Security programs

The Controlled Goods Program (CGP)

The Controlled Goods Program (CGP) is a registration and compliance program, mandated by the Defense Production Act (DPA) of Canada that regulates access, examination, possession or transfer of controlled goods. The University’s CGP mandate is ensuring compliance with the requirements in safeguarding controlled goods in Canada and supporting Canada’s export control regime.

The Office of the Chief Risk Officer (OCRO) will help you determine if you need to undergo a security assessment through the CGP and will perform the necessary steps to complete that registration on your behalf. Contact Pascal Simard, the Designated Official (DO) at the University, well in advance of any required access or planned research using controlled goods.

The program is responsible for:

• Registering the University and individuals who examine, possess or transfer controller goods performing security assessment;
• processing exemption from registration applications;
• conducting inspections and ensuring compliance with controlled goods legislation;
• investigating security breaches; and
• working with law enforcement agencies for enforcement-related actions of the Defence Production Act

1. Why is the University of Ottawa registered under the Federal Government CGP? 

The University of Ottawa is registered under the Federal Government Controlled Goods Program, a security program managed by Public Services and Procurement Canada. As per many Canadian universities, it is possible that the University of Ottawa will need to examine, possess or transfer controlled goods or technology within the limitations of research projects. Therefore registration is mandatory.

As conditions of its registration under the Controlled Goods Directorate (CGD), the University of Ottawa established a controlled goods security plan. The purpose of this security plan is to prevent unauthorized individuals from accessing controlled goods and to ensure compliance with the Controlled Goods Regulation as well as University guidelines and policies.

2. How does this affect my work at the University? 

Any member of the University of Ottawa community who may examine, possess or transfer any controlled goods or technology, must be registered for the CGP. Registration is relatively easy and involves a police check, reference checks and a series of questions that will inform decisions about your suitability to examine, possess or transfer controlled goods. There is a charge for police checks that is not covered by the program. Applications take two to four weeks to process from the time they are received by OCRO. The process can take longer if the application needs to be reviewed by the Controlled Goods Directorate.

No security assessment is required if the university member does not have the ability to access the controlled goods and/or controlled technology. However, the proper safety measures need to be put into place so that these individuals couldn’t examine, possess or transfer these controlled goods if they are not cleared for access.

3. What does a security assessment encompass? 

Different information will be requested depending on your status at the University (employee, student, visitor). Typically, an applicant must provide all the necessary information as to personal references, criminal history, places of residence and employment and educational histories for the five years immediately preceding the date of the applicant's consent to undergo the security assessment.

4.  What are controlled goods and technology?

The Department of Foreign Affairs and International Trade Canada is the authority that can make a determination as to what is and what is not a Controlled Goods and/or Controlled Technology. Controlled goods are primarily goods that have military or national security significance; therefore, before importing certain goods into Canada, it is important to determine whether or not the goods are also subject to domestic controls and require registration with the CGP. The Schedule (Section 35) of the DPA contains the items that are considered controlled goods.

Some examples of controlled goods and/or controlled technology that are covered by the CGD are:

• munitions specifically designed or modified for military use, known as Group 2 items, such as: Weapons and ammunitions (machine guns & anti-tank weapons); Bombs, torpedoes, mines and missiles; Warning systems (weapon sights & surveillance systems); Military vehicles (tanks), vessels (submarines) and aircraft; Chemical, biological and radioactive material which is use in war; and Protective equipment (armoured plate and body armour).

• Strategic goods, known as group 5 items, such as: Global navigation satellite systems; Ground control stations; and Nuclear weapons design and testing equipment.
• Missile technology, known as group 6, such as: 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); and Test facilities (wind tunnels for speeds of Mach 0.9 or greater).

The Guide to the Schedule to the Defence Production Act provides a detailed list of the items that are controlled goods.

5. What happens if I do not comply? 

If a member of the University of Ottawa community does not consent to a security assessment, they cannot have access to controlled goods and/or controlled technology. This may inherently interfere with the course of the research.

The legislation governing the CGP provides for severe penalties for non-compliance ranging from $25,000 to $2,000,000 CAD, or imprisonment for a term up to 10 years, or both.

6. Where can I get more information on this Program?   

The CGP is administered by the Environmental Management Department at the Office of the Chief Risk Officer. For more information please contact the Office of the Chief Risk Officer at email us.

