Notice to Exporters

General Export Permit – Dual-use Goods and Technology to Certain Destinations (Amendment)

Export and Import Permits Act

Serial No. 194
Date: September 1, 2023

Table of Contents

Purpose

1. The purpose of this Notice is to advise exporters that, pursuant to the Export and Import Permits Act, the Minister of Foreign Affairs has amended a General Export Permit (GEP) relating to the export or transfer of certain dual-use goods and technology identified in Group 1 and in item 5504 of the Export Control List (ECL) /“A Guide to Canada’s Export Control List” (the Guide) to certain eligible destinations. This Notice to Exporters replaces an earlier Notice dated August 2015 which has been archived.

2. On September 1 2023, General Export Permit No. 41 (GEP-41) was amended to include a new category to the list of “unauthorized goods and technology” under paragraph 3(2)(e). Specifically, paragraph 3(2)(e) now prohibits the use of GEP-41 for the export or transfer of goods or technology that are intended for the development, production or use of rocket systems or unmanned aerial vehicles with a range of 300 km or greater.

Background

3. GEPs are intended to facilitate trade in defined circumstances, and are issued generally to all residents of Canada to allow the export or transfer of specified goods and technology that are identified in the ECL / Guide to specified eligible destinations, subject to certain terms and conditions. GEPs do not require an individual application to be submitted to Global Affairs Canada for the proposed export or transfer.

4. GEP-41 allows residents of Canada, subject to certain terms and conditions, to export or transfer certain items included in Group 1 and item number 5504 of the ECL / Guide to consignees that are located in any of the 32 eligible destinations identified in the GEP (paragraph 11 of this Notice). Eligible destinations are generally like-minded countries that, similar to Canada, are members of multiple multilateral export control regimes and have implemented an effective system of export controls.

5. This Notice should be read in conjunction General Export Permit No. 41 – Dual-use Goods and Technology to Certain Destinations (GEP-41) introduced in 2015 and as amended on September 1, 2023, as well as the current version of A Guide to Canada's Export Control List, which is available on our website or upon request from the Export Controls Operations Division of Global Affairs Canada.

Eligible Goods and Technology

6. GEP-41 covers the export or transfer of most goods and technology referred to in Group 1 and ECL item number 5504 of the ECL / Guide, excluding those goods and technologies identified in subsections 3(2) and 3(3) or the Schedule of the GEP.

Ineligible Transactions

7. Goods and technologies that are intended to be used in a country that is not an eligible destination are not eligible for export or transfer under this GEP.

  • Example 1:  A Canadian exporter receives a request to export items controlled under ECL item number 5504.2.d to a consignee located in an eligible destination.  This consignee has declared to the Canadian exporter that they will export the item in its original state to a consignee not located in an eligible destination.  For such transactions, GEP-41 is not useable.  Such exports or transfers must be authorized by an individual export permit issued under the authority of the Export and Import Permits Act.
  • Example 2:  A Canadian exporter receives a request to export items controlled under ECL item number 5504.2.d to a consignee, a distributor, located in an eligible destination.  This consignee has declared to the Canadian exporter that they will export the items in their original state to various customers, including some that may not be located in an eligible destination.  For such transactions, GEP-41 is not useable. Such exports or transfers must be authorized by an individual export permit issued under the authority of the Export and Import Permits Act.

8. Goods and technologies requiring United States export authorization, under the United States’ International Traffic in Arms Regulations,as described in paragraphs (3)(3)(c)(i) to (iii) of the Export Permit Regulations are also not eligible for export or transfer under this GEP.  Such exports or transfers must be authorized by an individual export permit issued under the authority of the Export and Import Permits Act.

9. Eligible goods and technology that are also concurrently controlled in a Group or Item other than those deemed to be eligible goods and technology under GEP-41, and which are not covered by another GEP, may not be exported or transferred using GEP-41. Such exports or transfers must be authorized by an individual export permit issued under the authority of the Export and Import Permits Act.

  • Example 1: A Canadian exporter wishes to export an item to an eligible destination that is controlled in both Group 1 and Group 6 of the Guide. For such transactions, GEP-41 is not useable as there is currently no GEP that covers the export of items controlled in Group 6 of the Guide. Such exports or transfers must be authorized by an individual export permit issued under the authority of the Export and Import Permits Act.

