Audit of Prairies and Northern Territories Region Governance

Audit Report
Internal Audit and Accountability Branch
Citizenship and Immigration Canada
October 2010

Table of Contents

• Acronyms
• Executive Summary
• 1.0 Introduction
  • 1.1 Background
  • 1.2 Audit Objectives
  • 1.3 Audit Criteria
  • 1.4 Audit Risk Assessment
  • 1.5 Audit Scope
  • 1.6 Audit Methodology
• 2.0 Audit Conclusions
• 3.0 Observations and Recommendations
  • 3.1 Governance Processes
  • 3.2 Risk Management
• Appendix A: Prairies and Northern Territories Region Organizational Chart
• Appendix B: Summary of Prairies and Northern Territories Region Productivity Versus the CIC Network
• Appendix C: Detailed Criteria for the Audit
• Appendix D: Prairies and Northern Territories Region Committee Structure
• Appendix E: Committee Membership
• Appendix F: Management Action Plan
• Appendix G: Audit Time Line

Acronyms

Executive Summary

The 2009–2010 risk-based audit plan of Citizenship and Immigration Canada’s (CIC) Internal Audit and Accountability Branch included an audit of the governance of the Prairies and Northern Territories (PNT) Region. The audit focused on the governance framework and risk management processes in place. The PNT Region was selected as a result of our analysis of operational risk factors from an audit perspective. The on-site field work was conducted from March 22 to March 24, 2010.

The audit was conducted to be in accordance with the Government of Canada’s Policy on Internal Audit and the professional practice standards of the Institute of Internal Auditors.

CIC is responsible for the selection and processing of applications to come to Canada on a temporary or permanent basis, and helping newcomers to Canada adapt to Canadian society and become citizens. The Operations sector, through the Assistant Deputy Minister of Operations, is responsible for the delivery of CIC programs. The PNT Region is one of five domestic regions of the CIC Operations sector, which deals with program delivery.

The objective of the audit was to assess the adequacy of the governance framework and the risk management processes in the Region. The audit consisted of two lines of enquiry: governance processes and risk management processes. The audit scope covered the PNT Region’s governance processes, including governance and strategic direction, accountability, values and ethics and results and performance, and risk management processes.

The audit concluded that the Region had an adequate governance framework and risk management processes in place to manage its operations. The Region’s governance framework met our expectations, while the risk management processes only partially met them. However, we did identify some areas where practices and processes could be strengthened.

The audit recommends that the Regional Director General (RDG):

• ensure that the intranet is fully populated with information that is relevant and useful to regional staff;
• ensure that the operational work plans and the business plan have clearly defined and measurable performance measures;
• ensure that a mechanism is implemented to track and report on the status of the operational work plans and the business plan; and
• document the Region’s risk management process, including the identification of key risks, and ongoing monitoring and review as part of the planning and resource allocation process.

The following report provides detailed observations and recommendations. Management’s responses and action plan, along with the proposed implementation dates for the recommendations, are included.

1.0 Introduction

The 2009–2010 risk-based audit plan of CIC’s Internal Audit and Accountability Branch includes the conduct of audits of governance. These audits focus on the governance framework and risk management processes in place. The PNT Region was selected as a result of our analysis of operational risk factors from an audit perspective. The on-site field work was conducted from March 22 to March 24, 2010.

1.1 Background

In 2003, the Treasury Board Secretariat (TBS) introduced the Management Accountability Framework (MAF) to provide a basis for bilateral discussions between deputy heads and the Secretary of the Treasury Board to identify and agree on management issues requiring priority attention. The framework sets out expectations for management on how to achieve the intended results. Accordingly, the CIC Internal Audit and Accountability Branch uses the MAF components as the basis for criteria in its audits.

1.1.1 About the Department

CIC is responsible for the selection and processing of applications for temporary or permanent residence, and helping newcomers to Canada adapt to Canadian society and become citizens. Key legislation empowering the Department includes the Department of Citizenship and Immigration Act (1994), the Immigration and Refugee Protection Act (IRPA, 2002) and the Citizenship Act (1977). The Operations sector, through the Assistant Deputy Minister of Operations, is responsible for the delivery of CIC programs. The PNT Region is one of the domestic regions of the CIC Operations sector, which deals with program delivery. Domestically, this translates into six operational business lines: the immigration program, the temporary resident program, the refugee program, the integration program, the citizenship program, and the multiculturalism program. All these programs are discussed in greater detail in the following sections.

