how to list supporting documents in EXCOL:
25
http://www.international.gc.ca/controls-controles/about-a_propos/expor/guide-2013.aspx?lang=eng
SECTION E: EXPORT PERMIT APPLICATION PROCESS
47
E.4.2. End-Use Assurances
There are several types of end-use assurance documents. The provision of end-use
assurances does not in any way imply that an export permit will be issued. All export
permit applications are considered on a case-by-case basis and on their own merits.
Exporters must submit at least one end-use assurance document with their export permit
application and are encouraged to include several such documents, as available. This will
ensure that the Export Controls Division has a clear understanding of the proposed export
and will help to expedite the review process.
E.4.2.1. End-Use Certificates
An End-Use Certificate is issued by the government of the final destination country and is
attached to the Canadian export permit application. An End-Use Certificate:
identifies the quantity and value of the goods or technology that will be exported
from Canada to that country;
describes the end-use of the items in that country;
confirms that the government of that country accepts responsibility to ensure that
the items will not be diverted to uses other than those stated; and
dated with signature (to be valid, the End-Use Certificate must be dated within 1
year from the time the application is submitted).
E.4.2.2. End-Use Statements
If an official document from the final destination government is not available, an End-Use
Statement from the consignee is generally acceptable (see Box 2 in section E.3.3 above
for more information on consignees and end-users).
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In certain cases, the applicant may be requested to provide a statement or statements
from parties other than the consignee (e.g., in certain cases when the consignee is not the
end-user).
An End-Use Statement must be dated (preferably within 6 months from the time the export
permit application is submitted) and written on company letterhead in either English or
French and should:
Identify the items, including quantities, which are the subject of the export permit
application;
Identify the end-user and the location where the items will be delivered;
Identify any consignees, agents, or other entities involved in the export from
Canada;
State the purpose and end-use of the products, including a statement of whether the
intended end-use of the items is civilian (commercial) or military;
State whether or not the goods or technology are intended for re-sale, re-transfer or
re-export to another party or parties and, if so, describe the circumstances; or state
that the goods or technology will not be resold, re-transferred or re-exported;
Declare whether or not the goods and technology will be used for any purpose
associated with the development or production of chemical, biological or nuclear
weapons, or their delivery systems (such as missiles);
State that the goods or technology will not be transhipped to other destinations or
otherwise diverted from what has been previously described; and
Identify the name and title of the person signing the End-Use Statement, his/her
address, telephone number, fax number, e-mail address and corporate website.
E.4.2.3. International Import Certificates
An International Import Certificate is provided to the exporter by the final consignee and is
issued to the final consignee by the government of the final destination country. It states
the items (including quantities and values) which will be imported and provides both
governments with an assurance that the goods will not be diverted to illegitimate end-
users. The Canadian exporter must attach the International Import Certificate to the
export permit application and submit it to the Export Controls Division within the validity
period (usually 6 months) of the International Import Certificate.
E.4.2.4. Import Licences
Import Licences are issued by the government of the final destination country when
imports of the items proposed for export from Canada are controlled. If an Import Licence
is required, the final consignee must obtain it and provide a copy to the Canadian exporter,
who must then attach the copy of the Import Licence to the export permit application.
E.4.2.5. Informal End-Use Assurance Documents
Applicants are encouraged to attach the documents described below to their export permit
applications, in addition to formal end-use assurances. These will ensure that the Export
Controls Division has a clear understanding of the proposed export and will help to
expedite the review process. However, provision of such information is optional unless
specified by the Export Controls Division.
a copy of the contract of sale between the applicant or exporter and the person to
whom the applicant or exporter sold the goods or technology for export or transfer
[i.e., the foreign consignee(s) or end-user(s)].
a copy of the service contract between the applicant or exporter and the person to
whom the exporter will ship the goods or technology for the provision of such
services (if applicable);
a copy of the commercial invoice which relates to the export; and
SECTION E: EXPORT PERMIT APPLICATION PROCESS
49
a copy of a letter of credit or other financial documentation which identifies the
Canadian and foreign financial institutions involved in the export.
At the discretion of the Export Controls Division, applicants may substitute one or more of
the alternative, informal, end-use assurance documents listed below for the formal end-
use assurances described above. These informal end-use documents support the
applicant’s statements about the destination, consignees, and end-use of the goods or
technology proposed for export:
in the case of temporary exports for demonstration and an exhibition: information
about the trade show or exhibit (such as a website or marketing brochure) and
evidence of registration for display by the exporter or consignee.
proof of import of goods (such as B3 or CI1 or import waybill) and defect slip or
failure report in the case of:
o Canadian-owned items that are being exported from Canada to a foreign
country for repair or replacement.
o foreign-owned items which have been repaired or maintained in Canada and
are returning to the foreign owner.
o export of replacements or spare parts for service or maintenance (in addition
to prior export permit numbers).
o copies of official documents or correspondence originating from other
departments and agencies of the Government of Canada or of foreign
governments when those agencies are involved in the proposed transaction.
Applicants will need to provide their rationale and/or justification in a cover letter (or under
the exporter’s comments in EXCOL), in order to have these informal end-use assurance
documents taken into consideration by the Export Controls Division.
E.4.2.6. End-Use Assurance for Firearms, Components, Ammunition and
Explosives
Export permits for firearms, firearm components and ammunition may not be issued
unless the exporter provides an import licence or other proof that the items will legally
enter the country of destination. To meet the requirements of the Organization of
American States’ Convention on Firearms, Explosives and Related Material, proof of a
transit authorization may be required if the items are transiting a third country.
E.4.2.7. Delivery Verification Certificates
A Delivery Verification Certificate is typically issued to the consignee by the government of
the country to which the item has been exported and provides official confirmation that the
goods have been delivered in accordance with the terms of both the Canadian export
permit and/or the foreign-issued International Import Certificate. In some cases, Canadian
exporters are required to obtain and submit to the Export Controls Division applicable
Delivery Verification Certificates as a condition of their export permit.
For information about applying for a Canadian Delivery Verification Certificate (to confirm
that items controlled in another country have been imported into Canada), please see
section K.3.
E.4.3. U.S. Export Authorization
The Export Permits Regulations require that a U.S. Export Authorization be provided with
every application to export goods or technology that are:
Items controlled under the Schedule of the Defence Production Act that are of
U.S.-origin,
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50
Items incorporating any goods or technology of U.S.-origin that is/are controlled
under the Schedule of the Defence Production Act , or
Items manufactured in Canada using any goods or technology of U.S.-origin that
is/are controlled under the Schedule of the Defence Production Act .
A U.S. Export Authorization means a copy of any of the following approvals issued by the
United States (Department of State) under the International Traffic in Arms Regulations
(ITAR):
U.S. Export License;
Warehouse and Distribution Agreement;
Technical Assistance Agreement;
Manufacturing License Agreement;
Re-export Authorization letter; or
U.S. Export License Exemption.
In general, goods that are, or that incorporate, goods or technology that were exported
from the U.S. under the authority of the U.S. Department of State and the ITAR fall into
this category (see Box 1 for related information).
Exports of goods subject to domestic control under the Schedule of the Defence
Production Act that are not of 100% U.S. origin but contain some U.S. content that is not
subject to the ITAR must describe what the U.S. content consists of and explicitly state in
the application to export those goods from Canada that this U.S. content is not subject to
ITAR. In such cases, U.S. Export Authorization is not required.
Export Permit Validity E.5.
The validity period of an export permit varies depending on the items to be exported and
the nature of the transaction. For electronic applications submitted in EXCOL (as
illustrated below), Applicants may select a permit expiry date which suits their export
requirements and which conforms with the guidelines set out in subsections E.5.1 to E.5.7.
Requests for permits which exceed a validity period of 2 years are assessed on a case-by-
case basis and are granted at the discretion of the Export Controls Division based on the
additional information that should be submitted, as described in E.5.1- E.5.7.
For paper applications, Applicants should state in the “Overall Description of Goods and
End-Use” field of the application (see section E.3.4) or in a cover letter if it is known when
the export is expected to be completed or if the export permit will be required for a specific
duration.
It is strongly suggested that applicants request a validity period which is consistent to the
actual needs of the proposed export transaction.
Unless otherwise stated, an export permit may authorize multiple shipments, up to the
expiry of the permit and as long as the cumulative total of the quantity or value of items
exported does not exceed the quantity or value stated on the permit.
The validity period of export permits may be amended after issuance (see section G.3).
Permits for temporary exports may be valid for up to 2 years.
SECTION E: EXPORT PERMIT APPLICATION PROCESS
51
Permits for permanent exports have validity periods according to the following guidelines.
E.5.1. Group 1
Standard – up to 2 years; up to 5 years upon request and with evidence of a long-term
contract.
E.5.2. Group 2
E.5.2.1. Single Shipments
Export Control List Items 2-1 to 2-4 – Single shipment for most items to all destinations
As a general rule, export permits for military items falling under Export Control List Items
2-1 through 2-4 will be issued only for a single shipment to a single consignee. The export
permit becomes invalid after the first shipment is made even if the shipment is only a
partial one. Exporters must re-apply for a new export permit to cover any shortfall. An
exception to the single shipment condition may be granted at the discretion of the Export
Controls Division.
E.5.2.2. Multiple Shipments
Export Control List Items 2-1 to 2-22 – Standard – up to 2 years; up to 5 years upon
request and with evidence of a long-term contract.
Applicants should note that permits for permanent exports in this Group may be subject to
a quarterly reporting condition (see section G.2.1). Such reports must be made even
when there have been no exports in a given quarter.
To reduce the number of unnecessary reports, applicants should state when the exports
described in the permit application are expected to be made and request a shorter validity
period than 2 years where appropriate.
E.5.3. Group 3
All Group 3 Export Control List Items – up to 5 years.
The exporter must also be in possession of a valid export licence issued by the Canadian
Nuclear Safety Commission prior to export if the item proposed for export is subject to
controls under the Nuclear Safety and Control Act.
E.5.4. Group 4
All Group 4 Export Control List Items – up to 5 years.
The exporter must also be in possession of a valid export licence issued by the Canadian
Nuclear Safety Commission prior to export if the item proposed for export is subject to
controls under the Nuclear Safety and Control Act.
E.5.5. Group 5
Export Control List Item 5400 when General Export Permit No. 12 does not apply (see
section D.4) – up to 5 years.
Export Control List Item 5504: Standard – up to 2 years; up to 5 years upon request and
with evidence of a long-term contract.
EXPORT CONTROLS HANDBOOK
52
E.5.6. Group 6
Export Control List Items 6-1 and 6-2 – Single shipment.
Export Control List Items 6-3 to 6-20: Standard – up to 2 years; up to 5 years upon request
and with evidence of a long-term contract.
E.5.7. Group 7
All Group 7 Export Control Items – up to 2 years.
SECTION F: ADMINISTRATIVE PROCEDURES
53
F. Administrative Procedures and Other Issues
Processing Time F.1.
When possible and depending on the total volume of export permit applications, from the
date a complete export permit application is received, every effort is made to process an
application within a reasonable time frame. The following service standards apply:
For Export Permits:
Complete the processing of applications for permits to export controlled strategic
goods from eligible exporters, who have provided all required supporting
documentation, within ten (10) business days, where consultations outside the
Trade Controls Bureau are not required (usually to an “Open Policy Country”
destination); and within forty (40) business days where consultation is required
(usually to a “Non-Open Policy Country” destination). The service target for this
deliverable is 90 percent.
