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

Cat. No.: En14-346/2018E-PDF
ISBN: 978-0-660-28612-9

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• Flowchart 1 - overview of the regulatory obligations
• Flowchart 2 - overview of the considerations for exports of asbestos
• Flowchart 3 - overview of conditions relative to the Stockholm Convention
• Flowchart 4 - overview of conditions relative to the Rotterdam Convention
• Table 1 - exceptions listed under section 5.2 of the regulations
• Table 2 - exceptions listed under subsection 5.3(1) of the regulations
• Table 3 - substances on the Export Control List which are also listed to Annex A or Annex B of the Stockholm Convention and in force in Canada
• Table 4 - specific exemptions and acceptable purposes registered by parties to the Stockholm Convention for substances listed on Annex A or Annex B and in force for Canada
• Table 5 - list of active annual certifications as registered by Canada
• Table 6 - articles in use as notified by Canada under the Stockholm Convention
• Table 7 - substances listed on the Export Control List that are also listed in Annex III of the Rotterdam Convention
• Table 8 - exceptions listed under section 23 of the regulations

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 (CEPA), 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. Some of the rules for exports under CEPA and the regulations apply, even if other regulations under CEPA or any other legislation also apply to these exports.

The regulations set out the content of the notice of proposed export, and the period and manner in which it must be provided, as required under subsection 101(1) of CEPA. The regulations also ensure that Canada complies with its export obligations under the Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade (Rotterdam Convention), Stockholm Convention on Persistent Organic Pollutants (Stockholm Convention) and Minamata Convention on Mercury (Minamata Convention), in addition to conditions on the export of certain substances. The regulations also set out the requirements for obtaining an export permit.

The latest amendments to the regulations come into force on December 30, 2018 and now prohibit (with certain exceptions) the export of all forms of asbestos listed on the Export Control List.

This guidance document has been developed for exporters of substances listed on the Export Control List. In case of a discrepancy between this guidance document and the regulations or the current registers and annexes from the Stockholm Convention and Rotterdam Convention, the regulations and those registers and annexes shall prevail.

An importing country may have limitations that are more restrictive than the conditions established under the Rotterdam, Stockholm and/or Minamata conventions and the regulations. Exporters may wish to confirm with their importers that their export meets all applicable conditions from the importing country.

This guidance document may be updated from time to time. As a result, users should ensure that they are always consulting the most recent version of the document. Users can contact ec.substancedexportationcontrolee-exportcontrolledsubstance.ec@canada.ca to confirm this information or for any questions regarding the regulations.

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). It sets out 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 only be exported for the purpose of destruction or to comply with a direction issued by the minister under subparagraph 99(b)(iii) of CEPA, as set out in subsection 101(2) of CEPA. See section 8.2.1 of this guidance document.
• Substances in Part 2 are subject to an international agreement requiring the consent or notification of the importing country, such as the Rotterdam Convention. See section 8.2.2 of this guidance document.
• Substances in Part 3 are subject to domestic controls which restrict their use in Canada. See section 8.2.3 of this guidance document.

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. Orders amending the Export Control List are published in the Canada Gazette.

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

• a substance as identified on the Export Control List, or
• a substance identified on the Export Control List, contained in a mixture or a product

The regulations set out 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 vary depending on the part of the Export Control List the substance is listed to and on whether or not the substance is listed under one or more of the Stockholm Convention, the Rotterdam Convention or the Minamata Convention. Additionally, in the case of asbestos, exports have their own regime.

2. Export of Substances on the Export Control List Regulations

Flowchart 1 - overview of the regulatory obligations

Flowchart 1 continued.

3. Notice of proposed export

A notice of proposed 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 CEPA and the regulations set out the manner in which to notify. Section 5 of the regulations requires that prior notice of export be provided to the minister by the person proposing the export of a substance at least:

1. seven days before the export in the case where the person holds a permit to export the substance issued under paragraph 185(1)(b) of CEPA, in other words under the Export and Import of Hazardous Waste and Hazardous Recyclable Material Regulations, or
2. 15 days before the export in any other case

The information to be provided in the notice of proposed export is detailed in Schedule 1 of the regulations and includes:

• the identity of the exporter and the substance exported
• the country of destination
• the expected date of export
• the estimated quantity of the substance to be exported
• the purpose of the export
• the exception under which the export is allowed, if applicable

4. Permit application

Certain exports require an export permit and are subject to additional requirements regarding record keeping, liability insurance, labelling and inclusion of safety data sheets with the exports. Section 6 (asbestos considerations) and section 8 (conditions relative to the Rotterdam Convention) of this guidance document present the circumstances where an export permit is required.

