Via both export controls and controlled goods regimes, Canada legally governs the handling and movement of specific goods, equipment, technology, knowledge and services within and outside Canada. These controls and regimes can include or impact research information, and violating them can have serious financial and legal repercussions, and reputational implications for you and UBC.1
UBC faculty, staff and students who are involved in shipping goods, transferring technical data, knowledge or technology, and providing services outside of Canada should assess whether they may be handling items listed under these regulations and take appropriate steps for each legal regime, as required.
Export controls
Exporting refers to the transfer of goods, services and technology from Canada to a foreign country, regardless of the means of delivery.
The Government of Canada’s export controls regime regulates these transfers through the Export and Import Permits Act (EIPA), to protect national interest and trade obligations.
The modes of transfer covered by export control can include:
- Physical shipment of goods (e.g., lab materials, samples and equipment);
- Electronic transfer of information (e.g., accessing information via cloud storage); and
- Provision of consulting services (e.g., training, instructing and advising).
While many categories of items subject to export controls may be obvious (e.g. those with military and nuclear applications) others may be less intuitive, such as those that impact tangible goods (e.g. electronic circuits) or intangible (e.g. circuit designs), some of which may involve research knowledge or information.
Ensure your transfer of research outputs to foreign entities follows Canadian export control regulations:
✓ Review whether your item, technology, or research area is on Canada’s Export Control List (ECL) using the latest version of the list;
- Certain export-controlled items may also be controlled goods and trigger additional requirements when exporting. See below for guidance on determining and handling controlled goods.
✓ Check whether you are exporting to a country included on the Area Control List (ACL); currently the list includes only the Democratic People's Republic of Korea (DPRK). If so, the Government of Canada requires an export permit, regardless of whether the item is on the ECL.
✓ Apply for a permit via the New Export Controls Online System (New EXCOL) if the item is on the ECL.
- You are required to apply for an export permit from Global Affairs Canada (GAC) specific to the item prior to the transfer of this item outside of Canada.
- If you unsure whether the item may be export controlled, it is recommended that you go through the steps of a permit application and a Government of Canada official will make a determination for you based on the information you provide.
✓ Review the Export and brokering controls handbook for detailed instructions on the export permit process.
✓ Consult the UBC Finance - Shipping and Export guidelines to understand how to transport items from UBC and fill in their contact form if you require further information or have specific questions on their guidance.
Foreign export control
Goods, equipment, technology, knowledge and services imported from other countries may be regulated by the origin country’s foreign export controls.
UBC faculty, staff and students handling foreign exports need to be aware of these regulations. Further transferring of these item(s) within Canada or to another country may be subject to the foreign country’s export control laws, and might require additional steps to adhere to these laws.
For example, the United States Government (USG) imposes re-transfer conditions on certain US-origin goods and technology after they have been exported to Canada. As a condition of authorizing exports of certain US-origin items, the USG may require you to obtain authorization before further transferring these items to another Canadian entity or person, or re-exporting the item from Canada to a third destination.
Controlled Goods
The Controlled Goods Program (CGP) regulates the examination, possession or transfer of controlled goods within Canada under the authority of the Defence Production Act and the Controlled Goods Regulations. The Government of Canada defines controlled goods as primarily “defence articles, including some components and their associated technologies (for example, blueprints or technical specifications) that have a military or national security significance.”
This also includes defence articles listed in the United States Munitions List (USML) within the US International Traffic in Arms Regulations (ITAR) and goods that are manufactured from US-origin technical data that are controlled by ITAR.
UBC faculty, staff and students are required to take appropriate steps to follow the requirements under the CGP:
✓ Review whether the item or good you intend to examine, possess or transfer is a controlled good listed in the Schedule to the Defence Production Act and/or Guide to the Schedule document;
- If it is controlled, contact UBC’s CGP Designated Official at UBC, to ensure you meet the necessary requirements (which may include registration and security assessment) before examining, possessing or transferring it.
NSERC Policy on Research Involving Controlled Goods and Information
The Natural Sciences and Engineering Research Council of Canada (NSERC) recognizes that some research may be subject to the above legal regimes and requires that all applications and associated information, such as progress and final reports, must not contain information subject to export control and/or controlled goods regulations. Review NSERC’s Policy on Research Involving Controlled Goods and Information for further details. Further, for certain Canadian federal grant opportunities that involve a private sector partner, applicants are required to identify if they are working in a research area that is related to goods or technology that are included on the Export Control List (ECL) of the Export and Import Permits Act (EIPA).
[1] Offences and Penalties for violations under the Export and Import Permits Act; Consequences for failing to comply with Controlled Goods Regulations.