Controlled Goods Regulations (SOR/2001-32)

Scope of Registration

• 14 (1) The registered person shall be bound by the decision of the designated official under subparagraph 13(a)(v).

• (2) An authorization by the registered person applies to an officer, director or employee only when that individual is acting in the course of their duties with the registered person.

Security Assessments

• 15 (1) The Minister shall conduct a security assessment in respect of all proposed designated officials and all individuals referred to in paragraphs 3(d) and (i), and the designated official shall conduct a security assessment in respect of all officers, directors and employees referred to in paragraph 13(a), having regard to the information provided under subsection (4).

• (2) In conducting the security assessment, the Minister may also have regard to other information provided by any person and the designated official may have regard to other information provided by the Minister if the Minister or the designated official, as the case may be, has reasonable grounds to believe that the information is necessary to determine the extent of the risk referred to in subsection (3).

• (3) The purpose of the security assessment is to determine the extent to which the individual being assessed poses a risk of transferring a controlled good to a person who is neither registered nor exempt from registration.

• (4) The individual who is the subject of the security assessment shall provide the Minister or the designated official, as the case may be, with the following information and, on request, any additional information or evidence that the Minister or the designated official requires to verify it:

  • (a) their name and any previous names;

  • (b) their date and place of birth;

  • (c) all citizenships and any permanent resident status;

  • (d) personal references; and

  • (e) a description, in respect of the five-year period immediately before the day on which the individual consents to the assessment, of their

    • (i) criminal history,

    • (ii) places of residence,

    • (iii) education and employment history,

    • (iv) financial history,

    • (v) history of travel outside of Canada and the United States, including any denial of entry into another country,

    • (vi) significant personal and professional associations and relationships that could affect the extent to which the individual poses a risk of transferring a controlled good to a person who is neither registered nor exempt from registration, and

    • (vii) any security clearance held, denied, suspended or revoked.

• (5) An individual who is or has been the subject of a security assessment shall advise the Minister or the designated official, as the case may be, of any change concerning their criminal history within five business days after the day on which the change occurs.

• (6) The Minister or the designated official, as the case may be, shall reconduct a security assessment if new information is received or if there are other reasonable grounds for doing so.

• 15.1 (1) If a request is made to the Minister under subparagraph 13(a)(iii), the Minister shall conduct the security assessment of the individual concerned in accordance with section 15.

• (2) The Minister shall advise the designated official of his or her recommendation respecting the extent to which the individual concerned poses a risk of transferring a controlled good to a person who is neither registered nor exempt from registration and the extent to which, in the Minister’s opinion, the individual ought to be authorized to examine, possess or transfer controlled goods.

Exemptions

Class of Exempt Individuals

• 16 (1) Subject to subsection (2), an individual is exempt from registration if they are a director, an officer or an employee of a person registered to access controlled goods under the International Traffic in Arms Regulations, Title 22, Parts 120-130 of the Code of Federal Regulations (United States).

• (2) An individual is exempt from registration from the day on which they provide to the person registered under these Regulations from whom they will obtain access to the controlled goods

  • (a) evidence of the individual's status as a director, an officer or an employee of the person registered under the regulations referred to in subsection (1);

  • (b) evidence of the registration and eligibility of that person under the International Traffic in Arms Regulations; and

  • (c) evidence of the eligibility of the individual under the International Traffic in Arms Regulations.

• (3) An individual is also exempt from registration if they are an officer, employee or elected or appointed official of the United States federal government or of a state or territorial government of the United States and act in good faith in the course of their duties and employment.

Eligibility for Exemption from Registration

17 A temporary worker, international student or visitor is eligible for exemption from registration only if a registered person submits to the Minister an application on their behalf in accordance with section 18.

Applications for Exemption from Registration

18 A registered person may apply to exempt a temporary worker, international student or visitor from registration by sending to the Minister, on a form supplied by the Minister, an application that contains

• (a) the name of the registered person;

• (b) the name, any previous names, date of birth and citizenships of the temporary worker, international student or visitor;

• (c) in the case of a visitor, their address and the name and address of their employer, if applicable;

• (d) a description, including the country of origin if other than Canada, of the controlled goods that the temporary worker, the international student or the visitor will examine, possess or transfer;

• (e) the expected duration of the temporary worker’s employment or of the international student’s placement with the registered person or the expected duration and purpose of the visit; and

• (f) a statement signed and dated by the designated official, stating that

  • (i) the individual for whom the exemption is being sought meets the requirements of the definition of temporary worker, international student or visitor, as the case may be,

  • (ii) in the case of a temporary worker or international student, the designated official has contacted their personal references, and

  • (iii) the information contained in and accompanying the application is accurate and complete.

