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ARCHIVED - Recourse Program Evaluation Study

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Notes

  1.  CBSA Program Activity Architecture, July 2010. [Return to text]
  2.  As part of Strategic Review, a third Regional Recourse Division located in the Pacific region is being closed as of April 2012. [Return to text]
  3.  Source: Departmental Performance Report [Return to text]
  4.  The CBSA Service Commitment serves as a pledge of service to CBSA clients and was developed as part of the second phase of the CBSA Change Agenda, specifically the elements which focus on strengthening service excellence. . [Return to text]
  5.  Source: Recourse Directorate. This amount includes $16M in cases heard before courts and tribunals, excludes the value of currency seizures in cases related to the Proceeds of Crime, Money Laundering and Terrorist Financing Act (PCMLTFA). [Return to text]
  6.  For the processing of trade disputes, the performance target is to close 70% of prohibited weapons (PW) cases within 90 days and 70% of tariff classification, and origin and value cases (TCOV) within 180 days. For enforcement appeals, the performance target is to close 50% of cases received within 240 days and 85% within 450 days. An additional performance target is that cases older than two years should not exceed 20% of the case inventory. [Return to text]
  7.  Source: Agency Performance Report Q4 2010-2011, July 15, 2011. [Return to text]
  8.  CBSA Program Activity Architecture, July 2010. [Return to text]
  9.  For Agriculture and Agri-Food Administrative Monetary Penalties Regulations, appeals must be filed within 30 days from when the notice is served. Under section 129.1 of the Customs Act, extensions may be granted if the applicant demonstrates that the appeal could not have been submitted within the time provided. [Return to text]
  10.  Recourse officers may also seek legal advice and technical information from subject matter experts or laboratories to arrive at a decision. [Return to text]
  11.  As part of Strategic Review, a third Regional Recourse Division located in the Pacific region is being closed as of April 2012. [Return to text]
  12.  Approximately 85% of the feedback received is service-related and is investigated and responded to by the regions concerned, while another 12% of the feedback is directed to the program areas. The remaining 3% pertain to other areas such as Communications for comments about the CBSA Web site, for example. Source: ECM Q4 Report Fiscal Year 2010-2011. [Return to text]
  13.  The CBSA administers over 90 acts and regulations, many on behalf of other departments and agencies (e.g., the Export and Import Permits Act, the Excise Act, the Criminal Code, the Food and Drugs Act, the Plant Protection Act). [Return to text]
  14.  Online feedback form. [Return to text]
  15.  The process for filing a trade dispute is outlined in CBSA Memorandum D11-6-7 Importer's Dispute Resolution Process for Origin, Tariff Classification, and Value for Duty of Imported Goods. [Return to text]
  16.  In determining that a shipment contains prohibited items, the CBSA is making a trade decision on the admissibility of the product. Appeals of these decisions are reviewed by regional Recourse divisions. Prohibited items that are not declared and are seized at a port of entry are enforcement actions, and such appeals are reviewed by the Recourse Directorate at NHQ. [Return to text]
  17.  Source: Memorandum D11-11-3 [Return to text]
  18.  Source: Agency Performance Report, Q4 for fiscal year 2010-2011. There were more decisions rendered than appeals received as part of an effort to reduce the backlog from previous years. [Return to text]
  19.  There were a total of 713 feedback submissions in Q4 of FY 2010-11 and 704 in Q1 of FY 2011-2012. Source: ECM Quarterly Report, Q4 Fiscal Year 2011-2012 and Agency Performance Report, Q1 Fiscal Year 2011-2012. [Return to text]
  20.  Source: Departmental Performance Report. (excludes the Program's proportion of the Agency's internal services of approximately $6M). [Return to text]
  21.  Investigations and the drafting of responses to complaints are the responsibility of the branch or region to which the complaint pertains. [Return to text]
  22.  28 recourse officers participated in the reviews. [Return to text]
  23.  Includes 17 interviewees from the Recourse Program and 24 ECM coordinators. External stakeholders interviewed included representatives from CART, the CITT, the CHRC, the Canadian Transport Lawyers Association, the Canadian Federation of Independent Business, the Canadian American Border Trade Alliance, and the Canadian Society of Customs Brokers. [Return to text]