For legislation information, please refer to the Controlled Goods Directorate website.

Export/import controls

University of Ottawa has established a reputation of providing a platform for cutting edge research, and for the exchange of information in a collaborative environment. Multi-disciplinary research involves the sharing and exchange of knowledge and the application and use of material and data between several team members. The transfer of material or data from one individual to another within the same location or outside of Canada is considered to be exports. Any of these conditions could require the necessity of obtaining an export/import permit under Canadian and/or US export control laws.

What you may need to know if you Export or Import Controls

What is the Export and Import Permits Act (EIPA)?

Export and Import Permits Act (EPIA) is an act respecting the export and transfer of goods and technology and the import of goods. The Trade Controls and Technical Barrier Bureau (TCTBB) is responsible for administering the Export and Import Permits Act (EIPA).

EPIA has established:

• the List of Export (ECL);
• the List of Import (ICL);
• and the Area Control List (ACL) list of countries for which export permits are required to be issued.

The Export Control List (ECL)

The Canadian Export Control List controls the export of goods from Canada. Goods on the list require a license from the Minister of Foreign Affairs. For more information, Please see the following Export Control List (PDF, 240KB)

The Import Control List (ICL)

Canada has a range of goods over which it imposes import controls. These goods are listed in the Import Control List (ICL) of the Export and Import Permits Act (EIPA). For more information, please see the following Import Control List (PDF, 286KB).

Area Control List (ACL)

The Export and Import Permits Act (EIPA) authorizes the Governor in Council to establish a list of countries called the Area Control List (ACL), a list of destinations to which the Governor in Council deems it necessary to control the export or transfer of any goods and technology. For more information, Please see the following Area Control List (PDF, 85KB). 

Who is legally responsible when exporting goods?

All items shipped from the University of Ottawa become the responsibility of the respective individual or the shipper in accordance with the export permit requirements directed by the Export and Import Permits Act (EIPA). The Canada Border Services Agency and the Royal Canadian Mounted Police are responsible for the enforcement of export controls.

What are the consequences of non –compliance with Canadian and/or US export control laws?

Failure to comply with the EIPA, or its related regulatory requirements can lead to prosecution, seizure and or forfeiture of the goods including penalties/fines up to $25,000 including imprisonment up to 10 years. Non-compliance has also been known to have had a significant impact on a financial institution’s reputation which is sometimes more dangerous than any financial penalty. Non-compliance within the US export control can result in debarment of the institution by the regulating agency.

Controlled Goods Program

The Controlled Goods Program (CGP) is an industrial security program that is authorized by the Defence Production Act (DPA). The Controlled Goods Directorate (CGD) administers the CGP to prevent the proliferation of tactical and strategic assets and build up Canada’s defence trade controls.  Public Works and Government Services Canada is the federal agency responsible for this program. The Department of Foreign Affairs and International Trade Canada is the authority that can make a determination as to what is and what is not a Controlled Goods and/or Controlled Technology. The University of Ottawa registered with the program since October 30, 2009.

1. Why is the University of Ottawa registered under the CGP? 

In order to purchase, access, use, possess, examine or transfer any controlled goods or technology, one must be registered for the CGP. As per many Canadian universities, it is possible that the University of Ottawa will need to make use of controlled goods or technology within the limitations of a research project. Therefore registration is mandatory.

2. How does this affect my work at the University? 

Members of the University of Ottawa community will be required to follow new procedures with regards to controlled goods. The key changes to our actual practices include mandatory security assessment of users of controlled goods and security measures surrounding the purchasing, use, storage and disposal of controlled goods. Each employee, director and officer of the University who has access to controlled goods and/or controlled technology during the course of their employment must consent to a security assessment. No security assessment is required if the employee, director or officer does not access controlled goods and/or controlled technology.

3. What does a security assessment encompass? 

Different information will be requested depends on your status at the University (employee, student, visitor). Typically, an applicant must provide all the necessary information as to personal references, criminal history, places of residence and employment and educational histories for the five years immediately preceding the date of the applicant's consent to undergo the security assessment.

4.  What are controlled goods/technology?

The tools below provide all the list of Controlled goods/technology: A Guide to Canada’s Export Controls.

5. What happens if I do not comply? 

If an employee, director or officer does not consent to a security assessment, they cannot have access to controlled goods and/or controlled technology. This may inherently interfere with the course of the research. The legislation governing the CGP provides for severe penalties for non-compliance range from $25,000 to $2,000,000, or imprisonment for a term not exceeding 10 years, or both.

