Summative Evaluation of the Delivery of Consular Services and International Emergency Management

November 2012

Abbreviations, Acronyms and Symbols

Note: Personal and sensitive information has been edited from this report (shown in the reports as "***"), consistent with the provisions of the Privacy and Access to Information Acts.

Acknowledgements

The evaluation team would like to extend its appreciation to many individuals who agreed to participate in this evaluation. The Department of Foreign Affairs and International Trade Headquarters and Mission staff were generous with their time, as were those from the other federal government departments and agencies which included representatives of Citizenship and Immigration Canada, Passport Canada, Canada Border Services Agency, National Defence, Public Safety Canada and the Privy Council Office. We would also express our appreciation to the diplomatic representatives of other countries who shared their approaches to providing consular services and emergency management to their nationals, as well as to the private sector company representatives who also generously gave of their time to answer our questions. The evaluation team also acknowledges the support and advice given by the members of the Evaluation Advisory Committee on the approach, findings and recommendations of this evaluation.

Executive Summary

The summative evaluation of Consular Services and International Emergency Management (CS&EM) was conducted over 18 months, from Winter 2011 to Summer 2012, to assess the relevance and performance of the delivery of consular services and international emergency management. Its conduct was timely for two reasons. First, the last consular evaluation was in 2004 and since that time, the demand for services has increased given new and emerging trends in travel. Secondly, during the conduct of the evaluation, several international emergencies occurred which delayed the start of the evaluation by 6 months but this also afforded the evaluation the opportunity to more fully assess the Department's ability to respond.

Budget 2008 announced funding to provide a strengthened and enhanced consular and emergency management program in the amount of $84.5 million CAD over five years for 2008/09-2012/13. An additional $15.5 million CAD over three years (2009/10-2011/12) was also received to establish the Emergency Watch Response Center - a 24/7 operational capability for incident monitoring.

The evaluation methodology employed mixed methods to collect qualitative and quantitative data. More than 150 documents were analyzed as well as service standard performance data on an individual mission basis from the case management component (CAMANT) on citizenship, passport, arrest/detention and distress cases. Primary data was collected from 57 key interlocutors from the Department of Foreign Affairs and International Trade Canada (DFAIT), other federal government department stakeholders, large Canadian multi-national companies, and 87 Missions abroad using an online survey. Mission site visits were conducted and nine case studies were prepared for the following countries: Chile, Haiti/Dominican Republic, India, Indonesia, Israel/West Bank & Gaza, Lebanon, Mexico, Pakistan and Thailand.

The evaluation measured different yet complementary dimensions of client expectations; such as the degree of convergence and divergence in the application of operational policy aimed at consistency of service delivery; and whether client expectations are realistic in the situation they face, meaning a client may not be satisfied but the service they believe they should receive is outside the mandate or jurisdictional authority. The evaluation also relied heavily on qualitative research methods to delineate a performance story and where possible, the evaluation used performance against service standards, lessons learned and best practices, and the allocation and use of resources at mission as proxy measures on the economy and efficiency of CS&EM program delivery.

Key Findings

Relevance: Continued need for the program

More Canadians are travelling to unfamiliar destinations than ever before and some are engaged in high risk activities which has put pressure on routine and non-routine consular services. Unrealistic client expectations regarding the consular services they can expect combined with the inconsistent application of consular policies and service standards has put added pressure on the fixed resources available at the Consular, Security and Emergency Management Branch (CFM) and Missions.

CFM has responded to the evolving need for emergency services with enhanced emergency response capacity at headquarters, regional support infrastructure and improved emergency preparedness guidelines for Missions; however, inconsistencies in processes are still present. The needs of dual nationals and Canadian businesses abroad for emergency services are not evident. Dual nationals are well entrenched in the countries of origin and reluctant to leave their families and communities except under the most dire of circumstances. Canadian businesses take very seriously their corporate responsibility for the safety of their employees abroad, Canadian and non-Canadian, with well-established emergency evacuation plans and the concomitant resources readily available in a crisis.

Relevance: Alignment with government priorities

The CS&EM program logic model aligns with the strategic outcome of the Department for International Services to Canadians as in the 2011-12 Program Activity Architecture; both consular services and emergency management are identified sub-activities. Its ultimate outcome that "Canadians receive high quality, reliable CS&EM according to service standards" reflects the need to circumscribe performance expectations given the financial and human resources available. Nevertheless, consular officers find themselves in extenuating circumstances where they exceed their mandates and relevant service standards in the best interests of their clients and the Government of Canada.

Relevance: Alignment with federal roles and responsibilities

The Government of Canada has had a long standing tradition of assisting Canadian corporate bodies and citizens who are conducting business, living or travelling abroad and find themselves in difficulty. The provision of consular services is a Royal Prerogative based on the principle of "helping Canadians to best help themselves." DFAIT has the federal mandate to coordinate Canada's whole-of-government efforts in the delivery of consular and emergency services abroad through its headquarters operations and network of diplomatic and consular Missions. This role is critical to meeting federal government obligations as a signatory to the Vienna Convention on Consular Relations and in protecting the safety, security and human rights of Canadian citizens. Within DFAIT, there are multiple accountabilities. However, the evaluation found that although mandates, roles and responsibilities between Humanitarian Affairs and Disaster Response Division (IRH) and the Emergency Management Bureau (CED) were defined, they were not readily understood by partners. For some other government departments (OGD), there was a lack of clarity in terms of who to contact at DFAIT at the onset and throughout an emergency due to different leads and shifting of responsibilities during an emergency.

Performance: Achievement of expected outcomes

The outreach tools and approaches to inform Canadian travellers of the risks involved in international travel and the provision of consular services have been considered largely passive with few public education campaigns to boost overall awareness. In-country outreach efforts by Missions using the Registry of Canadians Abroad (ROCA) and the Warden Networks have been considered ineffective in raising awareness about emergency planning or services to Canadians resident abroad. The evaluation found that the proportion of distress to routine cases has been stable over time, when the impact of large scale emergencies is taken into account, and as a proxy indicator, this does not suggest that Canadians have become more proficient or smarter travellers with more realistic expectations. In fact, the evaluation findings indicate that client expectations may not have been managed effectively given the more frequent recourse to public media resulting in more high profile cases than in the past and concomitant inconsistency in consular service delivery. Nevertheless, consular operations have achieved respectable performance against service standards worldwide for citizenship (86%), passport (100%) and arrest/detention (72%) cases for fiscal years 2006-07 to 2010-11.