1.1.1.1 Immigration Program

Permanent Residents

IRPA lists four specific classes (Live-in Caregiver, Permit Holders, Protected Persons and Spouse/Common-Law Partners) under which a person may apply for permanent residence from within Canada.

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 requirements on humanitarian and compassionate grounds.

Applications for permanent residence in Canada are submitted through the Case Processing Centre (CPC) in Vegreville (CPC-V). When CPC-V cannot process or conclude on a case, it is referred to a local CIC office in one of the five domestic geographic regions for processing based on specific referral criteria. In most cases, all fees are paid by applicants 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: self-employed, investor and entrepreneur. The entrepreneur program is the only program of the three with implications for domestic regions. The selection of entrepreneurs is done overseas while the monitoring of conditions imposed on entrepreneurs is done by inland offices in domestic regions. Entrepreneurs are granted permanent residence but must meet the conditions imposed on them for a period of at least one year. Once entrepreneurs have satisfied the conditions, they are required to apply to have the conditions cancelled.

Currently, there are both pre-IRPA and post-IRPA cases being monitored in Canada. Pre-IRPA cases have two years to meet the terms and conditions while post-IRPA cases have three years to do so.

Permanent Resident Cards

Since IRPA came into effect on June 28, 2002, new permanent residents of Canada have been provided with a permanent resident (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 the new Act came into effect (pre-IRPA) are required to apply for a PR card.

Applications for PR cards are sent to CPC-Sydney (CPC-S) in Nova Scotia where they are processed. A separate card production facility produces the actual card. Once the application has been processed and the card is produced, it is sent directly to the permanent resident in the case of "post-IRPA" applicants, while PR cards for "pre-IRPA" applicants and PR card renewals are sent to the local CIC office for distribution to the client. Local CIC offices in the regions are responsible for distributing the PR cards to clients as well as photo retakes and signature corrections for cards with errors. CPC-S also refers cases to the local office for residency obligation decisions whenever the applicant's eligibility for permanent residence is questionable and follow-up with the applicant is required.

1.1.1.2 Temporary Resident Program

Temporary Residents

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

Applications for temporary residence extensions are processed by CPC-V and only those cases requiring further clarification are referred to local offices in the regions.

1.1.1.3 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 or not 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 CIC, this type of processing has also been 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 people to the Canada Border Services Agency (CBSA) for removal from Canada. A person who has been determined by the IRB to be a Convention refugee or a person in need of protection 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 execution of a removal order issued by the CBSA. A CBSA officer sends a Notification Regarding PRRA to individuals facing a removal order with the accompanying application and the address of the CIC office where they should send their application. There are no fees associated with a PRRA application.

The PRRA is used to evaluate the risk that individuals face upon returning to their country. Any person 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 decision makers are responsible for assessing the risk applicants would face upon return to their country of origin. If the PRRA officer determines that there are no risks for the individual in returning to that country, the person will be removed. Under a positive determination, the PRRA offers the same protection as the IRB process.

1.1.1.4 Integration Program

The settlement program is designed to deliver services to help newcomers to Canada adapt. These programs are delivered through contribution agreements with service providers. Contribution agreements with service provider organizations are generally managed by local Citizenship and Immigration centres.

The resettlement program offers related services exclusively to refugees and is delivered through the Resettlement Assistance Program (RAP). This program, intended to facilitate the resettlement of refugees in Canada, is also delivered through contribution agreements with service provider organizations. Resettlement services are provided in all provinces and territories across Canada except Quebec.

Due to agreements between the federal government and certain provinces, there is variation in the extent to which each domestic region delivers these programs. Settlement services are administered by the Department in all provinces and territories across Canada 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 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.

1.1.1.5 Citizenship Program

Applications for citizenship 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 CIC local office in the region closest to where the applicant lives. The local office reviews the application to determine if 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 Canadian Citizenship.

