Audit of the Vancouver Admissions Office

Audit Report
Internal Audit and Accountability Branch
Citizenship and Immigration Canada
November 2007

1.0 Introduction

• 1.1 Background
• 1.2 Audit Objectives
• 1.3 Audit Scope

2.0 Audit Conclusions

3.0 Observations and Recommendations

• 3.1 Management Control Framework
• 3.2 Internal Control Framework for Finance and Administration
• 3.3 Citizenship and Immigration Program Management

Appendix A: Management Action Plan

Appendix B: Audit Time Line

Appendix C: Audit Criteria

List of acronyms used

CBSA: Canada Border Services Agency
CPC: Case processing centre
EMIS: Entrepreneur Monitoring Information System
FCO: Forms control officer
FOSS: Field Operations Support System
H&C: Humanitarian and compassionate (grounds)
IRB: Immigration and Refugee Board of Canada
IRPA: Immigration and Refugee Protection Act
NHQ: National headquarters
OHS: Occupational health and safety
O&M: Operations and Maintenance
PR: Permanent resident
PRRA: Pre-removal risk assessment
QA: Quality assurance
RAP: Resettlement Assistance Program
RHQ: Regional headquarters
TFWU: Temporary Foreign Worker Unit
TRRU: Temporary Resident and Refugee Unit

1.0 Introduction

1.1 Background

1.1.1 General

The Citizenship and Immigration Canada (CIC) Internal Audit and Accountability Branch Risk-Based Audit Plan 2006–2007 includes the audit of an inland office. This audit report provides the findings and recommendations from our first audit of an inland office, the Vancouver Admissions Office.

The Vancouver Admissions Office was selected for auditing this year following consultations with each region from July to November 2006, and a risk assessment of inland offices.

1.1.2 CIC Vancouver Admissions

CIC programs are delivered inland by 40 offices in five regions: Atlantic, Quebec, Ontario, Prairies and Northern Territories, and B.C./Yukon. These regions are managed by a regional director general who reports to the Assistant Deputy Minister of Operations at national headquarters (NHQ).

The Vancouver Admissions Office is one of CIC’s largest inland offices. It employs a staff of approximately 120 who deliver services to approximately 100,000 clients a year. The office is responsible for delivering services within the Lower Mainland/Fraser Valley geographical area. The operating budget and annual processing volumes for the office over the past three years are presented in Table 1.

The office is managed by the Director of Operations and, at the time of our audit, was organized into eight units in four locations (Hornby, Library Square, Expo Boulevard and Surrey). The supervisor for each unit reported to the Director of Operations, as shown in Figure 1.

At the time of our audit, a new organizational structure (Figure 2) had recently been approved, but did not become effective until April 1, 2007.

The Vancouver Admissions Office manages the delivery of business lines from the immigration and citizenship programs: citizenship, permanent residents, temporary residents, permanent resident (PR) cards, entrepreneurs, refugee claimants and pre-removal risk assessment. An overview of these business lines, the tasks performed by the inland office and the unit responsible for the delivery of the programs are provided in sections 1.1.3 to 1.1.9.

Table 1: Operating Budget and Processing Volumes for Vancouver Admission

Figure 1: CIC Vancouver Admissions Office
January 2007

Figure 2: Vancouver Admissions Organizational Structure
effective April 1, 2007

1.1.3 Citizenship Program

Applications for granting and proof of citizenship are the 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 the Case Processing Centre (CPC) in Sydney, Nova Scotia. CPC Sydney 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 closest to where the applicant lives. This office reviews the application to determine if the applicant meets the residency, criminality and security requirements. In addition, the CIC office administers the language and knowledge tests, and when necessary, arranges interviews with the citizenship judge. The final stage in granting citizenship takes place at a citizenship ceremony where the applicant takes the oath of citizenship and receives the Certificate of Canadian Citizenship.

Inland offices use the Global Case Management System to track, process and maintain records of applications for citizenship.

The Vancouver and Surrey citizenship courts are responsible for the delivery of citizenship services in the Vancouver area.

1.1.4 Immigration Program: Permanent Residents

The Immigration and Refugee Protection Act (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 eligibility criteria for any of the four permanent resident classes, or who is inadmissible, may request an exemption from any legislative or regulatory requirement for humanitarian and compassionate (H&C) or public policy considerations.