Exporters should take note that whether or not an export permit is necessary, a notice of proposed export must be submitted for all exports of substances on the Export Control List.

The information to be provided in an application for an export permit is detailed in Schedule 2 of the regulations. The information requested on an application for an export permit is similar to information requested in the notice of proposed export but also includes:

• whether or not the substance is contained in a product
• the proposed number of exports in the year, if known, and
• the safety data sheet

Templates are available for exporters to provide prior notice and/or apply for an export permit.

• Notice of proposed export
• Export permit application
• Combined notice of proposed export and export permit application

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. If granted, the export permit will be valid for the calendar year for which it was issued.

4.1 Refusal, cancellation, amendment or suspension of a permit

An export permit will be refused, cancelled, amended or suspended by the minister if certain conditions, which are set out in sections 5.4 and 16 through 18 of the regulations, are met. Generally, such actions are in response to a change to the conditions of import by the Rotterdam Party importing the substance (for example, as per the Prior Informed Consent procedure, the Rotterdam Party informs that it no longer consents to imports of the substance), or the exporter is not able to export the substance in compliance with the regulations, CEPA, or any other measures under this act.

5. Other requirements

Exports requiring a permit and exports set out in sections 8 and 9 of the regulations are subject to additional requirements regarding record keeping, liability insurance, labelling and inclusion of safety data sheets with the exports, which are described below.

5.1 Retention of records

Exports requiring a permit and exports set out in sections 8 and 9 require that the exporter keep records for a minimum of 5 years at their principal place of business in Canada. Section 19 of the regulations sets out this requirement.

5.2 Insurance

For exports requiring a permit and exports set out in sections 8 and 9, the exporter is required 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. Section 20 of the regulations sets out this requirement.

5.3 Labelling and safety data sheet

Exports requiring a permit and exports set out in sections 8 and 9 have labelling requirements. A Safety Data Sheet (SDS) must also accompany these exports. Sections 21 and 22 of the regulations set out the labelling and SDS requirements.

6. Asbestos considerations

The regulations prohibit the export of all forms of asbestos listed on the Export Control List, whether or not asbestos is contained in a product, with certain exceptions. Sections 5.1 to 5.4 of the regulations set out the circumstances where a proposed export of asbestos is acceptable and the conditions for its export. Flowchart 2 provides a summary of these circumstances and conditions.

Flowchart 2 - overview of the considerations for exports of asbestos

The exporter will inform which acceptable circumstances apply to its export through the notice of proposed export, which is required for all exports. In certain cases, an export permit may be required. Some unique considerations for asbestos exports are elaborated upon here.

6.1 Exceptions listed under section 5.2 of the regulations

Exports allowed by an exception listed under section 5.2 of the regulations remain subject to the conditions relative to the Rotterdam Convention, which are presented under section 8 of this guidance document. This means that an export to a country that is party to the Rotterdam Convention will require a permit unless exempted by subsection 7(2) or section 8 of the regulations. Exports allowed by these exceptions will not require a permit if the importing country is not a party to the Rotterdam Convention.

Table 1 provides a list of these exceptions and examples.

^a EIHWHRMR = Export and Import of Hazardous Waste and Hazardous Recyclable Material Regulations
^b Military equipment means an aircraft, ship, submarine or land vehicle designed to be used in combat or in a combat support role.

6.2 Exceptions listed under subsection 5.3(1) of the regulations

Exports allowed by an exception listed under subsection 5.3(1) of the regulations will require a permit, unless the concentration of asbestos in the exported product is less than 0.1% by weight, or, in the case of laboratory use, the total quantity of asbestos exported for this purpose during the calendar year does not exceed 10 kg, as set out in subsection 5.3(3) of the regulations. These exports will also require that the exporter complies with the permit requirements set out in subsection 5.3(4) of the regulations.

