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Controlled goods presentation caura webinar 120419 v2
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Transcript of Controlled goods presentation caura webinar 120419 v2
YORK RESEARCH
Canada’s Controlled Goods Program (and a little bit on ITAR)
David PhippsOffice of Research Services
CAURA WebinarApril 19, 2012
YORK RESEARCH
Airplane maker admits selling microchips with military applicationsThe Associated PressUpdated: 8:35 p.m. ET April 8, 2006
CHICAGO - The Boeing Co. has agreed to pay $15 million to settle federal allegations that it broke the law by selling commercial airplanes equipped with a small chip that has military applications.http://www.msnbc.msn.com/id/12226225/
Boeing to pay $15 million arms control fine
2
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What is the Intent of the Program?
“The objective of the CGD is to safeguard controlled goods and/or controlled technologies within Canada and prevent controlled goods and/or controlled technology from being accessed by unauthorized persons.”
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Consequences
The CGD has the authority to inspect companies to ensure compliance. Companies must be ready for inspection at all times and produce all required records. The CGD also has the authority to detainor remove any controlled good and/or controlled technology, until it is convinced that the requirements of the DPA (Defense Protection Act) are met. Anyone who is not registered, excluded or exempt from registration with the CGD is not permitted to examine, possess or transfer controlled goods and/or technology within Canada.
Companies that fail to comply with this Act can have their registration revoked and they can, as well as individuals, be prosecuted for failing to 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.
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Controlling Goods
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What is a “Controlled Good or Technology”?
Munitions specifically designed or modified for military use (Group 2)
-Lists of specific chemicals are included
Strategic Goods such as (Group 5)-Global navigation satellite systems; -Ground control stations;-Nuclear weapons design and testing equipment
Missile 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)
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Oh, you’re a university?
You’re different…
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Basic Research
Basic Research is Exempt
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Definition of Basic Research
“Experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of phenomena or observable facts, not primarily directed towards a specific practical aim or objective.”
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York has determined that Basic Research is anything that is not Applied Research
and
Applied Research is anything that is done for or in conjunction with a company or agency that can use the outcomes of the research in an application or product.
In the case of Applied Research the “intent” of the work needs to be considered also.
Basic Research @ York?
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Controlling faculty
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Who Needs to be Included in the Program?
Anyone exposed to enabling knowledge about the Controlled Goods or Technologies
•Employees (Faculty, Staff, and Students)•Visitors•Contractors from other companies
Exempt individuals need to provide proof of their exemption (ie federal employee) and this needs to be recorded
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Registering for CGP
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
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Designated Official – Why me?
• Controlling people as well as goods• Controlling information in grant applications
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Develop and Implement Security Plan
The Security Plan must include the following sections:
-People records
-Goods & technologies records
-Records of visitors
-Reporting
-Training program
-Security briefings
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Maintaining Records: public
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
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Maintaining Records: private
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
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The Questionnaire
http://ssi-iss.tpsgc-pwgsc.gc.ca/dmc-cgd/form/inscrptn-rgstrtn/es-sa-eng.html
Biographic Info, consent, references, security assessment statements
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Reference Checks
• 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 subject's position of trust?
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Appendix 4
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Appendix 6
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Training & Briefings
Provide regular training programs for the secure handling of CGs
Provide briefings to visitors and other peripheral personnel as well as qualified program participants
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Word of warning…
Be careful what you say to faculty council meetings…
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Audits and Inspections
ORS schedules site visits to the locations of the CGs to review log books and to ensure goods are located in locked facilities
CGP can audit and inspect both the location of the CGs along with the documentation files at any time
Every 6 months report on list of screened individuals
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ITARs
http://www.pmddtc.state.gov/regulations_laws/itar.html
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Prof. Roth – U. Tennessee
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Potential for Human Rights Challenge
Except for “regular employees” it’s your country of birth not your 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 research contract or technical assistance agreement (TAA)
DON’T SHARE THEM WITH ANYONE
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Scared yet?
Don’t be…ask questions