TIE – Export Controls Division / Direction des contrôles à l'exportation

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TIE – Export Controls Division / Direction des contrôles à l'exportation

TIEExport Controls Division / Direction des contrôles à l’exportationCanada’s Export Controlsin Practice1


TIEExport Controls Division / Direction des contrôles à l’exportationAgendaOverview of Export ControlsDo I need a permit?Permit Application processAdministrative i ti proceduresAvoiding common errors2


TIEExport Controls Division / Direction des contrôles à l’exportationOVERVIEW OF EXPORTCONTROLS3


TIEExport Controls Division / Direction des contrôles à l’exportationObjectives of Export ControlsPrincipal objective -ensure that exports ofcertain goods and technology areconsistent with Canada’s foreign anddefence policies4


TIEExport Controls Division / Direction des contrôles à l’exportationThe Export Control List (ECL)Specific goods and technology are controlled forexport from Canada regardless of their means ofdeliveryPurposes of the ECL• ensure arms (etc.) not be made available to anydestination where their use might be detrimental tosecurity of Canada• implement intergovernmental arrangements orcommitmentsThe ECL is available on our website –www.exportcontrols.gc.caca5


TIEExport Controls Division / Direction des contrôles à l’exportationExport Control ListGroup 1 - Dual-use List (WA)Group 2 - Munitions List (WA)Group 3 - Nuclear Non-Proliferation List(NSG/NPT)Group 4 - Nuclear Related Dual-Use List(NSG/NPT)Group 5 - Miscellaneous GoodsGroup 6 - Missile Technology Control Regime List(MTCR)Group 7 - Chemical and Biological WeaponNon-Proliferation List (AG/CWC)6


TIEExport Controls Division / Direction des contrôles à l’exportationThe Area Control ListList of countries to which the export of anyand all goods and technology arecontrolled• permits may be issued when appropriateCurrently – Myanmar, Belarus7


TIEExport Controls Division / Direction des contrôles à l’exportationDO I NEED AN EXPORTPERMIT?8


TIEExport Controls Division / Direction des contrôles à l’exportationDo I Need An Export Permit?Requirements are based on:• type of goods or technology• country of destination• country of originControls apply at the point an export leavesCanada -- regardless of the means of transfer(e.g., carriage of goods, electronic transmission)and regardless if the export is temporary or not9


TIEExport Controls Division / Direction des contrôles à l’exportationDo I Need An Export Permit?Type of goods or technologyAll goods and technology listed on the ECLrequire an export permitMost require an individual export permit,see our website for full details on variousGeneral Export Permits in effect10


TIEExport Controls Division / Direction des contrôles à l’exportationTechnology CanBe ControlledTechnical data• blueprints • formulae • plans• tables • diagrams • models• engineering designs and specifications• manuals and instructionsTechnical assistance• instruction• skills• working knowledge • consulting services• training may involve transfer of "technical data"11


TIEExport Controls Division / Direction des contrôles à l’exportationSoftware Can Be ControlledDefine what is being exported• Executable / machine code• Treated as software45 7870 6F72 7420 436F 6E74 726F 6C73010001010111100001110000011011110111001001110100001000000100001101101111011011100111010001110010011011110110110001110011• Source / documented code• Treated as software and technology Private Sub Form_MouseMove(Button AsInteger,Shift As Integer, X As Single, Y As Single)' Make sure we are drawing.If Not Drawing Then Exit Sub' Save the new point.NumPoints = NumPoints + 1ReDim Preserve PointX(1 To NumPoints)ReDim Preserve PointY(1 To NumPoints)PointX(NumPoints) = XPointX(NumPoints) = X' Draw to the point.Line -(X, Y)End Sub12


TIEExport Controls Division / Direction des contrôles à l’exportationDo I Need An Export Permit?Country of destinationExemptions apply to most exports to the USPermit needed to export anything to countries onthe Area Control List: Myanmar and BelarusBe aware of United Nations sanctionsPakistan, ZimbabweCertain firearms and components to AFCCL13


TIEExport Controls Division / Direction des contrôles à l’exportationDo I Need An Export Permit?Country of originExport of all goods and technology manufacturedin the US (not otherwise controlled) fall underItem 5400 of the ECL and require an exportpermit to all destinations except the USMust ensure US goods in Canada not diverted toUS-embargoed countriesGEP 1214


