Canada’s Controlled Goods Program      (and a little bit on ITAR)David PhippsOffice of Research ServicesCAURA WebinarApril...
Boeing to pay $15 millionarms control fine       YORK RESEARCHAirplane maker admits selling microchips withmilitary applic...
What is the Intent of the Program?                                        YORK RESEARCH“The objective of the CGD is to saf...
Consequences                                                    YORK RESEARCHThe CGD has the authority to inspect companie...
Controlling Goods                    YORK RESEARCH
What is a “Controlled Good or Technology”?            YORK RESEARCHMunitions specifically designed or modified for militar...
Oh, you’re a university?                           YORK RESEARCH    You’re different…
Basic Research                     YORK RESEARCH  Basic Research is Exempt
Definition of Basic Research                                     YORK RESEARCH“Experimental or theoretical work undertaken...
Basic Research @ York?                                                      YORK RESEARCHYork has determined that Basic Re...
Controlling faculty                      YORK RESEARCH
Who Needs to be Included in the Program?        YORK RESEARCHAnyone exposed to enabling knowledge about the Controlled Goo...
Registering for CGP                                     YORK RESEARCH Application for Registration for the CGP can be foun...
Designated Official – Why me?                                      YORK RESEARCH • Controlling people as well as goods • C...
Develop and Implement Security Plan                                                  YORK RESEARCH  The Security Plan must...
Maintaining Records: public                                                 YORK RESEARCH  Binder includes:  -Application ...
Maintaining Records: private                                                  YORK RESEARCH  Second Binder includes:  -Rec...
The Questionnaire                                                          YORK RESEARCHhttp://ssi-iss.tpsgc-pwgsc.gc.ca/d...
Reference Checks                                                    YORK RESEARCH•   How (well, long, capacity) do you kno...
Appendix 4             YORK RESEARCH
Appendix 6             YORK RESEARCH
Training & Briefings                                     YORK RESEARCH Provide regular training programs for the secure ha...
Word of warning…                                      YORK RESEARCHBe careful what you say to faculty councilmeetings…
Audits and Inspections                                             YORK RESEARCHORS schedules site visits to the locations...
ITARs                                              YORK RESEARCHhttp://www.pmddtc.state.gov/regulations_laws/itar.html
Prof. Roth – U. Tennessee                        YORK RESEARCH
Potential for Human Rights Challenge                                                YORK RESEARCHExcept for “regular emplo...
Scared yet?                             YORK RESEARCH    Don’t be…ask questions
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Controlled goods presentation caura webinar 120419 v2

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Controlled goods presentation caura webinar 120419 v2

