Canada
| 1a. Legislation, regulations, or administrative procedures provide for control over exports of conventional arms, including SALW and ammunition? | ||
|---|---|---|
| If yes, List laws, regulations, or administrative procedures | Yes |
| 1b. Legislation, regulations, or administrative procedures provide for measures to regulate imports of conventional arms, including SALW and ammunition? | ||
|---|---|---|
| If yes, List laws, regulations, or administrative procedures | Yes |
| 1c. Legislation, regulations, or administrative procedures provide for measures to regulate transit/transshipment of conventional arms including SALW and ammunition? | ||
|---|---|---|
| If yes, list laws, regulations, or administrative procedures | Yes |
| 1d. Legislation, regulations, or administrative procedures provide for measures to regulate brokers/brokering of conventional arms, including SALW and ammunition? | ||
|---|---|---|
| If yes, List laws, regulations, or administrative procedures | Yes |
| 2a. The competent national authority/ies for the control of exports is/are: | ||
|---|---|---|
| Customs / Ministry of Finance | No | |
| Ministry of Defence | No | |
| Ministry of Economy / Ministry of Business / Ministry of Trade | No | |
| Ministry of Foreign Affairs | Yes | |
| Ministry of Interior / Police | No | |
| Transfer Control Agency | Yes | |
| Other | No |
| 2b. The competent national authority/ies for the regulation of imports is/are: | ||
|---|---|---|
| Customs / Ministry of Finance | No | |
| Ministry of Defence | No | |
| Ministry of Economy / Ministry of Business / Ministry of Trade | No | |
| Ministry of Foreign Affairs | Yes | |
| Ministry of Interior / Police | No | |
| Transfer control agency | Yes | |
| Other | No |
| 2c. The competent national authority/ies for the regulation of transit/transshipment is/are: | ||
|---|---|---|
| Customs / Ministry of Finance | No | |
| Ministry of Defence | No | |
| Ministry of Economy / Ministry of Business / Ministry of Trade | No | |
| Ministry of Foreign Affairs | Yes | |
| Ministry of Interior / Police | No | |
| Transfer control agency | Yes | |
| Other | Yes | |
| Canada Border Services Agency |
| 2d. The competent national authority/ies for the regulation of brokers and/or brokering activities is/are: | ||
|---|---|---|
| Customs / Ministry of Finance | No | |
| Ministry of Defence | No | |
| Ministry of Economy / Ministry of Business / Ministry of Trade | No | |
| Ministry of Foreign Affairs | Yes | |
| Ministry of Interior / Police | No | |
| Transfer control agency | Yes | |
| Other | No |
| 3a. National control list of conventional arms subject to transfer controls. | ||
|---|---|---|
| If yes, please specify | Yes |
| 1. A transfer is prohibited if it would violate obligations under measures adopted by the United Nations Security Council acting under Chapter VII, in particular arms embargoes | ||
|---|---|---|
| If yes, please specify | Yes |
| 2. A risk assessment is conducted before issuing an export authorization | ||
|---|---|---|
| If yes, please specify | Yes |
| 3. National legislation, regulations or policy guidelines include the following] risk assessment criteria | ||
|---|---|---|
| Contribute to or undermine peace and security | Yes | |
| Commit or facilitate a serious violation of international humanitarian law to which State is a party | Yes | |
| Commit or facilitate a serious violation of international human rights law to which State is a party | Yes | |
| Commit or facilitate an act constituting an offence under international conventions or protocols relating to terrorism to which State is a party | Yes | |
| Commit or facilitate an act constituting an offence under international conventions or protocols relating to transnational organized crime to which State is a party | Yes | |
| Commit or facilitate serious acts of gender-based violence or serious acts of violence against women and children | Yes | |
| Risk of diversion | Yes | |
| Other | No |
| 4. Risk mitigation measures that could be undertaken to mitigate identified risks | ||
|---|---|---|
| If yes, use free text box for types of risk mitigation measures utilized | Yes |
| 1. There is an authorization or licensing system to control the export of conventional arms | ||
|---|---|---|
| If yes, please specify | Yes |
| 2. Information and/or documentation provided to the competent national authority in an application for a licence or other form of authorization to export conventional arms | ||
|---|---|---|
| An end-user certificate (EUC) from the importing country. Exporters must present a copy of a valid import authorization from the country to which the SALWs are destined. Import authorizations may take the form of End-Use Certificates, International Import Certificates, Firearms Import Permits or Import Licences. Exporters (both individuals and/or businesses) must also present a copy of their relevant firearms license issued by the RCMP. |
| 3. The national control system permits exports of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances | ||
|---|---|---|
| If yes, please specify | Yes | |
| For exports to the United States, a permit is required only for the export of prohibited firearms, as defined by the Criminal Code of Canada. A permit is not required where a Government of Canada department/agency is acting as the exporter of record. |
| 4. State maintains records of export authorizations | ||
|---|---|---|
| State maintains records of export authorizations? | Yes |
| 4a. Records of export authorizations are kept for … years | ||
|---|---|---|
| Minimum 7 years |
| 4b. Information contained in records of export authorizations includes: | ||
|---|---|---|
| Quantity | No information provided | |
| Value | No information provided | |
| Model / type | No information provided | |
