Export Controls
Export controls are applied by many governments, including Canada and the United States of America (US), as a means to regulate, and sometimes deny, trade in specific goods and technologies.
The main aim of export control regulations is to ensure that exports of certain goods and technologies are consistent with Canada's foreign and defence policies, as well as Canada’s obligations under bilateral and multilateral treaties and agreements.
In Canada, permits to export items included on the Export Control List (ECL) or to countries included on the Area Control List are issued by the Minister of Foreign Affairs under authority granted in the Export and Import Permits Act (EIPA).
Queen's researchers should note that the export of all goods and technology of U.S.-origin, defined in Item 5400 on the ECL, regardless of their nature and destination, require permits from the Export Controls Division of Foreign Affairs, Trade, and Development Canada.
Queen’s researchers should also be aware that non-compliance with Canada’s export and brokering controls under the EIPA may attract the following penalties:
- for a summary-conviction offence, a maximum fine is $250,000, imprisonment for up to 12 months, or to both a fine and imprisonment.
- those convicted of an indictable offence remain liable to a fine in an amount that is at the discretion of the court, to imprisonment for a term not exceeding ten years, or to both.
If your research involves items subject to export control, please contact the Research Security team in the VP Research at researchsecurity@queensu.ca.
Additional Resources
Goods, technologies and data obtained from outside Canada or inside Canada but originating outside Canada may be subject to the export control regimes in the originating country. This is the case for goods and technologies of US origin.
US export controls are divided into 3 systems:
- the International Traffic in Arms Regulations (ITAR) (administered by the State Department) regulates the export of defence items;
- the Export Administration Regulations (EAR) (administered by the Commerce Department) regulates the export and the re-export of commercial, dual-use items; and
- the Office of Foreign Assets Control (OFAC) (administered by the Treasury Department) regulates economic sanctions.
Technology is defined in the EAR to include any information necessary for the development, production, use, operation, installation, maintenance, repair, overhaul, or refurbishing of an item.
One issue of concern for Queen’s researchers using goods or technologies of US origin is the concept of "deemed reexport" )
Queen’s researchers should also be aware that the EAR also contain a list of names of certain foreign persons – including businesses, research institutions, government and private organizations, individuals, and other types of legal persons – (the Entity List) that are subject to specific license requirements for the export, reexport and/or transfer of specified items. The Entity List was first published in February 1997 as part of its efforts to inform the public of entities who have engaged in activities that could result in an increased risk of the diversion of exported, reexported and transferred items to weapons of mass destruction (WMD) programs. Since then, the grounds for inclusion on the Entity List have expanded to activities sanctioned by the State Department and activities contrary to U.S. national security and/or foreign policy interests.
If you believe your research may include items subject to the EAR, please contact the Research Security team in the VP Research at researchsecurity@queensu.ca.
Additional Resources
Controlled Goods
In Canada, the Controlled Goods Program (CGP) is a domestic industrial security program administered by federal government through Public Works and Government Services Canada (PWGSC) under the Controlled Goods Directorate (CGD). The CGD’s objective is to safeguard tactical and strategic assets in Canada and to prevent those controlled goods, including US ITAR controlled articles. from being accessed by unauthorized persons. The official details of controlled goods and/or controlled technologies can be found here.
Organizations and individuals who conducts business in Canada (including research) and examine, possess and/or transfer controlled goods in Canada must comply with the Defence Production Act (DPA) . These individuals and organizations need to be registered in the CGP. Queen’s University is currently registered in the CGP and the Environmental Health and Safety department has oversight responsibility for the program.
While the University is registered, the University must update the CGP whenever there are any changes to locations on campus where controlled goods are examined, possessed and conduct security assessments of any individual authorized to examine, possess, or transfer controlled goods at the University among other obligations.
Under the DPA, every registrant who knowingly transfers a controlled good to, or permits the examination of a controlled good by a person who is not registered or exempt from registration, is guilty of either:
- an offence punishable on summary conviction and liable to a fine not exceeding $100,000 or to imprisonment for a term not exceeding two years, or to both.
- an indictable offence and liable to a fine not exceeding $2,000,000 or to imprisonment for a term not exceeding 10 years, or to both.
Any individual wishing to examine, possess or transfer controlled goods at Queen’s must obtain authorization through EH&S. If you believe your research project may include controlled goods, please contact Environmental Health & Safety .