Complete the processing of applications for permits to import controlled strategic
goods for eligible importers, who have provided all required supporting
documentation, within ten (10) business days. Please note import permits for
strategic goods can only be applied for within thirty (30) days of the proposed date
of importation. The service target for this deliverable is 90 percent.
Multiple destination permit (MDP) applications will be processed within 40 business days.
Permit Amendment Request (PAR) applications will be processed within three (3)
business days.
For International Import Certificates
Complete the processing of applications for international import certificates for
applicants, who have properly completed the application and have provided all
supporting documentation (if required), within ten (10) business days. The service
target for this deliverable is 90 percent.
For Delivery Verification Certificates
Complete the processing of applications for delivery verification certificates for
applicants, who have properly completed the application and have provided all
supporting documentation (if required), within twenty (20) business days. The
service target for this deliverable is 90 percent.
For Destinations subject to Sanctions
For destinations subject to Canadian economic sanctions, there are no service
standards associated with completion of the review of export permit applications.
Open Policy Countries are like-minded countries that are members of the export control
regimes to which Canada is party, and that have implemented an effective system of
export controls.
Incomplete or deficient export permit applications (for instance those without
supporting documentation, or those with missing and/or contradictory information)
may be returned to the applicant without action.
If at any time before a permit or certificate is issued the Applicant determines that the
permit is no longer required, he may request that the application be Withdrawn. Once a
EXPORT CONTROLS HANDBOOK
54
permit has been issued, the Applicant may request that it be Cancelled. Withdrawal and
Cancellation requests must cite the permit or certificate number, or the reference ID
number, and must be submitted in writing to the Export Controls Division at
tie.reception@international.gc.ca.
Status Enquiries F.2.
Applicants may obtain information regarding the processing of permit and certificate
applications by contacting the Export Controls Division by telephone at (343) 203-4331 or
by email to tie.reception@international.gc.ca and citing the Ref ID number generated by
EXCOL. Applicants should allow at least 10 business days from the time of submission of
an export permit application before enquiring as to its status.
Policy Review F.3.
Once the control status of the goods or technology proposed for export is determined,
each export permit application is reviewed for consistency with Canada’s foreign and
defence policies.
If, in the course of this review, it is determined that the items proposed for export are not
controlled and/or that no export permit is required, the applicant will be notified in writing
and the application will be closed.
Export permit applications are examined in detail, with particular attention being given to
the country of destination, the purpose and intended use of the goods and technology, and
the consignees and/or end-users of the product. Where concerns exist about a proposed
export, the application may be referred to the Minister of Foreign Affairs for decision.
Consultations F.4.
The purpose of intra- and inter-departmental consultations is to fully assess the risks and
implications of proposed exports with respect to Canada’s foreign and defence policy
considerations (see section B). Various Canadian government departments and agencies,
including various divisions within Foreign Affairs, Trade and Development Canada, may be
involved in the consultation process.
Military Goods and Technology F.5.
With respect to military goods and technology, Canadian export control policy has, for
many years, been restrictive. Under present policy guidelines set out by Cabinet in 1986,
Canada closely controls the export of military items to:
countries which pose a threat to Canada and its allies;
countries involved in or under imminent threat of hostilities;
countries under United Nations Security Council sanctions; or
countries whose governments have a persistent record of serious violations of the
human rights of their citizens, unless it can be demonstrated that there is no
reasonable risk that the goods might be used against the civilian population.
General Export Permits F.6.
General Export Permits (GEPs) are, by order, issued generally to all residents of Canada
by the Minister of Foreign Affairs. General Export Permits allow the export of certain items
from Canada to certain eligible destinations by means of a simplified administrative
procedure as opposed to the standard procedure of having to obtain an individual export
permit.
SECTION F: ADMINISTRATIVE PROCEDURES
55
When exporting items listed on the Export Control List where a General Export Permit
applies, the exporter must abide by all the associated terms and conditions of the GEP,
which can vary from regulation to regulation. However, in most cases, the exporter must
cite the appropriate General Export Permit number in the relevant box on the appropriate
form prescribed by the Canada Border Services Agency (see section H). In some cases,
the use of a General Export Permit is conditional upon an exporter undertaking to report
on actual volumes of exports or on specific final consignees made against the General
Export Permit.
Certain General Export Permits require exporters to inform the Export Controls Division in
writing and on an annual basis, of their intention to utilize the General Export Permit (i.e.
GEP 43 (Nuclear Goods and Technology to Certain Destinations), GEP 44 (Nuclear-
Related Dual-Use Goods and Technology to Certain Destinations), GEP 45 (Cryptography
for the Development or Production of a Product) and GEP 46 (Cryptography for the Use
by Certain Consignees)). These GEPs may require a detailed report of exports made as a
condition for their use.
General Export Permits have been issued for specific items and specific destinations. The
complete list of General Export Permits is available on the internet at:
http://www.international.gc.ca/controls-controles/military-militaires/handbook-
manuel.aspx?lang=eng&menu_id=78 or by contacting the Export Controls Division. For
additional details on how to use a General Export Permit, please contact the Export
Controls Division.
Multiple Destination Permits F.7.
A multiple destination permit (also referred to as “multi-destination permit” or MDP) is an
alternative to a single destination permit (which specify consignees in a single country).
This type of permit allows exports to multiple destination countries without consignees
being specified in the application. MDPs allow greater flexibility to exporters than individual
permits, but also impose specific terms and conditions, in particular, the requirement to
submit export reports at regular, defined intervals. MDPs are offered to exporters who
have established an exporting history with the Export Controls Division and have
implemented defined processes and procedures when planning, marketing and shipping
items included in the Export Control List to foreign clients to ensure a reasonable level of
assurance (due diligence) that goods or technology will not be exported to unauthorized or
illegitimate end-uses or end-users. In order to apply for an MDP, exporters must first
contact the Export Controls Division and become a recognized user of EXCOL.
MDPs are available for Dual-Use Items (Group 1 and in Item 5504 of the Export Control
List);
26
for Cryptographic Items (Group 1, Category 5, Part 2 of the Export Control List);
27
and for some Munitions List Items (Group 2 of the Export Control List). Exporters should
contact their assigned Permit Officer to discuss further options and/or how to apply for a
MDP.
Procedure for exporting parts for use in Aircraft on the Ground (AOG) F.8.
Where spare parts must be exported to support or service a civilian/commercial aircraft
stranded in a foreign country, an expedited process will be adopted to meet the exporter’s
requirement. A complete permit application will be processed within three (3) business
days (sensitive destinations such as sanctioned or ACL countries may take longer).
Exporters must ensure that the following information is in the permit application:
The nature of the export transaction and the reason for the urgent request.
26
http://www.international.gc.ca/controls-controles/military-militaires/MDP_DualUse-LDP_doubleusage.aspx?lang=eng (See
also Notice to Exporter SER-177.
27
http://www.international.gc.ca/controls-controles/export-exportation/crypto/Crypto_Intro.aspx?lang=eng&view=d
EXPORT CONTROLS HANDBOOK
56
Serial number of the licensable civil aircraft spare part and tail number of the
aircraft to be stated in the item description field of the permit application.
Information if the spare parts have a US content; if the spares to be exported
contain US content, such US content must not be ITAR controlled.
Copy of the Purchase Order (the formal End-Use Statement is waived)
Controlled Goods Program F.9.
The Controlled Goods Program, managed by the Controlled Goods Directorate of Public
Works and Government Services Canada, was established in 2001 to administer the
Defence Production Act and the Controlled Goods Regulations. Generally speaking,
companies or persons having access to or who possess, examine, or transfer "controlled
goods" as defined in the Schedule to the Defence Production Act, including related
technology, within Canada, must be registered with the Controlled Goods Directorate. If an
exporter is not registered and wishes to export items subject to control under the
Controlled Goods Program, an export permit cannot be issued until there is evidence that
the exporter has registered (unless proof is provided that a Controlled Goods Directorate
exemption applies).
For information on the Controlled Goods Program, please refer to:
Controlled Goods Directorate (CGD)
Public Works and Government Services Canada
c/o Central Mail Room
Place du Portage, Phase III OB3
11 Laurier Street, Gatineau, Quebec, K1A 0S5
(Visitors go to: 2745 Iris Street, Ottawa, Ontario)
Telephone: 1 (866) 368-4646 (toll-free)
Fax: (613) 948-1722
Internet: http://ssi-iss.tpsgc-pwgsc.gc.ca/dmc-cgd
Canadian Nuclear Safety Commission F.10.
In addition to export controls imposed under the Export and Import Permits Act, the
exports of nuclear and nuclear-related items are also controlled by the Canadian Nuclear
Safety Commission under the Nuclear Safety and Control Act and Regulations. Therefore,
certain exports of Export Control List Groups 3 and 4 items also require licences from the
Canadian Nuclear Safety Commission. There are also nuclear and nuclear-related items
not listed in the Guide that are controlled under the Nuclear Safety and Control Act and
Regulations and require licences from the Canadian Nuclear Safety Commission prior to
exportation. Information on the Canadian Nuclear Safety Commission’s export licensing
requirements may be obtained by contacting:
Office of International Affairs
Non-Proliferation, Safeguards and Security Division
Canadian Nuclear Safety Commission
280 Slater Street
P.O. Box 1046, Station B
Ottawa, ON K1P 5S9
Telephone: (613) 995-0369 or 1 (800) 668-5284
Fax: (613) 995-5086
Internet: www.cnsc-ccsn.gc.ca
Exports of Group 3 and 4 items that are also subject to control under the Nuclear Safety
and Control Act can only occur when export authorizations are obtained from both the
Export Controls Division and the Canadian Nuclear Safety Commission.
SECTION F: ADMINISTRATIVE PROCEDURES
57
It should be noted that as export permits are processed separately by two licensing
authorities, exporters must liaise with both departments separately.
Canadian National Authority for the Chemical Weapons Convention (CWC) F.11.
The Canadian National Authority for the Chemical Weapons Convention is responsible for
the collection and monitoring of Canadian data relating to the import and export of items
identified in Schedules 1, 2 and 3 of the Chemical Weapons Convention which correspond
to item 74 of the Import Control List, Chemicals and Precursors, and item 7-3 of the
Export Control List. For further information, please contact the Canadian National
Authority at 343-203-3183. Information about the Import Control List is available on the
internet at: www.exportcontrols.gc.ca.
Natural Resources Canada (Explosives Regulatory Division) F.12.
The export of many types of explosives are also controlled by Natural Resources
Canada (Explosives Regulatory Division) under the Explosives Act and regulations.
Therefore, the export of certain items on the Export Control List also requires
licences from the Explosives Regulatory Division. Information on the Explosives
Regulatory Division export licensing requirements may be obtained by contacting:
580 Booth Street, 10
th
Floor
Ottawa, ON K1A 0E4
Tel: 613-948-5200
Fax: 613-948-5195
E-mail: ERDmms@nrcan.gc.ca
Other Government Departments F.13.