1.1.1.6 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 Canadian multiculturalism policy embedded in the Act.

The program provides financial support through grants and contributions to Canadian not-for-profit organizations and individuals to address issues affecting ethnocultural communities, enhance their participation in society, address racism and discrimination and 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 Citizenship and Immigration centres.

1.1.2 Prairies and Northern Territories Region – Organization

The PNT Region is comprised of regional headquarters and a network of local offices that offer a variety of services across the provinces of Manitoba, Saskatchewan and Alberta, and the Nunavut and Northwest Territories. Appendix A illustrates the Region’s organizational chart while table 1 below provides an overview of the Region by management area.

Note. Figures based on PNT 2009–2010 initial budget allocation, which does not include in-year transfers. Budgets are allocated annually based on approved operational plans. As well, budgets for regional training, regional headquarters common costs and the regional settlement accountability framework are allocated to the Human Resources, Finance and Administration, and Programs branches respectively.

Regional headquarters are comprised of the following directorates that support regional operations:

• Office of the RDG – Provides overall direction for the Region and expertise in planning, risk management and reporting services in the Region.
• Finance and Administration – Supports regional operations through the provision of corporate services in the areas of finance and administration.
• Human Resources – Provides human resources services to the Region.
• Information Management and Technology – Provides information management and technology services to the Region.
• Communications – Provides the communication expertise for the Region.
• Programs – Provides policy expertise on operations.

Local offices are included in the Operations Directorate, which provides the citizenship and immigration services to the public described in section 1.1.1 above. These offices are:

• Winnipeg
• Saskatoon
• Regina
• Calgary
• Edmonton
• Lethbridge
• Yellowknife

1.1.3 Environmental Context

The PNT Region serves Nunavut and the Northwest Territories as well as the provinces of Alberta, Saskatchewan and Manitoba. Our regional headquarters, located in Winnipeg, is comprised of the RDG’s Office, Human Resources, Communications, Finance and Administration, Information Technology and Programs.

The PNT Region’s Citizenship and Immigration centres are located in Calgary, Edmonton, Regina, Saskatoon and Winnipeg, with satellite offices in Yellowknife and Lethbridge.

In 2009–2010, the PNT Region:

• landed 2,686 people (2009 calendar year);
• rendered 3,540 decisions on applications for permanent residence (2009 calendar year);
• issued 20,484 permanent residence cards;
• processed 3,243 refugee claims;
• granted citizenship to 23,039 people; and
• provided over $108.7 million in funding for integration programs, including settlement, resettlement and multiculturalism.

In the past 10 years, the PNT Region’s immigration population has grown significantly largely due to the efforts of the provincial and territorial governments in utilizing their Provincial Nominee Program to meet their own economic and labour market needs.

1.2 Audit Objectives

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

1.3 Audit Criteria

The criteria used in the audit are based on the MAF produced by the Treasury Board of Canada as well as relevant Treasury Board and CIC legislation, policies and directives. The detailed criteria for the audit are presented in Appendix C.

1.4 Audit Risk Assessment

As part of the planning process, the PNT Region was analysed against the MAF elements from an audit risk perspective. Following that assessment, the MAF elements with the highest risk were selected for review. The list of elements can also be found in Appendix C. The key areas included in the examination and the corresponding risks were as follows.

Governance and Strategic Direction

• The Treasury Board did not assess CIC in this area in Round VII, which may have increased the risk that this element of the MAF was overlooked.
• There was a risk that the Regional Business Plan was not in line with CIC’s Strategic Plan and Integrated Corporate Plan, which could affect the Region’s ability to deliver its key commitments.

Accountability

• The Treasury Board did not assess CIC in this area in Round VII. However, the Department received a strong rating in Round VI which remains.
• With little information received about accountability processes within the PNT Region, this area was considered to be of medium risk.

Public Service Values

• Regionally, little information was available on the structures in place to support the promotion of public service values.;

Results and Performance

• Again, the Treasury Board did not assess CIC in this area in Round VII, which may have increased the risk that this element of the MAF was overlooked.
• The absence of current operational work plans to support the delivery of programs or the business plan within the PNT Region increased the risk that planned results and performance objectives had not been clearly established, and that performance may not have been adequately measured.

