Uncover the rules and restrictions
of international trade
Export Controls & Economic Sanctions:
A Guide to Canadian Trade Restrictions
Lawrence L. Herman, B.A. (Sask.), LL.B. (Tor.)
Cassels Brock & Blackwell llp
A respected authority on
Canadian Trade Restrictions
While Canada is an open economy based on the underlying free-trade
principles of the World Trade Organization Agreement, it also controls
exports and imports of strategically sensitive items for national security
purposes, including controls over software and technology, and other
items covered by international treaties and agreements.
Export Controls & Economic Sanctions: A Guide to
Canadian Trade Restrictions provides you with the
guidance you need to advise your clients on how to
complete global transactions within the limits of
Canadian and international trade restrictions,
controls, and sanctions.
The first of its kind in Canada, this publication contains
a comprehensive review of Canada’s system of trade
restrictions, with emphasis on Canadian export controls.
It also covers U.N.-mandated sanctions and a range of
other measures that may be less well-known but which
have a critical impact on Canada’s external trade and on
the conduct of business in the international marketplace.
The book identifies Canada’s obligations under
international treaties and agreements that form
the basis for the existing statutory and regulatory
system, including controls over nuclear materials,
weapons, sensitive strategic goods and technology,
environmentally harmful substances, and cultural
and heritage properties. Also covered is the critical
system of enforcement of U.N.-mandated economic
sanctions and anti-terrorism measures approved by
the Security Council.
ORDER # 982283-63528 $199
2 volume looseleaf supplemented book
Supplements invoiced separately
978-0-7798-2283-6
Included in the publication is an outline of Canada’s
import control system for agricultural products under
its system of supply management, plus other trade
related statutes that affect international sales and
business transactions. The latter includes an
explanation of Canada’s Controlled Goods Program,
highly relevant to companies engaged in joint projects
with U.S. corporations.
For your reference, the end of each chapter features
relevant statutes, regulations, official guidelines and
forms, plus a contact list and useful source materials.
About the Author
Lawrence L. Herman, B.A., LL.B., is a graduate of
the University of Toronto Law Faculty (1969) and a
member of the Saskatchewan and Ontario bars. Mr.
Herman concentrates on international trade and
international business transactions. He has acted for
private sector clients, governments and international
agencies, dealing particularly with the GATT/WTO, FTA
and NAFTA and appears as counsel before disputeresolution bodies under the NAFTA, as well as before
the Canadian International Trade Tribunal, the courts
and Parliamentary committees. He sits on the Market
Access Advisory Group (MAAG) of the Canadian Foreign
Affairs and International Trade Department, advising on
business issues in WTO trade negotiations.
Mr. Herman was on the Council of the International
Bar Association’s Energy Section for many years and
is currently chair of the Trade Policy Committee of the
Canadian Manufacturers and Exporters and a member
of the Executive Board of the Canada-U.S. Law Institute;
the International Affairs Committee of the Canadian
Chamber of Commerce; the C.D. Howe Institute; and
several other business and government trade policy
organizations. He was appointed Director, Task Force on
Trade and Investment Rules of the World Energy Council,
London, U.K., in 2007.
Table of Contents
Chapter 1 – Canada’s Export Control Regime
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History and Rationale for Controlling Exports
International Agreements and Arrangements
Trade-Related Export and Import Restrictions
Conventional Arms and Munitions
Chemical and Biological Weapons
Missiles and Missile Technology
Nuclear Weapons and Technology
Structure of the Canadian Export Control System
The Control Lists
Export Permits
Goods, Technology, Software
Exports from Canada
Structure of the Export List
ECL Groupings
Interpretive Notes: General Technology and
General Software Notes
Area Control List (ACL)
Applications for and Processing of Export Permits
Departmental Structure
Types of Permits and their Issuance
On-Line Permit Applications Using EXCOL
General Export Permits (GEPs)
Canada-U.S. Trade Relations and Exports of
U.S.-Origin Goods
Exports of Miscellaneous Goods
Steel
Softwood Lumber
Logs and Pulpwood
Automatic Firearms
Enforcement and Penalties
CBSA Border Enforcement
Reporting and Documentary Information
Inter-Action with Other Statutes and Regulations
Nuclear Exports
Drugs and Narcotics
Cultural Properties
Diamonds
Hazardous Chemicals and Waste Materials
Endangered Species
Miscellaneous Export Controls, Duties
and Surcharges
Canada’s Controlled Goods Program
The U.S. Export Control System
Some Conclusions – Practical Advice for Exporters
Chapter 2 – Controls on Environmentally
Harmful Exports
• Architecture of the Canadian Environmental
Protection Act
• Export Controls Under CEPA
• Exports of Hazardous Chemicals and Wastes
• The Export and Import of Hazardous Waste and
Hazardous Recyclable Material Regulations
• The Rotterdam Convention Regulations
Chapter 3 – Exports and Imports of Nuclear Goods
and Technology
• Jurisdiction of the Canadian Nuclear
Safety Commission
• Canada’s International Treaty Obligations
Chapter 4 – Trade Measures Affecting
Cultural Property
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Cultural Property Export Control List
Permit Granting Process
Canadian Cultural Property Export Review Board
Convention on the Protection of Cultural Property
Chapter 5 – Trade in Endangered Species
• Export Permit System
Chapter 6 – Foreign Extraterritorial Measures Act
• General Structure of Canada’s Blocking Legislation
• Are Solutions Possible?
• Canada’s Response to the U.S.
Helms-Burton Legislation
Chapter 7 – Canada’s Import Control Regime
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Constitutional Issues
Supply-Managed Agricultural Products
Marketing Board Structures
Poultry and Eggs
Dairy Products
Import Permit-Granting Authority
Process and Procedures for Import Permits
and Certificates
Discretionary Authority
Permits as of Right
Establishing Import Quotas
Over-Quota Import Duties
Import Notices
Prohibitions and Penalties
Other Import Restrictions
Other Agriculture and Agri-Food Imports
Weapons, Munitions and Other Controlled Imports
Textiles and Apparel
Steel Products
Chapter 8 – Sanctions
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Sanctions Mandated by the United Nations
Lebanon, Côte d’Ivoire and Other “Contained” Threats
Major Threats to International Peace
North Korea (Democratic People’s Republic of Korea)
Iran
Al-Quaida (or “Al-Qaida”), the Taliban and Terrorist
Organizations
Other Economic Sanctions
Exceptions, Special Permits and De-Listing
Proceeds of Crime and Money Laundering
Enforcement of Sanctions in the United States
Chapter 9 – Money Laundering and Terrorist Financing
• Criminal Code
• Money Laundering and Terrorist Financing
Prevention Measures
Chapter 10 – Canada’s Controlled Goods Program
• Legislative Framework
• Registration Under the Controlled Goods Program
• Dealing with U.S.-Origin Goods, Information
and Technology
• Exports of ITAR-Covered Goods and Technology
• Operation of the ITAR’s
• The Canadian Exemption
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