It is possible that export authorizations may be required from other government
departments or entities for other goods. These entities include, but are not limited to:
Agriculture and Agri-Food Canada, Canadian Nuclear Safety Commission, Canadian
Wheat Board, Environment Canada, Fisheries and Oceans Canada, Health Canada,
Heritage Canada, and Natural Resources Canada. Exporters may obtain information
relating to such controls by contacting the appropriate department or agency.
EXPORT CONTROLS HANDBOOK
58
G. After Issuance of an Export Permit: Compliance with
Export Controls
It is the responsibility of exporters to ensure that they are aware of and comply with
Canadian export controls.
Permit Issuance and Distribution G.1.
Once issued, export permits are sent to the applicant depending on the selected method
of distribution, including by courier or surface mail. Recognized Users of EXCOL may
download and print valid export permits directly from EXCOL.
Paper copies of valid export permits must be presented with other export reporting
documents to the Canada Border Services Agency when the goods or technology are
presented for export.
If a permit has been issued for multiple shipments, a copy of the export permit must be
presented with every shipment. The exporter must quote the export permit number on the
appropriate export reporting documentation at time of export. This and other requirements
under the Customs Act administered by the Canada Border Services Agency are further
described in section H.
The exporter must maintain records of, and retain copies of all documents with respect to,
each shipment or transfer made under the authority of an export permit for a period of six
years from the expiry date of the permit.
Terms and Conditions G.2.
Exports may be made under the authority of an export permit up to a point no later than
the expiry date of that permit.
Unless otherwise stated, an export permit may authorize multiple shipments, up to the
expiry of the permit and as long as the cumulative total of the quantity or value of items
exported does not exceed the quantity or value stated on the permit.
Some export permits are issued with special, mandatory terms or conditions of use.
Exporters must review their permits to determine whether or not any conditions apply.
A persistent or repeated failure to fulfill the obligations of an export permit may result in a
number of consequences, including suspension or cancellation of export permits.
Two of the more common reporting conditions are described below.
G.2.1. Quarterly Reporting
Export permits issued for Group 2 items authorize the export of a maximum quantity and
value of the goods and technology identified, to specific customers in specific countries.
Multiple shipments are allowed. A report on actual shipments made against each export
permit must be submitted on a quarterly basis; exporters should refer to the instructions on
their export permit for more information (some exceptions may apply).
Recognized Users of EXCOL may enter reports on-line. To view a list of permits that have
been issued and that have reporting conditions, users should select “My Reporting
Conditions” from the EXCOL Menu and may choose to view a list of all permits with
reporting conditions or a list of only those permits with conditions that require immediate
action. The last column displays an icon which indicates the status of reporting on a
permit:
SECTION G: COMPLIANCE WITH EXPORT CONTROLS
59
a red icon indicates that immediate action is required;
a yellow icon indicates that the relevant reporting period has ended and that you
should report within a deadline set on your permit (typically, within 30 days of the
end of the reporting period);
a green icon indicates that no action is required at this time.
An electronic form for entering the required information is available by clicking on the
Permit Utilization tab. Step-by-step instructions are also provided there.
Exporters who are not Recognized Users of EXCOL should contact the Export Controls
Division to request a quarterly reporting form. Information about becoming a Recognized
User is available in section E.2.2 above.
G.2.2. Reporting the Return of Temporary Exports (including
Demonstration Conditions)
All exports authorized by an export permit must be declared to the Canada Border
Services Agency at the time of export using either a completed B13A Export Declaration
or other acceptable form of export report (see www.cbsa-asfc.gc.ca for more information).
Temporary exports of controlled goods or technology, including those that are carried by
hand, must also be reported in this way.
In some cases, a permit covering a temporary export will contain the following condition:
The exporter must report to the Export Controls Division (TIE), Foreign Affairs,
Trade and Development Canada, 125 Sussex Drive, Ottawa, Ontario, K1A 0G2 the
return of the goods to Canada and provide proof of re-entry no later than four weeks
after the return of the goods to Canada.
The report of return consists of a copy of the completed CBSA Import Declaration (i.e. B3
Canada Customs Coding Form or the CI1 Canada Customs Invoice). When temporary
exports authorized by an export permit return to Canada, permit holders must ensure that
they obtain an official proof of return from the Canadian customs authorities. Presentation
of a completed B13A Export Declaration or other acceptable document showing that the
goods originated in Canada facilitate processing of the custom’s proof of return for
returning temporary exports. A copy of the proof of return should then be provided to the
Export Controls Division to fulfill the reporting requirement.
Amendments of Export Permits G.3.
A recognized EXCOL user must submit a Permit Amendment Request using the on-line
EXCOL system no later than 30 days before the expiry of an export permit (see section
E.2.2 for information on how to become a Recognized User).
The following amendments may be requested through a Permit Amendment Request.
Applicants should attach an electronic document that requests and provides a justification
for the amendment, as well as attaching any other relevant supporting documents.
an increase in the quantity and/or unit value of exports defined on the export permit,
up to a maximum increase of 50% (indicate per line item, if necessary)
extension of the expiry date by up to one year from the date of expiry of the original
permit
minor changes to the addresses and contact details provided for consignees (for
example, to correct typographical errors on the original application)
The following amendments may be requested through the Permit Amendment Request
when the country of final destination is an Open Policy Country:
EXPORT CONTROLS HANDBOOK
60
addition of other consignees in the same country of final destination as stated on
the original permit (appropriate end-use assurances should be attached; see section
E.4.2 for more information)
Amendments are authorized at the discretion of the Export Controls Division.
Amendments may be refused, for example, in cases where the exporter has not yet
fulfilled conditions imposed on the original permit.
Only one (1) permit amendment request can be submitted during the validity period of an
issued permit. The permit amendment request may cover one or more of the allowable
changes as outlined above.
Export permit amendments will not typically be issued to add new goods or technology.
Exporters who wish to amend export permits in these circumstances should submit a new
export permit application. Export permit amendments shall not be granted for export
permits that have expired.
A Permit Amendment Request cannot be used to change information about the Applicant
or Exporter. Changes in the name, address, or other contact details of the Applicant and
Exporter must be requested in writing with appropriate supporting documents to the Export
Controls Division (see Section G.3.1, below). Any existing export permits that need to be
updated must be clearly identified so that new export permits may be issued with the new
corporate details.
Export permits are only valid for use by the Exporter named therein. Inconsistencies
between the export permit and other customs or shipping documents, such as different
exporter names and addresses, different goods or technology being exported and so on,
may cause the export shipment to be subject to detention and/or penalties at the point of
export under the authority of the Customs Act. Exporters must ensure they are in
possession of a legally amended export permit before any export takes place.
Non-Recognized EXCOL users must submit a Permit Amendment Request in the form of
a letter to the attention of “Permit Section” quoting the Exporter’s EIPA Number and the
existing permit number, with the title “Permit Amendment Request”, no later than 30 days
before the expiry of an export permit (see section E.2 for information on how to become a
Recognized User). Requests may be faxed to (613) 996-9933.
G.3.1. Changes to Applicant or Exporter name and/or address
Section 16 of the Export and Import Permits Act prohibits the transfer of a permit to
another party who is not named on the permit. For this reason, when the Exporter’s or
Applicant’s name and/or address have changed, the Export Control Division must be
informed of these changes in writing and a new permit issued.
To request such changes, Applicants/Exporters should provide the Export Controls
Division with a letter on company letterhead which contains the following information:
a brief overview which explains the reason for the requested change (for example,
corporate acquisition, company relocation , etc.)
current company name, EIPA and Business numbers
new name, address and, if applicable, new Business number
the effective date of the change.
All changes must meet the requirements set out in Section E of the Handbook (for
example, as detailed under section E.3.1, an Applicant must be a resident of Canada).
Requests should be submitted well in advance of the required change to ensure sufficient
time for processing. Upon receiving such requests, the Export Control Division
regenerates active permits to reflect the required changes. Active permits will be replaced
SECTION G: COMPLIANCE WITH EXPORT CONTROLS
61
with a permit ending in a new version number and the original permits will be automatically
cancelled.
Inspection and Record-Keeping G.4.
Section 10 of the Export and Import Permits Act
28
specifies important requirements related
to record-keeping and to the inspection, audit, and examination of such records.
Offences and Penalties G.5.
Violations of the prohibitions defined in Sections 13-18 of the Export and Import Permits
Act
29
may result in prosecution. Some examples of offences under the Act are:
Exporting or attempting to export any goods or technology included on the Export
Control List except under the authority of and in accordance with an export permit,
such as:
o Export of goods or technology in excess of the quantities or values declared
on the applicable export permit
o Export of goods or technology to destinations or to consignees that are not
listed on the applicable export permit
o Failure to respect conditions included in an export permit
Exporting or attempting to export any goods or technology to any country included
on the Area Control List except under the authority of and in accordance with an
export permit.
Knowingly doing anything in Canada that causes or assists or is intended to cause
or assist any shipment, transhipment, diversion or transfer of any goods and
technology included in the Export Control List to be made from Canada or any other
place, to a country included on the Area Control List.
Exporting or attempting to export prohibited firearms, or certain prohibited weapons
and devices, to any country that is not included on the Automatic Firearms Country
Control List, except under the authority of and in accordance with an export permit.
Knowingly doing anything in Canada that causes or assists or is intended to cause
or assist any shipment, transhipment or diversion of any prohibited firearm,
prohibited weapon or prohibited device referred to in paragraphs 4.1(a) to (c) of the
Export and Import Permits Act (EIPA), or any part of component designed
exclusively for assembly into such a thing, that is included on the Export Control List
, from Canada or any other place, to any country that is not included on the
Automatic Firearms Country Control List.
Furnishing false or misleading information or knowingly making any
misrepresentation in an application for an export permit for the purpose of procuring
its issue or in connection with any subsequent use of the export permit.
Penalties for contraventions of the Export and Import Permits Act or the Regulations are
set out in Section 19 of the Act. Penalties can be, for an offence punishable on summary
conviction, a fine of up to $25,000 or imprisonment for up to 12 months, or both; and for an
indictable offence, a maximum fine set by the court or imprisonment for a maximum of 10
years, or both.
In accordance with Section 20 of the Act, where a corporation commits an offence under
the Act, any officer or director of the corporation who directed, authorized, assented to,
acquiesced in, or participated in the commission of the offence, is a party to and guilty of
the offence and is liable on conviction to the punishment provided for the offence whether
or not the corporation has been prosecuted or convicted.
28
http://laws.justice.gc.ca/en/E-19/index.html
EXPORT CONTROLS HANDBOOK
62
In accordance with Section 21 of the Act, the export permit applicant, who must be a
Canadian resident, may be held responsible for any offences committed by a non-resident
exporter.
Report Illegal Exports G.6.
If you wish to pass on information about possible violations of the Export and Import
Permits Act, please contact the Export Controls Division, a local detachment of the Royal
Canadian Mounted Police, or a Canada Border Services Agency office. Telephone
numbers can be found at the front of this document or in the blue pages of your local
telephone book under “Government of Canada”. Your call will be handled in confidence.
Disclosures of Non-Compliance
G.7.
