Export of Substances on the Export Control List Regulations (SOR/2013-88)

Conditions Relative to the Rotterdam Convention

General Provisions

Marginal note:Application

• 7 (1) Subject to section 23, sections 8 to 22 set out the additional conditions applicable to the export of a substance specified in the Export Control List if that export is to a Rotterdam Party.

• Marginal note:Non-application

  (2) Sections 8 to 22 do not apply to a substance that

  • (a) is contained in a manufactured item that during manufacture is formed into a specific physical shape or design and has for its final use a function or functions wholly or partly dependent on its shape or design;

  • (b) is, or is contained in, a hazardous waste or hazardous recyclable material regulated by the Cross-border Movement of Hazardous Waste and Hazardous Recyclable Material Regulations;

  • (c) is, or is contained in, a controlled substance as defined in subsection 2(1) of the Controlled Drugs and Substances Act;

  • (d) is, or is contained in, a nuclear substance as defined in section 2 of the Nuclear Safety and Control Act;

  • (e) is, or is contained in, a chemical weapon as defined by the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction, signed at Paris, France, on January 13, 1993, as amended from time to time;

  • (f) is, or is contained in, a food or drug as defined in section 2 of the Food and Drugs Act or a food additive as defined in Part B of the Food and Drug Regulations;

  • (g) is contained in a product at a concentration of less than 0.1% by weight;

  • (h) is exported for the personal use of the individual who imports it, if the total quantity exported for that purpose by the exporter during the calendar year in question does not exceed 10 kg; or

  • (i) is exported for use in a laboratory for analysis, in scientific research or as a laboratory analytical standard, if the total quantity exported for those purposes by the exporter during the calendar year in question does not exceed 10 kg.

• Marginal note:Export of asbestos

  (3) Despite subsections (1) and (2), in the case of asbestos exported to a Rotterdam Party, other than asbestos referred to in section 5.2 or in paragraph 5.3(3)(a) or (b), sections 11, 12 and 14 to 22 set out additional conditions applicable to the export of the asbestos.

Exports Not Requiring a Permit

Marginal note:Substances not subject to prior informed consent procedure

8 A person that has provided a notice of proposed export under subsection 101(1) of the Act may export a substance — other than a substance specified in Part 1 of the Export Control List — that is specified in Annex III of the Rotterdam Convention, but that is destined for use in a category other than the category specified for that substance in that Annex, if

• (a) that person is a resident of Canada or, in the case of a corporation, has a place of business in Canada; and

• (b) that person meets the requirements of sections 20 to 22.

Marginal note:Direction issued by Minister

9 If a person is required to export a substance specified in Part 1 of the Export Control List in compliance with a direction issued by the Minister under subparagraph 99(b)(iii) of the Act, that person must meet the requirements of sections 20 to 22 in addition to providing the notice of proposed export required under subsection 101(1) of the Act.

Exports Requiring a Permit

Conditions of Export

Marginal note:Substances in question

• 10 (1) Subject to section 9, any person proposing to export any of the following substances must hold an export permit:

  • (a) a substance that is specified in Part 2 or 3 of the Export Control List and Annex III of the Rotterdam Convention and that is destined for use in the category specified for that substance in that Annex;

  • (b) a substance that is specified in Part 1 of the Export Control List whether or not it is specified in Annex III of the Rotterdam Convention; or

  • (c) a substance that is specified in Part 3 of the Export Control List and that is not specified in Annex III of the Rotterdam Convention.

• Marginal note:Additional conditions

  (2) Any person referred to in subsection (1) that has provided the Minister with a notice of proposed export under subsection 101(1) of the Act must

  • (a) be a resident of Canada or, in the case of a corporation, have a place of business in Canada;

  • (b) meet the requirements of sections 20 to 22; and

  • (c) include a copy of the export permit with each shipment of the substance.

