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

Guidance document for exporters

Export of Substances on the Export Control List Regulations

Chemical Production Division
Environmental Protection Branch
Environment and Climate Change Canada
November 28, 2016

Introduction

The Export of Substances on the Export Control List Regulations (the Regulations) apply to exports of substances listed on Schedule 3 of the Canadian Environmental Protection Act, 1999 which is also known as the Export Control List. The Regulations also apply to the export of products containing one or more of the substances listed on the Export Control List. The Regulations apply even if other regulations under the Canadian Environmental Protection Act, 1999, or any other applicable legislation apply to the export, unless an exemption is expressly provided.

The Regulations introduce provisions describing the method of providing prior notice of export as required by the Canadian Environmental Protection Act, 1999, further provisions to ensure that Canada is compliant with its export obligations under the Stockholm Convention on Persistent Organic Pollutants (Stockholm Convention), and finally describe how to obtain an export permit which is required when the export is subject to the Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade (Rotterdam Convention). A publication in the Canada Gazette, Part I on May 14, 2016 proposed amendments to the Regulations that would expand their scope to control the export of mercury to meet obligations under the Minamata Convention on Mercury (Minamata Convention).

This guidance document has been developed for exporters of substances listed on the Export Control List. For all purposes of interpreting and applying the law, users should consult:

• the Acts as passed by Parliament, which are published in the "Assented to" Acts service, Part III of the Canada Gazette and the annual Statutes of Canada, and
• the Export of Substances on the Export Control List Regulations, as registered by the Clerk of the Privy Council and published in Part II of the Canada Gazette.

The above-mentioned publications are available in most public libraries. Official versions of the Statutes and regulations can also be found at the Department of Justice website. The law as stated in the above-mentioned publications will prevail should any inconsistencies be found in this guidance document. Additionally, in case of a discrepancy between this document and the current Registers and Annexes made available through the Stockholm Convention Secretariat and Rotterdam Convention Secretariat, those registers and annexes shall prevail. Links to these registers are provided in this document.

An importing country may set its own limitations on import of a substance that are more restrictive than the conditions established under the Rotterdam and/or Stockholm conventions and these Regulations. Exporters may wish to confirm with their importers that their export will meet all applicable conditions established by the importing country.

This guidance document is subject to amendment from time to time. Each version is dated therefore the user should ensure that they are always consulting the most recent version of the document. Users can contact ec.substancedexportationcontrolee-exportcontrolledsubstance.ec@canada.ca for this information.

Table of contents

• 1. The Export Control List
• 2. Overview of the regulatory obligations
• 3. Prior notice of export
• 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)
• 5. Rotterdam Convention
  • 5.1. Parties to the Rotterdam Convention
  • 5.2. Permit applications
    • 5.2.1. Exports of substances on Part 1 of the Export Control List
    • 5.2.2. Exports of substances on Part 2 of the Export Control List
    • 5.2.3. Exports of substances on Part 3 of the Export Control List
    • 5.2.4. Refusal, cancellation, amendment or suspension of a permit
    • 5.2.5. Retention of records
    • 5.2.6. Insurance
    • 5.2.7. Labelling
• 6. Minamata convention

List of figures

• Flowchart 1 - Overview of conditions relative to the Stockholm Convention
• Flowchart 2 - Overview of conditions relative to the Rotterdam Convention
  

List of tables

• Table 1: Specific exemptions and acceptable purposes
• Table 2: List of active annual certifications as registered by Canada
• Table 3: Articles in use as claimed by Canada
• Table 4: Substances on the Export Control List which are also listed to Annex A or Annex B of the Stockholm Convention and ratified by Canada
• Table 5: Substances listed to the Export Control List that are also listed to Annex III of the Rotterdam Convention
  

Forms for exporters

• Export notification form
• Export permit application
• Combined export notification and permit application form

1. The Export Control List

The Export Control List is a list of substances in Schedule 3 to the Canadian Environmental Protection Act, 1999 (CEPA 1999). It defines substances subject to the regulations and groups these substances into three parts:

• Substances in Part 1 are subject to a prohibition on their use in Canada. They can be exported for the purpose of destruction or to comply with a direction issued by the Minister under subparagraph 99(b)(iii) of CEPA 1999. See subsection 5.2.1.
• Substances in Part 2 are subject to an international agreement requiring the consent or notification of the importing country (i.e. the Rotterdam Convention). See subsection 5.2.2.
• Substances in Part 3 are subject to domestic controls which restrict their use in Canada. See subsection 5.2.3.