TIEExport Controls Division / Direction des contrôles à l’exportationEXPORT PERMIT APPLICATIONPROCESS15


TIEExport Controls Division / Direction des contrôles à l’exportationIndividual Export PermitDescribes the quantity, description andnature of the items to be exported as wellas the final destination country and finalconsigneeMay authorize multiple shipments up to theexpiry date of the permitCumulative total of the quantity or value ofthe items exported cannot be exceeded16


TIEExport Controls Division / Direction des contrôles à l’exportationIndividual Export PermitApply online using Export Controls Online(EXCOL)No feeApplications must accurately reflect thenature of the proposed export17


TIEExport Controls Division / Direction des contrôles à l’exportationExport Controls On-Line (EXCOL)Internet-based system- allows applicantsto apply for export control documentselectronicallyEXCOL applicants are either “Recognizedor “Non Recognized”Applicants are encouraged to becomeRecognized Users of EXCOL18


TIEExport Controls Division / Direction des contrôles à l’exportationEXCOL- Recognized UsersCan:• Save, Copy, Modify partially completedapplications and finish them later• Request permit amendments online• Verify status of all submitted applications• Download and print issued permit andcertificates; and• Submit utilization reports19


TIEExport Controls Division / Direction des contrôles à l’exportationEXCOL RegistrationSeveral easy steps• Registration of exporting company and of eachindividual representative of the company whowill access EXCOL• Enrol on-line www.excol-ceed.gc.ca• For more information on completing anapplication check our Export ControlsHandbook on our website20


TIEExport Controls Division / Direction des contrôles à l’exportationEXPORT PERMITAPPLICATION INFORMATION21


TIEExport Controls Division / Direction des contrôles à l’exportationItem DescriptionsReturn after repairs• If applicable include a separate line item inyour original application for the return ofrepaired items• Repair value should be listed• If the cost of repairs is unknown orreplacement may be necessary- estimate high(up to replacement cost)22


TIEExport Controls Division / Direction des contrôles à l’exportationItem DescriptionsReturn after repairs• Repair value should be zero if repairs madeunder warranty• Descriptions should be noted as follows:• Return after repair of “Item ABC” – repair valuestated or warranty repair• Normal commercial value is $000.0023


TIEExport Controls Division / Direction des contrôles à l’exportationItem DescriptionsExports by Intangible Means• Applies to-• physical shipments of controlled goods andtechnology and• transfers of controlled technology by intangiblemeans- Software, source code, services, etc• Identify exports by intangible means on aseparate line item24


TIEExport Controls Division / Direction des contrôles à l’exportationItem DescriptionsExports by Intangible Means• Should include-• brief description and purpose of the transfer• form the technology will be exported (data,blueprints, technical assistance, software, servicesetc) and• how the product will be exported (file transfer, fax,training seminar, telephone discussions etc)25


TIEExport Controls Division / Direction des contrôles à l’exportationSupporting DocumentationIncludes:• technical description of the goods ortechnology• end-use assurance – typically a writtenstatement by the foreign consignee• other documents that might be relevant – eg e.g.,cover letter, copy of contract26


TIEExport Controls Division / Direction des contrôles à l’exportationSupporting DocumentationUS Export AuthorizationpUS export authorization; if export fromCanada:• contains US content controlled by ITAR and• is controlled in Groups 2, 6, or Item 5504 ofCanada’s Export Control ListThen the applicant must attach US reexportauthorization or state applicableexemption27


TIEExport Controls Division / Direction des contrôles à l’exportationEnd-Use StatementMust be written on the final consignee’sletterhead in either English or French andshould include:• Item description, quantities• End-user and location information• Intermediary consignees, agents, or otherentities involved in the export from Canada;• The purpose and end-use of the products• Identify the signatory28


TIEExport Controls Division / Direction des contrôles à l’exportationAdministrative i ti Procedures29


TIEExport Controls Division / Direction des contrôles à l’exportationAdministrative ProceduresTargeted Processing TimesOpen Policy Countries (OPC)• Like-minded countries belonging to the sameexport control regimes as Canada• Have effective export controlsProcessing times to OPC desinationswithin 10 business daysAll other destinations – within 8 weeksStatus Enquiries – EXCOL30