  24.  From the starting population of 2,672 records, 69 were removed as they were either contacted for the survey pre-test, had incomplete contact information, or contained duplicate phone numbers. Of the remaining 2,603 records, 538 were found to be invalid (not in service, fax/modem lines or wrong numbers), 855 could not be reached, another 303 were reached but were not able to participate, and 210 refused to participate. [Return to text]
  25.  Reviews of importations under tariff classification 9899 (obscenity, hate propaganda and child pornography). [Return to text]
  26.  Trusted Traveller programs include NEXUS, FAST and CANPASS. [Return to text]
  27.  Broker and warehouse licensing decision appeals and Trusted Trader membership decision appeals are currently reviewed by the respective program areas. In fiscal year 2010-2011, over one thousand companies were denied membership to the Customs Self-Assessment program and over 300 were denied membership to the Partners in Protection program. (Agency Performance Report, Q4 fiscal year 2010-2011). [Return to text]
  28.  Source: Preliminary Survey of Controls for Seized Identity Documents, CBSA Internal Audit Directorate, December 2010. [Return to text]
  29.  Ibid. [Return to text]
  30.  Sections 253 to 256 of the Immigration and Refugee Protection Regulations allows for individuals to “request a return” of items seized under IRPA. Only legitimate (i.e., not fraudulent) identity documents are eligible to be returned. It also needs to be established to whom the document can be returned (e.g., in the case of a legitimate document that was used fraudulently, it may need to be returned to the organization that issued the document and the rightful bearer may need to have the document re-issued.) [Return to text]
  31.  Canada has nine free trade agreements: North American Free Trade Agreement, Canada-Panama Free Trade Agreement, Canada-Jordan Free Trade Agreement, Canada-Colombia Free Trade Agreement, Canada-Peru Free Trade Agreement, Canada-European Free Trade Association, Canada-Costa Rica Free Trade Agreement (CCRFTA), Canada-Chile Free Trade Agreement, and Canada-Israel Free Trade.
    Source: Foreign Affairs and International Trade Canada. [Return to text]
  32.  Foreign Affairs and International Trade Canada [Return to text]
  33.  Source: D11-6-7 Importer's Dispute Resolution Process for Origin, Tariff Classification, and Value for Duty of Imported Goods, CCRFTA: Article V.10 Article IX.11. [Return to text]
  34.  WCO page 17. [Return to text]
  35.  Source: Management Accountability Framework [Return to text]
  36.  CBSA Charter [Return to text]
  37.  CBSA Service Commitment [Return to text]
  38.  An overview of the Recourse Program is included in the Port of Entry Recruitment Training program, and instructions on the process to follow for corrections and appeals of enforcement actions are included in the Customs Enforcement Manual. Customs Enforcement Manual, Part 5, Chapter 2, Sections 135 to 150. [Return to text]
  39.  As part of a 2009 CRA Ontario Region Customs Collection Realignment, services were centralized within the Kingston Tax Services Office and the acceptance and storage of security bonds on behalf of the CBSA was discontinued in 2010. [Return to text]
  40.  Stakeholders include regional Client Services, Comptrollership and the CRA. [Return to text]
  41.  E.g., Appendix D of the Finance Volume does not list the Recourse Directorate as one of the NHQ Program areas which holds security deposits. As such, security held by the Recourse Program may not be accounted for in the inventory of security deposit records as required in Chapter 14, section 7.2. Appendix C of D11-6-7, Importers' Dispute Resolution Process for Origin, Tariff Classification and Value for Duty of Imported Goods, indicates that notice be sent to the Regional Collector for Customs to terminate the surety, however, as the CRA no longer accepts and stores the bonds, these notices should be sent to the regional Recourse division. [Return to text]
  42.  Source: Agency Performance Report, 4th Quarter of Fiscal Year 2010-2011. [Return to text]
  43.  eManifest requires carriers, freight forwarders and importers to electronically transmit advanced cargo, conveyance and importer data to the CBSA. Source: eManifest[Return to text]
  44.  Source: Recourse Program Programmatic Assessment December 2010. [Return to text]
  45.  Citizens First 5, Institute for Citizen-Centred Service [Return to text]
  46.  Business lines are: Enforcement appeals; trade disputes; external litigation and complaints; and policy and planning. [Return to text]
  47.  Although regional interviewees stated that the practice of calling clients resolved as many as 90% of complaints received, the outcome of the complaint resolution is not reported to the Recourse Directorate on the Complaint Input Form. It is tracked, however, on the Complaint Investigation Report retained in the regions. [Return to text]