The Export Control List is amended from time to time. Substances can be added to, or removed from, the List by Ministerial Order made by the Ministers of Environment and Health. Amendments to the List ensure Canada’s continued compliance with certain international treaties when exporting these substances. Orders amending the Export Control List are published in the Canada Gazette.

The Export of Substances on the Export Control List Regulations apply when a substance on the Export Control List is exported from Canada. This export can be:

• the substance or pesticide mixture as identified on the Export Control List, or
• a mixture, or product containing the substance identified on the Export Control List.

The Regulations describe the conditions under which the export of a substance listed in the Export Control List is acceptable and the procedures to follow. The procedures for exporting a substance can vary depending on the Part of the Export Control List the substance is listed to, and whether or not it is also listed under one or both of the Stockholm Convention or Rotterdam Convention.

2. Overview of the regulatory obligations

Figure 1: Export of substances on the Export Control List Regulation

Footnotes on Overview of the Regulatory Obligations Diagram

1. Canadian Environmental Protection Act, 1999
2. Stockholm Convention on Persistent Organic Pollutants (POPs)
3. To meet the Conditions Relative to the Stockholm Convention, section 6 of these Regulations the export of a POP listed on Part 2 or Part 3 of the Export Control List is prohibited unless one or more of the following provisions are met. The exporter will inform which of these conditions are met through the prior notice of export required under section 5 of these Regulations.
   • 6(2)(a)(i): Export is to a Stockholm Party for a specific exemption or acceptable purpose for which that Party has registered.
   • 6(2)(a)(ii): Export is to a Stockholm Party that has not ratified the amendment respecting the addition of the substance being exported, but an annual certification with the Party has been transmitted by Canada to the Stockholm Convention Secretariat.
   • 6(2)(b): Export is to a non-Party to the Stockholm Convention but an annual certification with the Party has been transmitted by Canada to the Stockholm Convention Secretariat.
   • 6(2)(c): The export is in accordance with paragraph 1(d) of Article 6 of the Stockholm Convention.
   • 6(2)(d): The export is for use in a laboratory for analysis, in scientific research, or as a laboratory analytical standard and the exported quantity does not exceed 10 kg per calendar year.
   • 6(2)(e): The POP is incidentally present in trace amounts in the product being exported.
   • 6(2)(f): The POP is contained in a product that was manufactured or in use on or before the entry into force for Canada of a provision of the Stockholm Convention prohibiting its use or production, and Canada has notified the Secretariat.

   
   The prohibitions of subsection 6(2) do not apply where:

   • 6(1): The POP is listed to the Stockholm Convention, but the amendment adding the POP to the Convention is not in force for Canada.
   • 6(3): The POP 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.
   • Note that where subsection 6(2) does not apply, you will still need to comply with any other applicable requirements, including in these Regulations.
4. Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade
5. Notification of export is a requirement of subsection 101(1) of the Canadian Environmental Protection Act, 1999.
6. Section 5 of the Export of Substances on the Export Control List Regulations.
7. All substances on Part 2 of the Export Control List are also listed in Annex III of the Rotterdam Convention.
8. Prior Informed Consent (PIC) procedure as described by the Rotterdam Convention.
9. All substances listed in Annex III of the Rotterdam Convention are considered “PIC Substances” when used for the category for which they are listed in Annex III.
10. A permit is required to export a substance listed on Part 3 of the Export Control List even though these are not PIC Substances. The information obtained in the permit application is used to notify the Importing Party of the export and thereby ensure Canada’s compliance with Article 12 of the Rotterdam Convention.

3. Prior notice of export

Prior notice of export is required for all exports of substances, or products containing one or more of the substances, listed on the Export Control List. This is a requirement set out in subsection 101(1) of the Canadian Environmental Protection Act, 1999 and the Regulations describe the manner in which to notify. Section 5 requires that prior notice of export be provided to the Minister 30 days before the proposed export.

The information to be provided for prior notice of export is detailed in Schedule 1 of the Regulations. Templates are available for exporters to provide this prior notice. Exporters are not obligated to use these templates. However, to facilitate review Environment Canada encourages their use.