Permit Application

Marginal note:Content of application

• 11 (1) The application for an export permit must include the information listed in Schedule 2 and be accompanied by

  • (a) a written undertaking dated and signed by the exporter, or by their duly authorized representative, stating that the exporter assumes full responsibility for the removal of the substance from the country of destination and any related costs, including the transportation, care, control and storage of the substance, in the event that the exporter exports the substance in contravention of any conditions set out in the export permit or if the export takes place after the export permit has expired or been cancelled;

  • (b) in the case referred to in subparagraph 12(1)(c)(iii), documentation confirming that the substance has been used in or imported into the country of destination in the last 10 years;

  • (c) in the case referred to in subparagraph 12(1)(c)(iv), the written consent of the designated national authority of the country of destination to the import of the substance; and

  • (d) a certification dated and signed by the exporter, or by their duly authorized representative, stating that the information provided in the application is accurate and complete.

• Marginal note:Electronic or paper submission

  (2) The application and the documents referred to in subsection (1) may be submitted either in writing or in an electronic format that is compatible with the one that is used by the Minister.

• Marginal note:Combined notice and permit application

  (3) If the notice of proposed export and the application for an export permit in relation to a particular substance are provided to the Minister at the same time, the exporter does not need to provide the information referred to in items 1, 2 and 4 to 8 of Schedule 2 if that information is provided in the notice.

Issuance of Export Permits

Marginal note:Substances subject to prior informed consent procedure

• 12 (1) Subject to section 16, in the case of the export of a substance subject to the prior informed consent procedure that is specified in Part 1 of the Export Control List and destined for destruction or a substance subject to the prior informed consent procedure that is specified in Part 2 or 3 of the Export Control List, the Minister must issue an export permit if

  • (a) the permit application is received before the Rotterdam Secretariat has first informed the Rotterdam Parties through the PIC Circular of the country of destination’s response with respect to the import of the substance or of its failure to transmit that response;

  • (b) the permit application is received after the Rotterdam Secretariat has first informed the Rotterdam Parties through the PIC Circular that the country of destination has given consent to the import of the substance; or

  • (c) the permit application is received after the Rotterdam Secretariat has first informed the Rotterdam Parties through the PIC Circular that the country of destination has failed to transmit a response with respect to the import of the substance and

    • (i) the permit application is received before the end of the six-month period that begins on the date of publication of that PIC Circular,

    • (ii) the permit application is received after the end of the 18-month period that begins on the date of publication of that PIC Circular,

    • (iii) no regulatory action has been taken by the country of destination to prohibit the use of the substance and the substance has been used in or imported into the country of destination in the last 10 years, or

    • (iv) the designated national authority of the country of destination has given written consent to the import of the substance.

• Marginal note:Conditions of import

  (2) An export permit issued under subsection (1) must specify the conditions of import imposed by the country of destination as set out in the PIC Circular or as may be specified in the designated national authority’s written consent, if applicable.

Marginal note:Other substances — Part 1 of Export Control List

13 Subject to section 16, in the case of an export for destruction of a substance — other than a substance subject to the prior informed consent procedure — specified in Part 1 of the Export Control List, the Minister must issue an export permit on receipt of the permit application.

Marginal note:Other substances — Part 3 of Export Control List

14 Subject to section 16, the Minister must, on receipt of a permit application, issue an export permit for the export of a substance specified in Part 3 of the Export Control List that is not specified in Annex III of the Rotterdam Convention.

Marginal note:Expiry of permit

15 An export permit expires at the end of the calendar year for which it is issued.

Refusal to Issue Permit

Marginal note:Reasonable grounds

16 The Minister must refuse to issue an export permit if the Minister believes on reasonable grounds that

• (a) the exporter is not able to export the substance in compliance with the Act, these Regulations or the conditions imposed by the country of destination;

• (b) the export would contravene the Act, any regulations made under the Act or any other measure taken under the Act; or

• (c) the exporter provided false or misleading information in the notice of proposed export, in the permit application or in any document provided under paragraph 11(1)(b) or (c).

Cancellation, Amendment or Suspension of Permit

Marginal note:Consent for import not provided

• 17 (1) If the Rotterdam Secretariat advises the Rotterdam Parties through the PIC Circular that a country of destination does not consent to the import of a substance for which an export permit has been issued, the Minister must cancel the permit and the cancellation takes effect on the day that is six months after the date of publication of that PIC Circular.

