Research Security

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.

For more information, access:

• Export and Brokering Controls Handbook
• A Guide to Canada’s Export Control List

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 U.S. origin.

U.S. 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 U.S. 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.

For more information, access:

• Deemed Reexport Guidance
• Items covered by the EAR
• Entity List under the EAR

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 U.S. ITAR controlled articles. from being accessed by unauthorized persons. Access official details of controlled goods and/or controlled technologies.

Organizations and individuals who conduct 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 is currently registered in the CGP and Queen's Environmental Health and Safety department has oversight responsibility for the program. 

While the university is registered, Queen's must update the CGP whenever there are any changes to locations on campus where controlled goods are examined or 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. If you believe your research project may include controlled goods, please contact Queen's Environmental Health and Safety.

For more information, access:

• What are controlled goods
• How to meet the Controlled Goods requirements
• Exemptions from registration in the Controlled Goods program

Canada imposes sanctions on various foreign actors under three statutory regimes:

• United Nations Act (UNA)
• Special Economic Measures Act (SEMA)
• Justice for Victims of Corrupt Foreign Officials Act (JVCFOA)

These sanctions are imposed in response to:

• grave breaches of international peace and security that have resulted in or are likely to result in a serious international crisis;
• gross and systematic human rights violations; or
• acts of significant corruption.

The sanctions are imposed either independently by Canada or in order to fulfill its international legal obligations as a United Nations member state.

While Queen’s University and students and employees of the institution need to be concerned about breaching any of the sanctions imposed by Canada, of particular concern are the sanction imposed under SEMA. SEMA sanctions currently apply to several countries, including individuals and institutions from these countries. Several universities are also listed among the sanctioned entities. The sanctions imposed by Canada contain a broad range of prohibitions, including prohibitions of dealings with individuals and entities and restrictions on trade and financial transactions. Some of these prohibitions may capture some of the activities researchers and academics engage in as part of the collaboration activities.

Contravening sanctions is considered a criminal act in Canada. Where individuals and/or entities are convicted of a breach of any sanction imposed by Canada it could result in fines ranging from $25,000 to $100,000 and/or prison terms ranging from one to 10 years depending on the sanctions legislations that is breached. Additional penalties can also be imposed for related breaches of other legislation including the Criminal Code and the Export and Import Permits Act.

It is therefore important for members of the Queen’s community to be aware of the entities and individuals they are dealing with and whether those individuals or entities are sanctioned or otherwise connected with sanctioned actors.

Please review a list of the current sanctions maintained by Canada, including affected individuals and entities.

In addition, any questions or concerns that you may have about whether an interaction could be a breach of any sanctions can be directed to the Research Security team.

For additional information, visit Canadian Sanctions FAQs.