  48.  For example, investigating chiefs or superintendents are asked to indicate if the conduct was abrupt, rude, offensive, culturally insensitive, over officious, unprofessional or involved abuse of authority. [Return to text]
  49.  The Recourse Program principle of accessibility is described as the ability for clients to easily request a review of CBSA actions and decisions and to have access to CBSA staff should they have questions. [Return to text]
  50.  The number one suggestion (offered by 73 respondents) was to “speed up the process”. [Return to text]
  51.  Under section 129.1 of the Customs Act, extensions may be granted if the applicant demonstrates that the appeal could not have been submitted within the time provided. [Return to text]
  52.  Source: Comparison of 4th quarter ECM data for 2010-2011 and same quarter in 2009-2010. Source: September 2010 CBSA regional presentation entitled “Managing Complaints”. [Return to text]
  53.  21% of complaints and compliments were received directly in the regions, and the remaining were letters received by mail addressed to the Recourse Directorate (7%), the Minister (3%) or Vice-President of Operations (0.7%) Source: ECM Q4 Report. Of the 7% of complaints received by the Recourse Directorate, 2.7% were associated with appeals that were being submitted to the Recourse Program. [Return to text]
  54.  Source: Transparency Initiative Guidelines. [Return to text]
  55.  Source: Recourse Quality Assurance Framework_Draft_v6. [Return to text]
  56.  CBSA seizure receipts and notices of penalty assessments instruct those requesting a review of an enforcement action to give written notice within 90 days to the officer who took the action or to the nearest CBSA office. [Return to text]
  57.  Source: ADMS. PED calculations of the average difference between “Date in CBSA” and “Date in Recourse” from fiscal year 2006-2007 to 2010-2011. [Return to text]
  58.  Source: Agency Performance Report Q4 2010-2011. [Return to text]
  59.  The Recourse Directorate has identified the need to develop a single electronic case and content management system to replace three stand-alone systems: Action and Dispute Management System (ADMS), Trade Dispute Management System (TDMS), Complaints and Compliments Data Base. These systems do not include all types of appeals, cannot be deployed adequately at a national level due to technical constraints and are programmed in languages that are not supported by the CBSA/CRA. Source: Investment Planning Funding Proposal Template, Recourse Content Management System, October 15, 2011 [Return to text]
  60.  Source: ECM Quarterly Report, Q4 2010-2011 (for the period of January to March 31, 2011). [Return to text]
  61.  Ibid. [Return to text]
  62.  The Recourse Program service standard and some, but not all performance indicators, are published in corporate documents such as the Departmental Performance Report or Report on Plans and Priorities. [Return to text]
  63.  Source: RAMs. [Return to text]
  64.  Source: ADMS Adjudications Officer Reports, December 2010 and September 2011. [Return to text]
  65.  Sources: Case File Review, ADMS and TDMS. [Return to text]
  66.  The downward trend since 2006-2007 may be explained by a focus towards processing a backlog of older TCOV cases. [Return to text]
  67.  Source: TDMS. Note: The age of cases was calculated using cycle time, which is the total number of days from the receipt of the appeal until the final decision is reached. [Return to text]
  68.  The 2007-2008 Departmental Performance Report noted that the Recourse Program was experiencing significant staffing challenges resulting in fewer decisions being rendered than in previous years. Source: Departmental Performance Report [Return to text]
  69.  Survey respondents were not asked to define what they considered to be a reasonable length of time. [Return to text]
  70.  As of April 2011, the Niagara–Fort Erie and Windsor–St. Clair regions were amalgamated to become the Southern Ontario Region. [Return to text]
  71.  Customs Rulings Online Search System (CROSS) [Return to text]
  72.  Sources: Advance Rulings for Tariff Classification; CARL is an online reference library that is published and maintained by Ernst and Young and the Canadian Institute of Chartered Accountants. [Return to text]
  73.  The program definition of consistency is that clients can expect uniform decisions based on the same circumstances. [Return to text]
  74.  209 of the total of 697 survey respondents indicated that they had filed more than one appeal in the previous two-year period. [Return to text]
  75.  The DG Steering group consists of the Recourse Program DG and DGs from the Programs Branch; the Directors Feedback Group consists of the Director of the Appeals Division, the Director of the Horizontal Border Policies Division, Border Programs Directorate, and subject matter experts of the Programs and Operations Branches. Source: Terms of Reference for the Director General Steering Group and the Directors Feedback Group. [Return to text]