Applications for permanent residency in Canada are submitted through CPC Vegreville. In most cases, all fees are paid by the applicants when they send their applications to the CPC, but local offices accept payment in the form of cash, credit card or certified instrument. When CPC Vegreville cannot process or conclude a case, it is referred to a CIC local office for processing based on specific referral criteria.

Inland offices use the Field Operations Support System (FOSS) to maintain electronic records of applications for permanent residence.

At the time of our audit, the Inland Processing Unit at Vancouver Admissions reviewed applications for permanent residence, and conducted the assessment of admissibility (security, criminality, health) before granting permanent residence and landing individuals. The Pre-Removal Risk Assessment (PRRA) Unit reviews applications on H&C grounds where risks are identified as part of the H&C factors.

1.1.5 Immigration Program: Temporary Residents

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

Applications for temporary residence extensions are processed by CPC Vegreville and only cases requiring further clarification are referred to local offices.

Inland offices use FOSS to maintain electronic records for applications to extend or modify temporary residence.

At the Vancouver Admissions Office, the Temporary Resident and Refugee Unit (TRRU) processes applications referred from CPC Vegreville.

1.1.6 Immigration Program: Permanent Resident Cards

Since IRPA came into effect on June 28, 2002, new permanent residents of Canada have been provided with PR cards 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, however, are required to apply for the card.

Applications for PR cards are sent to CPC Sydney for processing. 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, and PR cards for pre-IRPA applicants are sent to the local CIC office for distribution to the client. The local CIC office is responsible for the distribution of the cards to the clients as well as photo retakes and signature corrections for cards with errors. CPC Sydney 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.

At Vancouver Admissions, these functions are carried out by the PR Card Unit.

1.1.7 Business Immigration – Entrepreneurs

There are three separate programs within the Business Immigration Class: Self-Employed, Investor and Entrepreneur. The entrepreneur program is the only program of the three with implications for local inland offices. The selection of entrepreneurs is done overseas while the monitoring of conditions imposed on entrepreneurs is done at inland offices. Entrepreneurs are granted permanent residence but must meet the conditions imposed on them for a period of at least one year. Once the entrepreneur has satisfied the conditions, they are required to apply to have the conditions cancelled.

Currently, both pre-IRPA and post-IRPA cases are being monitored inland. Pre-IRPA cases have two years to meet the terms and conditions whereas post-IRPA cases have three.

The Entrepreneur Monitoring Information System (EMIS) is used to identify and monitor entrepreneurs. EMIS contains application and permanent residence information on every entrepreneur admitted to Canada. Some of the information in EMIS is downloaded from the Computer Assisted Immigration Processing System and FOSS every month.

At Vancouver Admissions, monitoring the progress of entrepreneur immigrants in meeting the terms and conditions of their permanent residence is done by the Business Unit.

1.1.8 Inland Refugee Claimants

A claim for refugee protection can be made at any port of entry or at any local CIC office in Canada. The role of the officer 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, while referring ineligible persons to the Canada Border Services Agency (CBSA). A person who has been determined by the IRB to be a Convention refugee or a person in need of protection returns to CIC to be processed for permanent residence.

Inland offices use FOSS to maintain electronic records for inland refugee processing.

At Vancouver Admissions, new refugee claims are processed by the TRRU.

1.1.9 Pre-Removal Risk Assessment

The PRRA process is triggered by a removal order issued by the CBSA. A CBSA officer sends a notification regarding pre-removal risk assessment to the individual facing the 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. People awaiting removal from Canada who allege risk of persecution, torture, or cruel and unusual treatment or punishment if returned to their country of nationality or of former residence will not be removed prior to a risk assessment.

PRRA decision makers are responsible for assessing the risk an applicant would face upon return to the country of origin. Under a positive determination, the PRRA offers the same protection as the IRB process.

The PRRA Unit of the Vancouver Admissions Office handles the PRRA inventory for the entire B.C./Yukon Region.

1.2 Audit Objectives

The objectives of the audit were to:

• Assess the adequacy of the management framework at CIC Vancouver Admissions;
• Assess the adequacy of internal controls at CIC Vancouver Admissions in the areas of finance, administration and controlled documents; and
• Assess the adequacy of the management of the citizenship and immigration programs to ensure compliance with legislation, policies and procedures at CIC Vancouver Admissions.

An overview of the criteria used to assess the office for each of the three audit objectives can be found in Appendix C.