• Export Notification Form
  • For prior notification of export under section 5 when an export is not subject to a permit under sections 6 through 22 of the Regulations, or when an exporter is already the holder of a valid permit for the export being notified.
• Combined Export Notification and Export Permit Application
  • For prior notification of export when an exporter requires an export permit under sections 7 through 22 of the 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

5. Rotterdam convention

• 5.1. Parties to the Rotterdam Convention
• 5.2. Permit applications
  • 5.2.1. Exports of substances on Part 1 of the Export Control List
  • 5.2.2. Exports of substances on Part 2 of the Export Control List
  • 5.2.3. Exports of substances on Part 3 of the Export Control List
  • 5.2.4. Refusal, cancellation, amendment or suspension of a permit
  • 5.2.5. Retention of records
  • 5.2.6. Insurance
  • 5.2.7. Labelling

When a substance on the Export Control List is proposed for export to another country which is Party to the Rotterdam Convention, an exporter may require a permit for export under the Export of Substances on the Export Control List Regulations. Sections 7 through 22 of the Regulations apply to exports of substances listed on the Export Control List when they are exported to another Party to the Rotterdam Convention. Considerations in these sections take into account the expected use by the importing Party and the Part of the Export Control List to which the substance is listed. When a permit application is required, the information submitted allows Canada to ensure that it is compliant with the Prior Informed Consent Procedure under the Rotterdam Convention, or allows Canada to provide notice of export to the Importing Party which is also obligatory under the Convention.

The Overview of regulatory obligations in section 2 of this Guidance Document provides a summary of the effect of the provisions relative to the Rotterdam Convention in sections 7-22 of the Regulations. For a detailed overview of the conditions relative to the Rotterdam Convention, please see Flowchart 2.

5.1. Parties to the Rotterdam Convention

The following countries have ratified the Rotterdam Convention. For the purposes of the Export of Substances on the Export Control List Regulations, these countries are considered “Rotterdam Parties”.

Last updated: July 20, 2016

Note: In case of a discrepancy between this document and the current Registers and Annexes made available through the Rotterdam Convention Secretariat, those registers and annexes shall prevail.

Afghanistan, Albania, Antigua and Barbuda, Argentina, Armenia, Australia, Austria, Bahrain, Belgium, Belize, Benin, Bolivia, Bosnia and Herzegovina, Botswana, Brazil, Bulgaria, Burkina Faso, Burundi, Cambodia, Cameroon, Canada, Cabo Verde, Chad, Chile, China, Colombia, Congo (Democratic Republic of), Congo (Republic of), Cook Islands, Costa Rica, Côte d’Ivoire, Croatia, Cuba, Cyprus, Czech Republic, Denmark, Djibouti, Dominica, Dominican Republic, Ecuador, El Salvador, Equatorial Guinea, Eritrea, Estonia, Ethiopia, European Union, Finland, France, Gabon, Gambia, Georgia, Germany, Ghana, Greece, Guatemala, Guinea, Guinea-Bissau, Guyana, Honduras, Hungary, India, Indonesia, Iran (Islamic Republic of), Ireland, Israel, Italy, Jamaica, Japan, Jordan, Kazakhstan, Kenya, Korea (Democratic People’s Republic of), Korea (Republic of), Kuwait, Kyrgyzstan, Lao People’s Democratic Republic, Latvia, Lebanon, Lesotho, Liberia, Libyan Arab Jamahiriya, Liechtenstein, Lithuania, Luxembourg, Macedonia (the Former Yugoslav Republic of), Madagascar, Malawi, Malaysia, Maldives, Mali, Marshall Islands, Mauritania, Mauritius, Mexico, Moldova (Republic of), Mongolia, Montenegro, Morocco, Mozambique, Namibia, Nepal, Netherlands, New Zealand, Nicaragua, Niger, Nigeria, Norway, Oman, Pakistan, Panama, Paraguay, Peru, Philippines, Poland, Portugal, Qatar, Romania, Russian Federation, Rwanda, Saint Kitts and Nevis, Saint Vincent and the Grenadines, Samoa, Sao Tome and Principe, Saudi Arabia, Senegal, Serbia, Singapore, Slovakia, Slovenia, Somalia, South Africa, Spain, Sri Lanka, Sudan, Suriname, Sweden, Swaziland, Switzerland, Syrian Arab Republic, Tanzania (United Republic of), Thailand, Togo, Tonga, Trinidad and Tobago, Tunisia, Uganda, Ukraine, United Arab Emirates, United Kingdom, Uruguay, Venezuela, Vietnam, Yemen, Zambia and Zimbabwe.