• Marginal note:Revocation of consent

  (2) If a designated national authority advises the Minister that it revokes its written consent to the import of a substance for which an export permit has been issued, the Minister must cancel the permit and the cancellation takes effect on the day that is 30 days after the day on which the Minister is advised of the revocation.

• Marginal note:Failure to transmit response

  (3) If the Rotterdam Secretariat advises the Rotterdam Parties for the first time through the PIC Circular that a country of destination has failed to transmit a response with respect to the import of a substance for which an export permit has been issued under paragraph 12(1)(a) or subparagraph 12(1)(c)(i), the Minister must cancel the permit and the cancellation takes effect on the day that is six months after the date of publication of that PIC Circular.

• Marginal note:Modification of conditions of import — PIC Circular

  (4) If the Rotterdam Secretariat advises the Rotterdam Parties through the PIC Circular that a country of destination has modified the conditions of import of a substance for which an export permit has been issued, the Minister must amend the permit in accordance with the new conditions and the amendment takes effect on the day that is six months after the date of publication of that PIC Circular.

• Marginal note:Modification of conditions of import — designated national authority

  (5) If a designated national authority advises the Minister that it has modified the conditions of import of a substance for which an export permit has been issued, the Minister must amend the permit in accordance with the new conditions and the amendment takes effect 30 days after the day on which the Minister is advised of the modifications.

• Marginal note:Obligations of Minister

  (6) The Minister may cancel or amend an export permit under this section only if a notice giving reasons for the amendment or cancellation has been sent to the exporter by mail, electronic mail or facsimile.

Marginal note:Reasonable grounds

• 18 (1) The Minister must cancel an export permit if the Minister believes on reasonable grounds that

  • (a) the exporter is not able to export the substance in compliance with the Act, these Regulations or the conditions set out in the export permit;

  • (b) the export contravenes the Act, any regulations made under the Act or any other measure taken under the Act;

  • (c) the exporter failed to comply with a condition set out in the export permit;

  • (d) the exporter failed to comply with the undertaking provided under paragraph 11(1)(a); or

  • (e) the exporter provided false or misleading information in the notice of proposed export, in the permit application or in any document provided under paragraph 11(1)(b) or (c).

• Marginal note:Notice of proposed cancellation

  (2) The Minister must, before cancelling an export permit under this section, notify the exporter of the proposed cancellation by mail, electronic mail or facsimile.

• Marginal note:Content of notice

  (3) The notice of proposed cancellation must

  • (a) indicate the reasons for the proposed cancellation;

  • (b) inform the exporter of the interim suspension of the permit; and

  • (c) inform the exporter that it may make written representations concerning the proposed cancellation.

• Marginal note:Interim suspension of permit

  (4) The export permit is suspended for the period beginning on the day on which the notice of the proposed cancellation is received and ending on the day on which the Minister makes a decision respecting the proposed cancellation.

• Marginal note:Written representations

  (5) The exporter may, within 15 days after the day on which the notice is received, make written representations concerning the proposed cancellation.

• Marginal note:Date of receipt

  (6) The notice of proposed cancellation is considered to have been received by the exporter

  • (a) on the day on which it is delivered, if it is delivered personally;

  • (b) on the 10th day after the day on which it is postmarked, if it is sent by mail; or

  • (c) on the date that is indicated by the sending apparatus, if it is sent by electronic mail or by facsimile.

Retention of Records

Marginal note:Period of retention

19 An exporter must keep at the exporter’s principal place of business in Canada, for a period of five years after the end of the calendar year for which the export permit is issued,

• (a) the export permit;

• (b) a copy of the application for the export permit and the documents required under paragraphs 11(1)(a) to (d) if the originals were submitted to the Minister or, if copies were submitted to the Minister, the original of the application and documents;

• (c) for each export of a substance, proof of liability insurance coverage as required under section 20;

• (d) for each export of a substance, a copy of the label referred to in section 21 and the safety data sheet referred to in section 22; and

• (e) any shipping documents or any other documents that substantiate the date of the export and the exact quantity of the substance that was exported.