  76.  Does not include drug seizures. [Return to text]
  77.  Includes advance rulings, trade-related AMPS, valuation verifications, origin verifications and tariff classification verifications. [Return to text]
  78.  July 2011 Operational Bulletin for New Telephone Reporting Provisions for Foreign and Canadian Pleasure Craft. [Return to text]
  79.  April 26, 2011 memorandum – Reporting Goods in Designated NEXUS lanes at Land-Border Crossings. [Return to text]
  80.  Goods purchased over the Internet are often picked up by the purchaser in the United States. [Return to text]
  81.  Source: Enforcement Bulletin 09-01. The Integrated Customs Enforcement System, the Customs Enforcement Manual, the Officer's Reference Manual and the Training Module were also updated. [Return to text]
  82.  These included the length of time it takes for the CBSA to process packages, the inability of clients to track or verify the status of their parcel during the clearance process. Long-term solutions will be incorporated as part of the postal modernization project. [Return to text]
  83.  Part 5, Chapter 2, paragraph 104 of the Enforcement Manual instructs officers to only give the benefit of the personal exemption amount for properly declared goods, while paragraph 105 explains how to apply the exemption amount to undervalued goods. [Return to text]
  84.  Source: AMPS programmatic assessment deck May 2011, average for 2008, 2009, 2010. [Return to text]
  85.  For traveller volume and enforcement appeals, a four-year average from fiscal year 2006-2007 to 2009-2010 was used. For commercial releases, regional data for fiscal year 2009-2010 was not available, so a three-year average from fiscal year 2006-2007 to 2008-2009 was used. [Return to text]
  86.  An additional $547K to address backlogs and $759.7K for ECM was allocated to the Recourse Program. ECM funding reduces by 50% for fiscal year 2012-2013 and ongoing. [Return to text]
  87.  PED calculations were used to estimate the number of FTEs for years prior to 2009-2010 and the allocation of FTEs between the Recourse Directorate and regional Recourse divisions. [Return to text]
  88.  Sources: RAMs and case file review. D-13-3-1 [Return to text]
  89.  Calculated by dividing total Recourse Program expenditures by the number of decisions per year. Includes the $547K received in 2010-11 to reduce the backlog but not ECM funding. As no breakdown of the overall NHQ expenditures was available, they were attributed entirely to enforcement appeals, even though guidance is provided for trade disputes. [Return to text]
  90.  Source: Service Standards Review report, June 2010. AMPS contravention C348 covers situations where a person provided false information in any permit, certificate, licence, document or declaration. [Return to text]
  91.  Source: Assisted Case File Review. Examples of tariff classification specializations included metals, textiles, electronics, manufactured goods, chemicals, composite products, plastics, and food products.[Return to text]
  92.  The Quebec Recourse Division processes cases that originate in the Quebec, Atlantic, and Northern Ontario regions, while the GTA Recourse Division divides the remaining cases between its Toronto and Hamilton offices. Files from the former Pacific Recourse Division were distributed using an allocation model of 5:5:2 to the Toronto, Hamilton, and Montréal offices. [Return to text]
  93.  Source: TDMS. [Return to text]
  94.  Information was available on the Recourse Directorate budget for ECM, but not on the overall cost to the Agency to deliver the ECM. [Return to text]
  95.  Source: Taxpayers' Ombudsman. [Return to text]
  96.  Source: Recourse Directorate. This amount includes $16M in cases heard before courts and tribunals, excludes the value of currency seizures in PCMLTFA cases. [Return to text]
  97.  The CBSA Service Commitment serves as a pledge of service to CBSA clients and was developed as part of the second-phase of the CBSA Change Agenda, specifically the elements that focus on strengthening service excellence. [Return to text]
  98.  Source: Recourse Directorate. Includes $16M in cases heard before courts and tribunals, excludes the value of currency seizures in PCMLTFA cases. [Return to text]
  99.  For the processing of trade disputes, the performance target is to close 70% of prohibited weapons (PW) cases within 90 days and 70% of tariff classification, and origin and value cases (TCOV) within 180 days. For enforcement appeals, the performance target is to close 50% of cases received within 240 days and 85% within 450 days. An additional performance target is that cases older than two years should not exceed 20% of the case inventory. [Return to text]