For a current list of countries that are Party to the Rotterdam Convention, please consult the list of participants on the website maintained by the Convention Secretariat. A country is Party to the Convention if they have been identified with a date of ratification, acceptance, approval, or accession and the Convention is in force for that country (i.e. at least 90 days has passed since the date of ratification, acceptance, approval or accession).

5.2. Permit applications

The information to be provided in an application for an export permit is detailed in Schedule 2 of the Regulations. Templates are available for exporters to apply for an export permit. Exporters are not obligated to use these templates. However, to facilitate review Environment Canada encourages their use.

• Combined export notification and Export permit application
  • For prior notification of export under section 5 when an exporter requires an export permit under sections 6 through 22 of the Regulations.
• Export Permit Application
  • For use when an exporter requires a permit to export, but does not yet have information to supply for the prior notice of export. When an exporter anticipates an export in a given calendar year but has only estimates for the quantity and/or date, this allows the exporter to obtain the export permit in advance and provide notification of export at a later date. Exporters should note that the prior notice of export will have to be provided 30 days before the export can occur in accordance with section 5 of the Regulations.

Exporters should take note that whether or not an export permit is necessary, prior notice of export is still required for all substances on the Export Control List.

Exporters who submit an application for an export permit – complete with all required information – should expect to receive their export permit, if approved, within ten working days from the date of submission of their completed application.

Despite an export being destined to another Party to the Rotterdam Convention, the export would be exempted from sections 8 through 22 of the Regulations if it met one or more of the conditions in subsection 7(2).

Substances listed in Annex III of the Rotterdam Convention are listed for either their use as a pesticide or use as an industrial chemical, or both. The Prior Informed Consent Procedure of the Rotterdam Convention applies when a substance is exported for the category of use(s) for which it is listed in Annex III. The export of a substance listed in Annex III and on Part 2 of the Export Control List would be exempted from the need for an export permit if it is exported for a category of use other than the category for which it is listed in Annex III. Such an export would nevertheless be subject to the insurance and labelling requirements of sections 20 through 22 of the Regulations. The same would be true for an export necessary to comply with Ministerial direction under subparagraph 99(b)(iii) of the Canadian Environmental Protection Act, 1999.

Table 5 provides an inventory the Export Control List substances which are on Annex III of the Rotterdam Convention and the associated category of use(s) for these substances.

5.2.1. Exports of substances on Part 1 of the Export Control List

As per subsection 101(2) of the Canadian Environmental Protection Act, 1999, export of a substance on Part 1 of the Export Control List can only occur if the export is for the purpose of destroying the substance or to comply with Ministerial direction under subparagraph 99(b)(iii).

An export permit will be required unless exempted by subsection 7(2), section 8 or section 9 of the Regulations.

If the substance to be exported is not listed in Annex III to the Rotterdam Convention:
The Minister will issue an export permit allowing the export to take place for the purpose of destroying the substance.

If the substance is listed in Annex III to the Rotterdam Convention:
The Prior Informed Consent procedure will apply to the export and the Minister will provide a permit for export if the destination Party has consented to imports of the substance. The permit may specify conditions on import required by the Importing Party. For example, an exporter of a substance in Part 1 of the Export Control List which is also listed in Annex III of the Rotterdam Convention (such as polybrominated biphenyls) could receive an export permit if the export is for the purpose of destruction and the importing Party has consented to imports of the substance.

The Minister will not issue an export permit if the export does not comply with the Prior Informed Consent procedure of the Rotterdam Convention (for example, the importing Party does not consent to imports of the substance). This compliance is assured under the Regulations through the provisions of subsection 12(1).

5.2.2. Exports of substances on Part 2 of the Export Control List

All substances listed on Part 2 of the Export Control List are listed in Annex III of the Rotterdam Convention. An export permit will be required unless exempted by subsection 7(2), section 8 or section 9 of the Regulations.

