Compliance Framework

GENERAL INFORMATION

1. General. This section provides instructions, guidelines and clarifications on the necessary requirements to access controlled goods.

2. Definitions and Descriptions. For a better understanding of the legislation, regulations, policies, directives and guidelines associated with controlled goods such as Controlled Goods Regulations CGR, Defence Administrative Orders and Directives DAOD, Defence Production Act DPA, etc., see Part 1 Section 2 of the CTAT Manual.

3. Explanations of the references used such as Canadian Government Cataloguing System CGCS, Export Control List ECL, United States Munitions List USML, etc., are available in Part 1 Section 3 of the CTAT Manual.

4. Definitions and descriptions of specific terms such as controlled goods, Technical Data (TD), etc., are available in alphabetical order in Part 1 Section 4 of the Controlled Technology Access and Transfer CTAT Manual.

5. Responsibilities. Responsibilities for each party involved in determining who is authorized to access controlled goods are defined in Part 1 Section 5 of the CTAT Manual.

INTRODUCTION

6. Under the functional authority of the Assistant Deputy Minister of Materiel ADM(Mat), the CTAT office acts as the Department of Defence or Canadian Forces Office of Primary Interest (DND/CAF OPI) for the management of controlled goods and has established/recommended the policies and procedures by which controlled goods should be managed within DND/CAF in order to respect applicable statutes, regulations, directives and policies.

7. The CTAT Office monitors compliance and provides expert advice, support and assistance to DND/CAF personnel on the management and safeguarding of Controlled Goods (CG).

8. The Strategy and Compliance (S&C) Section is responsible for monitoring departmental compliance with these regulations, policies, directives and standards related to the management, and the safeguarding of controlled goods in DND’s inventory. The CTAT office will act in a compliant role, offering valuable advice and enforcement assistance enabling compliance with these policies, directives and standards. Please refer to Part 1, Section 2 of the CTAT Manual for a brief description of the relevant regulatory documents, including the DAOD 3003 that brings together the requirements of the Defence Production Act (DPA), the Controlled Goods Regulations (CGR), the International Traffic in Arms Regulations (ITAR), the Exchange of Letters (EOL) and the Treasury Board Directive (TBD) on controlled goods into a single source document.

CONTEXT

9. The Strategy and Compliance section (S&C) monitors DND’s compliance with CG regulations, policies and directives. This is accomplished through activities such as the certification process for all DND/CAF personnel and embedded contractors, the loss or compromise reporting requirement, the identification and marking of technical data and assistance visits to DND sites where controlled goods are kept. The Strategic and Compliance section (S&C) maintains a number of databases and other tools to help monitor such activities.

RISK

10. Organisational. DND’s access to foreign origin controlled goods depends upon the trust and confidence that our allies have in our ability to manage and safeguard their controlled goods. Non-compliance with Canadian laws, foreign export control regulations and DND’s contractual obligations can pose an unacceptable risk to the DND’s ability to access foreign origin controlled goods, particularly those of U.S. origin controlled under the ITAR. Loss of access to cutting edge technology would significantly reduce the CAF’s ability to fulfill its mandate and would put Canada’s national security at risk.

11. Project. Non compliance with tested policies and procedures in an attempt to save time most often creates long lasting and chronic delays.

12. Personal. Non compliance with DND or Treasury Board Secretariat (TBS) policy can result in administrative or disciplinary action. Non-compliance with domestic regulations can result in criminal proceedings.

OBJECTIVE

13. The S&C section has developed and is implementing strategies for monitoring and reporting on each unit in DND with access to controlled technology. S&C will monitor compliance with policy by conducting a compliance assistance visit and notify responsible Level One Advisor (L1) chains of command for the correction of deficiencies.

14. The compliance assistance visits will assess and monitor compliance in the management of controlled goods within DND to prevent unauthorized examination,

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