Audit of Atlantic Region Governance

1.0 Introduction

The Citizenship and Immigration Canada (CIC) Risk‑Based Audit Plan for 2010–2013 identified the need for an audit of governance in the Atlantic Region. The Risk‑Based Audit Plan identified audit and advisory engagements to be undertaken during the current year based on a combination of departmental priorities and risks. This audit covered all areas of governance and risk management in the Atlantic Region. The on‑site field work was conducted from July 6 to 7, 2010.

1.1 Background

CIC is responsible for the selection and processing of applications for temporary or permanent residence, and for helping newcomers to Canada adapt to Canadian society and become citizens. The key pieces of legislation governing the Department are the Department of Citizenship and Immigration Act (1994), the Immigration and Refugee Protection Act (IRPA, 2002), the Citizenship Act (1977) and the Canadian Multiculturalism Act (1988).

Through the Assistant Deputy Minister of Operations, the Operations Sector delivers CIC programs. The Atlantic Region is one of the domestic regions in the Operations Sector that handles program delivery. Domestically, this translates into the following operational business lines: the Immigration Program, the Temporary Resident Program, the Refugee Program, the Integration Program, the Citizenship Program and the Multiculturalism Program. All of these programs are discussed in greater detail in the following sections.

1.1.1 Immigration Program

Permanent residents

IRPA lists four specific classes under which people may apply for permanent residence from within Canada: live‑in caregiver, permit holders, protected persons and spouse/common‑law partners.

Any foreign national in Canada who does not meet the criteria for eligibility under any of the four permanent resident classes or who is inadmissible may request an exemption from any legislative or regulatory requirement on humanitarian and compassionate (H&C) grounds.

Applications for permanent residence in Canada are submitted through the Case Processing Centre in Vegreville (CPC‑V). When CPC‑V cannot process or conclude a case, it refers the case to a local CIC office in one of the five domestic regions for processing, based on specific referral criteria. In most cases, applicants pay all of their fees when they send their applications to the CPC, but local offices accept payment in the form of cash, credit card or money orders.

Business immigration – Entrepreneur Program

There are three separate programs within business immigration: the Self‑Employed Persons Program, the Immigrant Investor Program and the Entrepreneur Program. The Entrepreneur Program is the only program of the three with implications for domestic regions. Entrepreneurs are selected overseas; the conditions imposed on them are monitored by inland offices in the domestic regions. Entrepreneurs are granted permanent residence but must meet the conditions imposed on them for at least one year. Once entrepreneurs have met the conditions, they must apply to have the conditions cancelled.

Currently, there are both “pre‑” and “post‑IRPA” entrepreneurs being monitored in Canada. Pre‑IRPA entrepreneurs have two years to meet the terms and conditions; post‑IRPA entrepreneurs have three years to do so.

Permanent resident cards

Since IRPA came into effect on June 28, 2002, new permanent residents have received a PR card within weeks of becoming permanent residents. New immigrants selected under IRPA are automatically processed for a PR card as part of their application for permanent residence. Permanent residents who were landed before IRPA came into effect must apply for a PR card.

Applications for PR cards are sent to the CPC in Sydney, Nova Scotia (CPC‑S), for processing. A separate facility produces the actual cards. Once applications have been processed and the cards are produced, the cards are sent directly to the permanent residents in the case of post‑IRPA applicants. PR cards for pre‑IRPA applicants and PR card renewals are sent to local CIC offices in the regions, which then distribute them to clients. Local CIC offices also handle photo retakes and signature corrections for cards with errors. CPC‑S also refers cases to local offices for decisions about the residency obligation whenever an applicant’s eligibility for permanent residence is questionable and whenever follow‑up with the applicant is required.

1.1.2 Temporary Resident Program

Temporary residents

Temporary residents include workers, students, visitors and temporary resident permit holders. Temporary residents may apply to extend their permit or change their status as temporary residents in Canada beyond the initially granted period of stay.

CPC‑V processes applications for temporary residence extensions. Only cases requiring further clarification are referred to local offices in the regions.