Where a permit is required, it will be required regardless of the country of destination and the export will be subject to additional requirements.

Table 2 provides a list of these exceptions and examples.

^a Military equipment means an aircraft, ship, submarine or land vehicle designed to be used in combat or in a combat support role.
^b Military operation means any operation taken to protect national security, support humanitarian relief efforts, participate in multilateral military or peacekeeping activities under the auspices of international organizations or defend a member state of the North Atlantic Treaty Organization.
^c A product can only be exported to service military equipment if no technically or economically feasible asbestos-free alternative is available.
^d Raw material extracted from the ground can be exported to manufacture a consumer product that contains asbestos in trace amounts, to manufacture a product that is not a consumer product, or for a purpose other than manufacturing a product, if the raw material will not be sold as a consumer product.

If an application for an export permit, complete with all required information, is received for an export to a country that is a Rotterdam party, the minister will issue an export permit, subject to subsection 7(3) of the regulations. If the exported substance is listed to Annex III to the Rotterdam Convention, the prior informed consent procedure will apply to the export, and the permit will only be issued if the importing party has consented to the import of the substance. The permit may specify conditions on import required by the importing party.

If an application for an export permit, complete with all required information, is received for an export to a country that is not a Rotterdam party, the minister will issue an export permit, subject to section 5.4 of the regulations.

7. Stockholm Convention

The Stockholm Convention on persistent organic pollutants is a global treaty to protect human health and the environment from chemicals that remain intact in the environment for long periods, become widely distributed geographically, accumulate in the fatty tissue of humans and wildlife, and have harmful impacts on human health or on the environment.

Substances listed on the Export Control List that are also listed in Annex A or Annex B of the Stockholm Convention, other than ones added to the convention by an amendment that is not in force for Canada, are defined as persistent organic pollutants (POPs).

The export of POPs is prohibited, with certain exceptions in accordance with the Stockholm Convention.

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 or ratification of parties.

Exporters should take note that the listings and information in the annexes and registers maintained by the secretariat of the Stockholm Convention will be updated from time to time. In the case of a discrepancy between the information presented in this guidance document and the information maintained by the secretariat of the Stockholm Convention, the information maintained by the secretariat shall prevail.

Section 6 of the regulations sets out the conditions for a proposed export relative to the Stockholm Convention. These conditions specifically apply to POPs listed in part 2 or part 3 of the Export Control List. As per subsection 101(2) of CEPA, POPs listed in part 1 can only be exported for the purpose of destruction or in compliance with a direction issued under subparagraph 99(b)(iii) of CEPA, and the applicable requirements of the regulations must be met.

The notice of proposed export, set out in Schedule 1 of the regulations, requires the exporter to inform which of these circumstances are met.

For a detailed overview of the conditions relative to the Stockholm Convention, refer to flowchart 3.

Flowchart 3 - overview of the conditions relative to the Stockholm Convention

Exporters that consider exporting a substance listed in Annex A or Annex B of the Stockholm Convention should consider the following factors to determine if their proposed export is allowed under the regulations:

• has the amendment been ratified by Canada and is it in force for Canada?
  • if the amendments have not been ratified by Canada, refer to section 7.1 of this guidance document
• is the importing country a party to the Stockholm Convention?
  • if the importing country is not Party to the Stockholm Convention, refer to section 7.4 of this guidance document
• has the importing country ratified the amendment adding the POP to Annex A or Annex B of the Stockholm Convention?
  • if the importing country did not ratify the amendment, refer to section 7.3 of this guidance document
• is a specific exemption or acceptable purpose in force for the POP?
  • if the importing country has registered a specific exemption or acceptable purpose, refer to section 7.2 of this guidance document
• what is the purpose of the export?
  • if the export is for environmentally sound disposal, refer to section 7.5 of this guidance document
  • if the export is for laboratory uses, refer to section 7.6 of this guidance document
  • if hazardous waste or hazardous recyclable material are exported, refer to section 7.9 of this guidance document
• is the POP contained in a product?
  • if products containing incidental trace amounts of POPs are exported, refer to section 7.7 of this guidance document
  • if products already in use before the amendment adding the POP was ratified and that were notified by Canada are exported, refer to section 7.8 of this guidance document

Exports allowed by an exception set out in section 6 of the regulations may also be subject to the conditions relative to the Rotterdam Convention, set out in section 8 of this guidance document.