| Importing state | No information provided | |
| End-User | No information provided | |
| Other (please specify) | No information provided |
| 5. State maintains records of actual exports | ||
|---|---|---|
| If yes, please specify | Yes |
| 5a. Records of actual exports are kept for … years | ||
|---|---|---|
| Minimum 7 years |
| 5b. Information contained in records of actual exports includes: | ||
|---|---|---|
| Quantity | Yes | |
| Value | Yes | |
| Model / type | No information provided | |
| Importing state | No information provided | |
| End-User | Yes | |
| Other (please specify) | Yes | |
| Name of exporter, name of consignees, information on the end-use, nature of goods exported or brokered |
| 1. There is an authorization or licensing system to regulate the import of conventional arms | ||
|---|---|---|
| If yes, please specify | Yes |
| 2. Information and/or documentation provided to the competent national authority in an application for a licence or other form of authorization to import conventional arms | ||
|---|---|---|
| Please see form EXT1466 – Application for Import/Export Permit for more information, which can be found online at: http://www.international.gc.ca/controls-controles/assets/pdfs/forms/documents/EXT1466.pdf |
| 3. The national control system permits imports of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances | ||
|---|---|---|
| If yes, please specify | Yes |
| 4. State maintains records of actual imports | ||
|---|---|---|
| If yes, please specify | Yes |
| 4a. Records of actual imports are kept for … years | ||
|---|---|---|
| No information provided |
| 4b. Information contained in records of actual imports includes: | ||
|---|---|---|
| Quantity | No information provided | |
| Value | No information provided | |
| Model / type | No information provided | |
| Exporting state | No information provided | |
| End-User | No information provided | |
| Other (please specify) | No information provided |
| 1. Definition of transit and/or transshipment in national legislation and/or regulations | ||
|---|---|---|
| If yes, please specify | Yes | |
| The movement of controlled items leaving Canada and moving through other countries to their destination of end-use are assessed as part of Canada’s export control risk assessment process. If exports are destined to bonded or sufferance warehouses located in the U.S., they are considered “in transit”. Goods exported from Canada through the U.S. to a third country require a Canadian export permit for the third country when they leave Canada. |
| 2. The national system regulates the transit/transshipment of conventional arms | ||
|---|---|---|
| By land | Yes | |
| By sea | Yes | |
| By air | Yes |
| 3. Information and/or documentation provided to the competent national authority in an application for a licence or other form of authorization to transit/transship conventional arms | ||
|---|---|---|
Please see:
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| 4. The national control system permits transit/transshipment of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances | ||
|---|---|---|
| If yes, please specify | Yes |
| 5. State maintains records of transit/transshipment authorizations | ||
|---|---|---|
| If yes, please specify | Yes |
| 5a. Records of transit/transshipment authorizations are kept for … years | ||
|---|---|---|
| No information provided |
| 5b. Information contained in records of transit/transshipment authorizations includes: | ||
|---|---|---|
| Quantity | No information provided | |
| Value | No information provided | |
| Model / type | No information provided | |
| Exporting state | No information provided | |
| Importing state | No information provided | |
| End-User | No information provided | |
| Other (please specify) | No information provided |
| 1. Definition of broker and/or brokering in national legislation and/or regulations | ||
|---|---|---|
| If yes, please specify | Yes | |
| “Brokering” is defined in Canada’s Export and Import Permits Act as: “arranging or negotiating a transaction that relates to the movement of goods or technology included in a Brokering Control List from a foreign country to another foreign country.” It applies to foreign organizations and individuals that broker while in Canada; Canadian organizations that broker in Canada or abroad; and, to Canadian citizens and permanent residents that broker in Canada or abroad. |
| 2. The national system regulates brokers and/or brokering activities | ||
|---|---|---|
| Registration of brokers only | N/A | |
| Authorization to conduct brokering only | N/A | |
| Two-stage process of registration of brokering and authorization for brokering | Yes |
| 3a. Information and/or documentation provided to the competent national authority in an application to register as a broker | ||
|---|---|---|
| For more information on brokering permit applications, please consult the application form, and Section E of the Export and Brokering Controls Handbook. More information about Canada’s brokering controls can be found online at https://www.international.gc.ca/tradecommerce/controls-controles/brokering-courtage/index.aspx?lang=eng |
| 3b. Information and/or documentation provided to the competent national authority in an application for a licence or another form of authorization to conduct brokering | ||
|---|---|---|
| For more information on brokering permit applications, please consult the application form, and Section E of the Export and Brokering Controls Handbook. More information about Canada’s brokering controls can be found online at https://www.international.gc.ca/tradecommerce/controls-controles/brokering-courtage/index.aspx?lang=eng |
| 4. The national control system permits brokering of conventional arms (a) without a licence or authorization or (b) under simplified procedures under certain circumstances | ||