When an application is received for an export permit for a Part 2 substance, the Minister will confirm that the export complies with the Prior Informed Consent procedure of the Rotterdam Convention (for example, the importing Party has stated “consent” for imports of the substance). The Minister will not issue an export permit if the export does not comply with the Prior Informed Consent procedure (for example, the importing Party has stated “no consent”). This compliance is assured under the Regulations through the provisions of subsection 12(1). The permit may specify conditions on import required by the Importing Party.

5.2.3. Exports of substances on Part 3 of the Export Control List

Substances listed on Part 3 of the Export Control List are not listed in Annex III of the Rotterdam Convention. These substances are subject to a domestic restriction on their use and, in order to remain compliant with Article 12 of this Convention, the Government of Canada must provide prior notice of export to the Importing Party. An export permit will be required unless exempted by subsection 7(2), section 8 or section 9 of the Regulations.

An application for an export permit for a substance listed on Part 3 of the Export Control List provides the Minister with the necessary information to notify the Importing Party. Because the substance is not listed in Annex III of the Rotterdam Convention, there will be no conditions on import to specify on the export permit. For example, an export of lead arsenate to Germany would require that the exporter hold a permit, and the permit application would provide information to share with Germany to notify of the proposed export.

5.2.4. Refusal, cancellation, amendment or suspension of a permit

Sections 16 through 18 describe the conditions under which the Minister must refuse, cancel, amend or suspend an export permit under the Regulations. Generally, such an action is in response to a change in the Prior Informed Consent status of the Importing Party (for example, the importing Party informs that it does not consent to future imports of the substance), or the exporter is not able to export the substance in compliance with the Regulations, the Canadian Environmental Protection Act, 1999, or any other measures under this Act.

5.2.5. Retention of records

An exporter must keep certain records for exports subject to sections 7 through 22 of the Regulations. Section 19 identifies the records and requires a minimum retention time of 5 years. The records must be kept at the exporter’s principle place of business in Canada.

5.2.6. Insurance

Section 20 of the Regulations requires an exporter to have liability insurance of not less than $5,000,000 for each export in respect of damages and costs for which the exporter could become liable.

5.2.7. Labelling

Exports that are subject to the Rotterdam Convention have labelling requirements imposed by that Convention. A Safety Data Sheet (SDS) must also accompany the export. Sections 21 and 22 of the Regulations describe the labelling and SDS requirement.

Flowchart 2 - Overview of conditions relative to the Rotterdam Convention

6. Minamata convention

On May 14, 2016, the proposed Regulations Amending the Export of Substances on the Export Control List Regulations and the draft Order Amending Schedule 3 to the Canadian Environmental Protection Act, 1999 were published in Part I of the Canada Gazette.

The draft Order proposed the addition of “Mixtures that contain elemental mercury (CAS 7439-97-6) at a concentration of 95% or more by weight” to Part 2 of the Export Control List. This listing would make the export of these mixtures, including mercury of high purity, subject to the Regulations. It will also broaden Part 2 of the Export Control List by including a substance that is not listed in Annex III of the Rotterdam Convention.

The proposed amendments to the Regulations would add a new section to establish comprehensive restrictions on export of these mixtures. In line with the Minamata Convention, the export of these mixtures would continue to be allowed for the following purposes:

1. Mercury that is, or is contained in, a hazardous waste or hazardous recyclable material regulated by Canada’s Export and Import of Hazardous Waste and Hazardous Recyclable Material Regulations;
2. Mercury-containing manufactured items; or
3. Mercury to be used for laboratory-scale research and analysis or as a reference standard.

The regulatory amendments and the listing of these mixtures in the Export Control List will come into force following publication in the Canada Gazette, Part II.

Tables 1 to 5

• Table 1: Specific exemptions and acceptable purposes claimed by parties to the Stockholm Convention for substances listed on Annex A or Annex B
• Table 2: List of Active Annual Certifications as Registered by Canada
• Table 3: Articles in Use as Claimed by Canada under the Stockholm Convention
• Table 4: Substances on the Export Control List which are also listed to Annex A or Annex B of the Stockholm Convention and in force for Canada
• Table 5: Substances listed to the Export Control List that are also listed to Annex III of the Rotterdam Convention

Table 1: Specific exemptions and acceptable purposes claimed by parties to the Stockholm Convention for substances listed on Annex A or Annex B

Note: In the case of a discrepancy between this table and Annexes A and B, as well as the registers of specific exemptions and acceptable purposes as maintained by the Secretariat of the Stockholm Convention, the information maintained by the Secretariat shall prevail.