6. Where can I get more information on this Program?   

The controlled goods program is administered by the Environmental Planning Group of the Office of the Chief Risk Officer. For more information please email the Office of the Chief Risk Office. For legislation information, please refer to the Controlled Goods Directorate website.

As conditions of registration under the Controlled Goods Directorate (CGD), the University of Ottawa established a security plan.

Information Sharing

The University of Ottawa and Google Inc.  have agreed by contractual term and conditions that any transfer of information related to Export Control and Controlled Goods/Technology is prohibited and will not be permitted while students use  Google Gmail account. The University of Ottawa strongly advises against the sharing of such information in your emails.

The Google Gmail account users are reminded that Export Control include regulations in place by the Federal government to control the export of information or items for reasons related to national or economic security and foreign policy.

Researchers, students, faculty members and staff at the University of Ottawa who often use shipment, receive the materials and data physically or tangibly inside or outside of Canada could be subject to the requirement of an export/import permit under Canadian and/or US export control laws.

The parties who work with visiting faculty, scholars, or students from boycotted countries are also required to be aware of export control regulations specific to persons from those countries and of circumstances that might create risks of non-compliance with export control regulations during their communication in emails.

With regards to export permits issued under the Export and Import Permit Act (E.I.P.A.), if the emails and telephone conversations refer specially to Controlled Goods under the EIPA they may require a permit. Please review the portion of Export Controls Hand Book for “Export by Intangible mean”.

The Google Gmail account users are reminded it is a federal crime to share information related to Controlled Goods/Technology Program and Export Control. It is also a federal crime to collaborate and share this information with individuals who do not hold Canadian citizenship or Canadian permanent resident status.

Parties have to be aware that non-compliance with Canadian and/or US export control regulations can result in debarment of an institution by a regulating agency and/or doing business with Canadian and/or US institutions.

Organizations such as the University are responsible to ensure the protection of government sensitive information and assets entrusted to them. This includes when: transferring or exchanging sensitive government of Canada information or assets in Canada or abroad as part of research activities or any other contract.

Security screening

A personnel security screening is required for members of the University community who need to access federal government protected or classified information, assets and work sites as part of their research activities or any other contract with the government.

• Reliability status & Secret clearances are valid for 10 years
• Top Secret is valid for 5 years

A member of the University community can only start to work on a contract when granted a security clearance and briefed on related security responsibilities.

Transfers and duplicates

If you already hold a security screening with another government department or private sector company it is possible to simply transfer that screening to the University.

Please contact the University’s Company Security Officer (CSO) at the Office of the Chief Risk Officer (OCRO) for more information about contracting with the government or if you require a security screening:

Pascal Simard, B., Sc. 
Manager, Environment, Radiation and Biosafety
Office of the Chief Risk Officer
University of Ottawa
139 Louis Pasteur Private
Ottawa ON  K1N 6N5
[email protected]

University of Ottawa has established a reputation of providing a platform for cutting edge research, and for the exchange of information in a collaborative environment. Multi-disciplinary research involves the sharing and exchange of knowledge and the application and use of material and data between several team members. The transfer of material or data from one individual to another within the same location or outside of Canada is considered to be exports. Any of these conditions could require the necessity of obtaining an export/import permit under Canadian and/or US export control laws.

What is the Export and Import Permits Act (EIPA)?

Export and Import Permits Act (EIPA) (PDF, 408KB) is an act respecting the export and transfer of goods and technology and the import of goods. 

The Trade Controls and Technical Barrier Bureau (TCTBB) is responsible for administering the EIPA.

EPIA has established:

The Export Control List (ECL)

The Canadian Export Control List controls the export of goods from Canada. Goods on the list require a license from the Minister of Foreign Affairs. For more information, Please see the following link Export Control List (PDF, 240KB)

The Import Control List (ICL)

Canada has a range of goods over which it imposes import controls. These goods are listed in the Import Control List (ICL) of the Export and Import Permits Act (EIPA). For more information, please see the following link Import Control List (PDF, 286KB)

Area Control List (ACL)

The EIPA authorizes the Governor in Council to establish a list of countries called the Area Control List (ACL), a list of destinations to which the Governor in Council deems it necessary to control the export or transfer of any goods and technology. For more information, Please see the following link Area Control List (85KB)

Who is legally responsible when exporting goods?