1.3 Audit Scope and Methodology

The audit scope covered the delivery of the citizenship and immigration programs and the financial and administrative components typically found in a local office. The audit examined the activities of the Vancouver Admissions Office from September 1, 2005, to the end of the on-site examination period of February 2, 2007. However, settlement programs managed at CIC Vancouver were excluded from the audit as these are audited on a cyclical basis.

There were three lines of enquiry: the management framework, the internal control framework and the management of the citizenship and immigration programs.

The observations and conclusions of the report are based on an analysis of the following sources of evidence:

1. Review of program case file[note 1];
2. Review of documents and standard operating procedures;
3. Examination and testing of internal controls in the areas of finance and administration to ensure that the controls function as intended;
4. Observation of operational activities; and
5. Interviewing of management and staff.

The criteria used in the audit are based on CIC and Treasury Board applicable legislation, policies and directives. The detailed criteria for the audit are presented in Appendix C.

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

2.0 Audit Conclusion

The audit found that a well-developed management framework was in place at the Vancouver Admissions Office. More information on our observations related to the management control framework can be found in Section 3.1.

The audit found that the office maintained good controls for financial transactions. The control framework in place for controlled documents needs improvement. More information on our observations and recommendations on internal controls can be found in Section 3.2.

The audit found that the citizenship program was well managed at the Vancouver Admissions Office and ensured compliance with applicable legislation, regulations and policies.

The audit found that the immigration program was adequately managed at the Vancouver Admissions Office and ensured compliance with applicable legislation, regulations and policies. The development of a quality assurance program and systematic monitoring could contribute to a more well-managed program. More information on our observations and recommendations can be found in Section 3.3.2.

3.0 Observations and Recommendations

3.1 Management Control Framework

3.1.1 Public Service Values

The audit found that values and ethics were promoted and reinforced at CIC Vancouver Admissions. Training in values and ethics is mandatory for all management and staff in the Region. By April 1, 2005, almost all staff (119) had taken a training course in values and ethics. When hired, employees were provided with a copy of the CIC Code of Conduct (and returned a signed copy acknowledging receipt), the Values and Ethics Code for the Public Service, and the Vancouver Admissions Orientation Guide, which provides information on the codes. Supervisors and staff indicated that the office supported discussions of ethical dilemmas faced by staff, and that they were aware of the ethical issues they might face as part of their jobs.

3.1.2 Governance and Strategic Direction

The audit found that clearly defined reporting and accountability structures were established. At the time of our audit, a new organizational structure had recently been approved but had not yet been implemented (see Figure 2). An important goal of the new structure is to provide for a level of management between supervisors and the Director of the Vancouver Admissions Office to provide more oversight and improved mentoring for supervisors.

Performance expectations and responsibilities were clear. The audit found good alignment between the office business plan, the unit work plans and the regional business plan.

The audit also found that formal relationships had been established and were functioning as intended with partner agencies. There appears to be effective communication with key partners (CBSA, CSIS, Justice, RCMP and Service Canada). There also appears to be effective communication within the office and with other regions, although two interviewees noted that communications from CPC Vegreville regarding case referrals could be improved so that Vancouver Admissions could better manage and plan for increased or decreased workload.

Lastly, the audit found that communication protocols for clients, partners, employees and other external stakeholders were in place in the office. The office has documented standard operating procedures for communicating with MPs, providing information to clients, booking special events speakers, and producing monthly and quarterly newsletters for missions abroad and for MPs and their constituents.

3.1.3 Client-Focused Service

The audit found that adequate controls were in place to ensure the delivery of client-focused service at the Vancouver Admissions Office, and that services delivered by the office met the requirements of its clients.

Adequate processes are in place to establish, maintain and monitor service principles and standards for clients. For example, each unit sets service targets in an annual work plan, and processing times are tracked and published on Webcart so that the Call Centre and the Vancouver Client Services Unit can let clients know what to expect with regard to processing times.

Processes exist to identify and forecast resource requirements and gaps in light of service priorities. The Director of Operations has the authority to move resources between units to accommodate priorities and increased workload pressures. This is done in discussion with the supervisors of the units. Job descriptions are intentionally generic, and officers are encouraged to rotate between units to maintain flexibility and a good overall understanding of the different programs and business lines so that the office can quickly adapt to changing workload pressures.