Last updated: July 20, 2016

Canada has also claimed exemptions for tetrabromodiphenyl ether, pentabromodiphenyl ether, hexabromodiphenyl ether, and heptabromodiphenyl ether in accordance with Part IV of Annex A of the Stockholm Convention, but these substances are not listed on the Export Control List, and the Export of Substances on the Export Control List Regulations do not apply to exports of these substances or products containing them.

• View the current Register of Acceptable Purposes on the Secretariat’s website [English only]
• View the current Register of Specific Exemptions on the Secretariat’s website [English only]
• View when amendments came into force for Parties to the Stockholm Convention (for estimating expiry dates of specific exemptions) on the Secretariat’s website [English only]

Table 2: List of Active Annual Certifications as Registered by Canada

Note: In the case of a discrepancy between this table and the registers maintained by the Secretariat of the Stockholm Convention, the information maintained by the Secretariat shall prevail.

Last updated: July 20, 2016

Canada presently has no annual certifications registered with the Secretariat of the Stockholm Convention.

Table 3: Articles in Use as Claimed by Canada under the Stockholm Convention

Note: In the case of a discrepancy between this table and the registers maintained by the Secretariat of the Stockholm Convention, the information maintained by the Secretariat shall prevail.

Last updated: July 20, 2016

Canada has also claimed articles containing tetrabromodiphenyl ether, pentabromodiphenyl ether, hexabromodiphenyl ether, and heptabromodiphenyl ether in accordance with Part IV and Part V of Annex A of the Stockholm Convention, but these substances are not listed on the Export Control List, and the Export of Substances on the Export Control List Regulations do not apply to exports of these substances or products containing them.

View the current Register of Articles in Use on the Secretariat’s website

Table 4: Substances on the Export Control List which are also listed to Annex A or Annex B of the Stockholm Convention and in force for Canada

Note: In the case of a discrepancy between this table and the registers maintained by the Secretariat of the Stockholm Convention, the information maintained by the Secretariat shall prevail.

Last updated: July 20, 2016

Table 5: Substances listed to the Export Control List that are also listed to Annex III of the Rotterdam Convention

Note: In the case of a discrepancy between this table and Annexes III as maintained by the Secretariat of the Rotterdam Convention, the information maintained by the Secretariat shall prevail.

Last updated: July 20, 2016

Forms for exporters - Notice of export

Part 1: General information

Part 2: Export notification

Are any of the above substances classified as “hazardous waste” or “hazardous recyclable material” under the Export and Import of Hazardous Waste and Hazardous Recyclable Material Regulations?

[  ] Yes  [  ] No

If yes, please indicate which substance(s): __________

Part 3: Exports subject to the Stockholm Convention for substances listed on Part 2 or Part 3 of the Export Control List

For all substances notified in Part 2 of this form which are found on Part 2 or Part 3 of the Export Control List and listed in Annex A or B of the Stockholm Convention and in force for Canada, please complete the following:

Name of Substance: ____________________

1. Specific exemption or acceptable purpose applicable to the substance being exported (if applicable): _______
   
   
2. Is the substance being exported for environmentally sound disposal in accordance with paragraph 1(d) of Article 6 of the Stockholm Convention?
     [  ] Yes  [  ] No  If yes, please indicate:
       Facility: _______________
       Method of disposal: _______________
   
   
3. Is the substance being exported for use:
   1. in a laboratory for analysis [  ] Yes  [  ] No
   2. in scientific research [  ] Yes  [  ] No; or
   3. as a laboratory analytical standard? [  ] Yes  [  ] No
4. Is the substance being exported contained in a manufactured article? [  ] Yes  [  ] No
   If yes,
   1. Is the substance incidentally present in trace amounts? [  ] Yes  [  ] No
   2. Was the article containing the substance manufactured on or before the coming into force for Canada of a provision of the Stockholm Convention prohibiting, under Annex A, or restricting under Annex B, the production or use of that substance? [  ] Yes  [  ] No
      If yes, indicate the date of manufacture of article: _______________