10. As of September 1 2023, the list of “unauthorized goods and technology” under paragraph 3(2)(e) of GEP-41 includes a new category. Specifically, paragraph 3(2)(e) now prohibits the use of GEP-41 for the export or transfer of goods or technology that are intended for the development, production or use of rocket systems or unmanned aerial vehicles with a range of 300 km or greater.

Eligible Destinations

11. Eligible destinations are those generally like-minded countries who, like Canada, are members of multiple multilateral export control regimes and have effective export controls system in place. These countries are: Australia, Austria, Belgium, the Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Japan, Latvia, Lithuania, Luxembourg, the Netherlands, New Zealand, Norway, Poland, Portugal, the Republic of Korea (South Korea), the Slovak Republic, Slovenia, Spain, Sweden, Switzerland, Türkiye, the United Kingdom and the United States.

Conditions

    12. Exporters wishing to utilize GEP-41 must, prior to their first export or transfer in a calendar year, provide in writing to the Export Controls Operations Division of Global Affairs Canada:

    • their name, address, telephone number, and, if any, their facsimile number and electronic mail address, and
    • in the case of a corporation, the name of a contact person who has knowledge of the exports or transfers occurring under this GEP and their address, telephone number, facsimile number and electronic mail address, and the business number assigned to the corporation by the Minister of National Revenue.

    13. Exporters must retain, for a period of six years after the year in which an export or transfer is made under this Permit, the following records:

    • the name and address of each consignee,
    • the item number in the Guide in which the good or technology is referred to, and a comparison of the technical specifications set out in the item number with technical specifications of the good or technology,
    • the name and any part number or unique identifier of the good and technology, as well as a description of the good and technology and its technical specifications,
    • the quantity and value of the export or transfer,
    • a written statement from each consignee which identifies the country of end-use of the good or technology and which indicates whether or not the consignee is the end-user or a distributor, or if the consignee is neither, a description of the consignee’s role in relation to the export or transfer
    • the date of export or transfer,
    • a copy of any contract between the exporter and each consignee and any invoice or export or shipping document relating to the export or transfer.

    14. Exporters must provide to the Export Controls Operations Division, within 30 days of January 31 and July 31, a report containing the following information in respect of any export or transfer made under the authority of GEP-41 for the six-month period immediately preceding January 31st and July 31st.

    • the name, address and telephone number of each consignee and, if any, the consignee’s facsimile number and electronic mail address,
    • if the consignee is a corporation, the name and title of a contact person who has knowledge of the export or transfer, and the contact person’s telephone number and, if any, facsimile number and electronic mail address,
    • a description of each good or technology exported or transferred and the item number of the Guide in which it is referred to, and
    • the quantity and value of each good or technology exported or transferred identified by country of destination.

    15. Further to a request from the Export Controls Operations Division, exporters must provide, within 15 business days from the date of a request, the information identified in paragraph 12 of this Notice in respect of any export or transfer made using GEP-41 during the time period specified in the request.

    16. Exporters must insert the term “GEP-41” (“LGE-41”) in the appropriate field of the form prescribed under the Customs Act if the item exported under this Permit is required to be reported under that Act.

    General Information

    17. Exporting or transferring controlled goods and technology except in accordance with the terms and conditions of the GEP or in accordance with an individually issued export permit can result in prosecution under the Export and Import Permits Act.

    18. This Notice has been prepared for guidance and convenience of reference only. Global Affairs Canada does not provide legal advice on the foregoing. For all purposes of interpreting and applying the law, readers should consult the Export and Import Permits Actand its associated regulations. These publications are available on the internet at the site noted below.

    19. Global Affairs Canada is committed to take all reasonable measures to protect the privacy, with respect to the information they provide, of residents of Canada who submit a notification of intent to use General Export Permits. However, please note that information provided for this purpose and reporting on the usage of General Export Permits may be shared with other federal institutions for the purpose of enforcement and administration of export controls or activities associated with the delivery of their mandate. This sharing of information will only be considered with federal institutions that are partners/consultees in the administration and enforcement of Canada's export control regime.

    20. For further information, exporters may contact:

    Export Controls Operations Division (TIE)
    Trade and Export Controls Bureau
    Global Affairs Canada
    125 Sussex Drive
    Ottawa, Ontario  K1A 0G2
    Telephone: 343-203-4331
    Facsimile: 613-996-9933
    Email: tie.reception@international.gc.ca
    Internet: Export and Import Controls