Finally, the Client Services Unit has helped to address client needs and increase satisfaction with services through an e-mail pilot program and new services. These were offered through the Temporary Foreign Worker Unit to help organizations understand the rules and processes for hiring temporary foreign workers.

3.1.4 Risk Management

The Vancouver Admissions Office actively identifies and manages risk. The risk management process is managed through the regional headquarters (RHQ) planning officer. The audit noted that risk management was fully integrated into the business planning process, and that risks were discussed by the management team within the Vancouver Admissions Office and with management at B.C./Yukon RHQ. Updates on risks and actions to address or mitigate them are provided in quarterly reports and annual business and operational plans.

3.1.5 Accountability

Overall, the audit found that accountabilities for results were clearly assigned and consistent with resources, and delegations were appropriate for the responsibilities.

There are processes in place for ensuring that roles, responsibilities and accountabilities are clearly defined and communicated at all levels. For example, job descriptions exist for all positions, and are enhanced by standard operating procedures for specific roles or activities within each unit. In addition, the performance agreement for the Director was aligned with the unit work plans in the office and the regional business plan.

The audit found that processes were in place for management to formally acknowledge their understanding and acceptance of their delegated authority under the Financial Administration Act and the Public Service Employment Act. Delegation of authority was clear and appropriate in relation to the responsibilities and accountabilities of the Director of the Vancouver Admissions Office.

The audit observed that processes were in place for the rigorous assessment of individual performance and for holding individuals or management accountable for their actions. Performance appraisals were conducted for all staff, and the assessment of the performance of the Director was conducted against the expectations stated in the performance agreement established between the Director and the Regional Director General.

3.1.6 Results and Performance

The audit found that information on results was gathered and used to make decisions, and that reporting was balanced, transparent, linked to stated expectations and goals, and easy to understand. Performance information from the Vancouver Admissions Office is submitted to the branch planner at RHQ to support branch-wide information.

Our audit also found that processes existed for integrated planning, budgeting, monitoring and performance management. A review of planning and budgeting documents revealed that linkages could be seen from high-level performance expectations at the regional level to commitments and accountabilities for each unit within the office. We found that the office captured adequate performance information and monitored and reported on progress toward the achievement of targets established in planning documents. This process is managed by a regional planner through RHQ who ensures that quarterly reports are completed and provided to management in a timely manner, and that all plans, commitments, performance agreements and performance reports are aligned.

Monthly operations reports track trends related to the activities and outputs at the office. In addition, quarterly progress reports compare performance results to established targets, and are produced within six weeks of the end of the quarter and submitted to the Regional Director General.

The audit team noted that the quality of performance reporting at the Vancouver Admissions Office, managed by the B.C./Yukon Region, was a model for performance reporting inland.

3.1.7 Learning and Change Management

The audit found that processes were in place to assess internal and external environments and to anticipate change. We noted that both unit and office work plans contained a review of the internal and external environment and risks. In addition, the minutes of management meetings reflected discussions of the internal and external environment and required changes in processes or procedures.

Management has taken steps to ensure that all employees are properly trained and possess sufficient and adequate knowledge in their area of expertise. This was reinforced by interviews with staff, who reported receiving sufficient training to perform their duties and to accommodate career and personal development. The training budget is managed by RHQ to ensure that adequate resources are available to support the learning needs identified by management for their staff.

3.1.8 Human Resources Management

The audit found that the inland office was managed to ensure a safe and effective working environment for staff to contribute to meeting CIC’s objectives.

The following human resources management practices were noted:

• Processes exist to provide employees with the necessary training, tools and resources to discharge their responsibilities;
• Staff are adequately informed of their roles and responsibilities;
• Training programs exist and include orientation for new employees and ongoing training and development of requisite skills for all employees;
• Annual performance appraisals are completed for all staff;
• Appropriate oversight exists to ensure that staffing actions comply with associated legislation and policies;
• Employment equity objectives are integrated in the regional human resources plan;
• Individuals in designated positions meet the language requirements of their position, and management and supervisors are confident in the abilities of individual staff to function in designated bilingual positions; and
• Roles and responsibilities regarding occupational health and safety (OHS) are assigned and clearly understood, and the OHS committee fulfils its responsibilities under the relevant legislation and policies.