Despite few formal agreements, working level relationships with OGD partners in consular service delivery are generally collaborative, although information sharing, seamless communications, advanced operational planning and coordinated deployment remain issues of concern between CED, the Government Operations Centre (GOC) and OGD partners when responding to emergencies and coordinating evacuations.

The capacity of CFM, Regional Emergency Management Offices and Missions to reduce the impact of emergencies on Canadians has continually improved although it remains a work in progress. The training of Mission staff for non-routine complex distress cases and emergency management has been insufficient, as well as the in-country operationalization of mutual assistance agreements with the USA and Australia on emergency and evacuation planning. These like-minded countries and others face many of the same emergency management challenges and have implemented innovative approaches which DFAIT-CFM might consider in the future.

Performance: Demonstration of efficiency and economy

The majority of Missions are adequately resourced to deliver consular services, however complex distress cases are demanding, putting a strain on Mission resources. They have also resulted in a dramatic increase in liability claims between 2007 and 2009 reaching ***. The impact of high profile, or complex distress cases and potentially successful liability claims on the cost-efficiency of the consular program is a consideration that requires further analysis. Resource imbalances also exist across the network of Missions abroad and within some larger Missions where economies could be achieved and reinvested where the demand for consular services has outpaced the resources available and where the risks of natural disasters and civil unrest are omnipresent.

The under-funding of certain emergency management functions such as the Rapid Response Network and associated training of temporary duty personnel has slowed the production of outputs and achievement of expected outcomes such as the formation of Standing Rapid Deployment Teams without which the Department's surge capacity will continue to rely on volunteers and the cooperation of their managers. Available resources have been invested to expand the regional office infrastructure for emergency management, i.e., REMOs which to date has had some value-added to about a third of the Missions, primarily in the Latin America and Caribbean Region. The role of the REMOs in emergency planning and training support to Missions and their contribution to the reduced impact of emergencies on Canadians and Canadian interests is a consideration that should be monitored over the long-term to better determine the value-for-money proposition of the resources invested.

The preparation and broad dissemination of lessons learned from post-emergency reviews is widely considered to contribute to improved efficiency of future emergency response operations. This practice has not been standardized or systematically adopted resulting in missed opportunities to improve Mission Emergency Plans and emergency operations from one crisis to the next.

Recommendations

The following four recommendations are derived from the evaluation findings and conclusions. They take into account the status of the Consular Services and Emergency Management program at the end of FY 2011-12.

It is recommended that:

Recommendation 1:
DFAIT establish a single point of contact to act as a communication portal during emergencies and that this is clearly communicated to partner departments.

Recommendation 2:
DFAIT establish a modern Public Outreach Campaign which will maximize the use of social media platforms to educate the public explicitly on what clients should expect from consular services in routine, distress and emergencies.

Recommendation 3
DFAIT engage with partner departments to harmonize processes and planning for routine, distress and emergency services in order to gain efficiencies.

Recommendation 4:
DFAIT establish an integrated risk-based strategy for managing international emergencies which would take into account regional risks and threats.

1.0 Introduction

The Evaluation Division (ZIE) at Foreign Affairs and International Trade Canada (DFAIT) is mandated by the Treasury Board of Canada Secretariat (TBS) through its Policy on Evaluation (updated 1 April, 2012) to ensure evaluation coverage of the Department's major statutory and direct program spending, including grants and contributions, every five years. The Evaluation Division reports quarterly to the Departmental Evaluation Committee which is chaired by the Deputy Ministers.

This evaluation was timely to assess relevance and performance considering that the last review of Consular Affairs was conducted in 2004^{Footnote 1} as demand for consular services was beginning to surge. The 2004 evaluation did not include the many new aspects now inherently linked to consular services, such as international emergency management. This evaluation was supported by the Department's Consular, Security and Emergency Management Branch (CFM) along with the Consular Operations (CND), Consular Policy and Advocacy (CLD) and Emergency Management (CED) bureaux which are key target audiences along with the Missions abroad and Canadians.

1.1 Background and Context

The demand for consular services has increased significantly over the past decade. Based on consular statistics and trend data, demand increased 136% between 1998 and 2007, with almost 40% of this growth experienced between 2003 and 2007; routine and distress-related cases increased 12% in 2007-08. Forecasts also had predicted an annual growth rate for consular services in the range of 6% to 10% between 2007 and 2012.^{Footnote 2}

Two main factors appear to be driving the demand for consular services and emergency management: 1) the increased international mobility of Canadians, and; 2) the increased frequency of natural disasters and human conflict. Approximately 2.7 million Canadians representing about 10% of the current population reside outside Canada. Between 2005 and 2009 Canadians have taken more than 49.9 million trips abroad annually, including 1.5 million trips to fast growing tourist destinations such as Mexico and the Dominican Republic. The Conference Board of Canada estimated that Canadian travel will have increased by 20% to the United States, by 43% to Asia and by 47% to Europe between 2007 and 2012.^{Footnote 3}

Canadians are also undertaking types of travel unheard of as recently as ten years ago, which involve increased risks and thus a heightened probability to call upon consular services for distress cases. These include exotic, extreme adventure, and eco-tourism, as well as volunteer-tourism and, largely for an older demographic, medical tourism. More traditional forms of travelling, including all-inclusive vacations and cruises, have also risen exponentially, increasing the demand for routine consular services as well. The strength of the Canadian dollar on the international currency exchange markets may likely further contribute to international mobility of Canadians which in turn could drive the demand for consular services even higher.

Extreme weather (hurricanes, tsunami, flooding), earthquakes, pandemic health threats (SARS, H1N1), the threat of terrorism, sudden political instability, civil unrest and the ensuing outbreaks of armed violence are all factors which, taken together, are leading to more Canadians being affected by emergency events and calling upon Canada's missions abroad for assistance. Recent civil unrest in the Middle East Region, for example, required the urgent evacuation of Canadians from previously considered stable countries such as Egypt and Libya. The speed with which these recent events unfolded also required a rapid response placing considerable pressure on the available consular resources to provide emergency assistance.