1.1.3 Refugee Program

Inland refugee processing

A claim for refugee protection can be made at any port of entry or at any CIC office in Canada. The role of the CIC officer, when the claim is presented inland, is to determine whether a person is eligible to have a claim assessed by the Immigration and Refugee Board (IRB). Since the final determination for the applicant is made by the IRB and not by CIC, this type of processing is also called refugee “intake,” a type of pre‑screening of claimants for the IRB.

CIC officers refer eligible claimants to the IRB for final determination and ineligible claimants to the Canada Border Services Agency (CBSA) for removal from Canada. If the IRB determines that a claimant is a Convention refugee or a person in need of protection, the person returns to CIC for processing as a permanent resident in the same way as all other applicants for permanent residence.

Pre‑removal risk assessment

The Pre‑Removal Risk Assessment (PRRA) process is triggered by the issuing of a removal order by the CBSA. The CBSA sends the individual who is the subject of the removal order a notice informing them that they can apply for PRRA, along with the application and the address of the CIC office where they should send the application. There is no fee for applying for PRRA.

The PRRA is used to evaluate the risk that individuals face upon returning to their country. Anyone awaiting removal from Canada who alleges risk of persecution, torture, or cruel and unusual treatment or punishment if returned to their country of nationality or former residence will not be removed prior to a risk assessment.

PRRA officers assess the risk that applicants would face upon return to their country of origin. If a PRRA officer determines that an individual does not face any risk in returning to that country, the individual will be removed. If a PRRA officer determines that an individual does face a risk, the individual receives the same protection as that offered through the IRB process.

1.1.4 Integration Program

Through the Integration Program, CIC delivers services to help newcomers to Canada adapt. These services are delivered through contribution agreements with service providers. Contribution agreements with service provider organizations are generally managed by local citizenship and immigration centres.

Resettlement services are offered through the Resettlement Assistance Program (RAP), which helps refugees and protected persons resettle in Canada by providing them with financial assistance to cover the costs of accommodations, essential clothing, household effects and other living expenses. It is also delivered through contribution agreements with service provider organizations. Resettlement services are provided in all provinces and territories across Canada except Quebec.

Because of agreements between the federal government and certain provinces, the extent to which each region delivers these programs varies. Settlement services are administered by CIC in all provinces and territories except Quebec, British Columbia and Manitoba where the provinces are responsible for the delivery of these services. British Columbia and Manitoba receive funding from CIC through alternative funding arrangements for settlement programming. Under these funding arrangements, the provinces are responsible for the design, administration and delivery of settlement services to newcomers within their respective jurisdictions. While agreements on settlement services do exist with two other provinces (Ontario and Alberta), CIC retains responsibility for program delivery.

1.1.5 Citizenship Program

Applications for granting and proof of citizenship are two major lines of business of the Citizenship Program. Other application types include applications to register and retain citizenship, and applications to renounce or resume citizenship.

Applications for Canadian citizenship are sent to CPC‑S, which ensures that all required documents and fees are submitted with the application. Once the application is processed, it is forwarded to the local CIC office in the region closest to where the applicant lives. The local office reviews the application to determine whether the applicant meets residency, criminality and security requirements. In addition, the office administers language and knowledge tests and, when necessary, arranges interviews with a citizenship judge. The final stage in granting citizenship occurs at a citizenship ceremony, where the applicant takes the oath of Canadian citizenship and receives the certificate of citizenship.

1.1.6 Multiculturalism Program

In October 2008, responsibility for the Multiculturalism Program was transferred to CIC. Multiculturalism fosters increased intercultural understanding and supports the goal of Canadians living in a society where they are treated fairly and equitably, regardless of their background. The Multiculturalism Program draws its mandate from the Canadian Multiculturalism Act and the multiculturalism policy embedded in it.

The program provides financial support through grants and contributions to Canadian not‑for‑profit organizations and individuals to address issues affecting ethnocultural communities, to enhance their participation in society, to address racism and discrimination, and to improve cross‑cultural understanding. It also supports projects that will lead to institutional change so that barriers are addressed with policies and practices that are inclusive and sustainable. The delivery of these activities is ensured through local CICs.

1.1.7 Atlantic Region – Organization

The Atlantic Region is headed by a regional director general (RDG), who reports to the ADM of Operations.

