General Brokering Permit No. 1 (SOR/2019-229)

The Minister of Foreign Affairs, pursuant to section 7.1(2)Footnote ^a of the Export and Import Permits ActFootnote ^b, issues the annexed General Brokering Permit No. 1.

• Return to footnote ^aS.C. 2018, c. 26, s. 8

• Return to footnote ^bR.S., c. E-19

Ottawa, June 17, 2019

La ministre des Affaires étrangères, Chrystia Freeland Minister of Foreign Affairs

Marginal note:Definitions

1 The following definitions apply in this Permit.

eligible country

eligible country means 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, Slovakia, Slovenia, Spain, Sweden, Switzerland, the United Kingdom or the United States. (pays admissible)

Export Controls Operations Division

Export Controls Operations Division means the Export Controls Operations Division of the Department of Foreign Affairs, Trade and Development. (Direction des opérations des contrôles à l’exportation)

Marginal note:Authorization

• 2 (1) Subject to sections 3 to 5, any person or organization may, under this Permit, broker any good or technology referred to in Group 2 of the schedule to the Export Control List if the good or technology is to be imported into an eligible country for end-use in that country.

• Marginal note:Government of Canada end-use

  (2) Subject to subsection 4(1) and section 5, any person or organization may, under this Permit, broker any good or technology referred to in Group 2 of the schedule to Export Control List if the good or technology is for end-use by the Government of Canada.

Marginal note:Prohibited firearms, weapons and devices

3 Subsection 2(1) does not authorize the brokering of the goods referred to in section 4.1 of the Export and Import Permits Act unless the country of end-use, and each country through which the goods are to be moved, is listed on the Automatic Firearms Country Control List.

Marginal note:Information

• 4 (1) A person or organization that brokers under this Permit must

  • (a) provide in writing to the Export Controls Operations Division, before brokering under this Permit in a calendar year, the following information:

    • (i) their name, address, telephone number, email address and any facsimile number,

    • (ii) if the person that brokers is a corporation, any business number assigned to it by the Minister of National Revenue, the name of a contact person and the contact person’s address, telephone number, email address and any facsimile number; and

  • (b) provide to the Export Controls Operations Division, within 15 days after receipt of a request from it, the records referred to in section 5 in respect of any brokering during the period specified in the request.

• Marginal note:Report

  (2) A person or organization who brokers under subsection 2(1) must provide to the Export Controls Operations Division, within 30 days after each six-month period ending on June 30 and December 31 of the calendar year for which the information in paragraph (1)(a) was provided, a report stating

  • (a) whether they brokered under this Permit during that period,

  • (b) if they brokered, the name, address, telephone number, email address and any fascimile number of

    • (i) the person that sold the goods or technology,

    • (ii) the person that purchased the goods or technology, and

    • (iii) any other brokers or agents or mandataries involved in the transaction,

  • (c) if an organization was a party to a transaction that was brokered, the name and title of a contact person for the organization who has knowledge of the transaction and the contact person’s address, telephone number, email address and any facsimile number,

  • (d) for each brokered good or technology,

    • (i) the provision of the Brokering Control List that refers to the good or technology and the item number assigned to it by the Guide referred to in the Export Control List, and

    • (ii) a description of the good or technology, including its purpose and technical specifications, with sufficient detail to disclose its true identity and in terms that avoid the use of trade names, technical names or general terms that do not adequately describe the good or technology,

  • (e) the quantity, total value and unit value of each good or technology brokered by country of end-use, and

  • (f) a detailed description of the brokering activities conducted by the broker.

• Marginal note:Exception

  (3) Despite subsection (2), a person or organization that provides the information referred to in paragraph (1)(a) during the six-month period ending on December 31 is not obliged to provide a report for the preceding six-month period in the calendar year.

Marginal note:Records

5 A person or organization that brokers under this Permit must retain, for a period of six years after any year in which a transaction was brokered, the following records in respect of each transaction:

• (a) the date, if any, on which the goods or technology moved from the country of export;

• (b) the name, address, telephone number, email address and any fascimile number of

  • (i) the person that sold the goods or technology,

  • (ii) the person that purchased the goods or technology, and

  • (iii) any other brokers or agents or mandataries involved in the transaction;

• (c) for each brokered good or technology

  • (i) the provision of the Brokering Control List that refers to the good or technology and the item number assigned to it by the Guide referred to in the Export Control List, and

  • (ii) a description of the good or technology, including its purpose and technical specifications, with sufficient detail to disclose its true identity and in terms that avoid the use of trade names, technical names or general terms that do not adequately describe the good or technology;

• (d) the quantity and the total value and unit value in Canadian dollars of the goods or technology by country of end-use;

• (e) a detailed description of the brokering activities conducted by the broker with respect to the transaction; and

• (f) a copy, if available, of any contract between the brokering person or organization and each party to the transaction and any invoice or export or shipping document relating to the movement of the goods or technology from the country of export.

Marginal note:Coming into force

Footnote ^*6 This Permit comes into force on the day on which section 8 of An Act to amend the Export and Import Permits Act and the Criminal Code (amendments permitting the accession to the Arms Trade Treaty and other amendments), chapter 26 of the Statutes of Canada 2018, comes into force, but if it is registered after that day, it comes into force on the day on which it is registered.

• Return to footnote ^*[Note: Regulations in force September 1, 2019, see SI/2019-41.]