3.2 Internal Control Framework for Finance and Administration

3.2.1 Cost recovery

At the time of our on-site field work in January 2007, the office had collected $99,981.05 in cost recovery revenue since the beginning of the fiscal year. We conducted audit tests on 76 case files to ensure that the correct cost recovery fee was collected for each application. In addition, the office had recorded $1,750 in voided transactions, and had issued $13,429 in refunds. We tested five transactions of each type, accounting for $1,540 in voids and $635 in refunds.

The audit found that processes were in place to ensure that revenues were collected in accordance with relevant legislation, regulations and policies. Audit testing revealed that transactions were recorded accurately. In addition, roles and responsibilities were assigned and procedures performed in accordance with policies for cost recovery. The audit noted that there was good segregation of duties, with oversight and monitoring provided by RHQ. Additionally, controls were adequate to safeguard the physical environment for cost recovery.

3.2.2 Travel

At the time of our on-site field work, the office had incurred travel expenses of $54,491.73 since the beginning of the fiscal year. We conducted audit tests on 10 transactions, accounting for $13,186.53 in travel expenses.

The audit found that travel funds were approved and accounted for in accordance with Treasury Board policy and used to further program objectives. There was good segregation of duties, and good oversight and monitoring provided by RHQ. The audit noted that all claims indicated that expenditures were incurred to further program objectives and eight transactions fully complied with Treasury Board policy. In two instances, a Travel Authority and Advance form was not completed in advance as required by the policy.

Recommendation 1

A Travel Authority and Advance form must be completed and approved by the appropriate delegated authority (currently, the Director of Operations), in advance of every trip.

Management Response

We accept the recommendation. Policies and procedures were in place at the time of the audit, the requirements will be reiterated to staff through information sessions and e-mail reminders during this fiscal year. Internal monitoring will take place periodically to ensure compliance. Refresher training to be completed before October 31, 2007. Procedures will also be posted on Webwest.

3.2.3 Hospitality

At the time of our on-site field work, the office had incurred hospitality expenses of $2,819.90 since the beginning of the fiscal year. We conducted audit tests on 10 transactions, accounting for $2,636.35 in hospitality expenses.

The audit found that internal controls did exist to ensure that hospitality expenditures were approved and accounted for in accordance with Treasury Board policy and the departmental hospitality guidelines. However, procedures were not consistently being followed. The audit noted three instances where pre-approval for hospitality was not obtained in advance. The departmental hospitality guidelines indicate that a request for approval to extend hospitality should be completed and signed by the appropriate delegated authority before every instance where hospitality expenses are incurred.

Audit tests also revealed inconsistencies in the forms used to obtain pre-approval for hospitality expenses at the office and in the process for claiming hospitality expenses once they are incurred. The audit found two cases where the pre-approval form was used to process the expense claim, and two cases where the form “Application to Extend Hospitality” was used instead of the standard form used by CIC.

Recommendation 2

The Director of Vancouver Admissions must ensure that pre-approval forms and expense claims forms for hospitality are used in accordance with Treasury Board policy and departmental hospitality guidelines.

Management Response

We accept the recommendation. Standard procedures and forms have been developed and implemented for use. Policy and procedural requirements will be reiterated to staff through information sessions and e-mail reminders during this fiscal year. Internal monitoring will take place periodically to ensure compliance. Refresher training will be completed by October 31, 2007. Procedures will also be posted on Webwest.

3.2.4 Contracting and Payments to Suppliers

At the time of our on-site field work, the office had incurred expenses of $297,659 for contracting and payments to suppliers since the beginning of the fiscal year. We conducted audit tests on 10 different types of transactions, spread out over the reporting period, and accounting for $23,205.66 in expenses.

The audit found that contracting processes and payments to suppliers were managed in compliance with policies and procedures.

3.2.5 Personnel Security

Personnel security is managed at RHQ by the Regional Security Officer. Assistance and liaison are provided by the Management Services Coordinator in the Vancouver Admissions Office. Through interviews with staff and a review of procedures and audit tests, the audit found that an effective personnel screening program was in place and kept up to date. There was effective communication between the Management Services Coordinator at the Vancouver Admissions Office and the Regional Security Officer and Human Resources (at RHQ) to ensure that screening requirements for staffing appointments were identified and documented and that records and information were maintained in accordance with laws and regulations.

3.2.6 Controlled Documents

Controlled documents are used inland to enable refugee claimants to access federal health benefits, and to extend or modify the status of temporary residents already inland. While these documents cannot be used to gain access to Canada, they need to be safeguarded to prevent misuse or fraud.