The Export Controls Division recognizes that, on occasion, responsible exporters
inadvertently fail to comply with the Export and Import Permits Act. We encourage all
exporters finding themselves in such a situation to disclose any incidents of non-
compliance to us as soon as possible.
The Export Controls Division looks favourably upon disclosures if, after considering the
information provided, we are satisfied that the exporter has fully cooperated and that no
further action is warranted. Depending on the gravity or overall circumstances of a case,
we may nonetheless refer disclosures to the Canada Border Services Agency or the Royal
Canadian Mounted Police for further review.
G.7.1. Disclosure Procedures
Any voluntary disclosure must be accompanied by a cover letter, signed by a senior
company officer and addressed to the Director, Export Controls Division, Foreign Affairs,
Trade and Development Canada, 125 Sussex Drive, Ottawa, Ontario K1A 0G2, which
clearly states that its purpose is to disclose non-compliance with the Export and Import
Permits Act. Included in the cover letter or in accompanying documentation must be the
following:
Details of the products concerned (including technical specifications for assessment
of export control status); exporters should provide their self-assessment against the
Export Control List on the control status of the goods or technology that was
exported, including the rationale for such assessment.
Dates of all shipments, mode of transport, and port of exit
Quantities and values of each shipment for each product concerned (including
copies of the B13A or Canadian Automated Export Declaration submitted to the
Canada Border Services Agency, as well as copies of bills of lading, freight
forwarding, shipping or commercial invoices)
Contract of sale between the exporter and the final consignee
For each export shipment in question, a statement as to whether the export took
place intentionally
Description of the circumstances underlying each export shipment in question
Description of steps taken or processes and procedures put in place to ensure that
where required, export permits will be obtained in future, and
Any other documentation that the exporter believes is relevant to the purpose of the
disclosure.
Disclosures must be submitted in writing. You should contact the Export Controls Division
for advice on the most appropriate means of submitting a disclosure of non-compliance.
SECTION H: CUSTOMS PROCEDURES
63
H. Customs Procedures (Canada Border Services Agency)
For detailed information about Canada Border Services Agency (the Agency) procedures,
please consult the following documents published by the Agency which are available on
the internet at www.cbsa-asfc.gc.ca:
Exporting Goods from Canada, A Handy Guide for Exporters
29
Memorandum D20-1-1, Export Reporting
30
Export Reporting
31
Exporters must report electronically or in writing to an export reporting office all goods
being exported from Canada. Certain exceptions may apply. It is the responsibility of the
exporter to cite the permit number in the appropriate field of the Export Declaration (Form
B13A) or other export reporting documents.
The exporter is responsible for ensuring that export permits are submitted to the Canada
Border Services Agency when items are tendered for export, i.e. for each shipment. Each
shipment will be recorded by the Agency until the export permit expires or the
quantity/value of the export permit has been reached, whichever comes first. However, it
should be noted that it is the responsibility of the exporter to keep records and not to ship
beyond the quantity or value limits of the export permit.
If no permit is required (e.g. if an export permit application has been made and the
technical assessment has determined that the items are not controlled), this should be
stated on the export documentation. In this case, the Export Controls Division may issue a
letter stating that the technology or goods are not controlled for export under the Export
and Import Permits Act (EIPA).
For more information, please refer to the Canada Border Services Agency’s “Exporting
Goods from Canada: A Handy Guide for Exporters” available on the internet at www.cbsa-
asfc.gc.ca. Appendix 4 “Quick Reference Table” outlines documentary requirements for
exporters.
Enforcement H.1.
Border Services Officers, before allowing the export of any item, must satisfy themselves
that the exporter has fully complied with, and not contravened, the provisions of the Export
and Import Permits Act and Regulations, or any other Act of Parliament.
Under the authority of the Customs Act
32
, Border Services Officers may exercise certain
powers, respecting search, detention, seizure and forfeiture with respect to any goods that
are tendered for export or exported or otherwise dealt with contrary to this Act, to the
Export and Import Permits Act and to relevant Regulations or any other Act of Parliament
that controls the export of goods from Canada.
Examination and Detention H.2.
The Canada Border Services Agency has the authority to examine goods that are about to
be exported. If an examination is required, the exporter or the person in control of the
goods at the time of the request (normally the freight forwarder or the exporting carrier) will
be asked to bring the goods to a sufferance warehouse. In all cases, destuffing for
examination purposes and other related fees are costs to the exporter.
29
http://www.cbsa-asfc.gc.ca/publications/pub/bsf5081-eng.html
30
http://www.cbsa-asfc.gc.ca/publications/dm-md/d20-eng.html
31
h http://www.cbsa-asfc.gc.ca/export/ndr-adr-eng.html
32
http://laws.justice.gc.ca/en/showtdm/cs/C-52.6
EXPORT CONTROLS HANDBOOK
64
Some shipments may be detained to confirm whether export controls apply to such
shipments and if proper export permits have been obtained. Export shipments of goods or
technology subject to export controls will be detained in the following circumstances:
additional information is required from the exporter and/or a controlling entity to
determine if the goods or technology are controlled for export;
verification that the export permit presented is valid for the goods being exported or
that a declaration of “No Permit Required” is valid;
the required export permit has not been presented;
discrepancies exist between the information provided on the export declaration and
the export permit with regard to the description of the goods, quantity and unit of
measure, or the destination;
the required export permit is not yet effective or has expired.
Items that have been detained by the Canada Border Services Agency may be referred to
the Export Controls Division for a determination of control status. The Export Controls
Division evaluates the export documentation submitted by the exporter at time of export
and in many instances will contact the exporter to request additional documents or
information. It is in the best interest of the exporter to make all requested information
available as quickly as possible.
Exporters may enquire about the status of the control status determination process by
contacting the Export Controls Division at telephone (343) 203-4331 and providing the
appropriate detention reference number assigned to the case by the Canada Border
Services Agency.
Upon finalizing the control status of the items tendered for the specific export, the Export
Controls Division will advise the Canada Border Services Agency of its findings. However,
the exporter must contact the Agency regarding any further information or actions required
on the specific detention.
Exporters with items under detention may apply for a permit to export the same items.
Applications must be made through the normal channels as described, for example, in
section E above, and must state clearly that goods had been detained in a prior shipment.
However, issuance of an export permit for such items does not necessarily cause detained
goods to be released to the exporter, nor does it absolve the applicant or exporter of any
infractions or offences that may have been committed. Where a permit is subsequently
issued, it will contain the following standard condition:
This export permit has been issued without prejudice to the resolution of any
detention by the Canada Border Services Agency and does not absolve the
exporter of any infractions or offences that may have been committed under the
Export and Import Permits Act or any other legislation.
Detentions may be lifted when the Canada Border Services Agency receives:
a valid export permit;
proof that an export permit was not required;
adequate clarification of the discrepancy between the export declaration and the
export permit.
Administrative Monetary Penalty System, Seizures and Ascertained H.3.
Forfeiture
The Administrative Monetary Penalty System is a penalty regime designed to encourage
compliance with customs legislation. The penalties are intended to be corrective rather
than punitive. The initial amount and increments of these monetary penalties are
established after giving due consideration to the type, frequency, and severity of each
SECTION H: CUSTOMS PROCEDURES
65
infraction. Most penalties are graduated and take the compliance history of the client into
consideration.
Most contraventions will be dealt with using the Administrative Monetary Penalty System.
However, because legislative requirements provide that certain goods may enter or leave
Canada only under controlled conditions and that some infractions require greater
deterrence, seizures and ascertained forfeitures continue to form part of the measures
needed to address certain serious offences which may also include criminal prosecution.
A seizure is a legal action, the result of which calls for certain goods taken from offenders
to become the property of the Government of Canada. It is invoked when reasonable
grounds exist to conclude that legislative requirements pertaining to a suspected infraction
call for the goods or the conveyance to be seized or when the mere possession of those
goods without due justification is deemed to be unlawful. Seizures are subject to appeal
within 90 days. Nearly all seized goods are ultimately destroyed or otherwise disposed of
as prescribed by the relevant public authorities.
Ascertained forfeiture is the legal process used when seizure constitutes excessive
punishment, or would be impractical or impossible, as in the case of goods that have
already been exported. Used under basically the same conditions as a seizure, an
ascertained forfeiture normally results in a monetary penalty equivalent to seizure of the
goods. However, the Minister of Public Safety may prescribe a reduced penalty amount
under certain circumstances. Like seizures, ascertained forfeitures are subject to a 90-day
appeal period. Any outstanding amount not paid on time is subject to interest.
Seizure and ascertained forfeiture are the responsibility of the Canada Border Services
Agency and the Export Controls Division will not enter into correspondence with exporters
about such actions. Exporters whose shipments are subject to such legal action may
apply for permits to export similar items. Applications must be made through the normal
channels as described, for example, in section E above, and must state clearly that goods
had been detained in a prior shipment. However, issuance of an export permit for such
items does not absolve the applicant or exporter of any infractions or offences that may
have been committed.
Useful Internet Pages H.4.
Exporting Goods From Canada -- A Handy Guide for Exporters (www.cbsa-
asfc.gc.ca/publications/pub/bsf5081-eng.html)
Information for Exporters (www.cbsa.gc.ca/export/menu-eng.html)
Memorandum D20-1-1 -- Export Reporting (www.cbsa.gc.ca/publications/dm-
md/d20/d20-1-1-eng.html)
Memorandum D19-10-3 Export and Import Permits Act (Exportations)
(www.cbsa.gc.ca/publications/dm-md/d19/d19-10-3-eng.html)
The Administrative Monetary Penalty System (http://www.cbsa-asfc.gc.ca/trade-
commerce/amps/menu-eng.htmlDirectory of Canada Border Services Agency
Offices (www.cbsa.gc.ca/do-rb/menu-eng.html)
EXPORT CONTROLS HANDBOOK
66
I. Applications to Export Cryptographic items
Introduction I.1.
Permits are not required to export cryptography and information security goods or
technology from Canada to the United States. Exports of Canadian goods or technology
from the United States or other countries are subject to export controls of that country.
However, foreign consignees who intend to re-export such goods or technology should
state that in the end-use statement, if one is required.
General Export Permits I.2.
Pursuant to the Export and Import Permits Act, the Minister of Foreign Affairs has issued
two (2) General Export Permits (GEPs) relating to the export or transfer of cryptography.
GEPs are intended to facilitate trade in defined circumstances and are issued generally to
all residents of Canada to allow the export or transfer of specific goods and technology
that are included in the Export Control List (ECL) to certain specified destinations, subject
to terms and conditions. GEPs do not require an individual application to be submitted to
Foreign Affairs, Trade and Development Canada for purposes of export or transfer.
Currently, there are two types of GEPs for the export or transfer of cryptography:
GEP 45 - Cryptography for the Development or Production of a Product
GEP 46 - Cryptography for Use by Certain Consignees
Please consult the corresponding regulations within the Export and Import Permits Act
pertaining to the above GEPs.
Exporters wishing to utilize these GEPs must, prior to their first export in any calendar
year, provide in writing to the Export Controls Division of Foreign Affairs, Trade and
Development Canada:
their name, address, telephone number, facsimile number and electronic mail
address
in the case of a corporation, the name of a contact person and their address,
telephone number, facsimile number and electronic mail address, the business
number assigned to the corporation by the Minister of National Revenue, and
(in the case of GEP 45) a description of the products whose production and
development will be facilitated by the exports or transfers.