Risk Management

• Although the Treasury Board found the Department to be acceptable with regard to corporate risk management, there has been no assessment made regionally.
• At the planning phase, no documentation was provided on the Region’s risks and the management thereof.

1.5 Audit Scope

The audit consisted of two lines of enquiry: governance processes and risk management processes. The audit scope covered the PNT Region’s governance processes, including governance and strategic direction, accountability, values and ethics and results and performance, and risk management processes.

1.6 Audit Methodology

As part of our examination of the governance framework and risk management processes, we interviewed staff, reviewed and analysed key governance and risk documents, and documented processes.

The audit was conducted to be in accordance with the Government of Canada’s Policy on Internal Audit and the professional practice standards of the Institute of Internal Auditors.

2.0 Audit Conclusions

The audit concluded that the Region had an adequate governance framework and risk management processes in place to manage its operations. The Region’s governance framework met our expectations, while the risk management processes only partially met them. However, we did identify some areas where practices and processes could be strengthened. Our detailed observations and recommendations are discussed in the following sections of the report.

3.0 Observations and Recommendations

3.1 Governance Processes

The audit examined four areas of the governance process. These were governance and strategic direction, accountability, values and ethics, and results and performance. We expected to find that a clearly articulated plan was in place, accountabilities were appropriate, values and ethics were promoted, and information on results was gathered, used to make decisions and reported.

Overall, we found that the governance processes in place in the Region met our expectations.

3.1.1 Governance and Strategic Direction

In reviewing governance and strategic direction, we expected that operational plans would be in place to achieve the objectives and that communication protocols existed for internal and external stakeholders.

The audit found that governance and strategic direction in the Region met our expectations. However, we observed one area requiring improvement.

We found that the Region had a business plan in place for 2010–2011 that supported the Operations Sector Plan, which in turn reflects departmental priorities and supports CIC’s Integrated Corporate Plan. Regional management worked as a team to ensure that linkages existed between high-level departmental priorities and those of operational work plan objectives. The Region’s business plan was created with reference to the high-level priorities provided by the sector and based on input from the regional directorates’ operational work plans. The directorates used the high-level priorities to develop their work plans, which were then rolled up into the regional business plan.

We also found that appropriate communication protocols existed for external stakeholders. There is ongoing communication through formal and informal meetings at many levels within the regional organization. For key partners, communication protocols are embedded in agreements. Management indicated that the current communication protocols with external stakeholders were adequate for their needs.

Internal communication protocols are also appropriate. Information is disseminated internally through management and staff meetings, and existing tools such as e-mail, intranet and newsletters. One regional communication tool, the intranet, requires some improvement.

The Region recently implemented an intranet that is a regional version of the national intranet—“CIC Connexion.” While the site is a very useful communication tool that serves to keep staff informed about the regional organization, including telephone directories, information on local offices and employees, and recent program events among other topics, some key information is missing. We encourage the Region to continue to populate its intranet with relevant information, including material related to:

• governance (organizational charts, committee information, listing of committees, terms of reference, minutes);
• human resources (orientation, policies, procedures, training);
• finance (commonly used policies and procedures); and
• programs (links to bulletins and other technical information).

3.1.2 Accountability

In reviewing accountability, we expected that a clear organizational structure would be established and documented and that processes existed to ensure that accountabilities and responsibilities were clearly delegated, communicated and adequately discharged.

The audit found that accountability in the Region met our expectations.

Our examination of the processes to ensure accountability included reviewing the regional organizational chart, interviewing management, scanning the orientation information available on the regional intranet site, and reviewing the regional training plan.

We found that there was a clear documented organizational structure in place in the Region to manage operations (see Appendix A). Furthermore, the Region has supplemented this structure with the establishment of a corporate committee structure (see Appendix D). The structure, membership (see Appendix E), terms of reference and accountabilities of the main committees of the PNT Region are appropriate.

Management told us that goals and objectives were communicated to each employee during the annual performance review process and that performance was evaluated at a minimum on an annual basis. Management staff who report directly to the RDG each have a performance agreement on which they are evaluated twice a year. The Region also receives processing targets from the Operations sector. The achievement of these targets is delegated by regional headquarters to the CIC area offices and the area directors are asked to report on their achievement of the targets on a regular basis.