The audit found that roles and responsibilities for the custodianship, safeguarding and control of controlled documents were in accordance with policies. A Forms Control Officer (FCO) has been assigned for the office and standard operating procedures for forms management have been developed by the office to guide the FCO in carrying out his duties.

However, the audit found weaknesses in the implementation of established standard operating procedures and policies, and in the fulfilment of roles and responsibilities as outlined in the following paragraph. These weaknesses are:

• Quarterly inventory reports have been submitted late, and reports are based on estimated or rounded amounts rather than actual inventory.
• Forms in deep storage are accessible to too many individuals.
• Officers are not following established procedures for logging the use of forms when a controlled document is printed, and the current FCO does not have sufficient authority to ensure compliance.
• There is an accumulation of more than one year of cancelled or voided documents that are kept on file and that should be destroyed.
• There is no monitoring or oversight of forms control.
• No backup FCO has been assigned in the office as required by the manual.

Recommendation 3

The Director of Vancouver Admissions must ensure that procedures are followed as outlined in the SA6 policy manual Forms Management Program and the office standard operating procedures.

Management Response

We accept the recommendation. We will review current office procedures to ensure compliance with the SA6 policy manual and amend as necessary. The Regional Security Officer will conduct periodic reviews to ensure compliance.

Recommendation 4

The Director of Vancouver Admissions should assign responsibility for the oversight and monitoring of controlled forms to an individual other than the FCO to ensure appropriate segregation of duties.

Management Response

We accept the recommendation. The Management Services Coordinator will be responsible for oversight and monitoring, and the Regional Security Officer will conduct periodic reviews to ensure compliance.

3.3 Citizenship and Immigration Program Management

3.3.1 Citizenship Program

In 2006, the Vancouver Admissions Office assessed 38,508 applications for citizenship.
To assess the delivery of the citizenship program, 30 cases were reviewed and interviews were conducted with staff and supervisors of the Vancouver and Surrey citizenship offices. Overall, the audit found that the office was adequately managed to ensure that citizenship grants were in compliance with applicable legislation, regulations and policies.

3.3.2 Immigration Program

To assess the delivery of the immigration program, cases were reviewed for each line of business, standard operating procedures and documents were reviewed, and interviews were conducted with management, supervisors and staff. Observations and findings for each line of business are given in sections A to F below. However, the following observation was common to all lines of business.

The audit expected to find that a quality assurance (QA) program existed at the Vancouver Admissions office to ensure accuracy and consistency in decision making and the fairness and integrity of the immigration program. The audit found that some aspects of a QA program did exist at the regional and national levels (such as training requirements for new officers), and that a mentoring program for new officers was being implemented locally. However, an important component of a good QA program is the systematic monitoring of cases and decision making by the supervisors of each business line or unit. While some supervisors reported conducting ad hoc monitoring of decisions made by new officers, overall, inconsistent, undocumented monitoring practices existed within the various units of the Vancouver Admissions Office responsible for delivering the immigration program.

Recommendation 5

The Director of Vancouver Admissions should ensure that supervisors conduct systematic monitoring of decisions made by officers in the delivery of all business lines in the immigration program.

Management Response

We accept the recommendation. This recommendation speaks mostly to the Inland Processing Unit, Business, and TRRU. Supervisors will monitor decisions made in each immigration business line and continue to provide monthly synopsis reports and analyses of productivity. The quality of the decisions will be monitored with assistance from tools developed and provided by RHQ or NHQ.

Recommendation 6

The Director of Vancouver Admissions should consider developing and implementing a quality assurance program for the immigration program for the purpose of monitoring the quality and consistency of decision making, the reliability of client information and the reliability of the process as planned in the 2007–2008 regional business plan.

Management Response

We accept the recommendation with certain qualifications. The tools, procedures and framework for a quality assurance program do not exist. This will require national and regional direction and support to implement.

The Region has a very effective partnership between its Programs Unit and the Vancouver Admissions Office. In this respect, our regional program advisors have conducted and will continue to conduct targeted program evaluations on key risk areas. These reviews include several elements of quality assurance (consistency of decision making, for example). To date, formal reviews have been completed in the following areas: Business Immigration, Students, Temporary Residents, and Refugees. While these are not part of a full-fledged and systematic QA program, they have served to improve our program effectiveness in these areas. As to the broader need to implement formalized QA, we will participate in national initiatives to develop national QA programs, and look for opportunities to import elements of these initiatives into our own regional management framework.