Individual Export Permits I.3.
An individual export permit allows exports of goods and technology described therein to
specified consignees in a single country. Individual permits may authorize exports of any
cryptographic items controlled in Group 1: Category 5 – Part 2 of the Export Control List
(ECL). An application must be submitted to the Export Controls Division in order to obtain
an individual permit. Once it has been issued to an applicant, this type of permit generally
does not require that actual exports be reported (in contrast to some other permit types).
I.3.1. Applications
Export permit applications for information security goods/technology and goods/technology
employing cryptography consist of the following:
complete application form (generally done through our online system EXCOL)
Cover letter or notes in the “Applicant/exporter comments” field of the EXCOL
application form explaining the overall nature of the proposed transaction, including
SECTION J: APPLICATIONS TO EXPORT FIREARMS AND AMMUNITION
67
the roles of the parties involved and the end-use of the product. This information
informs the Export Controls Division's review of the application by providing a clear
picture of the particulars of the proposed export.
a completed cryptography and information security product questionnaire
technical description of the goods/technology. The Export Controls Division
undertakes a technical assessment of the goods or technology listed in the export
permit application to determine under which Export Control List Item(s) they fall. For
this purpose, technical specifications of the export must be detailed and adequately
describe the characteristics of the goods and services. Enough details must be
provided to establish the true nature of the items. These could be provided in the
form of drawings, data sheets, manuals, component lists, and so on. Marketing
brochures may also provide useful additional information. The information that is
submitted should make clear the type and function of the goods and provide key
technical parameters.
signed end-use statement from the final consignee to whom the export shipment is
destined – exporters may use the template provided or submit other documents
which contain the same information required in the template. When alternative end-
use documents are provided, the applicant must clearly indicate in their application
where in those documents each of the elements of the end-use statement template
are met.
As noted above, general information that is required in an export permit application form
submitted through EXCOL can be found in the Export Controls Handbook.
Exporters of information security goods/technology and goods/technology employing
cryptography should note the following guidelines on identifying items in an export permit
application:
Descriptions of finished products should use the following format: [brand name or
name of manufacturer] [model name] [part number]. This information should be
consistent with packaging labels, invoices, and shipping documents.
Descriptions of software should use the following format: [software developer or
publisher name] [software name] [version number x.x] [means of export – e.g., on
CD or by FTP]. This format assumes that, in the version number, changes to the
right of the decimal (e.g., from version 3.0 to 3.1) will only be updates, patches, or
fixes with no change to the cryptographic functionality, and that any other change to
the software, including a change to the cryptographic functionality, will result in a
change from version 3 to version 4.
Item descriptions should not describe the purpose, use, or physical appearance of
the product (this should be provided instead in the field “Overall Description of
Goods and End-Use” in the EXCOL application form) nor include references to the
Export Control List (self-assessments should be provided in the field “ECL No.” in
the EXCOL application form).
The Description is how the goods or technology will be identified on the export
permit, which will also be verified against the Export Declaration submitted to the
Canada Border Services Agency at the time of export.
An export permit issued for software will generally include the version number, as noted
above (e.g., version 1.x). Changes to the version number to the left of the decimal (i.e.,
from version 1.x to version 2.x) require a new permit to be issued. In other words, if a
permit is issued for version 1.1, the exporter may also use that permit to export versions
1.2 and 1.3 (assuming there has been no change to the cryptographic functionality).
However, that permit may not be used to export version 2.1 of the same software. A new
permit application should be submitted.
EXPORT CONTROLS HANDBOOK
68
I.3.2. Application review period
The Export Controls Division makes every effort to review export permit applications as
quickly as possible. The Export Controls Division has established service delivery targets
for applications to export in order to provide applicants with timely service. Review times
may vary according to the complexity of an application, the adequacy and completeness of
the information presented in it, and the number of applications under review at any given
time. Under normal circumstances:
complete applications for many destination countries, including most European
countries, Japan, South Korea, Australia and New Zealand, will be reviewed within
10 business days from the submit date in EXCOL or from the date of receipt in the
Export Controls Division;
complete applications to other destinations will be reviewed within eight weeks from
the submit date in EXCOL or from the date of receipt in the Export Controls Division.
Permits are not required to export cryptography and information security goods or
technology from Canada to the United States.
Applicants whose applications are incomplete will be asked to provide additional
information within a specific time period. Incomplete applications may be returned without
action in order for them to be submitted again at a later date when the required information
is available to the applicant.
I.3.3. Validity periods for individual export permits
The default validity period for individual export permits for cryptography is two years.
Exporters may request shorter or longer validity periods, up to 5 years. Individual
applications may also be amended to extend the validity period by up to one year at a time
(applications must be made through EXCOL at least 2 weeks before the expiry date of the
existing permit – refer to the Export Controls Handbook for more information).
Multidestination export permits I.4.
The Export Controls Division issues several types of “multidestination” export permits for
cryptographic items. These allow for exports to multiple destination countries without
consignees being specified in the application. These permits differ according to the
cryptography products that are intended to be exported and the terms and conditions that
apply to the use of these permits. The following multidestination permits are currently
issued by the Export Controls Division:
EU+5 cryptography permit: this type of permit may authorize exports of hardware,
software, source code or other technology controlled under Export Control List
Group 1 Category 5 – Part 2: “Information Security”. Eligible destinations include all
countries within the European Union (except Cyprus), Australia, Japan, New
Zealand, Norway and Switzerland. There are no regular reporting requirements but
export records must be maintained and provided to the Export Controls Division if
requested.
Broadbased permit: this type of permit is generally available to those applicants to
whom an export permit has been issued in the past. It allows the export of
hardware, executable software, and associated information and enhancements to a
wide range of countries; it requires that all exports or transfers made using the
permit be reported every six months. Applicants who have a history of non-
compliance with previously issued export permits may apply for broadbased permits
but will be subject to a shorter validity period.
SECTION J: APPLICATIONS TO EXPORT FIREARMS AND AMMUNITION
69
I.4.1. Applications
Please contact the Export Controls Division if you wish to submit an application for a
multidestination permit using EXCOL and have not done so before. You should send an
email to tie.receptio[email protected] and request that your EXCOL profile to be set to
enable applications for multidestination cryptography permits.
Applications for multidestination permits must include the following:
Complete application form (generally done through our online system EXCOL)
A completed cryptography and information security product questionnaire
Technical description of the goods/technology. The Export Controls Division
undertakes a technical assessment of the goods or technology listed in the export
permit application to determine under which Export Control List Item(s) they fall. For
this purpose, technical specifications of the export must be detailed and adequately
describe the characteristics of the goods and services. Enough details must be
provided to establish the true nature of the items. These could be provided in the
form of drawings, data sheets, manuals, component lists, and so on. Marketing
brochures may also provide useful additional information. The information that is
submitted should make clear the type and function of the goods and provide key
technical parameters.
Cover letter using the template provided and confirming the exporter agrees to
abide by the terms and conditions of the permit.
Some types of multidestination permits may require other supporting documents or
information. Please refer to the detailed descriptions of each for more information.
Applicants/exporters must indicate the approximate quantity for each of the items they
intend to export during the validity period of the proposed permit. Such quantity must be
reasonable and within the commercial prospects of the intended exports. The
applicant/exporter may be able to further justify their proposed quantity in their Cover
Letter. Quantities that merely reflect “inventory numbers”, “catalog inventory” or “maximum
possible quantities” will not be accepted and the corresponding application will be returned
without action.
I.4.2. Application review period
The Export Controls Division makes every effort to review export permit applications as
quickly as possible. The Export Controls Division has established service delivery targets
to process permit applications in order to provide applicants with timely service. Review
times may vary according to the complexity of an application, the adequacy and
completeness of the information presented in it, and the number of applications under
review at any given time. Under normal circumstances, complete applications for
multidestination permits will be reviewed within 8 weeks from the submit date in EXCOL or
from the date of receipt in the Export Controls Division.
Permits are not required to export cryptography and information security goods or
technology from Canada to the United States.
Applicants whose applications are incomplete will be asked to provide additional
information within a specific time period. Incomplete applications may be returned without
action in order for them to be submitted again at a later date when the required information
is available to the applicant.
EXPORT CONTROLS HANDBOOK
70
I.4.3. Validity period for multidestination permits
The validity period for multidestination export permits for cryptography is 2 years..
Applicants whose product development cycles are shorter than 2 years may wish to
request shorter validity periods since new versions of a cryptography item require the
submission of a new application (and these new applications may include all previous
versions of the same product).
I.4.4. Export Control Compliance Plan
A statement is required in the cover letter indicating that the exporter has implemented an
export control compliance plan. Multidestination permits allow greater flexibility to
exporters than individual permits, but also impose different conditions on them, in
particular the requirement to submit certain reports at regular intervals. Failure to comply
with these conditions may result in the suspension or cancellation of a multidestination
permit. When this happens, an exporter cannot use the corresponding permit until full
compliance has been restored and must apply for individual permits in the interim. Export
control compliance plans may reduce the risk and consequences of non-compliance.
In general terms, an export control compliance plan consists of defined or prescribed
processes and procedures to ensure that employees at all levels of a company understand
and act in accordance with the letter and spirit of the Export and Import Permits Act, the
Customs Act, other trade-related legislation (for example, on economic sanctions) and
their related regulations.
The export control compliance plan should establish the steps and due diligence
processes a company follows when planning, marketing, and shipping items included in
the Export Control List to foreign clients, and should also cover download practices (if
applicable). An important provision of such a plan is a defined process to provide a
reasonable level of assurance (due diligence) that goods or technology may not be
exported to unauthorized or illegitimate end-uses or end-users.
Attached to an export permit may be terms and conditions that constitute legal obligations
on the company that uses that permit. An export control compliance plan should ensure
that those terms and conditions are recorded and that internal company processes reflect
and meet those obligations.
Other obligations on exporters of goods and technology subject to export controls are
prescribed in the following sections of the Export and Import Permits Act:
Subsection 10.2 (which requires exporters to make records available for inspection)
Subsection 10.3 (which requires records to be kept)
Section 13 (which prohibits exports of goods or technology included in the Export
Control List except in accordance with an export permit)
Section 16 (which prohibits the transfer of an export permit)
Section 17 (which prohibits the furnishing of false or misleading information or any
misrepresentation in relation to an export permit application)
Section 18 (which prohibits any person from assisting another to contravene the Act
or its regulations)
An export control compliance plan should also address procedures to deal with instances
of non-compliance. For example, the Export Controls Division of Foreign Affairs, Trade
and Development Canada should be promptly notified of any failure to comply with the
provisions of the Export and Import Permits Act or the terms and conditions of any export
permit issued under the authority of that Act.
SECTION J: APPLICATIONS TO EXPORT FIREARMS AND AMMUNITION
71
J. Applications to Export Firearms, Related Goods, and
Ammunition
Specific Information J.1.
In addition to the general guidance on export permit applications provided in section E,
common scenarios for the export of firearms, firearms-related goods, and ammunition are
provided at J.4, below, as well as on the internet at www.exportcontrols.gc.ca.