As noted in 3.1.1, the Region is currently populating a new intranet site. Our review of the regional intranet indicated that the site was lacking orientation, program and human resources information that would assist in clarifying roles and responsibilities to staff. This observation is similar to that in 3.1.1 (Governance and Strategic Direction) and is covered in Recommendation 1.

The PNT Region also supports the communication of accountabilities by providing work-related training to staff. We examined the Region’s training plan for 2009–2010 and found that courses were provided to regional staff in line with the Department’s mandatory learning plans for some positions (e.g., PM-3 Citizenship Officer, Inland Officer, Settlement Officer and middle managers). Accordingly, the Region has processes in place to ensure that accountabilities and responsibilities are clearly delegated, communicated and adequately discharged, except for the lack of orientation, program and human resources information available to staff on its intranet as noted above.

3.1.3 Values and Ethics

As part of our audit in this area, we expected to find that management promoted values and ethics.

We found that management supported the promotion of values and ethics in the Region. The Region has a values and ethics champion (previously two co-champions) who prepared a comprehensive values and ethics manual for the Region. The manual is accessible in electronic format to all regional employees and is also provided in hard copy format to new employees. In addition, we were told that discussions related to values and ethics took place periodically at various meetings in the Region, some being documented and others not. We saw evidence of these discussions at one Regional Management Team (RMT) meeting only.

We encourage the Region to continue to promote values and ethics to staff on a regular basis through periodic updating of the manual, and regular discussion of cases and issues in staff and management meetings and communications from management.

3.1.4 Results and Performance

In auditing this area, we expected to find that processes existed to ensure that planned results and outcomes were linked to organizational objectives, that management had identified appropriate measures linked to planned results, and that management monitored performance against planned results and adjusted as necessary.

We found that the Region met audit expectations with respect to results and performance. However, we observed two areas requiring improvement.

We reviewed the Region’s business plan and operational work plans for 2010–2011 and compared them to the Department’s higher-level plans: the Operations Sector Plan and the CIC Integrated Corporate Plan. As mentioned in Section 3.1.1 (Governance and Strategic Direction), we found that the Region’s plans were aligned with the strategic goals and priorities of the Department. The lower-level plans—the operational work plans of the regional directorates—each include an action plan to assist the Operations sector in achieving one or more of the 12 sector commitments, as well as an action plan to address the Region’s business priorities and the directorate’s business line priorities. The sector commitments support the Department’s strategic goals, which are the main subject matter of the Integrated Corporate Plan. The regional business plan is an amalgamation of the operational work plans and includes a reference (link) to the Department’s strategic goals.

We understand that the Region is working to strengthen its planning process as operational work plans were not always prepared in the past. The work plans provided appeared to be draft versions as one sector commitment and one regional business priority did not match the final regional business plan. Some of the plans lacked performance measures or had performance measures that were not clearly defined or measurable. For instance, we saw performance measures listed that were the desired end state, such as “SOP [Standard Operating Procedures] adopted and understood,” with no indication of how this end state will be measured. Without clearly defined and measurable performance measures, it will be difficult for the Region to ensure that it is capturing the appropriate information to report on the status of its work plans and business plan.

We found that the Region did monitor and report on results in a number of ways. It reports monthly to national headquarters (NHQ) on workloads, inventories and priorities and quarterly on key commitments. In addition, the Region reports quarterly to the Operations sector on its contributions to sector commitments and also produces a number of other reports for NHQ. Moreover, the RDG meets with direct reports at monthly bilateral meetings, likely covering the achievement of objectives and conducts a review of progress against performance management agreements twice a year. Generally, the results of these meetings are not documented.

However, there was no evidence of a monitoring or reporting mechanism that will be used to track performance against the regional priorities and the business line priorities. Without a defined mechanism to track and report on the status of its operational work plans and its business plan, the Region will not have the information it needs for strategic decision making to achieve its goals.

