Audit of Operational Controls at
Ports of Entry (Based on the
1996 Tassé Report) – Final Report
Executive Summary
Corporate Review carried out an audit of operational controls at ports of entry (based on the 1996 Tassé report). The audits for the five regions and headquarters were conducted from April to November 2001.
The 1996 Tassé report discussed how CIC’s structures and emerging culture had affected its operational controls. It focused on the control framework that was in place at ports of entry to minimize the opportunity for personal gain or financial reward. Our current audit focused on the same area. It did not disclose errors or abuses in the handling and reconciliation of public funds and immigration key control forms. However, the audit did reveal a number of control weaknesses.
The 1996 Tassé report was undertaken two years after the formation of the Department of Citizenship and Immigration. When it was being written, periodic operational reviews and audits of field (port of entry) operations undertaken by the Department had ceased. In the five years since, the workload has increased for port of entry immigration staff, with little increase in resources. Our findings indicate that there has been further erosion of a good control framework over operations. The area of concern is the immigration key control forms. Only now, in 2001, are some of the regions looking at implementing financial audits or reviews of their operations at local offices (inland offices and ports of entry).
This report addresses the recommendations and action plan proposed in the 1996 Tassé report. The original recommendations and action plan appear in Appendix C.
Before this audit began, a corporate audit of security was carried out by Corporate Review, which reviewed security across the Department. During this audit, only one aspect of information security was reviewed, and that was the use of “password-protected screensavers,” an observation made in the 1996 Tassé report.
The regions and the individual sites visited are listed in Appendix A.
Management at the ports of entry was debriefed at the end of each site visit. After all the site visits had been completed, the regional offices were debriefed.
Management Issues
The Tassé report raised some management issues, including the use of risk management to determine whether controls could be relaxed. In the late 1990s, the ports of entry had carried out reviews of their operations. The Port of Entry Working Group also reviewed its operations. A number of wide-ranging issues were looked into that affected the business of ports of entry. However, no discussions or studies were carried out on any of the operational control issues such as the handling of public monies and immigration key control forms – areas that the Tassé report covered.
Immigration Key Control Forms
Immigration key control forms ensure a person’s status in Canada. These documents have a value on the street, and it is critical that they be properly controlled.
Our audit produced a number of observations in this area. Even though immigration staff were aware of the importance of these documents, actual practice did not reflect this. We found weaknesses in the safekeeping, record keeping and reconciliation of these forms from physical counts to records. We also noted that the control procedures and practices varied from site to site.
Handling of Public Money (Cost Recovery)
The 1996 Tassé report commented on the processes for handling public money. It noted that processes were cumbersome, outdated and generally not well understood by line officers. There have been improvements in technology since that time. However, given the fact that public money is in question, a number of controls needed to be in place. Developing these controls takes time and effort on the part of staff at ports of entry, who are already very busy.
Most of the Tassé observations related to a lack of segregation of duties, due generally to the size of the ports of entry and not to a lack of knowledge or will on the part of staff. Immigration staff were knowledgeable about the requirements of cost recovery.
Many ports of entry are located at both CIC and Canada Customs and Revenue Agency (CCRA) offices. The function of cashier is rotated among immigration officers, while CCRA generally has a designated cashier. Currently, three ports of entry in Canada have an agreement in place with CCRA to collect immigration monies on behalf of CIC. Given the demands on resources, it would be appropriate for the two departments to explore, nationally, the sharing of a common cashier where warranted.
Uniforms, Port Stamps and Badges
At the time of the audit, CIC was acquiring new uniforms. The audit team was advised that there were shortages in stock, and that some staff had been outfitted with clothing similar, but not identical to, the new uniform. The Department had approved this clothing temporarily. Even though the Department tried to have everyone outfitted properly, it was evident that not everyone was wearing the standard uniform, through no fault of the individual or the port of entry.
For the most part, control over port stamps was satisfactory. There were a few occasions where port stamps were left unattended, and management was made aware of this.
In the vast majority of cases, staff wore their badges.
Information Security
At the time of our audit, we found that the password-protected screensavers were not being used. The auditors were also advised that there was no corporate standard for password-protected screensavers. In light of recent security concerns, the Department should consider the use of these screensavers.
Referring passengers to secondary examination at Pearson International Airport
The 1996 Tassé report said that CCRA officers were identifying immigration referrals by tagging a blue paper ribbon to the traveller’s customs declaration form. This practice has been discontinued as the passenger could remove the ribbon. Now the customs officers mark a pink strike on the declaration form, indicating that the passenger needs to be referred to immigration.
Overall Management Response and Status Update
The field work related to this audit report was carried out between April
and November 2001 and thus mainly predated the events of September 11,
2001. Since this audit, many changes have been made to the operational
environment at Canadian ports of entry.