Before starting an export permit application, applicants should have the following
information available:
Firearms licence number (whether a business or an individual).
Registration certificate number (when applicable).
The following information for each firearm (if using the on-line application, drop-
down menus are available in some fields from which the applicable information may
be selected):
o Make
o Model
o Type
o Action
o Calibre
o Barrel Length
o Serial Number (serial number ranges may be indicated if consecutively
numbered firearms are to be exported) and
o Legal Classification (non-restricted, restricted, or prohibited).
Descriptions of firearms-related goods include silencers, special gun mountings,
clips (magazines), weapons sights and flash suppressors.
If cartridge magazines are proposed for export, the magazine capacity, the model of
firearm and calibre for which the magazine is intended (this is required in order to
determine whether the item is a prohibited device under Canadian law).
If ammunition is proposed for export, ensure that the noted unit value correctly
reflects the unit of measure used, i.e. value per box if box is used, value per
cartridge if cartridges are used as the unit of measure.
Exporters should be aware of Canada’s Export Control List, in particular Group 2.
Firearms, their components and certain accessories are controlled under Export
Control List Item 2-1 and 2-2;
Ammunition and related items are controlled under Export Control List Item 2-3; and
Firearms-related goods including technology may be controlled elsewhere in Group
2.
In filling out your application, please note that optical weapon sights without electronic
image processing, with a magnification of 9 times or less, that are not specially
designed or modified for military purposes, and do not incorporate any reticles specially
designed for military use, do not require an export permit.
It is recommended that exporters apply for export permits to export firearms by using the
Export Controls On-line (EXCOL)
33
secure website. Please refer to section E.2.3 above
for more information on making an electronic application.
33
https://www.excol-ceed.gc.ca/Main-Principal/Home_Accueil.aspx
EXPORT CONTROLS HANDBOOK
72
Paper application forms may also be used. Please refer to section E.2.4 above for more
information on making a paper application. Forms that are not legible may be returned
without action.
Canadian exporters should be aware of the firearms laws of the destination country. In
order to prevent any disappointment or delays, it is strongly recommended that these
requirements be thoroughly researched before booking any transport arrangements
involving firearms.
If firearms transit a third country on the way to their final destination, whether they are in
the possession and control of the owner or are being shipped separately, they may be
subject to special requirements imposed by that third country. It is the exporter’s
responsibility to be aware of, and comply with, any such requirements.
Export Permit Requirements for Firearms J.2.
J.2.1. Exports to the United States
Both temporary and permanent exports of either Restricted or Non-Restricted firearms to
the U.S. may be made without obtaining an export permit.
All exports of Prohibited firearms to any destination, including the U.S., must be authorized
in advance with an export permit.
Applications to export Prohibited firearms to the U.S. must include a copy of the U.S.
import permit that specifically identifies the firearm to be exported. Additional supporting
documentation, such as a cover letter, registration certification for the firearm(s) in
question and valid firearms licence, must be included in the export permit application, as
described above.
However, for all types of firearms, a U.S. import permit must have been issued by the
Bureau of Alcohol, Tobacco and Firearms (ATF) prior to their entry into the U.S. Forms are
available online at the following website: http://www.atf.gov/content/library/firearms-forms.
For temporary imports into the U.S., Canadian applicants must complete Form 6NIA (ATF
F 5330.3D), Application and Permit for Temporary Importation of Firearms and
Ammunition by Non-immigrant Aliens. It can take up to 12 weeks to process an
application, so it is advisable to apply for a permit well in advance.
For permanent imports into the U.S., Form 6 (ATF F 5330.3A) must be completed.
J.2.2. Exports to Countries Other than the United States
In general, both temporary and permanent exports of either Restricted, Non-Restricted, or
Prohibited firearms to countries other than the United States must be authorized in
advance with an export permit.
Exception: Permanent exports of Restricted and Non-Restricted firearms that were
temporarily imported into Canada by individuals who are non-residents of Canada and are
returning to the country from which they came from do not require Canadian export
permits. However, all such visitors must have a valid Non-Resident Firearm Declaration
(CAFC909) for the duration of their stay in Canada.
J.2.3. Other Requirements
Visitors may not, under any circumstances, import or export Prohibited firearms.
SECTION J: APPLICATIONS TO EXPORT FIREARMS AND AMMUNITION
73
Canadian exporters are required to report the permanent export of all firearms to the
Canada Firearms Program of the RCMP. It is recommended that copies of the Export
Permit, foreign import authorization and any waybill issued by the carrier be provided to
the Canada Firearms Program (http://www.rcmp-grc.gc.ca/cfp-pcaf/index-eng.htm) to
support the exporter’s claim of permanent export. A photocopy of the foreign import
authorization should be included with the package when shipped.
Additional Considerations J.3.
If the firearms, ammunition, or firearms-related goods or technology proposed for export
are “controlled goods” as defined in Part 2 of the Defence Production Act, registration
under the Controlled Goods Program may be required.
See section F.9. above for more information about the Controlled Goods Program.
See Box 1 and section E.4.3. above for information about “controlled goods” and U.S.
Export Authorizations.
Common Export Scenarios for Firearms, Related Goods, and Ammunition J.4.
J.4.1. Temporary Export for Overseas Competition
In addition to the specific information (see J.1, above), please be aware of the following
instructions.
You should provide the following with your application:
A cover letter outlining the proposed travel, to include dates, destinations, and a
statement that the exporter is travelling to compete as either a team member or
as an individual;
If competing under the auspices of a sport regulating body (e.g. the Shooting
Confederation of Canada), a letter from the regulating body confirming your
status and participation at a given competition;
A copy of the competitor's invitation to attend the event (general/open invitations
are acceptable);
Other information:
For “Consignee”, you may enter your name, “Care of” the event and/or the event
coordination authority, listing a physical address and contact name for the
competition in the destination country.
Export type is “Temporary”
J.4.2. Temporary Export for a Hunting Trip
In addition to the specific information (see J.1, above), please be aware of the following
instructions.
An export permit is required in order to take hunting firearms and related magazines,
riflescopes and ammunition outside Canada. You should provide the following with your
application:
A cover letter outlining the dates of travel and nature of the export (temporary)
and some type of confirmation of your travel and its purpose (e.g. booking
confirmation or invitation letter issued by your outfitter, flight itinerary, etc.). The
letter should also state that the export is being made for personal use on the
hunting trip and that the exported articles will return to Canada.
EXPORT CONTROLS HANDBOOK
74
Confirmation that you have import authority to bring your firearms into the foreign
country, or a statement that you will arrange for such permission at the time of
import at your destination (your outfitter might be able to assist you).
Some countries now require the presentation of a valid export permit as a pre-condition
for their issuance of an import permit. Not having a Canadian export permit in your
possession at the time of import to a foreign country may lead to travel delays and/or
confiscation of your firearm.
In filling out your application, please note the following:
You will be exporting the goods to yourself to the foreign address of your outfitter.
The consignee information should be listed as: your name, “Care of” the name
and address of your outfitter.
When listing ammunition on your application, indicate the correct calibre, unit of
measure, quantity and unit value where required. An example of a description of
ammunition might be "375 H&H calibre sporting ammunition.” Ensure that the
noted unit value correctly reflects the unit of measure used. Generally, quantities
and values are stated “per box” or “per cartridge”.
You are required to provide your self-assessment of the Export Control List
numbers that apply to your export. In this scenario, exporters commonly use the
following:
o Firearms: For rifles, ECL Item 2-1.a; for shotguns, ECL Item 2-1.b
o Optical weapons sights (riflescopes): ECL Item 2-1.d
o Additional magazines: ECL Item 2-1.d
o Ammunition: ECL Item 2-3.a.
J.4.3. Export of a firearm for repair (temporary export) or replacement
(permanent export)
In addition to specific information (see J.1, above), please be aware of the following
instructions.
A common error with this scenario is that the item to be exported is being sent for an
evaluation of whether the item can be repaired or not. If the item is to be repaired and
returned to Canada, then the export is of a temporary nature. If, however, the exporter
believes that it is likely that the item cannot be repaired and is to be replaced, then the
application should be for a permanent export. In this case, an import permit may then
be required to have the replacement item enter Canada. Exporters who apply for a
temporary permit and who then do not have the original item return to Canada may
place themselves in violation of the conditions of their permit. It is the
applicant/exporter's responsibility to ensure that the proper type of export is indicated on
their application.
For firearms being returned for repair, supporting documentation should include:
A written statement by the foreign consignee that the items proposed for export
are to be repaired and will be subsequently returned to Canada.
If the consignee is required to obtain an import permit for the firearms, or other
permission or authority of their government to receive such items into their care,
these documents should also be included with the export permit application.
J.4.4. Permanent export of a firearm by an individual
In addition to specific information (see J.1, above), please be aware of the following
instructions.
You should provide the following with your application:
SECTION J: APPLICATIONS TO EXPORT FIREARMS AND AMMUNITION
75
A cover letter from the exporter clearly outlining the transaction entered into
between the exporter and the consignee with regard to the proposed export.
Documentation from the applicant/exporter showing that the firearms proposed
for export are, where required, legally registered in Canada and a clear statement
of, or documentary proof that, the exporter has the permission of the owner of the
firearm (if on consignment or if the item is estate property) to export the firearm. If
the firearms for export bear expired registration certificate information then a
letter from the Canada Firearms Centre indicating that the option to export the
firearms in question has been extended to the exporter may be required.
A copy of a valid Firearms Licence held by the exporter for the legal classification
of the firearm proposed for export.
A valid foreign import authorization that clearly identifies the consignee and the
firearm being exported. This documentation may take the form of an International
Import Certificate, an Import Permit or Import Licence issued to the final
consignee by the foreign firearms import authority, or a clear statement by the
consignee noting the licencing authority exemption under which they are
undertaking to import the firearm proposed for export from Canada.
In the case of prohibited firearms being exported to the United States, a copy of a
completed Form 6 issued by the Bureau of Alcohol, Tobacco, Firearms and
Explosives is commonly required as supporting documentation before an export
permit may be issued.
J.4.5. Permanent export of a firearm by a business
In addition to the specific information (see J.1, above), please be aware of the
following instructions.
You should provide the following with your application:
A cover letter from the exporter clearly outlining the transaction entered into
between the exporter and the consignee with regard to the proposed export.
A copy of the exporter's Business Licence- Firearms as issued by the Canada
Firearms Centre showing the requisite authorizations.
Documentation from the applicant/exporter that the firearms proposed for export
are legally registered in Canada (if required to be) and a clear
statement/documentary proof that the exporter has the permission of the owner
of the firearm (if held on consignment) to export the noted firearm. If the firearms
bear expired registration certificates, then a letter from the Canada Firearms
Center indicating that the option to export the firearm in question has been
extended to the owner/exporter may be required.
Clear end-use assurances (see relevant section in the Guide to Canada's Export
Controls)
Clear and complete technical information/specifications on the items proposed for
export. In the case of firearms, a valid Firearms Reference Table (FRT) number
is required.
Controlled Goods Program Registration information if required (see the section
on CGP in this supplement and in the Guide to Canada's Export Controls).
US export authorization if required (see the section on CGP and US export above
and in the Guide to Canada's Export Controls).