(Repeat Part 3 for each substance notified in Part 2 of this form that is listed on Annex A or B of the Stockholm Convention and on Part 2 or Part 3 of the Export Control List)

Attach supplementary sheets as necessary

Part 4: Declaration

Forms for exporters - Export permit application

Part 1: General information

Part 2: Identification of the substance or the product that contains the substance:

1. Name of substance as it appears on the Export Control List (Schedule 3 of the Canadian Environmental Protection Act, 1999): _______
2. Common name, if known: _______
3. Trade name, if known: _______
4. CAS registry number: _______
5. Commodity Code of the substance that is obtained from the Harmonized Commodity Description and Coding System: _______

Part 3: Export information

6. Country of Destination: _______
7. Expected date of export: _______
8. Estimated quantity of the substance to be exported: ___ kg
9. Purpose of Export:
    [  ] Destruction
    [  ] Industrial Chemical use
    [  ] Pesticidal use
    [  ] Other use

10. If the substance is contained in a manufactured product indicate:

1. The name of the product:
2. Concentration of substance in the product:

11. List the customs office through which the export is expected to exit Canada, if known: _______
12. List any countries through which the substance will transit, if known: _______
13. Proposed number of exports for this calendar year, if applicable: _______

You must attach the Safety Data Sheet for the substance being exported, or if applicable, for the product that contains the substance.

Attach supplementary sheets as necessary

Part 4: Declaration

Forms for exporters - Combined notice of export and export permit application

Part 1: General information

Part 2: Identification of the substance or the product that contains the substance:

1. Name of substance as it appears on the Export Control List (Schedule 3 of the Canadian Environmental Protection Act, 1999):
2. Common name, if known:
3. Trade name, if known:
4. CAS registry number:
5. Commodity Code of the substance that is obtained from the Harmonized Commodity Description and Coding System: _______

Part 3: Export information

6. Country of Destination: _______
7. Expected date of export: _______
8. Estimated quantity of the substance to be exported: ____ kg
9. Purpose of Export: _______
    [  ] Destruction
    [  ] Industrial Chemical use
    [  ] Pesticidal use
    [  ] Other use
10. If the substance is contained in a manufactured product indicate:

1. The name of the product:
2. Concentration of substance in the product:

11. List the customs office through which the export is expected to exit Canada, if known: _______
12. List any countries through which the substance will transit, if known: _______
13. Proposed number of exports for this calendar year, if applicable: _______

You must attach the Safety Data Sheet for the substance being exported, or if applicable, for the product that contains the substance.

Part 4: Exports subject to the Stockholm Convention for substances listed on Part 2 or Part 3 of the Export Control List:

For all substances notified in Part 2 of this form which are found on Part 2 or Part 3 of the Export Control List and listed in Annex A or B of the Stockholm Convention and in force for Canada, please complete the following:

Name of Substance: ____________________

1. Specific exemption or acceptable purpose applicable to the substance being exported (if applicable): _______
   
   
2. Is the substance being exported for environmentally sound disposal in accordance with paragraph 1(d) of Article 6 of the Stockholm Convention?
     [  ] Yes  [  ] No  If yes, please indicate:
       Facility: _______________
       Method of disposal: _______________
   
   
3. Is the substance being exported for use:
   1. in a laboratory for analysis [  ] Yes  [  ] No
   2. in scientific research [  ] Yes  [  ] No; or
   3. as a laboratory analytical standard? [  ] Yes  [  ] No
      
      
4. Is the substance being exported contained in a manufactured article? [  ] Yes  [  ] No
   If yes,
   1. Is the substance incidentally present in trace amounts? [  ] Yes  [  ] No
   2. Was the article containing the substance manufactured on or before the coming into force for Canada of a provision of the Stockholm Convention prohibiting, under Annex A, or restricting under Annex B, the production or use of that substance? [  ] Yes  [  ] No
      If yes, indicate the date of manufacture of article: _______________

(Repeat Part 4 for each substance notified in Part 2 of this form that is listed on Annex A or B of the Stockholm Convention and on Part 2 or Part 3 of the Export Control List)

Attach supplementary sheets as necessary

Part 5: Declaration