All items shipped from the University of Ottawa become the responsibility of the respective individual or the shipper in accordance with the export permit requirements directed by the EIPA. The Canada Border Services Agency and the Royal Canadian Mounted Police are responsible for the enforcement of export controls.

What are the consequences of non–compliance with Canadian and/or US export control laws?

Failure to comply with the EIPA, or its related regulatory requirements, can lead to prosecution, seizure and or forfeiture of the goods including penalties/fines up to $25,000 and imprisonment up to 10 years. Non-compliance has also been known to have had a significant impact on an institution’s reputation which can be more damaging than any financial penalty. Non-compliance within the US export control can result in debarment of the institution by the regulating agency.

Information sharing

The University of Ottawa and Google Inc. have agreed by contractual term and conditions that any transfer of information related to Export Control and Controlled Goods/Technology is prohibited and will not be permitted while students use Google Gmail account. The University of Ottawa strongly advises against the sharing of such information in your emails.

The Gmail account users are reminded that Export Control include regulations in place by the Federal government to control the export of information or items for reasons related to national or economic security and foreign policy.

Researchers, students, faculty members and staff at the University of Ottawa who use shipment, receive materials and data physically or tangibly, inside or outside of Canada could be subject to the requirement of an export/import permit under Canadian and/or US export control laws.

The parties who work with visiting faculty, scholars, or students from boycotted countries are also required to be aware of export control regulations specific to persons from those countries and of circumstances that might create risks of non-compliance with export control regulations during their communication in emails.

With regards to export permits issued under the EIPA, if the emails and telephone conversations refer specially to Controlled Goods under the EIPA they may require a permit. Please review the portion of Export Controls Hand Book (PDF, 1.4MB) for “Export by Intangible mean”.

For additional information and resources please refer to the Global Affairs Canada website. 

The Gmail account users are reminded it is a federal crime to share information related to Controlled Goods/Technology Program and Export Control. It is also a federal crime to collaborate and share this information with individuals who do not hold Canadian citizenship or Canadian permanent resident status.

Parties have to be aware that non-compliance with Canadian and/or US export control regulations can result in debarment of an institution by a regulating agency and/or doing business with Canadian and/or US institutions.

Importing, exporting or transporting wild animals, plants and plant products

Plant pests, as invasive species, can wreak havoc on our ecosystems by destroying native species and causing unalterable damage to the Canadian landscape. For example, the emerald ash borer, native to Asia, has killed millions of ash trees across North America since it arrived in 2004, and will likely kill millions more. It probably entered Canada and the United States on untreated wood packaging materials, such as pallets or boxes.

Plant pests can be introduced through various pathways, including: wood packaging,, soil, firewood, containers, and transport vehicles (such as trucks, ships and aircraft).

If you will be importing, exporting or transporting (even within Canada) certain wild animal or plant species, you must obtain the appropriate documents (e.g., licences, permits, exemptions). It is your responsibility to know the specific requirements for the product you are working and doing research with. In some cases, this may include requirements under more than one act and/or regulation:

The Wild Animal and Plant Protection and Regulation of International and Interprovincial Trade Act (WAPPRIITA) (PDF, 323KB) apply to all protected plants or animals, alive or dead, as well as to their parts and any derived products.

ThePlant Protection Act (PDF, 344KB) and Regulations, and the Seeds Act and Regulations (PDF, 990KB) as they relate to plant protection apply to the import of plants and plant products

Some questions for you to consider are the following:

1. Does the product have the required import documentation? These may include

   • a phytosanitary certificate issued by the exporting country's national plant protection organization indicating that the plant or plant product meets Canada's phytosanitary 

   •  import requirements
   • an import permit, issued by the CFIA, which authorizes the importer to import a commodity under specific conditions of entry and use
   • a seed analysis certificate for seed imports showing freedom from prohibited noxious weed seeds
   • a certificate of origin where materials may originate only from pre-approved sources
2. Does the product adhere to specific requirements? (For example, has the shipment undergone a specific pest treatment such as heat treatment or fumigation at origin, before entering Canada, or did the product enter Canada through an approved location or facility, if required?)
3. Is the product a regulated plant pest, or is it contaminated with a quarantine plant pest or other prohibited substance (for example, soil or prohibited noxious weed seeds)?
4. Did the product test positive for a quarantine pest on arrival in Canada, despite certification by the exporting country?