Budget 2008 expanded the Consular Affairs Bureau to a Consular Affairs and Emergency Management Branch ^{Footnote 4} led by an Assistant Deputy Minister (ADM) in recognition of the need for a more robust administrative structure to support the delivery of consular services and international emergency management. This provided the foundation for improving efficiency, human resources planning and working conditions at Headquarters and at missions abroad to meet the expectations of Canadians. Budget 2010 provided additional resources to establish an Emergency Watch and Response Centre to further strengthen and enhance consular and international emergency management services to Canadians abroad.^{Footnote 5}

1.2 Programme Objectives

Based on DFAIT's program activity architecture, CS&EM falls under International Services for Canadians and is expected to contribute to the related Strategic Outcome: Canadians are satisfied with commercial consular and passport services. Its mandate is three-fold:

1. to prepare Canadians for international travel by informing them about safe travel habits and providing them with information and advice to enable them to make responsible decisions;
2. to assist Canadians outside Canada in handling individual cases of distress and routine requests for service; and,
3. to lead the Government of Canada's response to emergency events affecting Canadians or Canadian interests abroad.

The CS&EM Logic Model presents the outputs and expected outcomes from the implementation of the consular services and international emergency management activities. The ultimate expected outcome is that Canadians receive high quality, reliable CS&EM according to service standards. The achievement of this ultimate outcome is dependent on the extent to which the following five intermediate outcomes are achieved:

1. Increased proficiency of Canadian public - smart traveler; more realistic expectations;
2. Fewer distressed Canadian cases as a result of better knowledge and awareness of international travel hazards - prevention;
3. Reduced impact of emergencies on Canadians and Canadian interests;
4. Effective assistance to consular clients and timely treatment of distress cases and crises;
5. Clients satisfied within CS&EM service standards.

In addition, the Department's 2010-2011 Report on Plans and Priorities^{Footnote 6}sets out the following performance expectations for Consular Services in terms of expected results in Table 1.

1.3 Governance

Led by an Assistant Deputy Minister (ADM), the Consular Services and Emergency Management Branch (CFM)^{Footnote 7} provides information and assistance to Canadians living and travelling abroad. Services range from replacing a lost, stolen or expired passport to providing assistance in cases of financial destitution, medical emergencies, family distress, arrest and detention, child abductions, deaths, or evacuations following events such as natural disasters, violent conflicts, or kidnapping. The responsibility for emergency and crisis overseas rests with several branches within the Department, including CFM.^{Footnote 8} The CFM organisational structure has been developed to manage a wide range of services related to consular and international emergencies. CFM includes several areas as follows.

Consular Operations Bureau

The Consular Operations Bureau (CND) is composed of two divisions: Case Management (CNO) and Case Support and Children's Issues (CNA). The Case Management (CNO) division is responsible for managing the individual consular cases of Canadians abroad. This responsibility extends across the entire spectrum of consular services provided to citizens by the Government of Canada. These consular services include, but are not limited to: arrest and detention support, medical and financial assistance, death and repatriation support, critical and violent incident assistance, passport and citizenship services, wellbeing and whereabouts checks, and other general inquiries and assistance requests.

Created in 2008, the Case Support and Children's Issues (CNA) division provides support to Ministers' Offices, Case Management Officers in CNO and to missions on complex Consular issues, deals with cases specific to children's issues (including abduction, custody and well-being), and acts as the National Coordinator for the 'Our Missing Children' program, in co-operation with missions abroad, and with other federal and provincial government departments. CNA provides a link between policy and operations and enhances the case management capacity of the Bureau by developing tools, and conducting research and strategic analysis.

Consular Policy and Advocacy Bureau

The Consular Policy and Advocacy Bureau (CLD) is comprised of three divisions: Consular Information and Public Outreach (CLS); Consular Policy and Initiatives (CLP) and Consular Informatics (CLC).

The mandate of the Consular Information and Public Outreach (CLS) division is to promote the role of consular representatives abroad and offer information on security issues in foreign countries. CLS provides credible information and timely advice to help Canadians make responsible decisions and prepare them for international travels by developing a broad range of communication activities and products aimed at reducing the number, seriousness and complexity of consular cases. This information is communicated to the Canadian public and the Travel Industry via various publications and promotional tools including the Web Site, the Outreach Program, the Travel Information Program, the correspondence unit, and the Drugs and Travel Information Program. The Web Site is the Department's main communications medium to disseminate up-to-date information to Canadians about consular issues. It is an important source of information on safety and security conditions abroad for the Canadian public, the travel industry and MPs. It should be noted that CLS was disbanded in late FY 2011/12 and some resources moved to the Communications Bureau.

The Consular Policy and Initiatives (CLP) division is responsible for managing routine consular operations, such as consular service fees, delegation of signing authorities to Locally-Engaged Staff (LES), and managing the Honorary Consuls Program, and is involved in the formulation of policies that relate to more long term policy goals: bilateral and multilateral agreements, liaisons with other government departments, the Manual of Consular Instructions, and strategic consular policies. CLP is also responsible for delivering the basic and specialist consular services training program for all Canada-based and locally-engaged staff, Honorary Consul Officers and their assistants, as well as training workshops on the government's emerging priorities. In addition, it provides research and analysis services using data extracted from the Consular Management and Operations System (COSMOS) to report on consular workloads at missions, examine trends in consular services, measure the performance of missions in meeting service standards, and to measure the level of client satisfaction

The Consular Informatics (CLC) division is responsible for the development, maintenance and support of the COSMOS system. For most users, COSMOS is a read write information application dealing with individuals who request consular services. It is fully accessible to all consular officers, Honorary Consuls and LES at all missions. As of April 2010, there were almost 1300 COSMOS users from Headquarters (HQ) and missions, as well as select employees of Passport Canada, Citizenship and Immigration, Correctional Services and Transport Canada. It should be noted that CLC moved to the Information Management and Technology Bureau in early FY 2012/13.

Emergency Management Bureau

The Emergency Management Bureau was established to fulfill the new departmental emergency management responsibilities that were outlined in the federal Emergency Management Act. Specifically, the creation of the Bureau satisfies the following responsibilities: the adoption of an 'all hazards' approach; participating in international emergency management activities; providing education and training related to emergency management; and responding to international emergencies. It is composed of two divisions: Policy, Contingency Planning & Training (CEP) and the Emergency Watch and Response Centre (CEC).

The Policy, Contingency Planning & Training (CEP) division is responsible for designing emergency management policy, procedures and training programs as well as coordinating contingency planning between DFAIT headquarters and missions abroad. The roles and responsibilities of CEP are as follows: developing a policy framework that allows for an integrated, comprehensive and interoperable approach to international emergency management; implementing robust and coordinated contingency planning and business continuity planning; consolidating and sharing lessons learned and best practices; and designing a curriculum designed to increase knowledge of emergency management theory and practice and to develop emergency management skills.

The Emergency Watch and Response Centre (CEC) has a dual set of roles and responsibilities that encompass both departmental as well as consular activities. The departmental role of CEC is as follows: monitoring world events, alerting senior governmental officials of items of national interest, communication centre during major emergencies, supporting interdepartmental task force groups, and providing secure space for interdepartmental meetings. The consular responsibilities of CEC are as follows: responding to calls for travel information and advice, providing consular assistance and guidance to Canadians abroad, covering after-hours consular services for missions, and providing emergency management and emergency consular support services to assist missions in responding to crisis situations abroad.

1.4 Program Resources

Budget 2008 announced funding to provide a strengthened and enhanced consular and emergency management program in the amount of $84.5 million CAD over five years from 2008/09 to 2012/13. An additional $15.5 million CAD over three years (2009/10-2011/12) was also received to establish the Emergency Watch Response Center - a 24/7 operational capability for incident monitoring and emergency event response. Consular resources are managed by the Consular Services and Emergency Management Branch (CFM), the International Platform Branch (ACM) and the Geographic Branches.

2.0 Evaluation Objectives & Scope

2.1 Evaluation Scope

The Consular Services and Emergency Management Branch was created with Budget 2008. The reference period for the evaluation covers four-years from March 2008 to March 2012. Included in the evaluation scope is the design and construction of the Emergency Watch and Response Centre for which funding was announced in December 2009.

This summative evaluation excludes the Management and Consular renewal, and activities regarding the Security and Intelligence Bureau (CSD). MCO renewal activities were included in an earlier evaluation on the DFAIT Transformation Agenda, while security and intelligence will be covered in a separate evaluation to be focussed on mission security and personal safety abroad.

2.2 Evaluation Objectives

The objectives of this evaluation are to assess the relevance and performance of the delivery of consular services and international emergency management, examine the interdepartmental coordination mechanisms in place to facilitate the delivery of consular and emergency management services, and identify lessons learned and opportunities for future consideration. More specifically:

• To evaluate the relevance of CS&EM by assessing the extent to which the initiative continues to address the demonstrable needs of Canadians;
• To evaluate the performance of CS&EM in achieving its expected outcomes efficiently and economically; and
• To identify lessons learned and opportunities for future consideration.

3.0 Key Considerations

The conduct of this summative evaluation is timely in its consideration of three key issues: its performance on managing client expectations in the light of escalating demand; its effectiveness on emergency preparedness at HQ; and, at Missions abroad.

3.1 Managing Client Expectations

The conduct of this summative evaluation in 2010-11/2011-12 is timely to assess the performance of the Department in its delivery of consular and international emergency management services to Canadians in the face of the spike in demand for such services over the last 5 years (2005-10). Aspects of consular services such as use of travel advisories, the effectiveness of promotion campaigns (e.g., safe travel) and travelers' attitudes have been the subject of public opinion polls between 2007 and 2009, and the evaluation will include the results of these polls to supplement and complement the evaluation analyses.

3.2 Emergency Preparedness at Headquarters

The last evaluation of consular services was conducted in 2004, over 8 years ago, when demand was beginning to surge. The 2004 evaluation did not include many new aspects now inherently linked to consular services, such as international emergency management. Therefore, over the last 8 years, it is reasonable to assume consular-related activity has changed in an effort to better respond to the demands of Canadians. The challenges faced in educating travellers, providing routine and non-routine services effectively and decreasing the potential for distress increases the pressure on the Department to not only be responsive but also to proactively manage expectations of Canadians.

Consular and emergency management is one of the most visible aspects of DFAIT, with frequent media coverage of events on the delivery of assistance to Canadians. The creation of the Emergency Watch and Response Centre should increase the Department's capacity to fulfill its consular services mandate, and the branch's ability to provide a focal point and a common services platform to assist lead branches and partner departments in responding to international emergencies and crisis. This evaluation will also address the Department's readiness or preparedness on business continuity at missions during international emergencies.

3.3 Emergency Planning and Response by Missions Abroad

Emergency management plans are meant to ensure missions are prepared to respond to emergencies and continue to provide services to Canadians when facing emergencies. Performance should not only be evaluated on whether Canadians living or travelling abroad are in receipt of acceptable services in cases of personal distress or broader emergencies, but also if missions have achieved a reasonable level of preparedness. Hence, this evaluation will assess the availability and attributes of mission emergency management plans, if such plans are current, whether they have been tested or how successfully they have been implemented in response to emergency events

4.0 Evaluation Complexity & Strategic Linkages

4.1 Government-Wide Approach

The Government of Canada's capacity for timely and effective international crisis response was augmented with the creation in September 2005 of DFAIT's Stabilization and Reconstruction Task Force (START). It was designed to help answer the growing international demand for Canadian support and involvement in emergency events that were human conflict or natural disaster related. START has a mandate to coordinate a whole-of-government response to emergency events, the operational agility to deploy Canadian experts when and where required, and provides support for international partners also responding to the same crises.^{Footnote 9}

The evaluation will explore strategic linkages between START and CFM Emergency Management Bureau. The latter was established to fulfill the Department's emergency management responsibilities outlined in the federal Emergency Management Act; specifically, designing emergency management policy and procedures, coordinating contingency planning between DFAIT headquarters and missions abroad, and responding to international emergencies. With regard to the Emergency Watch and Response Centre, it will be important for the evaluation to understand roles and responsibilities in relation to START in terms of emergency risk monitoring, supporting interdepartmental task forces, communications and liaison with international partners.

5.0 Evaluation Approach & Methodology

5.1 Evaluation Design

The provision of consular services and emergency management is a complex area of international programming and service delivery involving multiple stakeholders across geo-political boundaries world-wide. The evolving policy, legislative and legal environment in which CFM operates adds to this complexity particularly in the face of heightened demand by all stakeholders for consular and emergency management services. To provide a neutral and evidence-based assessment of the relevance and performance of the policies, procedures, systems and practices in place to deliver the expected results required an evaluation design with multiple lines of evidence as follows: 1) content analysis of reference documents; 2) statistical analysis of consular case-based performance data (COSMOS, CAMANT, CRISIS); 3) individual and group interviews with DFAIT/CFM and many other interlocutors ; 4) case studies; 5) interviews with Canadian businesses; and 6) a direct survey of Missions abroad.

Following a preliminary review of available documentation and interviews with key stakeholders, an Evaluation Work Plan detailed the approach and methodology to address the evaluation issues and questions. This plan was reviewed by the Evaluation Advisory Committee in September 2011.

An Evaluation Framework was developed based on the work plan. It aligns the evaluation issues and questions with the lines of evidence. It sets out the data sources and data-collection techniques used to collect data on each of the evaluation questions and served as the main tool for designing the data-collection instruments. The data-collection and analysis techniques described below were designed to generate the evidence to support the evaluation findings in this report.

5.2 Sampling

Consular services and emergency management operate 24 hours a day, 7 days a week (24/7) through an extensive network of more than 260 points of contact in over 170 countries, including 179 missions abroad with Canadian representation (Table 2). This vast network includes various mission configurations providing full, limited, or only emergency services depending on resource allocations.

Based on a stratified purposive sampling design, eleven missions were selected representing responses to different types and combinations of international emergencies over the past 8 years. International emergencies included civil unrest/conflict, transportation incidents, as well as man-made and natural disasters. These missions were the bases for detailed case studies and on-site visits. They were: Chile, Dominican Republic, Haiti, India, Indonesia, Israel (West Bank and Gaza), Lebanon, Mexico, Pakistan and Thailand. To supplement and complement these case studies, a direct survey of 172 Missions and Honorary Consuls ^{Footnote 11} gathered general system-wide data. A more detailed description of the evaluation data collection follows.

5.3 Data Collection

5.3.1 Content Analysis of Reference Documents

Approximately 150 reference documents were compiled during the evaluation design phase from CFM, other government departments, missions abroad and through Internet research. More than half of these documents were key sources of evidence for one or more of the evaluation criteria and questions. These reference documents included, but not limited to the following: Government of Canada legislation, policies, action plans and guidelines; international conventions and agreements; DFAIT's corporate plans, priorities and performance reports, the CS&EM foundational documents, CFM bureau and division profiles and work plans; consular policies and service standards; outreach materials, travel.gc.ca (formerly voyage.gc.ca) and mission web sites; public opinion research and web site usage reports; mission inspection briefs, reports and contingency plans; and evaluation, after action review, lessons learned and summary reports of consular services and emergency responses.

5.3.2 Statistical Analysis of Consular Case-based Performance Data

DFAIT tracks its efforts on consular case management in a centralized password-protected database called the Consular Management and Operations System (COSMOS). Consular officers abroad enter information into this database on their activities for consular task management, workflow, and client relationship management. COSMOS contains several different data modules each representing specific types of consular activities. This information is then used to monitor performance of consular-related activities.

CLP provided the evaluation with detailed data reports on service standard performance data on citizenship, passport and arrest/detention cases by mission from the case management component (CAMANT). Data reports were also provided on the number of Canadians affected by international emergency events and incidents by country from the CRISES component of COSMOS.

Based on these data reports, the evaluation created its own datasets and analysed these data. The respective data sets were used in the evaluation in two ways. These data were analysed to assess caseload and performance trends both for a Mission network-wide analysis and for Mission-specific case studies.

5.3.3 Individual and Group Interviews with Stakeholders and Interlocutors

The evaluation team conducted individual interviews with CFM senior management, Division Directors and officers, as well as two focus group sessions with MCOs recently returned from mission postings. Interviews with other DFAIT stakeholders included the START Secretariat, Geographic and Legal Branch and Communications Bureau staff. Interviews were also conducted with other government departments (OGD) who have worked with CFM on managing consular and emergency events, i.e., Citizenship and Immigration Canada (CIC), Passport Canada (PPTC), Public Safety Canada (PSC), Canada Border Services (CBSA), National Defence (DND), and the Privy Council Office (PCO). Table 3 presents the number of individuals who participated in the above primary data-collection activities and while the overall total (57) is modest, the evaluation achieved almost full coverage of the key stakeholder groups.

5.3.4 Mission Site Visit Case Studies

Eleven mission site visits of 2-4 days in duration were conducted to develop a more in-depth understanding of the evolution of consular services and emergency preparedness, response and management over the timeframe of the evaluation. Relevant statistical data and documents, e.g., mission contingency plans, crisis reports, mission inspection reports, contingency plans and lessons learned summary reports were compiled and reviewed in advance. Individual interviews were conducted with mission staff who had full or partial responsibility for consular and/or emergency management services, as well as with key staff in other program sections, i.e., CIC, PPTC, CBSA, Canadian International Development Agency (CIDA), and PSC. Telephone interviews were also conducted with consular staff posted in other Missions, Honorary Consuls and Wardens within the country. Representatives of friendly Missions and Canadian companies with local operations were also interviewed when possible. Nine Case Studies were subsequently prepared using a standard template for the following countries: Chile, Haiti/Dominican Republic, India, Indonesia, Israel/West Bank & Gaza, Lebanon, Mexico, Pakistan and Thailand. ^{Footnote 12}

5.3.5 Interviews with Canadian Businesses

In early 2011, the Middle East and North Africa saw civil unrest sweep quickly across many countries. Some Canadian companies with significant numbers of Canadian employees and their families working and living in these countries were affected by this civil unrest. The evaluation conducted interviews with those Canadian businesses by telephone and during the mission site visits to provide insight into their emergency management planning and response procedures, expectations and assessments of the assistance received from the Government of Canada.

5.3.6 Direct survey of Missions Abroad

An online survey to Missions Abroad was launched in October 2011 and by December 2011, a total of 102 survey responses were received. Consular agencies were not surveyed as their activities were covered by the Diplomatic Missions that they report to. Responses from the Honorary Consuls were analyzed separately from the overall survey results due to the low response rate. The survey response rate (excluding Honorary Consuls) was 58% (87/149). Based on the Office of the Auditor General of Canada standards for attribute sampling the survey findings have a confidence level of 95% with a confidence interval of 10%.

5.5 Data Analysis

Reference documents, interview notes, case studies and results from the online survey were loaded into Atlas/ti, a text-management software package. A closed coding structure was created to mirror the evaluation issues, questions and indicators as presented in the evaluation framework. The evaluation database was then mined for text segments and interview responses relevant to the evaluation questions and indicators and coded appropriately. Open coding was also used to identify and compile data on additional topics of interest not originally identified in the evaluation framework, (international comparisons). The available evidence was then systematically sorted and analyzed by code, paying special attention to triangulating the lines of evidence and the findings formulated with respect to each evaluation question. The evidence base to support the evaluation report findings and conclusions is easily accessible and verifiable. ^{Footnote 13}

6.0 Limitations to Methodology

The evaluation methodology took into consideration the complexities of CS&EM programming and service delivery involving multiple stakeholders across geo-political boundaries world-wide. The use of multiple lines of evidence mitigated the associated risks by capturing the perspectives of stakeholders from both a headquarters and mission perspective. Furthermore, the survey and the case studies generated findings that were representative of the network of Mission abroad in their delivery of consular services and international emergency management.

One methodological limitation was the relative inability to assess the impact of environmental trends and conditions on client expectations. To mitigate this, the evaluation defined and measured different yet complementary dimensions of client expectations; such as the degree of convergence and divergence in the application of operational policy aimed at consistency of service delivery; and whether client expectations are realistic in the situation they face, meaning a client may not be satisfied but the service they believe they should receive is outside the mandate or jurisdictional authority. This was done through mission case studies and the online survey. The evaluation also assessed whether the delivery of consular and emergency management services expectations was managed in a reasonable manner.

A comprehensive assessment of the economy and efficiency of CS&EM spending was limited because consular resource allocation and spending for CS&EM is attributed to three branches/groups (CFM, Geographic Group and ACM) and at the time of this evaluation, no unified system was in place to track resources. To mitigate this risk, the evaluation relied heavily on qualitative research methods to delineate a performance story and where possible, the evaluation used performance against service standards, lessons learned and best practices, and the allocation and use of resources at mission as proxy measures on the economy and efficiency of CS&EM program delivery.

7.0 Management of the Evaluation

7.1 Evaluation Advisory Committee (EAC) Roles & Responsibilities

The evaluation benefitted from the advice of an Evaluation Advisory Committee (EAC) comprised of management representatives from the Consular Service and Emergency Management Branch. The evaluation team also consulted with key Departmental officials in IFM and BCD involved with CFM on the evaluation findings and recommendations.

The EAC was chaired by the DFAIT Head of Evaluation. It met twice during the evaluation process. The first EAC was convened to discuss and provide input into the preparation of the Evaluation Work Plan. It met a second time to test the face validity of the preliminary findings and to provide input on possible recommendations.

Of specific mention, Arab Spring occurred during the conduct of this evaluation and as a result, the conduct of the evaluation was deferred to allow the Department to focus on its priority to respond to the multiple international emergencies that happened rapidly i.e., Arab Spring and the Bangkok Flooding. This resulted in a six-month deferral of the evaluation's data collection. There were also other challenges encountered in scheduling mission site visits in coordination with Ministerial visits, mission inspections and other Departmental priorities. To mitigate the risks of incomplete primary data collection during site visits or from key informants, the evaluation team exercised patience and flexibility by adjusting the implementation timelines as required. Under these conditions, considerable slippage in the evaluation schedule was experienced, but with no consequential effect on the quality of the evaluation.

The planned evaluation timeline was from February 2011 to August 31, 2011, however due to the 2011 Arab Spring it was delayed until September 2011 and was completed with this report in Summer 2012

8.0 Evaluation Findings

8.1 Continued Need for the Program

8.1.1 Demonstrable need for consular and emergency services

Finding 1:
There has been a steady increase in demand by Canadian entitled persons for routine consular services to which CS&EM has responded in a timely manner within the established service standards. The number of recent emergencies, both international and local, to which CFM and the Missions have responded to meet the needs of Canadian entitled persons, has also increased significantly.

It is reasonable to assume that the strength of the Canadian dollar on the international currency exchange markets has contributed to increased vacation travel by some Canadians to rapidly growing tourist destinations such as Mexico and the Dominican Republic. For example, Canadian tourist traffic to Mexico is now more than 1.5 million annually, mostly concentrated from mid-November to mid-April with approximately half visiting Cancun, Cozumel and the Mayan Riviera. On average, some 40,000 Canadians are in Mexican resorts on any given week during the winter tourist season, while almost 60,000 Canadian-Mexican dual nationals live in Mennonite communities in the states of Chihuahua and Durango. ^{Footnote 14} Eco-adventure tourism, medical tourism and sex tourism have also increased substantially over the years to destinations such as Chile, Indonesia, India, Mexico and Thailand. The Conference Board of Canada had estimated that Canadian travel will have increased by 20% to the United States, by 43% to Asia and by 47% to Europe between 2007 and 2012. ^{Footnote 15}

In 2006, approximately 2.8 million Canadians representing 9% of the Canadian population resided abroad; 42% of whom were naturalised Canadians making up the fastest growing segment of Canadians abroad. ^{Footnote 16} This expatriate population has continued to increase, and is now estimated at 3 million ^{Footnote 17} as the opportunities to engage in international business commerce expand (e.g., USA, Hong Kong, South Korea, Australia) while some aging naturalised Canadians seek to retire in their countries of origin (e.g., Haiti, India, Lebanon).

Public opinion research conducted by the Department between 2005 and 2010 indicated that the majority of Canadians would make use of consular resources if they encountered difficulties abroad. The online mission survey conducted by the evaluation indicated that demand for consular and emergency management services is increasing, at a rapid pace, and this increase has had a direct impact on mission resource allocation. Perhaps the greatest indication of the increased strain and burden being placed on missions is the more frequent use of non-consular staff to provide assistance. This was confirmed by the case study data for the smaller Missions with significant numbers of visiting tourists and/or resident Canadians (***).

One factor complicating the increased demand for consular services around the world is that while Canadians in the aggregate seem to be slightly more aware of the risks and pitfalls inherent in foreign travel, they have increasingly unrealistic expectations regarding the amount, type and standard of consular services available to them. The survey found that notwithstanding these expectations and other pressures mentioned, almost all of the Missions believed that Canadians were satisfied with the consular and emergency management services they received. Annual worldwide consular services performance information for 2006-07 to 2010-11, extracted from the COSMOS database and provided to the evaluation by the Consular Policy and Initiatives Division, confirms that average performance against established service standards for Citizenship (86%) and Passport (100%) were quite respectable.

While Government of Canada policy on dual nationals to receive consular and emergency services is clear, the circumstances and conditions under which these services have to be provided are however often challenging. Consular cases involving dual nationals are often very special and complex cases representing a disproportionate amount of demand on consular resources. The challenge is that dual nationality is not recognised by all countries and there is no international consensus on the consular access of dual nationals when they encounter difficulties in their country of other citizenship, especially if they entered the country on their other passport. The evaluation interview and case study data cites cases *** where Canadian Consular Officers have had difficulty obtaining access to detainees which hampers their ability to provide services (e.g., passport services). When dual national Canadians travel with their other passport, they may be signalling that they see themselves as or identify with the other country and are treated accordingly by local government officials.

The number of Canadians affected by emergency events around the world has increased significantly in the last two fiscal years (2009-10/2010-11) based on CRISIS statistical data provided to the evaluation. Close examination of the data reveals that a small number of emergency events in a handful of countries are responsible for the vast majority of the Canadians affected in any given year, i.e., Lebanon (2006-07), Kenya and Israel (2007-08); Thailand (2008-09), Haiti (2009-10), until the recent civil unrest in the Middle East.

Over a 15 month time -period (2010-11/2011-12), 50 emergency events in 36 countries involving natural disasters, civil unrest and transport accidents have required a CS&EM response, e.g., earthquakes (Haiti, Chile, New Zealand, Japan), flooding (Pakistan, Thailand), ash cloud (Europe), oil spills, resort explosion (Mexico), and civil unrest (Thailand, Tunisia, Egypt, Libya, Yemen, Bahrain, Syria, Côte d'Ivoire). The pressures on consular staff to deliver emergency services in a timely manner are intense in the immediate aftermath of an emergency event, such as the Haiti earthquake when some 500 people were processed for evacuation to Canada each day. In addition, consular staff were involved with other tasks such as operating a 24/7 call centre, serving meals, organising volunteers, coordinating donations and establishing a makeshift nursery for orphans. ^{Footnote 20} The workload pressures for the Missions involved are significant as the following CRISIS statistics demonstrate:

• Haiti: 49,500 calls handled and 4620 evacuations facilitated
• Egypt: 20,839 calls handled and 520 evacuations facilitated
• Libya: 2,655 calls handled and 348 evacuations facilitated

The needs of dual nationals for emergency and evacuation services were examined by the evaluation during the mission site visits and through interviews with consular staff and wardens. In general, Missions do not have adequate data on the number of resident dual nationals in the country since many are not registered on the Registration of Canadians Abroad (ROCA) system. This makes emergency planning more challenging. Missions have characterized dual nationals as well established with strong family ties in their communities, familiar with their surroundings, local customs and laws and have their own support networks. Their needs are markedly different from those of visiting Canadians in the event of a crisis and, unlike the latter, are considered less likely to request evacuation services. While past experience with the Lebanon and Haiti evacuations suggested otherwise, little research has since been done to better define the emergency needs of resident dual national communities leaving the Missions without sufficient guidance for emergency planning and preparedness ( e.g., ensuring sufficient emergency stocks are available).

The needs of Canadian businesses for emergency and evacuation services were also examined by the evaluation through interviews with Canadian business representatives and during the mission site visits. Based on the Canadian companies that were interviewed, the evaluation found that these companies assumed full responsibility for emergency management planning, preparedness and response for their own employees, Canadians and foreign nationals alike. They monitored the local environment for risks, had prepared emergency/contingency plans with alternate command posts and evacuation routes, established emergency response units with trained personnel and ensured that their employees were transported to the nearest safe haven. They did not/would not necessarily approach the Missions to seek assistance or coordinate evacuation efforts, although they have encouraged their Canadian employees to use the ROCA system and have shared their list of Canadian employees who were to be evacuated. During many emergencies, Canadian companies operating abroad offered invaluable assistance and expertise to Missions. Emergency preparedness and response was uniformly considered a corporate responsibility for the safety and security of their employees which included other foreign nationals as well as Canadians, an approach which by necessity is more inclusive that what the Missions could offer.

8.1.2 Changing Needs and Trends

Finding 2:
The current trend among Canadians toward high risk travel and activities abroad has put added pressure on routine and non-routine consular services.

More Canadians are visiting, residing and retiring abroad in a wider range of countries and some of whom are undertaking activities that have inherent risks (e.g., eco-adventure and medical tourism, drug smuggling, organised crime, political and social activism). Evaluation case study data found that such activities have resulted in added pressure on Mission consular resources. For example, the relatively low cost of having cosmetic surgery combined with vacationing has made countries such as Mexico and India increasingly popular destinations for medical tourism. The ease and low cost of contracting surrogate mothers in India has also resulted in an increase from five related citizenship cases in 2008 to 10-12 per month in 2011. Emerging trends in stolen passport cases related to organised crime *** have also been identified, while political activism by Canadians participating in the Gaza flotilla demonstrations in Israel/West Bank & Gaza have resulted in an increase in arrest and detention cases. These trends have increased the volume of both routine and non-routine consular cases putting continued pressure on consular resources.

Evaluation interviews and case studies indicated that the frequency with which distress and arrest/detention cases proceed on the "Case Progression Pyramid" has increased noticeably over the past ten years. Triggers are media attention, sensitive circumstances (e.g., mental illness, rape and death cases) ***. Seventy-one percent (71%) of Missions indicated in the survey that clients expected a greater level of service than what was offered in arrest/detention and distress cases, especially in the absence of service standards for the latter since the circumstances of each case is different. Interview data is consistent with the view that client expectations have increased as a result of client advocacy (e.g., letter writing campaigns and seeking MP support, challenging consular officials in their day-to-day dealings with clients). Unrealistic client expectations regarding the amount, type, speed and standard of consular services available to them, can subsequently attract Canadian media attention and then political intervention resulting in high profile cases. This attention absorbed additional consular resources at CFM and in the Missions to manage consular cases and increased communication and briefing demands associated with high profile cases.

8.1.3 Responding to Changing Needs and Trends

Finding 3:
CFM has responded to the trends in Canadian travel and evolving need for services with a new Branch organisational structure, completion of the new Emergency Watch and Response Centre and the creation of Regional Emergency Management Offices. Mission emergency preparedness has also been enhanced with the introduction of the Mission Emergency Plan, additional MCO/DMCO/MSO positions abroad and informal mutual aid agreements and collaboration with the Missions of like-minded countries.