7.1 Amendment not in force for Canada - 6(1)

Canada is only bound to the provisions of the Stockholm Convention for amendments which it ratifies. 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) does not meet the definition of a “persistent organic pollutant” for the purpose of section 6 of the regulations and the additional conditions relative to the Stockholm Convention do not apply for these substances. The exporter must however comply with the requirements regarding the notice of proposed export and determine the applicability of the conditions relative to the Rotterdam Convention.

Table 3 provides an inventory of the substances added to Annex A or Annex B of the Stockholm Convention which have been ratified by Canada.

7.2 Exports to parties for acceptable purposes or specific exemptions - 6(2)(a)(i)

This exception allows the export of a POP to parties which have registered for a specific exemption or acceptable purpose for that POP under the Convention.

Table 4 provides an inventory of POPs, and informs which parties have registered for a specific exemption or acceptable purpose. This information allows an exporter of one of these POPs to determine if the export will satisfy this exception.

The exporter must also comply with the requirements regarding the notice of proposed export and determine the applicability of the conditions relative to the Rotterdam Convention.

7.3 Exports to parties who have not ratified an amendment adding the POP to the convention - 6(2)(a)(ii)

This exception allows the export of a POP to countries who are party to the Stockholm Convention but have not ratified the amendment which adds the POP to Annex A or Annex B, if an annual certification is in force.

Under the Stockholm Convention, Canada must have an annual certification in force, which is an agreement between Canada and the importing party regarding the POP. The annual certification will apply to one or more specific exemptions or acceptable purposes allowed for the POP under the Stockholm Convention. Table 5 provides an inventory of the annual certifications in force between Canada and other countries and the applicable acceptable purposes and specific exemptions.

The exporter must also comply with the requirements regarding the notice of proposed export and determine the applicability of the conditions relative to the Rotterdam Convention.

7.4 Exports to countries which are not parties to the convention - 6(2)(b)

This exception allows the export of a POP to a country that has not ratified the Stockholm Convention, if Canada has an annual certification in place with that country.

In these cases, the annual certification will apply to one or more specific exemptions or acceptable purposes allowed for the POP under the Stockholm Convention. Table 5 provides an inventory of all of the annual certifications in force between Canada and other countries and the applicable acceptable purposes or specific exemptions.

The exporter must also comply with the requirements regarding the notice of proposed export and determine the applicability of the conditions relative to the Rotterdam Convention.

7.5 Environmentally sound disposal - 6(2)(c)

The exception allows the export of a POP if the export is for environmentally sound disposal as set out in paragraph 1(d) of article 6 of the convention.

Article 6 paragraph 1(d) of the Stockholm Convention (PDF 1028 kB) states:

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

1. handled, collected, transported and stored in an environmentally sound manner
2. 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
3. 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
4. not transported across international boundaries without taking into account relevant international rules, standards and guidelines.

To help determine if the export is for environmentally sound disposal, exporters can consult the Adopted Technical Guidelines for environmentally sound management of wastes containing persistent organic pollutants developed under the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal. These guidelines describe suitable methods of environmentally sound management of wastes.

Specifically, the “General Technical Guidelines on the environmentally sound management of wastes consisting of, containing or contaminated with persistent organic pollutants” provide general information and may be used in conjunction with technical guidelines specific to certain POPs. These 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.

The exporter must also comply with the requirements regarding the notice of proposed export and determine the applicability of the conditions relative to the Rotterdam Convention.

7.6 Laboratory use - 6(2)(d)

This exception allows the export of a POP if it is exported for use in a laboratory for analysis, in scientific research, or as a laboratory analytical standard. The total quantity of the POP exported by the person during the calendar year in question must not exceed 10 kg.

The exporter must also comply with the requirements regarding the notice of proposed export and determine the applicability of the conditions relative to the Rotterdam Convention.