Clear and correct descriptions of the items proposed for export that follows the
parameters given in the Guide to Canada's Export Controls.
EXPORT CONTROLS HANDBOOK
76
J.4.6. Export of prohibited firearms, prohibited weapons, or prohibited
devices
In addition to the specific information (see J.1, above), please be aware of the
following instructions.
Certain prohibited firearms, weapons, devices, or components thereof that are
included on the Export Control List (ECL) may be exported only to destinations in the
Automatic Firearms Country Control List (AFCCL). More information about the AFCCL
is available on our website.
J.4.7. Export of firearms-related goods or ammunition, without firearms
In addition to the specific information (see J.1, above), please be aware of the following
instructions.
The requirements are identical to those noted for firearms, except that firearms
registration documentation need not be presented. However, an application to export
any item that requires a valid licence to possess in Canada must be accompanied by
the appropriate licencing documentation. Items that are not legally possessed in
Canada may not be exported from Canada.
SECTION K: IMPORT-RELATED DOCUMENTS
77
K. Import-related Documents
Import Permits K.1.
Canada has a range of goods over which it imposes import controls. These goods are
listed on the Import Control List
34
of the Export and Import Permits Act. More information
is available on the internet at www.exportcontrols.gc.ca. Certain military goods and
firearms are controlled by paragraphs 70-73 and 91. Chemical Weapons Convention
items are controlled by paragraph 74 of the Import Control List.
An Import Permit authorizes the import into Canada of certain goods that are controlled on
the Import Control List and must be presented to Border Services Officers of the Canada
Border Services Agency at the time of import. Importers are advised to refer to the Import
Control List to determine whether a specific good or goods require an Import Permit for
entry into Canada.
Applications for import permits for these items must be submitted to the Export Controls
Division. Application forms may be requested from the Export Controls Division.
Current policy allows for the waiver of an import permit for goods defined in paragraphs
70(1)(a) and 70(1)(b), firearms and their parts, when destined to sporting or recreational
use.
International Import Certificates K.2.
Important note: An International Import Certificate is meant to allow a foreign
supplier to obtain the approvals it needs from its own government to allow the
export of goods or technology to Canada. An International Import Certificate IS NOT
AN IMPORT PERMIT and does not necessarily authorize the importation of such
goods into Canada. If an Import Permit is required, please consult the following
website: www.exportcontrols.gc.ca.
The International Import Certificate is an end-use assurance document that formally
recognizes that the Government of Canada is aware of, and has no immediate objections
to, the proposed import of specific goods to Canada by the stated importer, for the stated
end-use and end-user.
A Canadian-issued International Import Certificate may be required by an exporting
country prior to that country authorizing an export permit/licence. Canadian International
Import Certificates are issued to Canadian applicants, who in turn provide a copy to their
foreign suppliers, who use the International Import Certificates to obtain a foreign export
permit. The International Import Certificate is used by the export control authorities of the
exporting state in their export permit/license issuance process. Once approved, the
International Import Certificate is valid for use only if presented to the authorities of the
exporting state within six months of its issuance by Canada.
K.2.1. How to apply for an International Import Certificate
Applications for International Import Certificates may be submitted online using Export
Controls On-Line (EXCOL)
35
, click on International Import Certificate on the left-hand
menu bar. Paper application forms are also available on our website
36
.
An application for an International Import Certificate must present an accurate and
complete reflection of the proposed transaction. The International Import Certificate is a
34
http://laws.justice.gc.ca/en/showtdm/cr/C.R.C.-c.604
35
https://www.excol-ceed.gc.ca/Main-Principal/Home_Accueil.aspx
36
http://www.international.gc.ca/controls-controles/assets/pdfs/forms/documents/EXT1020.pdf
EXPORT CONTROLS HANDBOOK
78
stand-alone document, meaning that the issued document will not be supplemented by
attachments, invoices, statements, or letters at the time of issuance. The application
should include the following information:
Description: Name of the goods, including, where possible, models, brand names,
part numbers, serial numbers, and so on. Each type of product should be entered
on a separate line on the application. The Import Certificate Regulations require
that item descriptions must “describe the goods concerned in sufficient detail as to
disclose their true identity and, in so doing, avoid the use of trade names, technical
names or general terms that do not adequately describe the goods”. Quantity: for
each line item, state the number of units. Where quantity is given as a weight or
volume, the unit of measure must be stated in the Description field.
Value: for each line item, state the value of the total quantity of units imported.
Currency used for value must be indicated on the application (e.g. CAD, USD, EUR,
GBP, or YEN).
End-User: applicants must state the End-Use and End-User of the goods in
Canada. Goods imported under an International Import Certificate and incorporated
into final goods for re-export may be subject to export controls.
K.2.2. International Import Certificates for Firearms, Firearms-Related
Goods, and Ammunition
In addition to the general information above, applications for International Import
Certificates relating to firearms, firearms-related goods, and ammunition should include
the following information:
Description: You must include the make, model, type, action, calibre and Canadian
legal classification of any firearm proposed for import. If cartridge magazines are
proposed for import, the magazine capacity, and the model of firearm and calibre for
which the magazine is intended should be noted in order to determine whether the
item is a prohibited device under Canadian law. Cartridges and reloading
components should be clearly noted as such and should also list the applicable
calibre. Parts for firearms must be clearly described.
Quantity: Units of measure should be noted within the item description to correlate
the quantity and value stated on the International Import Certificate application; e.g.
quantity of gunpowder for reloading is noted in pounds; cartridge cases are noted as
units; ammunition is noted in boxes of 20 (if quantity is expressed in number of
boxes), and so on.
Supporting documents: Applicants may be requested to submit a copy of a valid
Firearms Possession and Acquisition License or Firearms Business License to
confirm their eligibility to receive the items proposed for import. International Import
Certificates will not be issued to applicants who are unable to legally possess the
requested materials in Canada. This documentation may be attached to the
International Import Certificate application at time of submission to expedite the
evaluation process.
Incomplete International Import Certificate applications (e.g. without supporting
documentation) or those with vague and/or inaccurate item descriptions may take longer
to process and/or may be returned to the applicant without action.
Delivery Verification Certificates K.3.
A Delivery Verification Certificate is issued by the Export Controls Division on behalf of the
Government of Canada to provide official confirmation that imported goods or technology
have been delivered to a consignee in Canada. A Delivery Verification Certificate may
also be issued to confirm delivery of goods identified on an International Import Certificate.
Your foreign supplier of controlled goods or technology may be required to provide a
SECTION K: IMPORT-RELATED DOCUMENTS
79
Delivery Verification Certificate to its government in order to fulfill the conditions of a
foreign export permit.
Applications for Delivery Verification Certificates may be submitted online using Export
Controls On-Line (EXCOL) (from the EXCOL home page on the internet at
https://www.excol-ceed.gc.ca/Main-Principal/Home_Accueil.aspx, click on Delivery
Verification Certificate on the left-hand menu bar). Paper application forms are also
available on our website
37
.
An application for a Delivery Verification Certificate should include the following
information:
Description: Name of the goods, including, where possible, models, brand names,
part numbers, serial numbers, and so on. Each type of product imported should be
entered on a separate line in the application.
Quantity: Number of units of each line item imported. Where quantity is given as a
weight or volume, the unit of measure must be stated in the Description field.
Value: value of the total quantity of units imported for each line item in the
application. Currency used for value must be as indicated on the application (e.g.
CAD, USD, EUR, GBP, or YEN).
An application for a Delivery Verification Certificate should include the following supporting
documents:
B3 Canada Customs Coding Form or CI1 Canada Customs Invoice, as submitted to
the Canada Border Services Agency;
Canada Border Services Agency Customs Entry Recapitulation;
Entry waybill, manifest, bill of lading or cargo control document; and
Commercial invoice.
Information provided in the Delivery Verification Certificate application form must match or
correspond closely to that provided on all supporting documents. In certain cases where
the documents provided do not correspond exactly with the application, the applicant may
be requested to provide additional information. If the information requested is not provided
within a reasonable period of time, the application may be returned without action.
37
http://www.international.gc.ca/controls-controles/assets/pdfs/forms/documents/EXT1046.pdf
EXPORT CONTROLS HANDBOOK
80
L. Further Information and Reference
Arms Export Statistics L.1.
There are two different sets of statistics on arms exports published by the Government of
Canada. The two sets of statistics are collected from different databases, are used for
different purposes, and are not compatible.
Foreign Affairs, Trade and Development (DFATD) compiles and releases an annual
“Report on the Export of Military Goods from Canada
38
,” which provides statistics on the
export of goods and technology identified on the “Munitions List” section of Canada’s
Export Control List (ECL). Items on the “Munitions List” are used mostly by military and
police forces for reasons of defence and security.
The Canada Border Services Agency (CBSA) and Statistics Canada collect information on
ALL items exported from Canada, and classify these items using categories negotiated by
the World Customs Organization (WCO). The WCO chapter on “Arms and Ammunition”
includes some items that appear on the “Munitions List.” However, it also includes items
not on the “Munitions List” (for example, paintballs, ammunition used to frighten birds at
airports, flare guns and certain equipment for oil and gas exploration). CBSA and Statistics
Canada information is made available on Industry Canada’s website as “Trade Data
Online” and on Statistics Canada’s website as the “Canadian International Merchandise
Trade Database.”
L.1.1. Report on Exports of Military Goods from Canada
Statistics relating to the export of military goods and technology, including conventional
arms and ammunition, can be found in the "Report on Exports of Military Goods from
Canada" published by DFATD. These statistics are based on the export of military goods
and technology as identified in the Munitions List (Group 2) of Canada’s Export Control
List, which reflect commitments made in the multilateral Wassenaar Arrangement on
Export Controls for Conventional Arms and Dual-Use Goods and Technologies and
commitments made in the Organization of American States, as well as certain additional
unilateral controls implemented by Canada. Canada’s export control regime, including the
Export Control List, is established and administered under the authority of Canada's
Export and Import Permits Act.
Other statistics regarding the export of arms and ammunitions can be found on other
government sites such as Industry Canada's "Trade Data On-Line" and Statistic Canada’s
“Canadian Industrial Merchandise Trade Database”. This data is compiled based on
categories of items negotiated at the WCO for the purpose of applying global customs
tariff codes. The "Arms and Ammunitions" category of items negotiated via the WCO does
not, in many cases, reflect what many countries would consider conventional arms and
ammunition. (For example, goods such as flare guns used in oil and gas drilling,
ammunition to frighten birds at airports, etc. may be listed under the “Arms and
Ammunition” coding). The Canadian Commercial Corporation also generates their own
export data based on contracts between Canadian suppliers and military end-users.
Again, these statistics may include items which are not strictly military in nature, such as
storage containers.
38
http://www.international.gc.ca/controls-controles/report-rapports/mil-2012-2013.aspx?lang=eng
SECTION L: FURTHER INFORMATION AND REFERENCE
81
Websites L.2.