In the short term, we will consult with the Regional Director, Programs, regarding the tools, procedures, framework and training that would be needed to implement a quality assurance program, and we will consider a strategic or phased implementation of such a program.

A) Applications for Permanent Residence

In 2006, the office landed[note 2] 980 applicants for permanent residence. To assess the delivery of the permanent resident program, 25 cases were reviewed as well as documents and standard operating procedures, and interviews were conducted with staff and the supervisor of the Inland Processing Unit. Overall, the audit found that the office adequately ensured that permanent resident decisions complied with applicable legislation, regulations and policies. The audit noted that the supervisor monitored workload, inventory and priorities closely, and that monthly and quarterly reports were produced to track productivity for management. In addition, employees reported that they had the tools and support necessary to accomplish their work.

B) Applications to change or extend temporary resident visas and permits

In 2006, the office processed 1,037 applications to change or extend temporary resident visas and permits. To assess the management of the temporary resident program, 24 cases were reviewed, as well as documents and standard operating procedures, and interviews were conducted with staff and the supervisor of the temporary resident unit. Overall, the audit found that the office adequately ensured that temporary resident decisions complied with applicable legislation, regulations and policies. The audit noted that the supervisor monitored the file inventory closely and prepared monthly synopsis reports and analyses of productivity for management, and that standard operating procedures had been documented for various administrative duties within the program.

C) Delivery of Permanent Resident Cards

In 2006, the office delivered 4,614 PR cards to clients. To assess the management of the PR card program, the audit team reviewed documents and standard operating procedures, and interviews were conducted with the supervisor and employees of the unit that distributes PR cards. Audit testing was also conducted on the card-tracking and distribution process to ensure that controls functioned as intended. The audit found there were good controls to ensure that the delivery of PR cards complied with departmental policies and that PR cards were adequately stored and secured.

D) Monitoring of Entrepreneurs

In 2006, the office concluded on 211 cases where entrepreneurs had applied to have the terms and conditions of their permanent residence removed. To assess whether the monitoring of entrepreneurs was conducted in compliance with legislation, policies and established procedures, 16 cases were reviewed, as well as documents and standard operating procedures, and interviews were conducted with management and staff. The audit found that decisions were made by citizenship and immigration officers and assistants with appropriate delegated authority, final decisions were entered in EMIS and recorded on file, and client information was entered accurately.

The supervisor reported a lack of training for the citizenship and immigration assistants and officers working in the unit. Furthermore, interviewees indicated there was a lack of clarity in interpreting the extent of the discretion or flexibility to be used in the removal of conditions imposed on entrepreneurs, and in resolving files for entrepreneurs who did not meet the terms and conditions of their permanent residency.

While the 16 decisions reviewed complied with policies, legislation and procedures, overall, the management of the entrepreneur program at the office could be improved.

Recommendation 7

The Director of Vancouver Admissions must ensure that officers who monitor entrepreneurs are provided with adequate training and ongoing guidance, and that decisions are monitored on an ongoing basis to ensure consistency and integrity in decision making.

Management Response

NHQ has begun working on a training manual for business officers. This manual is currently being developed with the assistance of experts in the matter, including one from Vancouver Admissions. Entrepreneur training is expected to be delivered in the fourth quarter of 2007–2008. The Supervisor has been working in conjunction with the Regional Program Advisor to ensure that officers are making decisions in accordance with the policy manual and that ongoing guidance is available. The Supervisor will also monitor the quality of the decisions with the assistance of tools developed and provided by RHQ or NHQ.

E) Processing claims for refugee protection in Canada

In 2006, 615 individuals presented themselves at the Vancouver Admissions Office to file a claim for refugee protection. To assess the adequacy of the management of the refugee intake program and ensure compliance with legislation, regulations and policies, 25 cases were reviewed, and interviews were conducted with staff and the supervisor of the Refugee Unit. Overall, the audit found that the office adequately ensured that the processing of refugee claims and referrals to the IRB complied with applicable legislation, regulations and policies.