3.2 Risk Management

As part of the audit of regional governance in the PNT Region, we examined the adequacy of risk management processes and practices in place to support the achievement of the Region’s objectives. We expected to see that processes were in place to identify, assess, mitigate and monitor risks, that management appropriately communicated risk and risk management strategies to key stakeholders, and that planning and resource allocation considered risk information.

We found that the Region’s risk management processes partially met our expectations. However, we observed one area requiring improvement.

The Integrated Risk Management Framework produced by the TBS and the Integrated Risk Management Reference Guide produced by CIC set the expectation that managers would:

• Identify – risks and opportunities in the environment;
• Assess – the risks to estimate the probability of occurrence and their likely impact;
• Prioritize –risks in terms of importance to allow the organization to establish risk tolerance levels and identify when management action is required;
• Mitigate – risks in areas that exceed risk tolerance levels by developing a plan of action; and
• Monitor and review – the environment to ensure that risk information is still current.

Management and staff apply the principles of integrated risk management on an ongoing basis as they conduct their day-to-day operations. Staff identify, assess and prioritize risks as they arise. Managers and supervisors hold ongoing discussions about risks and mitigation strategies and what should be reported to senior management. Monitoring and reviews of the environment are continuous. Risk is also discussed at team meetings, bilateral management meetings and RMT meetings. The Region also meets with external stakeholders on a formal and ad hoc basis when risk management would likely be discussed. However, much of the time, these actions are not formally documented.

As well, we were advised that management reviewed risk information more formally during the annual business planning process. However, the current regional business plan does not contain risk information and approximately half of the underlying operational plans have identified and evaluated risks. We believe that the Region considers risk in its planning and resource allocation but as in the ongoing risk assessment and monitoring process, has not documented its evaluation.

We believe that the Region’s risk management process could be strengthened by documenting key regional risks as part of its planning and resource allocation process and ensuring their monitoring and review. This would allow for a more systematic analysis and monitoring and for the transmission of corporate risk knowledge in the event of staff turnover.

Appendix A: Prairies and Northern Territories Region Organizational Chart

Text version: Organizational Chart

Appendix B: Summary of Prairies and Northern Territories Region Productivity Versus the CIC Network

1. Data by calendar year and by number of people. Domestic data for local offices only, excluding ports of entry. [back to note 1]
2. Data on initial cards, replacement cards and renewal cards issued. [back to note 2]
3. Percentage of domestic total. [back to note 3]
4. The data for integration programs are based on unique client counts and include service provider organizations, which report through iCAMS, across Canada where CIC has responsibility for direct service delivery. British Columbia, Manitoba and Quebec have alternative funding agreements in place and are therefore not included in the Language Instruction for Newcomers to Canada, Immigrant Settlement and Adaptation Program and Host data above. Quebec is also not included in the figures for RAP. The total outcomes include approved, refused and withdrawn applications. [back to note 4]

Appendix C: Detailed Criteria for the Audit

Governance Processes

Governance and Strategic Direction

• Operational plans are in place to achieve objectives.
• Communication protocols exist for internal stakeholders.
• Communication protocols exist for external stakeholders (e.g., other government departments, provincial ministries, non-governmental organizations, etc.).

Accountability

• A clear organizational structure is established and documented.
• Processes exist to ensure that accountabilities and responsibilities are clearly delegated and communicated and adequately discharged.

Values and Ethics

• Management promotes and reinforces values and ethics.

Results and Performance

• Processes exist to ensure that planned results and outcomes are linked to organizational objectives.
• Management has identified appropriate performance measures linked to planned results.
• Management monitors actual performance against planned results and adjusts as required.

Risk Management

• Processes are in place to identify, assess, mitigate and monitor risks.
• Management appropriately communicates risk and risk management strategies to key stakeholders.
• Planning and resource allocation consider risk information.

Appendix D: Prairies and Northern Territories Region Committee Structure

Text version: Committee Structure

Appendix E: Committee Membership

Appendix F: Management Action Plan

Appendix G: Audit Time Line

Audit planning: March 2010

On-site examination: March 22–24, 2010

Clearance draft to management: August 30, 2010

Management action plan finalized: September 16, 2010

Report recommended for approval by Audit Committee: October 15, 2010

Report approved by the Deputy Minister: October 15, 2010