CIC acknowledges the observations in this report. Local managers of the
points of service that were audited have all been informed of the results
and have taken remedial action where necessary. While CIC has resolved
some specific operational control issues that the audit raised and continues
to address others, it has also re-examined and made significant changes
to the way ports of entry operate. CIC has improved security in several
respects in light of the terrorist attacks of September 11, 2001 through
the introduction of the Immigration and Refugee Protection Act
on June 28, 2002. The Department has also introduced new technology and
processes and procedures.
Immigration officers continue to conduct thorough interviews of people referred by Canada Customs, detaining those who may pose a danger to the public. They also work with national and international enforcement partners to detect potential security risks. Immigration officers now carry out thorough front-end security screening of all people who make refugee claims at ports of entry in Canada. If there are security concerns, claimants may be detained pending further investigation. CIC is working closely with CCRA, CSIS, the RCMP and international enforcement partners to maintain Canada’s security in its port of entry operations.
Advance Passenger Information (API) was implemented nationally in Canada in October 2002. This is a joint CIC/CCRA initiative that will help to identify high-risk air passengers who may be inadmissible or who may pose a threat to the safety and security of Canadians. Airlines are now required to provide information in the machine-readable zone of passports on all people arriving in Canada on international flights. This information, collected when passengers check in, allows more thorough immigration checks to be done before they arrive at the port of entry. Additionally, Joint Passenger Analysis Units (JPAUs) became operational in Miami and Vancouver in September 2002. This is a pilot project involving Canadian and American immigration and customs agencies that use API information to detect high-risk travellers who may pose a threat to the safety and security of North America.
API will be extended to other forms of land and marine transportation next year. In the longer term, our aim is to implement a multiple-border strategy that will enable us, through a system known as “Advanced Passenger Processing,” to screen out security threats and other inadmissible people before they embark for Canada.
As a result of security measures and in order to enhance public safety, the Government of Canada provided funding to purchase Livescan automated fingerprint technology for ports of entry.(section removed) Livescan represents an important investment by the Government of Canada to modernize the existing fingerprint process. (section removed). The Livescan technology will provide CIC employees with an improved tool both to protect the safety and security of Canada and to work more efficiently with the RCMP. (section removed)
Given the enforcement duties that immigration officers may be called upon to carry out at ports of entry and the environment in which they work, all port of entry officers with enforcement responsibilities are now trained in arrest techniques, including the use of handcuffs. This policy is outlined in the Officer Safety, Arrest and Disengagement memorandum. Through the Pressure Point and Control Tactic (PPCT) certification program, all immigration examining officers who perform duties at ports of entry receive one week of defensive training, and are issued protective equipment.
CIC is developing a Global Case Management System (GCMS). This is a five-year project intended to replace existing CIC information systems with fully integrated applications and infrastructure components that will support all the Department’s client operations. It will also improve the efficiency of revenue collection and processing by making greater use of credit cards and direct deposits and payments. GCMS will directly benefit the control of port of entry forms and cost recovery systems.
Since this audit report was written, CIC has replaced the outdated IMM 1000 (see section 2.2.1 of the audit report below) with a new state-of-the-art, permanent resident card to reduce identity fraud at ports of entry and elsewhere.
The new legislation, in force since June 28, 2002, includes improved enforcement provisions that strengthen CIC’s ability to protect our borders and deny entry to people who pose a threat to the safety and security of Canadians. It allows officers to prevent foreign nationals who engage in transnational crimes such as trafficking in humans or money laundering to enter Canada. This legislation also renders inadmissible foreign nationals who break Canadian laws as they enter Canada. It includes a new offence for trafficking and imposes severe penalties of up to life in prison and/or $1 million for people smugglers and those caught trafficking in humans. Canadian courts can now order the forfeiture of money and other property seized from traffickers and smugglers.
Under the Smart Border Declaration, Canada and the United States have made significant progress on several joint border programs. The NEXUS program, which enables pre-enrolled travellers to enter at land borders more easily, has been implemented at several border crossings and is being expanded to other high-volume ports of entry. Canpass Air and NEXUS Air programs will also be introduced next year. This will allow pre-enrolled passengers to quickly clear Customs and Immigration formalities at airports through iris-recognition technology.
At land ports of entry, the Commercial Driver Registration Program (CDRP) and Free and Secure Trade (FAST) program are being implemented. These programs will make it much easier for commercial drivers to enter Canada and will improve the flow of trade between Canada and the United States.
The government has also signed a safe third country agreement with the United States to improve the management of refugee claims in the two countries. Canada and the United States are also well advanced in negotiations that will allow for better information sharing at ports of entry.
Finally, communication between the ports, the regions and headquarters has been improved by establishing a port of entry working group.
Taken together, the efforts described above have established a modern border framework for the future that encompasses security while facilitating the appropriate flow of goods and people across borders.
- Date Modified:
