Guidance document for Export of Substances on the Export Control List Regulations

4. Stockholm Convention

• 4.1. Not in force for Canada - 6(1)
• 4.2. Exports to Parties for acceptable purposes or specific exemptions - 6(2)(a)(i)
• 4.3. Exports to Parties who have not ratified an amendment adding the substance to the Convention - 6(2)(a)(ii)
• 4.4. Exports to countries which are not Party to the Convention - 6(2)(b)
• 4.5. Environmentally sound disposal - 6(2)(c)
• 4.6. Laboratory use - 6(2)(d)
• 4.7. Incidentally present in trace amounts - 6(2)(e)
• 4.8. Products already in use - 6(2)(f)
• 4.9. Hazardous waste - 6(3)

When a substance on the Export Control List is also listed in Annex A or Annex B of the Stockholm Convention, Canada must meet the export obligations under that Convention. Section 6 of the Export of Substances on the Export Control List Regulations describes the circumstances where a proposed export is acceptable and only applies to substances listed in Part 2 or Part 3 of the Export Control List. Substances listed in Part 1 can be exported, but only for the purpose of destruction or by Ministerial Order as per subsection 101(2) of the Canadian Environmental Protection Act, 1999.

The Overview of Regulatory Obligations in section 2 of this Guidance Document provides a summary of the effect of the provisions relative to the Stockholm Convention in section 6 of the Regulations. For a detailed overview of section 6, refer to Flowchart 1.

The Regulations do not provide a list of the substances listed in Annex A or Annex B of the Stockholm Convention nor the associated information regarding specific exemptions and acceptable purposes. Instead, they incorporate this information by reference which keeps the information current based on changes made to the Convention (e.g. the addition of a substance to Annex A or Annex B) or ratification of Parties (e.g. whether a country has ratified the convention or an amendment that adds a substance to Annex A or Annex B, thereby becoming subject to the obligations established by the Stockholm Convention). Exporters should take note that the listings and information in the Annexes and registers maintained by the Secretariat will be updated from time to time. In the case of a discrepancy between the summaries in Tables 1 through 4 of this document and the information maintained by the Secretariat of the Stockholm Convention, the information maintained by the Secretariat shall prevail.

Exporters should take note that whether or not one or more of the following provisions applies to the export, the export will still require prior notice of export and may still require a permit.

4.1. Not in force for Canada - 6(1)

Canada is only bound to the provisions of the Stockholm Convention for amendments which it ratifies. This Subsection allows export of a substance which was added to Annex A or Annex B of the Stockholm Convention through an amendment which has not been ratified by Canada (or is not yet in force for Canada). Table 4 provides an inventory of the substances added to Annex A or Annex B of the Stockholm Convention which have been ratified by Canada. The date of entry into force for Canada is also provided for the substances in Annex A or Annex B.

4.2. Exports to Parties for acceptable purposes or specific exemptions - 6(2)(a)(i)

Table 1 provides an inventory of substances which are listed on the Export Control List and also listed in Annex A or Annex B of the Stockholm Convention and in force for Canada. For these substances, it further informs which Parties have registered for a “specific exemption” or “acceptable purpose” under the Convention. This information allows an exporter of one of these substances to determine if the export will satisfy subparagraph 6(2)(a)(i) of the Regulations.

For some substances listed in Annex A or Annex B of the Stockholm Convention there are specific exemptions detailed in the Annex that are applicable to all Parties who notify the Secretariat of their intent to make use of the exemption.

4.3. Exports to Parties who have not ratified an amendment adding the substance to the Convention - 6(2)(a)(ii)

Subparagraph 6(2)(a)(ii) applies to exports of a substance listed in Annex A or Annex B of the Stockholm Convention, and in force for Canada, to countries who are Party to the Stockholm Convention but have not ratified the amendment which adds the substance to Annex A or Annex B. Under the Stockholm Convention, Canada must have an “annual certification” in force, which is an agreement between Canada and the Importing Party regarding the substance. Table 2 provides an inventory of the annual certifications in force between Canada and other countries, allowing exporters to determine if the export will satisfy subparagraph 6(2)(a)(ii) of the Regulations.

4.4. Exports to countries which are not Party to the Convention - 6(2)(b)

For an export of a substance listed in Annex A or Annex B of the Stockholm Convention, and in force for Canada, to a country that has not ratified the Stockholm Convention, Canada must have an annual certification in place with that country similar to the requirement of 6(2)(a)(ii). In these cases, the annual certification will apply to one or more specific exemptions or acceptable purposes allowed for the substance under the Stockholm Convention. Table 2 provides an inventory of all of the annual certifications in force between Canada and other countries, and describes the acceptable purpose(s) or specific exemption(s) which could satisfy paragraph 6(2)(b) of the Regulations.

4.5. Environmentally sound disposal - 6(2)(c)

The export of a substance listed in Annex A or Annex B of the Stockholm Convention, and in force for Canada, is authorized if the export is for environmentally sound disposal as described in paragraph 1(d) of Article 6 of the Convention.

Article 6 paragraph 1(d) of the Stockholm Convention states:

Take appropriate measures so that such wastes, including products and articles upon becoming wastes, are:

(i) Handled, collected, transported and stored in an environmentally sound manner;

(ii) Disposed of in such a way that the persistent organic pollutant content is destroyed or irreversibly transformed so that they do not exhibit the characteristics of persistent organic pollutants or otherwise disposed of in an environmentally sound manner when destruction or irreversible transformation does not represent the environmentally preferable option or the persistent organic pollutant content is low, taking into account international rules, standards, and guidelines, including those that may be developed pursuant to paragraph 2, and relevant global and regional regimes governing the management of hazardous wastes;

(iii) Not permitted to be subjected to disposal operations that may lead to recovery, recycling, reclamation, direct reuse or alternative uses of persistent organic pollutants; and

(iv) Not transported across international boundaries without taking into account relevant international rules, standards and guidelines;

The text of the Stockholm Convention is available for download (Choose “Convention > Convention Text”)

The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal has a listing of “Adopted Technical Guidelines” for environmentally sound management of wastes containing persistent organic pollutants. These may be useful to exporters of these substances because they describe suitable methods of environmentally sound management of these wastes. These Technical Guidelines are available for download (Choose “The Convention > Publications > Technical Guidelines”)

Exporters will find “General Technical Guidelines for the environmentally sound management of wastes consisting of, containing or contaminated with persistent organic pollutants (POPs)” here, but are encouraged to review the entire list of Technical Guidelines to determine if a document exists specific to the POP(s) being exported. Technical Guidelines have a section dedicated to “environmentally sound disposal” which exporters can use to ensure that the foreseen treatment by the importing country will satisfy 6(2)(c) of the Regulations.

4.6. Laboratory use - 6(2)(d)

The export of a persistent organic pollutant is authorized if it is exported for use in a laboratory for analysis, in scientific research, or as a laboratory analytical standard. The total quantity exported by the person may not exceed 10 kg per calendar year.

4.7. Incidentally present in trace amounts - 6(2)(e)

The export of a substance listed in Annex A or Annex B of the Stockholm Convention is authorized if it is incidentally present in trace amounts in a product.

4.8. Products already in use - 6(2)(f)

Manufactured goods or quantities of a substance already in use at the time a Party ratifies an amendment adding the substance to Annex A or Annex B can be notified to the Secretariat of the Stockholm Convention. Export of products already in use is allowed under the Stockholm Convention provided a Party has notified the Secretariat. Table 3 provides an inventory of Canada’s notifications. Products listed in this table are authorized for export under this paragraph. Under this scenario, and as per Schedule 1 of the Export of Substances on the Export Control List Regulations, the date of manufacture is required as part of the notification of export.

4.9. Hazardous waste - 6(3)

The considerations relative to the Stockholm Convention in subsection 6(2) do not apply to a persistent organic pollutant that is, or is contained in, a hazardous waste or hazardous recyclable material regulated by the Export and Import of Hazardous Waste and Hazardous Recyclable Material Regulations recognizing that this other regulatory instrument will apply to the export.

Flowchart 1 - Overview of conditions relative to the Stockholm Convention