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Controlled Goods Regulations (SOR/2001-32)

Regulations are current to 2020-01-27 and last amended on 2016-06-22. Previous Versions

Registration and Registered Persons (continued)

[SOR/2016-201, s. 2]

Designated Officials

 An applicant for registration or a registered person may propose to appoint as a designated official only

  • (a) themselves, if they are an individual; or

  • (b) one of their officers, directors or employees who is either a Canadian citizen ordinarily resident in Canada or a permanent resident ordinarily resident in Canada and who has obtained — or will obtain before the appointment is made — any certification required by the Minister.

  • SOR/2016-201, s. 8
  •  (1) A registered person shall ensure that a designated official is subjected to a security assessment in accordance with section 15 before their appointment and at least once every five years.

  • (2) An individual in respect of whom a security assessment is required under subsection (1) shall provide their consent to the security assessment, including their consent to the disclosure of their personal information to — and its use by — Canadian government entities and credit reporting agencies for the purpose of that assessment.

  • (3) The Minister shall, on the basis of the security assessment, accept or reject the individual as a designated official and shall notify the registered person of the acceptance or the reasons for rejection.

  • SOR/2016-201, s. 8

Duties of Designated Officials

 Every registered person shall ensure that the designated official

  • (a) in respect of each officer, director and employee who is not a temporary worker of the registered person and who requires in the course of their duties access to controlled goods,

    • (i) conducts, at least once every five years and with the consent of the individual concerned, including their consent to the disclosure of their personal information to — and its use by — Canadian government entities and credit reporting agencies for the purpose of the assessment, a security assessment in accordance with section 15,

    • (ii) determines, on the basis of the security assessment, 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,

    • (iii) if the designated official is of the opinion that the individual concerned poses a high risk, requests that the Minister conduct his or her own security assessment in respect of the individual concerned and provides to the Minister, for the purpose of carrying out that assessment, all information and evidence obtained by the designated official under subsections 15(2), (4) and (5),

    • (iv) considers any recommendation provided by the Minister under subsection 15.1(2), and

    • (v) decides the extent to which the registered person ought to authorize the individual concerned to examine, possess or transfer controlled goods;

  • (b) verifies the information provided to them by temporary workers, international students and visitors for the purpose of applications for exemption submitted under section 18; and

  • (c) obtains and maintains any certification required by the Minister.

  • SOR/2016-201, s. 9

Scope of Registration

  •  (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.

  • SOR/2016-201, s. 10

Security Assessments

  •  (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.

  • SOR/2010-303, s. 3
  • SOR/2016-201, s. 10
  •  (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.

  • SOR/2016-201, s. 10

Exemptions

Class of Exempt Individuals

  •  (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.

  • SOR/2004-132, s. 2

Eligibility for Exemption from Registration

 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.

  • SOR/2016-201, s. 11

Applications for Exemption from Registration

 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.

  • SOR/2016-201, s. 12
 
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