Controlled Goods Directorate - PUBLICATIONS - Pre-Inspection Self-Assessment Checklist


		ABOUT CGD
		LEGISLATION
		POLICIES AND GUIDELINES
		CGD REGISTRATION
		CGD REGISTRATION SEARCH
		DESIGNATED OFFICIALS
		FORMS
		PUBLICATIONS
		EVENTS
		FAQs
		LINKS

PRE-INSPECTION SELF-ASSESSMENT CHECKLIST

PDF FORMAT: Pre-Inspection Self-Assessment Checklist [43KB]

This checklist provides an indication of, although is not limited to, some of the items that a Controlled Goods Program (CGP) Inspector may verify or inquire about during an inspection. It is at the discretion of the registered business to self-assess the below information prior to the CGP inspection.

Changes to Application

The applicant or registered person shall inform the CGP of any changes of the following information:

The applicant's legal name, business name, address, telephone numbers of any of the places of business in Canada and, if applicable, electronic mail and facsimile numbers
Legal status of the business
The name, residential address and position of any of the directors, officers, partners or proprietors of the business;
The names and addresses of the persons who each own more than 20% of the outstanding voting shares or interests of the business
Telephone number and, if applicable, facsimile number and electronic mail address of the designated official
The controlled goods and/or controlled technology that the applicant intends to examine, possess or transfer and the addresses of the locations where those goods will be kept
The addresses of the locations where the records required by these Regulations will be kept

Security Plan

The CGP Inspector will require a copy of your Security Plan prior to the inspection. Your Security Plan should include the following information:

Procedures to control the examination of controlled goods and/or controlled technology
Procedures to control the possession of controlled goods and/or controlled technology
Procedures to control the transfer of controlled goods and/or controlled technology
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 and/or controlled technology
Contents of training programs given to visitors, officers, directors, employees and temporary workers
Contents of security briefings given to visitors, officers, directors, employees and temporary workers

The purpose of the Security Plan is to ensure adequate security is implemented for the protection of controlled goods.

Record Keeping

Records of receipt of controlled goods
Records of transfer of controlled goods
Records of disposal of controlled goods
Records of employee security assessments (each security assessments should contain personal references; criminal history; in the case of an individual, their places of residence, and their employment and educational histories; and in the case of a corporation or other business, its ownership)

The purpose of record keeping is the ability to track controlled goods; i.e. where the goods came from, where the goods were transferred to, who has had access to the goods and were those individuals security assessed, how were the goods disposed of, etc.

A visitor is not an employee and is not a Canadian citizen or permanent resident ordinarily resident in Canada.

A temporary worker is an employee yet is not a Canadian citizen or permanent resident ordinarily resident in Canada.

Visitors and Temporary Workers

Records of Applications for Exemption for Visitors
Records of Applications for Exemption for Temporary Workers
Records of US Government visitors
Records of visitors from US businesses registered with the International Traffic in Arms Regulations
Records of visitors provided with security briefings
Records of temporary workers provided with training programs

Visitors pose the greatest risk of unauthorized access to controlled goods. The purpose of the CGP vetting these individuals is to ensure appropriate access to controlled goods is granted.

During the course of the inspection, the CGP Inspector may ask for copies of certain documentation.

Visit the CGP Web site at www.cgd.gc.ca for additional information on inspections.





About CGD Legislation Policies and Guidelines Registration Registration Search Designated Officials Forms Publications Events FAQs Links