PACP Committee Report
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Mr. David Christopherson, M.P. Dear Mr. Christopherson: On behalf of the Government of Canada, I am pleased to respond to the Report of the Standing Committee on Public Accounts entitled “Chapter 5, Preventing Illegal Entry into Canada, of the Fall 2013 Report of the Auditor General of Canada”. I would like to thank the Committee for its diligent work on the review of this Chapter of the Auditor General’s Fall 2013 Report and the resulting recommendations. The Canada Border Services Agency (CBSA) and the Royal Canadian Mounted Police (RCMP) have considered the Committee’s recommendations and welcome the opportunity to inform the Committee of their progress in addressing them. The Committee’s report contained two recommendations, both of which are addressed in the following paragraphs. This Government Response specifically fulfills the Committee’s first recommendation, for a progress report by June 30, 2014. Recommendation 1: That by June 30, 2014, the CBSA provide the Committee a progress report outlining the actions it has taken to respond to Chapter 5 of the Office of the Auditor General’s Fall 2013 report. Advance Passenger Information and Passenger Name Record Information The CBSA relies upon Advance Passenger Information and Passenger Name Record (API/PNR) data to support national security and public safety priorities. Air carriers are required by law to provide this information to the CBSA to enable it to conduct screening of air travellers prior to their arrival in Canada. Complete, accurate and timely information is critical to identify persons who may require closer questioning or examination upon arrival in Canada. In its Report, the Auditor General of Canada found that the CBSA did not receive all of the API/PNR information from air carriers, as required by law, and recommended that the CBSA implement the action plan that it had already developed to improve the quality of the API/PNR data by June 30, 2014. The CBSA agreed with the recommendation to implement its action plan and has taken action to improve both airline compliance and the quality of API/PNR data. To improve airline compliance and adequately address each challenge impacting the quality of API/PNR data, the CBSA, in cooperation with the airline industry, formed an API/PNR Coordination and Compliance Working Group to promote discussion and identify solutions to challenges involving the policies and procedures relating to the transmittal of API/PNR data from airlines to the CBSA. To date, the working group has developed and launched a Data Quality Action Plan that includes a number of different measures. First, a new reporting mechanism has been established to track the level of compliance of airlines with legislative and regulatory requirements prescribing the manner in which API/PNR data must be transmitted. As part of this reporting mechanism, the CBSA is providing monthly report cards to airlines that summarize information such as the number of unscheduled landings in Canada and penalties issued for non-compliance. The reporting mechanism is designed to assist air carriers in identifying weaknesses regarding their level of compliance and allow them the opportunity to implement corrective measures to improve the quality and timeliness of data transmitted to the CBSA. This action plan item was implemented in September 2013. Second, a survey was developed and distributed to the airline industry to gain a better understanding of the airlines’ different methods of collecting API/PNR data and how they transmit it to the CBSA. Responses to the survey were collected in December 2013 and a summary of the results was provided to the working group for its consideration. This action plan item was completed in December 2013. Third, a new procedure has been implemented whereby the CBSA provides airlines with a Flight Summary Message that summarizes and confirms receipt of the API/PNR data transmitted to the CBSA for each flight. The new procedure is intended to assist airlines in identifying potential issues with API/PNR transmissions and allow them the opportunity to implement corrective measures. This action plan item was implemented in March 2014. Fourth, an automated data quality monitoring tool for Advance Passenger Information data has been developed to increase the CBSA’s capacity to review the information transmitted by airlines. The monitoring tool enables the CBSA to identify potential problems related to the quality of the API/PNR information provided by airlines. This action plan item was implemented in March 2014. In addition to the measures contained in the Data Quality Action Plan, the CBSA is continually reviewing and seeking opportunities to improve existing communication products to ensure airlines are provided with complete and accurate information regarding their obligations under the API/PNR program. As part of this exercise, the CBSA has developed and distributed to airlines a new communication product that explains how data should be transmitted to the CBSA during systems outages. Also, a guide entitled API/PNR Simplified Client Implementation Guide was developed and distributed to airlines to provide them with an overview of their responsibilities related to the collection and transmission of API/PNR data. The CBSA has also prepared material that can be used by CBSA Liaison Officers working overseas to provide information sessions on the API/PNR program to interested airlines. This action plan item was completed in May 2014. Finally, the CBSA continues to review opportunities for improvement in the administration of the API/PNR program as part of its ongoing border modernization strategy and as a regular participant of both the API/PNR Coordination and Compliance Working Group and the Air Industry Working Group, which manages consultations with industry partners on major border-related projects. Lookouts In its Report, the Auditor General observed weaknesses in the way the CBSA attempts to intercept known high-risk individuals through the use of lookouts. Lookouts provide valuable information on the nature of the threat posed by an individual and provide specific instructions to border services officers, including instructions to refer an individual for further examination. The Auditor General found that the Agency was not consistently adhering to the process in place for monitoring the results of lookouts and lacked a consistent process for recording information on examination results for all individuals who are intercepted as a result of lookouts. To address this issue, the Auditor General recommended that the CBSA implement by March 2014 the corrective measures that were already being undertaken, as recommended in a 2013 internal CBSA audit that examined the manner in which lookouts are monitored. The CBSA agreed with the Auditor General’s recommendation to improve its monitoring of lookouts and implement the corrective measures described in the 2013 CBSA internal audit. In response to the 2013 CBSA internal audit, the CBSA developed an action plan to improve the overall effectiveness and management of the lookouts program. The plan aims to strengthen accountabilities for lookouts monitoring, improve national procedures for lookouts management, develop training for CBSA personnel and establish a rigorous quality assurance and performance measurement process to monitor the quality of existing lookouts and maximize operational effectiveness of this important enforcement tool. As part of this action plan, the CBSA developed five solution-based measures. First, a quality assurance process has been