Pre-inspection checklist
The Controlled Goods Program inspector may verify or inquire about the items on this checklist. This is not an exhaustive list—you may be required to provide more information as required.
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Changes to application
The inspector will request information about any changes to the following information provided on your application for registration form:
- legal name, business name, and contact information—including address, telephone number, email and fax number—at every place of business in Canada registered in the Controlled Goods Program
- legal status of the business
- name, residential address and title of each of the directors, officers, partners or proprietors of the business
- names and addresses of the persons who each own 20% or more of the outstanding voting shares or interests of the business
- appointment or replacement of a designated official
- telephone number, fax number and email of the designated official
- a list of all the controlled goods and technology that the registrant intends to examine, possess or transfer—and the address of the locations in Canada where those goods are kept
- address of the locations where the records are kept
The registered person must report to the Controlled Goods Program any changes to their registration application within ten business days. Consult section 9 of the Controlled Goods Regulations.
Security plan
Prior to the inspection, the inspector will require a copy of the registered person's security plan. The purpose of the security plan is to ensure that adequate security is implemented for the protection of controlled goods.
The security plan must include the following information:
- procedures to control the examination, possession and transfer of controlled goods
- procedures for reporting and investigating security breaches
- description of the responsibilities of the security organization, and identification of individuals responsible for the security of controlled goods
- contents of training programs given to officers, directors, employees, temporary workers and international students
- contents of security briefings given to visitors
The registered person must establish a security plan for each work site where controlled goods are kept. Consult paragraph (e) of section 10 of the Controlled Goods Regulations.
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Physical security
During the inspection, the inspector will conduct a walk-through of the facility, including the location within the building where the controlled goods are kept and review the type of security measures in place to safeguard the controlled goods.
Physical security measures will vary from company to company with regards to:
- the type of controlled goods and technology being examined, possessed or transferred
- how the goods and technology will be examined, possessed or transferred
- how many employees will be examining, possessing or transferring the goods and technology
Record keeping
Record keeping is an important method for tracking the life cycle of controlled goods. For example, records ensure that you know:
- what controlled goods the registered person has received, transferred or disposed of
- where controlled goods come from, and where they are transferred
- who may examine, possess or transfer the goods, and if those individuals are security assessed
The registered person must to keep and maintain records of the following:
- receipt of controlled goods
- transfer of controlled goods
- disposal of controlled goods
- records of security assessments, as well as supporting documentation, for officers, directors, employees, temporary workers, international students and visitors
The registered person must keep records of controlled goods. Consult paragraphs (a), (b) and (c) of section 10 of the Controlled Goods Regulations.
Visitors, temporary workers and international students
The Controlled Goods Program must ensure that all visitors, temporary workers and international students are authorized to examine, possess or transfer controlled goods and technology.
During the inspection, the inspector may request to review the following records:
- applications for exemption for visitors
- applications for exemption for temporary workers
- applications for exemption for international students
- records of United States government visitors
- records of visitors from United States businesses registered with the International Traffic in Arms Regulations