7.7 Incidentally present in trace amounts - 6(2)(e)

This exception allows the export of a POP if it is incidentally present in trace amounts in a product.

The exporter must also comply with the requirements regarding the notice of proposed export and determine the applicability of the conditions relative to the Rotterdam Convention.

7.8 Products already in use - 6(2)(f)

This exception allows the export of products manufactured on or before the entry into force for Canada of a provision of the Stockholm Convention, if Canada has notified the secretariat for that product.

Products or quantities of a POP 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. Table 6 provides an inventory of Canada’s notifications. Products listed in this table are authorized for export under this exception.

The exporter must also comply with the requirements regarding the notice of proposed export and determine the applicability of the conditions relative to the Rotterdam Convention.

For these exports, the date of manufacture of the product is required and must be provided in the notice of proposed export.

7.9 Hazardous waste - 6(3)

The considerations relative to the Stockholm Convention in subsection 6(2) of the regulations do not apply to a POP 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 these regulations will therefore apply to the export. The exporter must also comply with the requirements regarding the notice of proposed export.

^a Note:  In the case of a discrepancy between this table and the register of the status of ratifications maintained by the secretariat of the Stockholm Convention, the information maintained by the secretariat shall prevail.
^b Last updated: August 31, 2018

^a 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.
^b Last updated: August 31, 2018

Canada has also registered 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 therefore the Export of Substances on the Export Control List Regulations do not apply.

To determine the estimated expiry dates of specific exemptions, exporters can view when amendments came into force for parties to the Stockholm Convention on the secretariat’s website.

^a Note: In the case of a discrepancy between this table and the registers of active annual certifications maintained by the secretariat of the Stockholm Convention, the information maintained by the secretariat shall prevail.
^b Last updated: August 31, 2018
^c Canada presently has no annual certifications registered with the secretariat of the Stockholm Convention.

^a Note: In the case of a discrepancy between this table and the registers of articles in use maintained by the secretariat of the Stockholm Convention, the information maintained by the secretariat shall prevail.
^b Last updated: August 31, 2018

Canada has also notified 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 therefore the Export of Substances on the Export Control List Regulations do not apply.

8. Rotterdam Convention

The Rotterdam Convention on the prior informed consent procedure for certain hazardous chemicals and pesticides in international trade aims to promote shared responsibility and cooperative efforts among parties in the international trade of certain hazardous chemicals in order to protect human health and the environment from potential harm and to contribute to the environmentally sound use of those hazardous chemicals, by facilitating information exchange about their characteristics, by providing for a national decision-making process on their import and export and by disseminating these decisions to parties.

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 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 and may also apply for exports under other sections of the regulations.

Different considerations are taken into account to determine if a permit is required, such as the expected use by the importing party and the part of the Export Control List to which the substance is listed.

For a detailed overview of the conditions relative to the Rotterdam Convention, refer to flowchart 4.

Flowchart 4 - overview of the conditions relative to the Rotterdam Convention

8.1 Exports not requiring a permit

For exports subject to conditions relative to the Rotterdam Convention, an export permit will be required unless exempted by subsection 7(2), section 8 or section 9 of the regulations.

8.1.1 Exports where conditions relative to the Rotterdam Convention do not apply

Certain exports, other than those set out in subsection 5.3(1) of the regulations, are exempted from the need for an export permit and additional requirements relative to the Rotterdam Convention. These exports are set out in subsection 7(2) of the regulations, which states that sections 8 to 22 of the regulations do not apply to a substance that:

1. 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
2. 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
3. is, or is contained in, a controlled substance as defined in subsection 2(1) of the Controlled Drugs and Substances Act
4. is, or is contained in, a nuclear substance as defined in section 2 of the Nuclear Safety and Control Act
5. 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
6. 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
7. is contained in a product at a concentration of less than 0.1% by weight
8. is exported for the personal use of the individual who imports the substance, if the total quantity exported for that purpose by the exporter during the calendar year in question does not exceed 10 kg, or
9. 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

8.1.2 Substances not subject to prior informed consent procedure

Substances listed in Annex III of the Rotterdam Convention are listed for either their use as a pesticide, 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. Table 7 provides an inventory of the Export Control List substances which are on Annex III of the Rotterdam Convention and the associated category of use(s) for these substances.