• 18.1 (1) An application for exemption from registration shall be accompanied by the consent of the temporary worker, international student or visitor to a security assessment to be conducted in accordance with section 19, including their consent to the disclosure of their personal information to — and its use by — Canadian government entities for the purpose of the assessment, as well as a copy of their valid passport.

• (2) In the case of a temporary worker or international student, the application shall also be accompanied by their consent to the disclosure of their personal information to — and its use by — credit reporting agencies for the purpose of the security assessment, as well as

  • (a) copies of all identity documents issued to them by the Government of Canada or any province;

  • (b) evidence that they are authorized to work or study in Canada, as the case may be, and, in the case of an international student, a document from the academic institution at which they are authorized to study indicating that the work they are doing for the registered person is integral to those studies;

  • (c) personal references;

  • (d) a description, in respect of the five-year period immediately before the day on which they consent to the assessment, of their

    • (i) criminal history,

    • (ii) places of residence,

    • (iii) education and employment history, and

    • (iv) history of international travel outside of Canada and the United States, including any denial of entry into another country; and

  • (e) the original results of a country-wide criminal record check conducted by the relevant authorities in every country other than Canada in which they resided during the period referred to in paragraph (d).

• (3) The temporary worker and the international student shall, on request, provide the designated official with any additional information or evidence that the designated official requires to verify the information provided under subsection (2).

Security Assessments for Temporary Workers, International Students and Visitors

• 19 (1) The Minister shall conduct a security assessment in respect of all temporary workers, international students and visitors in respect of whom an application for exemption from registration has been made under section 18, having regard to the information provided under section 18.1 and any other information that the Minister has reasonable grounds to believe is necessary to make a decision under section 20.

• (2) The purpose of the security assessment is to determine the extent to which the individual being assessed poses a risk of transferring a controlled good to a person who is neither registered nor exempt from registration.

• (3) The registered person shall advise the Minister of any change in any of the information contained in or accompanying an application for exemption within five business days after the day on which the change occurs.

• (4) The Minister shall reconduct a security assessment if new information is received or if there are other reasonable grounds for doing so.

Factor for Consideration

20 The Minister shall, on the basis of the security assessment conducted under section 19, decide whether to approve or deny the application for exemption from registration.

Approval of Application for Exemption

• 21 (1) If the Minister approves an application for exemption, the Minister shall provide a certificate of exemption from registration to the registered person that sets out the period for which the exemption is valid and any conditions under which the temporary worker, the international student or the visitor concerned may examine, possess or transfer controlled goods.

• (2) The registered person shall provide the temporary worker, the international student or the visitor with a copy of the certificate.

Denial of Exemption

22 If the Minister denies an application for exemption, the Minister shall send a notice with reasons for the denial to the registered person.

Period of Validity of Exemption

23 The exemption of an individual from registration is valid for a period not exceeding three years from the date on which the exemption is approved by the Minister.

Non-assignability of Exemption

24 The exemption of an individual from registration is not assignable.

25 [Repealed, SOR/2016-201, s. 15]

26 [Repealed, SOR/2016-201, s. 15]

Suspension and Revocation of Registrations and Exemptions

• 27 (1) If the Minister has reasonable grounds to believe that a registered person or an exempt individual poses an undue risk of transferring a controlled good to a person who is neither registered nor exempt from registration, the Minister shall suspend the registration or the exemption.

• (2) The Minister shall revoke the registration or the exemption if he or she determines that the registered person or the exempt individual poses an undue risk of transferring a controlled good to a person who is neither registered nor exempt from registration and that

  • (a) a material fact was, with the intent to mislead, deliberately omitted from or misstated in the application for registration or exemption or in connection with a security assessment referred to in section 3.1, 12 or 19; or

  • (b) the registered person or the exempt individual is bankrupt.

• (3) The Minister shall reinstate the registration or the exemption if, within 30 days after the date of the notice of suspension or revocation, the registered person makes representations to the Minister that satisfy him or her

  • (a) that there are no longer grounds for the suspension; or

  • (b) that the revocation was unfounded.

• (4) If the registered person does not, in the case of a suspension, meet the requirements of subsection (3), the Minister shall revoke the registration or the exemption.

• (5) The Minister shall provide to the registered person notice with reasons of any decision to suspend or to revoke a registration or exemption, or not to reinstate a revoked registration or exemption despite representations being made, as well as notice of any decision to reinstate a registration or exemption.

• (6) The registered person shall, within one business day after the day on which they receive a notice from the Minister concerning the exemption of a temporary worker, international student or visitor, provide to that individual a copy of the notice.