TIEExport Controls Division / Direction des contrôles à l’exportationAdministrative ProceduresExport Permit ValidityExport permits for different items may besubject to different validity periodsApplicants should state in the “OverallDescription of Goods and End-Use” field ofEXCOL or in a cover letter• when the export is expected to be completedor• if the export permit will be required for aspecific duration31


TIEExport Controls Division / Direction des contrôles à l’exportationAdministrative ProceduresExport Permit ValidityTypically permits are valid for 2 yearsGenerally allows for multiple shipments(excluding firearms)Validity period may be amended after issuancePermits to open policy countries may be issuedfor up to 5 years (if supported by a contract)Shorter validity dates may be requested toreduce quarterly reporting obligations32


TIEExport Controls Division / Direction des contrôles à l’exportationAdministrative ProceduresControlled Goods ProgramECL Groups 2 and 6, and Item 5504:domestic controls apply under the DefenceProduction ActPersons/companies must be registered toexport these goodswww.cgp.gc.ca33


TIEExport Controls Division / Direction des contrôles à l’exportationEconomic SanctionsSpecific countries face formal exportrestrictions through a variety of legislation orpolicies:• Area Control List: Belarus and Burma• Arms exports banned to Pakistan, Sudan,Zimbabwe• Broad Canadian sanctions on Burma andZimbabwe (Special Economic Measures Act)• UN Sanctions cto 34


TIEExport Controls Division / Direction des contrôles à l’exportationExports To IranSanctions imposed in response to Iran’s• Unsafeguarded nuclear enrichment activities• Repeated refusal to allow IAEA inspectors access totheir facilities• Threats against other countries• Missile tests• Circumvention of other countries embargoesExport prohibitions (types of goods) and others35


TIEExport Controls Division / Direction des contrôles à l’exportationExports To IranExport Permit Applications• Special requirements- including financial information• Specific checklist of declarations• Complete information available on our websiteReview of these applications can take up to sixmonthsExporters are responsible for ensuring theirtransactions are in conformity with theregulations36


TIEExport Controls Division / Direction des contrôles à l’exportationEvaluating Foreign ClientsHow well do you know the foreign customer? Is thecustomer reluctant to provide an end-use assurancedocument?Is this a usual request for your business? Does thecustomer know your product?Is the packaging, shipping, labelling required unusual?Is the quantity excessive? Are they offering to pay ahigher h price?Does the customer reject your customary serviceofferings? (warranty, after-sales service)Is the end-user tied to the military?37


TIEExport Controls Division / Direction des contrôles à l’exportationHow To Avoid Common Errors38


TIEExport Controls Division / Direction des contrôles à l’exportationAvoid Common ErrorsRead and follow the Guide (ECL) and theHandbook on our websiteUnderstand the proposed export – what isbeing shipped to whomAllow sufficient time for permit processingMore information is better39


TIEExport Controls Division / Direction des contrôles à l’exportationAvoid Common ErrorsAccuracy (spelling, typing) is important –amendments to certain fields are not possibleafter issuanceIndividual dua line items for each unit type beingshippedTypically y valid for 2 years and multiple shipments– build in reasonable flexibility if you anticipatenew orders (with justification)40


TIEExport Controls Division / Direction des contrôles à l’exportationAvoid Common ErrorsConsolidate applications: similar shipmentsto multiple consignees in same countryEnsure internal compliance processes inplaceMake sure all documents submitted toCanadian customs are consistent witheach other (same addresses of exporterand consignees, same products)41


TIEExport Controls Division / Direction des contrôles à l’exportationGeneral enquiriesTie.reception@international.gc.caTelephone (613) 996-2387Fax (613) 996-9933www.exportcontrols.gc.ca (copy ofhandbook and guide available herewww.controlesalexportation.gc.ca42


TIEExport Controls Division / Direction des contrôles à l’exportationUSEFUL WEBSITESExport Controls Divisionwww.exportcontrols.gc.cacaCanadian Economic Sanctionswww.international.gc.ca/sanctionsca/sanctionsCanada Border Services Agencywww.cbsa-asfc.gc.caasfc caCanadian Nuclear Safety Commissionwww.cnsc-ccsn.gc.ca43


TIEExport Controls Division / Direction des contrôles à l’exportation44

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