|---|---|---|
| If yes, please specify | No |
| 5. State maintains a register of brokers | ||
|---|---|---|
| If yes, please specify | No information provided |
| 5a. Records of registered brokers are kept for … years | ||
|---|---|---|
| No information provided |
| 6. State maintains records of brokering licences or authorizations | ||
|---|---|---|
| If yes, please specify | Yes |
| 6a. Records of brokering authorizations are kept for … years | ||
|---|---|---|
| Minimum 7 years |
| 6b. Information contained in records of brokering authorizations includes: | ||
|---|---|---|
| Quantity | Yes | |
| Value | Yes | |
| Model / type | No information provided | |
| Exporting state | Yes | |
| Importing state | No information provided | |
| End-User | Yes | |
| Other (please specify) | Yes | |
| Name of consignees, information on the end-use, nature of goods exported or brokered |
| 7. Regulation of activities closely associated with brokering | ||
|---|---|---|
| If yes, please specify | Yes | |
| Acting as dealers or agents, providing technical assistance, training, maintenance |
| 1. Measures to mitigate the risk of diversion | ||
|---|---|---|
| Establishment of mitigation measures | Yes | |
| Provision, upon request, of end use / end user documentation to the exporting State | Yes | |
| Measures in place to verify or seek to authenticate EUCS or other types of end-user documentation [SALW] | Yes | |
| Measures in place aimed at preventing the forgery and misuse of EUCs or other types of end-user documentation [SALW] | Yes | |
| Requirement for end use / end user assurances from an importing State (or industry) | Yes | |
| Examination, where appropriate, of parties involved in a transfer | Yes | |
| Requirement, where appropriate, for additional documentation, certificates, assurances for a transfer | Yes | |
| Exchange of relevant information with other States Parties on effective measures to address diversion, as well as on illicit activities and actors | Yes | |
| Reporting to an international or regional body on measures taken to address diversion of transferred conventional arms | Yes | |
| When exporting, State requires a Delivery Verification Certificate (DV) to confirm that SALW have reached their intended end-user or intended importer in the importing State [SALW] | No | |
| When importing, the State grants the right to the exporting State to conduct a physical check at the point of delivery [SALW] | No | |
| Other measures | No |
| 2. Information contained in end user documentation (e.g. EUC) | ||
|---|---|---|
| Detailed description of the SALW or technology | Yes | |
| Contract number of order reference and date | Yes | |
| Final destination country | Yes | |
| Description of the end-use of SALW | Yes | |
| Exporter's details (name, address and business name) | Yes | |
| End-user information (name, position, full address, and original signature) | Yes | |
| Information on other parties in the transaction | Yes | |
| Certification by the relevant government authorities of the authenticity of the end-user | No | |
| Date of issue | Yes | |
| Other | No |
| 3. Measures to Control SALW re-exports: | ||
|---|---|---|
| Re-export of SALW only permitted when there is prior notification | No information provided | |
| Re-export of SALW is permitted only when there is prior approval | No information provided |
| 4. State takes appropriate measures when a diversion has been identified | ||
|---|---|---|
| Alert potentially affected States | Yes | |
| Investigative and law enforcement measures at the national level | Yes | |
| Use international tracing mechanisms to identify points of diversion | Yes | |
| Other measures | No |
| 1. State takes measures to enforce national laws and regulations | ||
|---|---|---|
| State takes measures to enforce national laws and regulations | Yes |
| 2. Criminal offence to trade conventional arms without a licence or authorisation, or to do so in a manner that is in contradiction to the terms of a licence or authorisation | ||
|---|---|---|
| Criminal offence to trade conventional arms without a licence or authorisation, or to do so in a manner that is in contradiction to the terms of a licence or authorisation | Yes |
| 1. The national system includes one or more national points of contact designated to act as a liaison on matters relating to the implementation of the UN Programme of Action on Small Arms (PoA) | ||
|---|---|---|
| If yes, please specify | Yes |
| 2. The national system includes one or more national points of contact designated to act as a liaison on matters relating to the United Nations Register of Conventional Arms | ||
|---|---|---|
| If yes, please specify | No information provided |
| 3. The national system includes one or more national points of contact to exchange information on ATT implementation | ||
|---|---|---|
| If yes, please specify | Yes |
| 1. The state makes information publicly available on the national system to control/regulate international arms transfers and address diversion | ||
|---|---|---|
| National report on implementation of the PoA | Yes | |
| ATT initial report | Yes | |
| 1540 matrix | Yes | |
| National report on the national system to control/regulate international arms transfers and address diversion | No information provided | |
| ATT-BAP survey | No |
| 2. The state makes information publicly available on arms imports and exports | ||
|---|---|---|
| UN Register of Conventional Arms | Yes | |
| UN Register of Conventional Arms - SALW | Yes | |
| ATT annual report | N/A | |
| Arms transfers reported to Comtrade | No information provided | |
| Regional instrument | No information provided | |
| National report on arms transfers | Yes |
| 3. Website for more information on national system | ||
|---|---|---|