F) Pre-Removal Risk Assessment

In 2006, the PRRA unit concluded on 984 PRRA decisions. Interviews were conducted with the supervisor and staff of the PRRA unit to assess the existence of a quality assurance program and the overall management of the unit, with the aim of ensuring the consistency and integrity of decision making, and compliance with legislation, regulations and policies. Overall, the audit found that the PRRA program was adequately managed to ensure that decisions complied with applicable legislation, regulations and policies.

Appendix A: Management Action Plan

Appendix B: Audit Time Line

Audit planning — December 2006

On-site examination —January 22 to February 2, 2007

Clearance draft to Director, Vancouver Admissions, and Regional Director General, B.C./Yukon Region — July 9, 2007

Briefing with Director, Vancouver Admissions, and Regional Director General, B.C./Yukon Region — July 13, 2007

Management action plan finalized — August 17, 2007

Distribute report to Audit Committee — September 7, 2007

Report approved by Audit Committee — November 7, 2007

Appendix C: Audit Criteria

The first objective of the audit was to assess the adequacy of the management framework in place at CIC Vancouver Admissions Office. The following criteria were used:

• Essential conditions are in place for providing effective direction and achieving intended results.
• Values and ethics are promoted and reinforced at the Vancouver office.
• Services offered at the inland office are client-centred.
• The inland office actively identifies and manages risk.
• Accountabilities for results are clearly assigned and consistent with resources, and delegations are appropriate to capabilities.
• Relevant information on results (internal, service and program) is gathered and used to make departmental decisions, and public reporting is balanced, transparent and easy to understand.
• The office promotes organizational learning, values corporate knowledge, and learns from its performance.
• Staff are adequately informed of their roles and responsibilities.
• Appropriate oversight exists to ensure that staffing actions comply with associated legislation and policies.
• Processes are in placed to comply with official languages requirements, diversity and employment equity.
• Roles and responsibilities regarding occupational health and safety (OHS) are assigned and clearly understood and an OHS committee exists and fulfils its responsibilities under the relevant legislation and policies.

The second objective of the audit was to assess the adequacy of internal controls in the areas of finance, administration and controlled documents. The following criteria were used:

• Managers have a clear understanding of the resources entrusted to them and of the authority delegated to them for the control of financial resources.
• Managers have a clear understanding of the requirements and responsibilities under sections 32, 33 and 34 of the Financial Administration Act (FAA).
• Delegation of financial signing authority instruments has been authorized and up-to-date signed specimen signature cards are in place.
• Managers properly authorize transactions under section 34 of the FAA and ensure that they are recorded accurately.
• There is proper segregation of duties and employees are informed and understand their roles and responsibilities (authorization, approval, processing and recording, making payments or receiving funds and monitoring of transactions and events).
• An adequate monitoring regime is in place to ensure that controls are working and that funds collected are appropriate, properly accounted for and safeguarded while in the custody of the local office.
• Adequate controls are in place to ensure that the physical environment is in place to safeguard the cost recovery system and process.
• Records and information are maintained in accordance with the laws and regulations.
• Funds are used and accounted for in accordance with TBS and departmental policies or guidelines and used to further program objectives.
• Financial activity complies with the FAA and other financial authority documents.
• An effective personnel screening program is in place and up to date.
• The requirements for positions are identified and documented.
• When it is decided to terminate an individual’s employment, a process exists to ensure a timely and complete separation.
• Roles and responsibilities are appropriate for the custodianship, safeguarding and control of controlled documents.
• Office procedures and practices comply with the SA6 policy manual Forms Management Program.

The third objective of the audit was to assess the management of the citizenship and immigration programs to ensure compliance with applicable legislation, regulations and policies. The following lines of business were examined:

• Applications for permanent residence
• Removal of conditions for entrepreneurs
• Permanent resident cards
• Applications for temporary residence
• Intake of refugee claimants
• Applications for citizenship
• Pre-removal risk assessment

The following criteria were used in the assessment of the business lines:

• Decisions are made in accordance with legislation, regulations and policies.
• A quality assurance program is in place to ensure the consistency and integrity of decisions.
• Decisions are adequately documented on file and in the appropriate information system.
• Client information is accurately entered in the appropriate information system.

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1. Sixteen to 30 case files were selected for each business line. Judgmental sampling was used by the audit team, in consultation with the supervisors of each unit, to select case files. Observations resulting from the case file reviews relate only to the files reviewed by the audit team.

2. Landing a permanent resident is the final processing stage for an individual whose application for permanent residence has been approved.