Except for all forms of asbestos, the export of a substance listed in Annex III and on part 2 or part 3 of the Export Control List does not require an export permit if the substance is exported for a category of use other than the category for which it is listed in Annex III. Such an export is nevertheless subject to the insurance, labelling and safety data sheet requirements of sections 20 through 22 of the regulations. Section 8 of the regulations sets out this exemption.

8.1.3 Direction issued by the minister

The export of a substance on part 1 of the Export Control List, made to comply with a direction issued under subparagraph 99(b)(iii) of CEPA does not require an export permit, but is subject to the insurance, labelling and safety data sheet requirements of sections 20 through 22 of the regulations. Section 9 of the regulations sets out this exemption.

8.2 Permit applications and export conditions

Exporters should ensure that a proposed export is allowed under the Regulations by consulting the asbestos considerations, as well as the conditions relative to the Stockholm Convention and Minamata Convention, before applying for a permit.

The Database of Import Responses, which is maintained by the secretariat of the Rotterdam Convention, provides an overview of the import responses provided by Rotterdam parties for substances subject to the prior informed consent procedure.

8.2.1 Exports of substances on part 1 of the Export Control List

As per subsection 101(2) of CEPA, a substance listed on part 1 of the Export Control List can only be exported for the purpose of destruction or in compliance with a direction issued under subparagraph 99(b)(iii) of CEPA, and the applicable requirements of the regulations must be met.

As explained in section 8.1.3 of this guidance document, exports to comply with a direction issued under subparagraph 99(b)(iii) of CEPA do not require a permit.

If the substance to be exported is not listed in Annex III to the Rotterdam Convention:

The minister must issue an export permit allowing the export to take place only 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 issue a permit for export if the destination party has consented to imports of the substance for the purpose of destruction. The permit may specify conditions on import required by the importing party.

The minister must 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).

8.2.2 Exports of substances on part 2 or part 3 of the Export Control List which are also listed in Annex III of the Rotterdam Convention

All substances listed on part 2 of the Export Control List are listed in Annex III of the Rotterdam Convention, with the exception of “Mixtures that contain elemental mercury (CAS 7439-97-6) at a concentration of 95% or more by weight”. Substances listed on part 3 of the Export Control List may also be listed in Annex III of the Rotterdam Convention.

When an application is received for an export permit for a part 2 or part 3 substance that is also listed in Annex III of the Rotterdam Convention, 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) before issuing the permit. The permit may specify conditions on import required by the importing party.

The minister must not issue an export permit if the export does not comply with the prior informed consent procedure (for example, the importing party does not consent to imports of the substance).

8.2.3 Exports of substances on part 3 of the Export Control List that are not listed in Annex III of the Rotterdam Convention

Substances listed on part 3 of the Export Control List that are not listed in Annex III of the Rotterdam Convention 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 an export notification to the importing party.

An application for an export permit for a substance listed on part 3 of the Export Control List that is not listed in Annex III of the Rotterdam Convention provides the minister with the necessary information to notify the importing party.

8.3 Parties to the Rotterdam Convention

Several countries have ratified the Rotterdam Convention. For the purposes of the regulations, these countries are considered “Rotterdam parties”. The current list of participants is available through the Rotterdam Convention secretariat.

9. Minamata Convention

The Minamata Convention on Mercury is a global treaty to protect human health and the environment from the adverse effects of mercury.

“Mixtures that contain elemental mercury (CAS 7439-97-6) at a concentration of 95% or more by weight” are listed to part 2 of the Export Control List, which makes the export of these mixtures, as well as the export of mercury of high purity, subject to the regulations. These requirements allow Canada to comply with its export obligations under the Minamata Convention.

Section 23 of the regulations prohibits the export of these mixtures, with certain exceptions, provided in table 8.

For these exceptions, the exporter must also comply with the requirements regarding the notice of proposed export and determine the applicability of the conditions relative to the Rotterdam Convention.

^a EIHWHRMR = Export and Import of Hazardous Waste and Hazardous Recyclable Material Regulations