Security assessments for personnel examining, possessing or transferring controlled goods

Once you or your organization is registered in the Controlled Goods Program, your designated official will conduct security assessments of officers, directors and other employees who need to examine, possess or transfer controlled goods or technology.

On this page

• Why security assessments are required
• Who needs a security assessment
• Who conducts security assessments
• How to conduct a security assessment
• Forms for security assessments
• Decision of security assessment
• Security reassessments
• Validity period for security assessments

Why security assessments are required

Security assessments are required by law for anyone examining, possessing or transferring controlled goods. Through these assessments, the Controlled Goods Program or the designated official determines the extent to which the individual poses a risk of transferring a controlled good to a non-registered or exempt individual.

Who needs a security assessment

All of the following personnel of a business or organization registered in the program must undergo a security assessment before examining, possessing or transferring controlled goods:

• owners
• authorized individuals
• designated officials
• officers
• directors
• employees
• temporary workers
• international students
• visitors

Who conducts security assessments

The Controlled Goods Program conducts security assessments of:

• designated officials
• authorized individuals
• owners
• temporary workers
• international students
• visitors

Once your organization is registered, your designated official conducts security assessments of:

• employees
• officers
• directors

How to conduct a security assessment

Designated officials will learn how to conduct security assessments through training and guidelines provided by the Controlled Goods Program:

• mandatory training for designated officials
• guidelines for conducting security assessments

To conduct a security assessment, the designated official will perform the following steps.

1. Conduct, with the consent of the employee, a security assessment using the security assessment application form

• Learn about conducting security assessments in section 3 of the guideline for designated officials

2. Conduct a risk assessment to determine if the employee poses a risk of unauthorized transfer of controlled goods

• Learn how to assess risk in the mandatory training for designated officials and in section 4 of the guideline for designated officials

3. Authorize or deny access to controlled goods based on the outcome of the security assessment

• Complete a summary of the security assessment using the following template:
  • Security assessment summary by designated official conducting a security assessment of an employee, director or officer

4. Keep records of the most recent security assessment

• Records of the security assessment and supporting documentation—the designated official does not have to submit these records to the Controlled Goods Program, but must keep and maintain these records for a period of two years after the day on which the individual in question ceases to act in that capacity. Files will be reviewed during an inspection to ensure program compliance
• Checklists for security assessment applications—the designated official should consult these lists to ensure that all of the required documents are on file

Forms for security assessments

Complete the security assessment application form for officers, directors and employees

• Download the security assessment application form

Use of Government of Canada security clearances

When conducting a security assessment of an officer, director or employee, you may accept either of the following:

• a federal government security clearance of Secret (Level II) or higher
• a Transport Canada transportation security clearance

How to use Government of Canada security clearances

• Instructions for using Government of Canada security clearances in the guideline for designated officials 

Download the consent to use a Government of Canada security clearance or a Transport Canada transportation security clearance form

• Consent to use a Government of Canada security clearance or a Transport Canada transportation security clearance

Complete the security assessment forms for temporary workers, international students and visitors

Download the security assessment application form for temporary workers and international students

• Security assessment application—temporary worker/international student

Download the visitor application for security assessment and exemption from registration

• Visitor application for security assessment and exemption from registration

Decision of security assessments

Approval of access

By completing this form, the designated official formally advises individuals that they successfully meet the assessment criteria to access controlled goods.

Download the notice of security assessment, authorization and acknowledgement relating to controlled goods form

• Notice of security assessment, authorization and acknowledgement relating to controlled goods

Denial of access

By completing this form, the designated official formally advises individuals that they do not meet the assessment criteria to access controlled goods.

Download the notice of security assessment decision form

• Notice of security assessment decision

Security reassessments

The designated official must conduct a security reassessment upon receiving new or different information about an individual.

Individuals denied access to controlled goods may provide new information that will lead to a security reassessment.

Validity period for security assessments

All security assessments are valid for a period of up to five years and as long as the individual remains with the same organization.