implemented to improve the way border services officers record the outcome of examinations that were conducted as a result of a lookout, as well as enhance the CBSA’s capacity to track, monitor and report on the status of all existing lookouts. As part of these improvements, the CBSA has established a performance reporting process, updated its policy on lookouts, and developed new procedures aimed at providing guidance to staff and ensuring consistency in the way lookouts are administered and monitored. Also, to strengthen supervisory review in the issuance and administration of lookouts, responsibility for reviewing lookouts was included as an element in the Performance Management Agreements of supervisors. This action plan item was completed in October 2013. Second, the CBSA has developed and implemented new training to reinforce the need for data integrity, the timely maintenance of lookouts, as well as monitoring and reporting requirements. A mandatory online course has been developed and is now available to CBSA personnel. This action plan item was implemented in February 2014. Third, a process has been implemented to ensure that the quality of lookouts issued and the manner in which lookouts are maintained are subject to supervisory review and oversight. To support this action, the CBSA issued an internal operational bulletin that provides guidance to staff on their responsibilities related to the monitoring and reporting of lookouts. Also, a working group tasked with conducting quality assurance reviews was established in February 2014 to conduct random reviews of existing lookouts and promote best practices and consistency in the administration of lookouts. The CBSA also established a new reporting mechanism to track, monitor and ensure the quality of existing lookouts. The new reporting mechanism improves oversight by reporting on the status of lookouts by region in a quarterly performance report. Work associated with this action plan item was completed in December 2013 and the new reporting mechanism was integrated into the CBSA’s quarterly performance cycle in the first quarter of 2014-2015. Fourth, a complete review of approximately 117,000 active lookouts was undertaken to ensure each lookout remains valid and contains up-to-date information. As a result of this review, more than 19,000 lookouts were determined to be no longer warranted. This action plan item was completed in March 2014. Finally, priority improvements have been made to existing immigration enforcement information systems and business requirements have been identified for long-term system replacement. In 2013, the CBSA implemented a number of changes to its information systems to improve the identification of possible matches associated with a lookout, provide federal partners with more timely reporting on their lookouts, enhance the CBSA’s ability to review lookouts, reduce the duplication of lookouts, and strengthen reporting by enabling border services officers to enter in the systems the results of an examination conducted as a result of a lookout. In March 2014, the Agency completed a plan for long-term system renewal aimed at enhancing data quality, improving the reporting of lookouts and enabling timely system maintenance. This action plan item was completed in March 2014. Immigration Enforcement Information Systems Effective immigration enforcement relies on the proper functioning of information systems used by CBSA personnel. During inspections at ports of entry, border services officers verify information provided by travellers against the information stored in those systems. It is through systems verifications that border services officers are notified that a traveller must be referred for further examination. The CBSA uses two immigration enforcement information systems – the Field Operations Support System and the Integrated Customs Enforcement System – to transmit lookouts to border services officers. In its Report, the Auditor General found that these systems are not always available or fully functioning, either as a result of system outages or unavailability due to system maintenance. While the audit acknowledged that the CBSA reviews the impact of system outages and uses this information to carry out improvements, the audit concluded that the CBSA’s inability to specify the level of availability required for each of its immigration enforcement systems hinders the CBSA’s ability to ensure that examinations at the border are being properly conducted and supported by systems that operate as intended. To address this issue, the audit recommended that the CBSA define the level of availability required of its immigration enforcement systems, monitor the level of availability achieved, and use the information to guide efforts to improve availability. The CBSA has developed four measures to improve system availability. First, it reviewed and re-confirmed existing availability requirements for its key immigration enforcement information systems. The review confirmed that the systems were high availability. This action plan item was completed in November 2013. Second, the CBSA engaged with Shared Services Canada (SSC) to make changes to systems that enable the CBSA to produce regular availability reports for its key immigration enforcement systems. This action plan item was completed in November 2013. The SSC and CBSA now have the ability to provide availability reports. Third, the CBSA is incorporating performance metrics relating to systems availability into its quarterly performance management reports. The new systems availability reports have been incorporated into the CBSA’s internal quarterly performance reports and are available for the first quarter of the 2014-2015 reporting period. This action plan item was completed in January 2014. Finally, a process has been established to monitor on an annual and semi-annual basis the performance metrics related to systems availability. The process will enable the CBSA to identify weaknesses affecting system availability and will inform CBSA efforts aimed at implementing corrective measures and, consequently, improving systems availability. This action plan item was completed in April 2014. Recommendation 2: That by March 31, 2015, and by March 31, 2016, the RCMP provide the Committee progress reports outlining the actions it has taken to respond to Chapter 5 of the Office of the Auditor General’s Fall 2013 Report. The RCMP agrees with the Auditor General's recommendation that the RCMP should develop and fully implement a framework to measure and monitor the performance of its border law enforcement activities. The RCMP is committed to establishing a working group with a mandate to review and propose changes to the existing RCMP Program Alignment Architecture and Performance Measurement Framework, with an implementation deadline of fiscal year 2015-2016. In line with the Committee's recommendation, the RCMP will provide – by 31 March 2015 and 31 March 2016 – the Committee with progress reports outlining the actions it has taken to respond to Chapter 5 of the Auditor General's Fall 2013 Report. I will update the Committee, through a letter to the Chair of the Committee, on the progress made on the establishment of systems and practices for the collection of information by March 2015. Further, I will also update the Committee on the development of a new Program Alignment Architecture and Performance Measurement Framework by March 2016. I would like to thank you and other Members of the Committee for your ongoing support and continuing efforts to ensure Canada’s border remains safe and secure. The Honourable Steven Blaney, P.C., M.P. |