Explosives Regulatory Division, Natural
Resources Canada
www.nrcan.gc.ca
Export Controls Division
Trade Controls and Technical Barriers
Bureau (Foreign Affairs, Trade and
Development Canada)
www.exportcontrols.gc.ca See in particular
links to EXCOL, Notices to Exporters, and
Specific Controls
Export and Import Permits Act and
regulations
http://laws.justice.gc.ca/en/showtdm/cs/E-19
Canadian economic sanctions
www.international.gc.ca/sanctions
Canada Border Services Agency
www.cbsa-asfc.gc.ca
Canadian Nuclear Safety Commission
www.cnsc-ccsn.gc.ca
Controlled Goods Directorate
(Public Works and Government Services
Canada)
http://ssi-iss.tpsgc-pwgsc.gc.ca/dmc-cgd
Commonly Used Export Controls Acronyms L.3.
ACL Area Control List
AFCCL Automatic Firearms Country Control List
AG Australia Group
AMPS Administrative Monetary Penalty System
B13A Export Declaration Form
CAED Canadian Automated Export Declaration
CBSA Canada Border Services Agency
CGP Controlled Goods Program
CNA Canadian National Authority
CNSC Canadian Nuclear Safety Commission
CWC Chemical Weapons Convention
DFATD Foreign Affairs, Trade and Development Canada, also known as the
Department of Foreign Affairs, Trade and Development
DPA Defence Production Act
DVC Delivery Verification Certificate
ECL Export Control List
EIPA Export and Import Permits Act
EUC End-Use Certificate
EUS End-Use Statement
EXCOL Export Controls On-Line (https://www.excol-ceed.gc.ca/Main-
Principal/Home_Accueil.aspx)
EXT-1042 Application for Permit to Export Goods (paper form)
EXT-1719 Information on Logs in Support of Federal Application EXT-1042
GEP General Export Permit
ICL Import Control List
IIC International Import Certificate
EXPORT CONTROLS HANDBOOK
82
IL Import Licence
MDP Multiple Destination Permit
MTCR Missile Technology Control Regime
NPT Nuclear Non-Proliferation Treaty
NSCA Nuclear Safety and Control Act
NSG Nuclear Suppliers’ Group
OPC Open Policy Countries – like-minded countries that belong to the same export
control regimes as Canada and that have effective export controls
TIE An administrative identifier for the Export Controls Division
UN United Nations
WA Wassenaar Arrangement on Export Controls for Conventional Arms and
Dual-Use Goods and Technology
WMD Weapons of Mass Destruction
SECTION M: INDEX
83
M. Index
A
Access to Information Act.................................................. 27
Administrative Monetary Penalty System .......................... 64
Advisory Opinions ............................................................. 11
amendment
of export permits ........................................................... 59
of the Export Control List................................................ 6
Permit Amendment Request .................................... 59, 60
Aircraft on the Ground …………………………………..55
Applicant ...................................................................... 30, 31
Area Control List.............................................. 15, 17, 19, 20
basic information ............................................................. 4
Australia Group .................................................................... 8
Automatic Firearms Country Control List ......................... 15
B
B13A ................................................................................ ..63
Biological and Toxin Weapons Convention......................... 8
Business Number ............................................................... 31
C
Canada Border Services Agency ........................................ 30
and customs procedures ........................................... 63–65
and export declaration ................................................... 58
and General Export Permits ........................................... 55
and import permits ......................................................... 77
detention and seizure ..................................................... 63
general enquiries.............................................................. 1
websites ......................................................................... 65
Canadian Nuclear Safety Commission ......................... 51, 56
catch-all ........................................................... See Item 5505
Central African Republic ………….See Export Prohibitions
Change to name or address................................................. 60
Chemical and Biological Weapons Non-Proliferation List
....................................................................... See Group 7
Chemical Weapons Convention ........................................... 8
compliance ......................................................................... 58
confidentiality of information ............................................ 27
Congo (Democratic of the) ............... See Export Prohibitions
consignee .................................................................. 4, 17, 27
examples ........................................................................ 33
definition ....................................................................... 32
controlled goods
and Controlled Goods Program ..................................... 56
and firearms ................................................................... 73
and U.S. Export Authorization……………………..49,50
definition ....................................................................... 50
Controlled Goods Program................................................. 56
and firearms ................................................................... 73
Côte d’Ivoire .................................... See Export Prohibitions
Cryptographic Items (export of)………………………66-68
Cuba
and Item 5400 ................................................................ 17
customs procedures ...................................................... 63–65
D
Delivery Verification Certificate ........................................ 49
applications for .............................................................. 78
Description (of goods and technology) ………………….37
detention and seizure .......................................................... 63
disclosures of non-compliance ........................................... 62
Dual-Use List ..................................................... See Group 1
E
economic sanctions .......................... See Export Prohibitions
Egypt ………………………………See Export Prohibitions
end-use assurances ....................................................... 47–49
End-Use Certificate ............................................................ 47
End-Use Statement ............................................................. 47
end-user .............................................................................. 33
equipment on loan ......... See return of goods after temporary
import into Canada
Eritrea .............................................. See Export Prohibitions
exchange rate fluctuations ................................................. 45
EXCOL .............................................................................. 27
and export permit applications ................................ 30–52
description ..................................................................... 27
Recognized User ........................................................... 27
system requirements ..................................................... 28
Export and Import Permits Act ................................ 4, 30, 61
Export Control List .............................................................. 9
and export control regimes.............................................. 6
basic information ............................................................ 4
example of text................................................................ 9
self-assessment.............................................................. 46
self-assessment according to ......................................... 10
use of ......................................................................... 9–10
export control regimes ............................................... 6–8, 53
Export Controls On-Line ................................... See EXCOL
Export Declaration ....................................................... 30, 63
and General Export Permits .................................... 17, 55
Exporter ............................................................................. 31
Export Prohibitions …………………………………..19, 26
F
fees ....................................................................................... 5
firearms
and single shipments ..................................................... 51
applications to export ............................................... 71-76
import permits for ......................................................... 78
G
General Export Permits ..................................................... 54
and Export declarations................................................. 55
General Export Permit No. 12 ...................................... 17
Goods for Certain Uses ................................... See Item 5505
Government of Canada Credential Federation Account
and EXCOL…………………………………………….28
Group 1 ................................................................................ 9
and Wassenaar Arrangement .......................................... 7
exports to the United States .......................................... 18
validity period of permits .............................................. 51
Group 2 ................................................................................ 9
and quarterly reporting .................................................. 58
and Wassenaar Arrangement .......................................... 7
and US export authorization………………………… 49
exports to the United States .......................................... 18
firearms ......................................................................... 71
validity period of permits .............................................. 51
Group 3 ................................................................................ 9
and Canadian Nuclear Safety Commission ................... 56
and the Nuclear Suppliers Group .................................... 7
exports to the United States .......................................... 18
validity period of permits .............................................. 51
Group 4 ................................................................................ 9
and the Canadian Nuclear Safety Commission ............. 56
and the Nuclear Suppliers Group .................................... 7
and US export authorization …………………………..49
exports to the United States .......................................... 18
validity period of permits .............................................. 51
Group 5 ...................................................................... 7, 9, 10
exports to the United States .......................................... 18
validity period of permits .............................................. 51
Group 6 ................................................................................ 9
and Missile Technology Control Regime ....................... 8
exports to the United States .......................................... 18
validity period of permits .............................................. 52
Group 7 .......................................................................... 9, 52
and Australia Group ........................................................ 8
EXPORT CONTROLS HANDBOOK
84
and the Canadian National Authority for the Chemical
Weapons Convention ................................................ 57
exports to the United States ........................................... 18
GST Number ....................................... See Business Number
Guide to Canada’s Export Controls ............................... 9–10
Guinea .............................................. See Export Prohibitions
I
Import Control List
and chemicals ................................................................ 77
and firearms ................................................................... 78
import permit
Canadian ........................................................................ 77
for chemicals ................................................................. 77
for firearms .................................................................... 78
foreign ........................................................................... 48
inspection and record-keeping ........................................... 61
intangible transfers ....................................................... 39-41
International Import Certificate
applications for .............................................................. 77
foreign ........................................................................... 48
International Traffic in Arms Regulations ......................... 36
and U.S. Export Authorization ...................................... 50
Iran ................................................... See Export Prohibitions
and Item 5400 ................................................................ 17
Iraq ................................................... See Export Prohibitions
Item 5400 ..................................................................... 10, 16
validity period of permits .............................................. 51
Item 5504 ............................................................................. 7
validity period of permits .............................................. 51
and US export authorization…………………………. 49
Item 5505 ....................................................................... 7, 10
K
Korea (Democratic People's Republic of) ............. See export
prohibitions
and Item 5400 ................................................................ 17
L
Lebanon ............................................ See Export Prohibitions
Liberia .............................................. See Export Prohibitions
Libya …………………………… ...See Export Prohibitions
lot …………………………………………………………44
M
Miscellaneous Goods and Technology ............... See Group 5
Missile Technology Control Regime ............................. 8, 18
Missile Technology Control Regime List .......... See Group 6
Multiple Destination Permits……………………………..55
and cryptographic goods ……………………………….68
multiple shipments ....................................................... 50, 58
Munitions List .................................................... See Group 2
Myanmar .......................................... See Export Prohibitions
N
non-conforming goods ....................................................... 43
non-residents
applications by ............................................................... 31
North Korea ...................................... See Export Prohibitions
and Item 5400 ................................................................ 17
Nuclear Non-Proliferation List ........................... See Group 3
Nuclear Safety and Control Act ......................................... 56
Nuclear Suppliers Group ...................................................... 7
Nuclear-Related Dual-Use List .......................... See Group 4
O
offences and penalties ........................................................ 61
Open Policy Countries ....................................................... 53
Overall description of goods and end-use .......................... 35
P
Pakistan ............................................ See Export Prohibitions
Permit Amendment Request...............................................59
Privacy Act ......................................................................... 27
Permit Processing Time …………………………………53
Q
quantity .............................................................................. 42
R
Recognized User ................................................ See EXCOL
Ref ID ................................................................................ 29
repairs ......... See return of goods after temporary import into
Canada
reporting conditions ........................................................... 58
return of goods after temporary import into Canada.......... 43
Russia ………………………….. ….See Export
Prohibitions
S
single shipments ................................................................ 51
Somalia ............................................ See Export Prohibitions
Special Economic Measures Act ............................. 16, 19-26
South Sudan………………………..See Export Prohibitions
Sudan ............................................... See Export Prohibitions
Syria
and Item 5400 ............................................................... 17
T
Tunisia………………………….. …See Export
Prohibitions
temporary exports ........................................................ 36, 59
value .............................................................................. 44
U
Ukraine ………………………….. .See Export Prohibitions
United Nations Act....................................................... 16, 19
United States .... See United States Export Authorization, See
United States-origin goods, See Item 5400
exports of controlled items to ....................................... 17
exports of firearms to .................................. 72, 73, 74, 75
United States Export Authorization ................................... 49
United States-origin goods ................. 16, 36, See Item 5400
V
value .................................................................................. 44
and exchange rate.......................................................... 45
W
warranty repairs . See return of goods after temporary import
into Canada
Wassenaar Arrangement ...................................................... 6
website ............................................................................ 7
weapons of mass destruction
and Export Control List ................................................ 10
websites ............................................................................. 81
of the Canada Border Services Agency ........................ 65
Y
Yemen…………………………….. See Export Prohibitions
Z
Zimbabwe ......................................... See export prohibitions
SECTION M: INDEX
85