  1. 1. Canada’s Controlled Goods Program (and a little bit on ITAR)David PhippsOffice of Research ServicesCAURA WebinarApril 19, 2012 YORK RESEARCH
  2. 2. Boeing to pay $15 millionarms control fine YORK RESEARCHAirplane maker admits selling microchips withmilitary applicationsThe Associated PressUpdated: 8:35 p.m. ET April 8, 2006CHICAGO - The Boeing Co. has agreed to pay$15 million to settle federal allegations that it brokethe law by selling commercial airplanes equippedwith a small chip that has military applications.http://www.msnbc.msn.com/id/12226225/ 2
  3. 3. What is the Intent of the Program? YORK RESEARCH“The objective of the CGD is to safeguard controlledgoods and/or controlled technologies within Canadaand prevent controlled goods and/or controlledtechnology from being accessed by unauthorizedpersons.”
  4. 4. Consequences YORK RESEARCHThe CGD has the authority to inspect companies to ensurecompliance. Companies must be ready for inspection at all times andproduce all required records. The CGD also has the authority to detainor remove any controlled good and/or controlled technology, until it isconvinced that the requirements of the DPA (Defense Protection Act)are met. Anyone who is not registered, excluded or exempt fromregistration with the CGD is not permitted to examine, possess ortransfer controlled goods and/or technology within Canada.Companies that fail to comply with this Act can have their registrationrevoked and they can, as well as individuals, be prosecuted for failingto comply with the CGD. As per the DPA, fines vary from $25,000 to$2,000,000 daily or an imprisonment not exceeding 10 years, or both.
  5. 5. Controlling Goods YORK RESEARCH
  6. 6. What is a “Controlled Good or Technology”? YORK RESEARCHMunitions specifically designed or modified for military use (Group2) -Lists of specific chemicals are includedStrategic Goods such as (Group 5) -Global navigation satellite systems; -Ground control stations; -Nuclear weapons design and testing equipmentMissile Technology such as (Group 6) -Complete delivery systems (rocket, ballistic & cruise missile); -Propulsion equipment (turbojet, turbofan & pulse jet engines); -Navigation & stealth equipment (flight instrument systems); -Avionics (radar & Global Positioning System); -Launch support equipment (gravity meters & precision tracking); -Test facilities (wind tunnels for speeds of Mach 0.9 or greater)
  7. 7. Oh, you’re a university? YORK RESEARCH You’re different…
  8. 8. Basic Research YORK RESEARCH Basic Research is Exempt
  9. 9. Definition of Basic Research YORK RESEARCH“Experimental or theoretical work undertakenprincipally to acquire new knowledge of thefundamental principles of phenomena or observablefacts, not primarily directed towards a specificpractical aim or objective.”
  10. 10. Basic Research @ York? YORK RESEARCHYork has determined that Basic Research is anything that is not AppliedResearch andApplied Research is anything that is done for or in conjunction with acompany or agency that can use the outcomes of the research in anapplication or product.In the case of Applied Research the “intent” of the work needs to beconsidered also.
  11. 11. Controlling faculty YORK RESEARCH
  12. 12. Who Needs to be Included in the Program? YORK RESEARCHAnyone exposed to enabling knowledge about the Controlled Goods orTechnologies •Employees (Faculty, Staff, and Students) •Visitors •Contractors from other companiesExempt individuals need to provide proof of their exemption (ie federalemployee) and this needs to be recorded
  13. 13. Registering for CGP YORK RESEARCH Application for Registration for the CGP can be found at the following website: http://ssi-iss.tpsgc-pwgsc.gc.ca/dmc-cgd/index- eng.html. Propose a Designated Official
  14. 14. Designated Official – Why me? YORK RESEARCH • Controlling people as well as goods • Controlling information in grant applications
  15. 15. Develop and Implement Security Plan YORK RESEARCH The Security Plan must include the following sections: -People records -Goods & technologies records -Records of visitors -Reporting -Training program -Security briefings
  16. 16. Maintaining Records: public YORK RESEARCH Binder includes: -Application and approval to the CGP including renewals -Standard documents and forms -York’s security plan -Controlled Goods policies -Training logs -Inspection records from the CGP -Correspondence
  17. 17. Maintaining Records: private YORK RESEARCH Second Binder includes: -Records of all people who “examine or posses” the CGs -Security plans for each piece of good or technology -Records of CG’s location and movement, including copies of invoices, POs, shipping and customs documentation -Site visit information on CG -Placed in a locked cabinet at all times
  18. 18. The Questionnaire YORK RESEARCHhttp://ssi-iss.tpsgc-pwgsc.gc.ca/dmc-cgd/form/inscrptn-rgstrtn/es-sa-eng.htmlBiographic Info, consent, references, securityassessment statements
  19. 19. Reference Checks YORK RESEARCH• How (well, long, capacity) do you know the subject• Travel outside of the country (where, how often)• Honest, reliable, trustworthy• Criminal history• Associations • Are you aware of any associates or associations, which might be considered to have an adverse affect on the subjects position of trust?
  20. 20. Appendix 4 YORK RESEARCH
  21. 21. Appendix 6 YORK RESEARCH
  22. 22. Training & Briefings YORK RESEARCH Provide regular training programs for the secure handling of CGs Provide briefings to visitors and other peripheral personnel as well as qualified program participants
  23. 23. Word of warning… YORK RESEARCHBe careful what you say to faculty councilmeetings…
  24. 24. Audits and Inspections YORK RESEARCHORS schedules site visits to the locations of the CGs toreview log books and to ensure goods are located inlocked facilitiesCGP can audit and inspect both the location of the CGsalong with the documentation files at any timeEvery 6 months report on list of screened individuals
  25. 25. ITARs YORK RESEARCHhttp://www.pmddtc.state.gov/regulations_laws/itar.html
  26. 26. Prof. Roth – U. Tennessee YORK RESEARCH
  27. 27. Potential for Human Rights Challenge YORK RESEARCHExcept for “regular employees” it’s your country of birth notyour actions that determine your risk level.June 2011: “regular employees” can be screened (=CGP)Students are not regular employees.If you accept ITAR controlled goods and/or data (in researchcontract or technical assistance agreement (TAA) DON’T SHARE THEM WITH ANYONE
  28. 28. Scared yet? YORK RESEARCH Don’t be…ask questions

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