Useful references

• The Canadian food inspection agency (CFIA) Automated Import Reference System (AIRS)
• Business regulations guide

The Chemical Weapons Convention (CWC) is an arms control treaty within which Canada is taking part and that outlaws the production, stockpiling, and use of chemical weapons and their precursors. It is administered by the Organisation for the Prohibition of Chemical Weapons (OPCW), an intergovernmental organization based in The Hague, The Netherlands. The treaty entered into force on 29 April 1997.

As part of a verification regime within the CWC, Canadian institutions such as the University must declare if they have been involved in producing, importing, exporting, processing or consuming certain toxic chemicals and their precursors (listed in Schedules 1, 2 and 3 in the Annex on Chemicals) in order to ensure that such chemicals are only used for purposes not prohibited under the CWC.

The Office of the Chief Risk Officer (OCRO) is legally required to make an annual declaration on the production, processing, consumption and import and export of these substances.

‌Definitions under CWC

•  formation through a chemical reaction or synthesis.
• physical manipulation of a chemical without a chemical reaction taking place, i.e. purification, crystallization, concentration…
• conversion of a chemical into another chemical through a chemical reaction involving the making or braking of chemical bonds.

If you need to work with substances subject to Schedules 1, 2 and 3, contact the University Regulatory Compliance Officer (RCO) for help with the application:

Pascal Simard, B., Sc. 
Manager, Environment, Radiation and Biosafety
Office of the Chief Risk Officer
University of Ottawa
139 Louis Pasteur Private
Ottawa ON  K1N 6N5
[email protected]

A controlled substance is generally a drug or chemical whose manufacture, possession, or use is regulated by a government, such as illicitly used drugs or prescription medications that are designated by law.

The Office of Controlled Substances (OCS) works in collaboration with Canadian and international stakeholders in the public and private sectors to ensure that controlled substances remain in legal distribution channels and valid commercial, medical and scientific activities with these substances are not interfered with.

If you are considering working with a controlled substance contact the Biosafety Department at the Office of the Chief Risk Officer for questions or concerns regarding the process. 

The green house effect has no territorial boundaries. Our stratosphere is shared among many countries and oceans without regard for nationalities and politics. The University is committed to meeting phase outs of ozone depleting substances (ODS) and reductions in green house gas (GHG) emissions.

ODSs

Environment Canada classifes several compounds as ODSs:

• Bromochloromethane
• Chlorofluorocarbons (CFC)
• Carbon Tetrachloride (CTC)
• Hydrobromofluorocarbons (HBFC)
• Hydrochlorofluorocarbons (HCFC)
• Methyl Bromide
• Chloroform
• Halons

The stage for phase out of ODS was set by the Montreal Protocol on Substances that Deplete the Ozone Layer in 1987. The import, use and disposal of these compounds is severely restricted.

The University maintains an inventory of these substances and is actively participating to reduce inventories to meet required targets.

Visit the Ontario Ministry of the Environment for more information on ozone and air emissions.

GHGs

Air emissions that contribute to the GHG effect are regulated. The NPRI reporting system requires the University to report GHG emissions to both Environment Canada and the Ontario Ministry of Environment.

Currently, SOx, NOx, CO, and particulates are reportable to Environment Canada. HFC134a, NOx, and SOx and solvents >3000 kg discharged to the atmosphere are reportable to MOE.

Links

uOttawa Environmental Management Policy

The University has a responsibility to report certain air emission parameters to provincial and federal regulators. Reporting to the Ministry of Environment (MOE) for air emissions is mandatory for all universities since 2002. The regulators request the following:

• Environment Canada - National Pollutant Release Inventory CAC list (SOx, NOx, CO, and particulates); and
• MOE - Regulation 127 parameters (SOx, NOx, and HFC-134a).

How do the emissions get determined? The oversimplified answer is:

1. An inventory of all heating and cooling equipment on campus is done.
2. The volume of heating oil burned to heat our buildings is determined.
3. Any releases of HFC-134a get accounted for.
4. Engineering drawings are used to calculate stack heights, exit velocity, height…
5. Air emission factors from the US EPA get used to calculate emissions in tonnes.
6. Reports get sent to MOE and Environment Canada by June 1st of every year.

If you are interested in receiving a copy of the emission results please contact OCRO.