The Region consists of a regional headquarters in Halifax and six inland offices. The Programs, Communications, Finance and Administration, and Human Resources units are located at regional headquarters and support the RDG and regional operations. The six inland offices deliver the full range of CIC programs in the Atlantic provinces:

• Halifax, Nova Scotia
• Charlottetown, Prince Edward Island
• St. John’s, Newfoundland and Labrador
• Fredericton, New Brunswick
• Moncton, New Brunswick
• Saint John, New Brunswick

The Halifax local office is the regional centre for PRRAs. The Moncton office is the regional centre for the Citizenship Program and also houses the regional Temporary Foreign Worker Unit.

Table 1. Overview of the Atlantic Region Management Areas

¹This does not include term and casual employees, or co‑op students.

Source: Atlantic Region Finance (August 2010)

1.2 Environmental context

This section of the report highlights some of the operating environment issues facing the Region. They are presented here for information only and are in no particular order.

• Capacity and depth: The Atlantic Region is a geographically dispersed region covering four provinces. Approximately 85 staff members located in seven offices (one regional office and six local offices) deliver a full program of CIC services. This has always been a challenge for HR needs in small offices where staff must multi-task. For example, two local offices have only two officers. The Region has limited capacity to respond to major changes such as new program demands or unanticipated staff losses, and its capacity to respond to official language expectations remains a concern in some offices. The increasing profile of immigration in all four Atlantic provinces and the demands of new partnerships with municipalities, official language minority communities, the Atlantic Canada Opportunities Agency, the CBSA, the private sector, etc. continue to challenge management’s capacity to respond to the many demands.
• Training: Because of the Region’s size, it often cannot provide mandatory training on site, particularly operational training. The high cost of having many people travel to attend training reduces the funds available for other aspects of operations and maintenance and represents a significant draw on the Region’s travel cap. In the last two years, however, the Region was able to bring a trainer to Halifax. Given the geographic dispersion of the region, there will always be significant demands associated with travel for training.
• Grants and contributions: Management and accountability associated with grants and contributions are changing rapidly and significantly at CIC. Funding for integration programs has increased substantially, which has increased pressure to demonstrate accountability and sound management of contribution funding. Funding for settlement services (CIC, provinces, labour market agreements, etc.) will require close attention and partnering to ensure that services are comparable and are not duplicated.
• Partners: Investment on the part of partners/stakeholders across the Region, including official language minority communities, is uneven. This resulted in uneven and/or uncoordinated pressure and influence on immigration and is challenging the delivery mechanisms and resources.
• Multiculturalism: If partnerships are not successful, it may have a negative effect on the Multicultural program and affect the CIC “brand.”

1.3 Audit objectives

The objective of this audit was to assess the adequacy of the governance framework and of risk management processes and practices in the Region.

1.4 Audit criteria

The criteria for both lines of enquiry for this audit are based on the Management Accountability Framework and on relevant Treasury Board and CIC policies on risk management. The detailed audit criteria are presented in Appendix C.

1.5 Audit‑risk assessment

As part of the planning process, the Atlantic Region was analysed against the MAF elements from an audit‑risk perspective. The MAF elements presenting a high and medium risk were then selected for review. The high risk elements are as follows:

Governance and strategic direction

• There was a risk that the Region’s business plan was not in line with CIC’s Strategic Plan and Integrated Corporate Plan, which could affect the Region’s ability to deliver on its key commitments.

Public service values

• Little information was available on the structures in place to support the promotion of public service values in CIC’s Atlantic Region.

Results and performance

• The absence of operational plans to support the delivery of programs or implementation of the business plan in the Atlantic Region increased the risk that planned results and performance objectives had not been clearly established and that performance may not have been adequately measured.

People

• In the Atlantic Region, because of the number of vacant and acting positions, there was a risk that the Region did not have the people or work environment for adequate service delivery. These circumstances may also have contributed to the loss of corporate knowledge.

Risk management

• The documentation received did not provide sufficient assurance that risks identified in the regional business plan were monitored regularly. No clear milestones were apparent.

1.6 Audit scope

The audit covered governance processes and risk management practices in the Atlantic Region in fiscal year 2009–10 and part of 2010–11.

1.7 Audit methodology

The audit covered two lines of enquiry: governance processes and risk management practices. We interviewed management and staff, and analysed key documentation on governance and risk management processes and practices. The on‑site field work was conducted from July 6 to 7, 2010.

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