The evaluation found that CFM is better structured with bureau and division responsibilities delineated and additional MCO resources to address the evolving needs of Canadians for consular and emergency services. Canadians have access to international travel information with the provision of Bon Voyage brochures, up-to-date Travel Advisories, web site accessible service standards, informative Mission websites with links to appropriate reference documents and guidance on routine and non-routine cases. For example, the evaluation found that the Mission web sites of those missions in the case studies included the following standard guidance for Canadians travelling, living and working abroad in an easily downloadable format of frequently asked questions for:

• Arrest and Detention
• Belongings Lost or Stolen Abroad
• Child Abductions and Custody Issues
• Evacuations
• Financial Assistance
• Medical Matters
• Missing Persons
• Natural Disasters and Civil Emergencies
• Passports
• Transportation

The evaluation also found that during some emergencies, the department's website had updated emergency information more quickly than on the web sites of affected missions and travel.gc.ca which caused confusion to those seeking information. Also, public opinion research studies on consular services conducted between 2005 and 2010 consistently found that: the Bon Voyage brochure is seen by Canadians as informative and credible but rarely used; Travel Advisories are trusted, but rarely referenced; Government of Canada web sites are considered credible but difficult to navigate; and, travellers tend to search for information on climate, costs, culture and local attractions rather than advise on health and safety issues, or security considerations. ^{Footnote 21}

CFM has not been able to reach out extensively in a proactive, reactive or interactive manner to the Canadian public using social media, e.g., SMS, Facebook, twitter, YouTube. This has contributed to its limited ability to raise public awareness of travel hazards or to correct factual inaccuracies circulating in the public domain. However, since January 2011, the DFAIT Communications Bureau has managed a corporate Twitter account and an average about a third, or 31%, of corporate tweets in 2011 related to consular. ^{Footnote 22} The extent, nature of consular tweets and their impact on consular outreach is relatively unknown at this time in part due to the relative infancy of the Twitter account. Results from the evaluation survey did not specifically mention the Twitter account or if it has had a noticeable impact. It should be noted that CLS (Consular Outreach Division within CFM) was discontinued with consular outreach activities assumed by BCD (DFAIT Communications Bureau) in January 2012. Evaluation interviews have indicated that DFAIT's Communications Bureau is ready to develop a public communication strategy for consular outreach using social media.

Evaluation interview and case studies attest to the fact that the completion of the new Emergency Watch and Response Centre and the creation of Regional Emergency Management Offices, while not fully operational, has already contributed to enhanced emergency planning and preparedness. The creation of a Rapid Response Community also has improved surge and rapid deployment capacity. The evaluation survey indicated that risks to the safety and security of Mission personnel, information and infrastructure and overall emergency preparedness have been enhanced in approximately half of the Missions surveyed with the introduction of Mission Emergency Plans, the addition of MSO and DMCO positions, and the implementation of enhanced security measures, practices and training. Informal mutual aid arrangements, information sharing and, in some cases joint emergency response exercises cited in the case studies have increased the capacity of Missions to provide more responsive consular and emergency services to Canadians.

8.1.4 Relevant Policies, Clear Roles and Responsibilities

Finding 4:
Consular policies and guides provide sufficient guidance for delivery of consular services for the most routine cases. The 2009 Manual of Consular Instructions, while still useful, remains out-dated and did not sufficiently address unique and non-routine cases.

The evaluation found that the usefulness of consular policies, procedures and practices varied considerably. For example, the Dual Citizenship guide ^{Footnote 23} was more useful to missions in Asia (33%) than in other regions. Missions in North America (58%) considered the Kidnapping, Hostage Taking and Hijacking guide^{Footnote 24} to be less useful. Missions in North America and in Africa & the Middle East considered the Sexual Exploitation of Children by Canadians Abroad and Canadian Law guidelines^{Footnote 25} to be less useful. The evaluation survey found that one third of the Missions found the latter two guides were not applicable to their consular work and thus the least useful. Irrespective of the policy relevance of these guides to their regions, only 6% of Missions felt that clearer policies would help them to better manage their workload. Case studies to a large extent supported this view presented in the evaluation survey.

Based on case studies, the policies relevant to the delivery of citizenship and passport services were considered adequate to ensure the appropriate and timely delivery of routine consular services. The Mission Consular Section (CS) receives directives/circulars with changes to procedures on a regular basis which are sent to the MCO and discussed with the staff; keeping abreast of the changes especially in passport was considered time consuming. Consular Officers felt that the policy guidance has improved which has facilitated the processing of passport and citizenship cases although there is no specific manual for citizenship. With regards to passport, most have received Passport Management Program (PMP) training and are comfortable with their roles and responsibilities.

The only common issue in need of policy clarification raised in the case studies was the different criteria used by CIC and PPTC for birth certificate verification. PPTC requires a certified translation but not notarized, while CIC requires a translation by someone other than a family member (often an immigration agency) but it has to be notarized. This incurs additional costs, delays and frustration on the part of the clients. In addition, redoing the translation of the identity documents for the passport application can also lead to errors, because the names on the citizenship card and the passport application have to be identical. If the second translator makes a mistake in the name then this slips into the passport application and it will be rejected. Making sure that the names are spelled the same in both pieces of identification is an added complication with the current requirements in place.

While the policies, procedures and practices relevant to arrest and detention cases provide adequate guidance for appropriate and timely delivery of consular services, the evaluation interviews suggested that additional guidance is required in cases involving dual nationals and for high profile cases. The 2009 Manual of Consular Instructions ^{Footnote 26} appears to be the main point of reference for Consular Officers on how to proceed for each type of case, but the guidance therein has not changed substantially for many years; the interviews clearly indicates that the manual is out-dated. Subsequent to dealing with high profile cases some Missions have developed outreach materials specific to their countries which was viewed as useful (a brochure on the legal system, frequently asked questions, a list of lawyers, and guidance for obtaining permission to share personal information).

Policy guidance needing clarification and more detail on responsibilities and actions to be taken included:

• Conditions under which services are provided to resident dual nationals;
• Consular responsibility and procedures in surrogacy cases to determine citizenship entitlement;
• Consistent criteria for determining acceptable identification documents for citizenship and passport applications;
• How to approach clemency and duty of care requests from clients;
• Privacy considerations in the event of death or poor mental health;
• Conditions under which financial assistance can be provided in the event of an evacuation; and,
• Formulation and use of media lines

8.2 Alignment with Government Priorities

8.2.1 Alignment with Priorities and Strategic Outcomes

Finding 5:
CS&EM program activities and expected results are aligned with the Government of Canada's priority for "A safe and secure world through international cooperation" and contribute to the Department's strategic outcome that "Canadians are satisfied with commercial, consular and passport services."

Based on a Government of Canada Whole-of-Government Framework, it is possible to align Departmental strategic outcomes, their corresponding program activities and disbursements to a Government of Canada outcome area and to total government spending on key priorities. This requires that Department program activities be aligned to only one of the outcome areas as set out in Figure 1 below and indicated in their Report on Plans and Priorities (RPP) and Departmental Performance Report (DPR). The evaluation found Consular services ^{Footnote 27} is aligned with the International Affairs spending area and contributes to "A safe and secure world through international engagement" because of its mandate to provide services to Canadians through Canadian representation abroad. Specifically, it provides Canadians with information and advice on safe travel to foreign countries and helps Canadians in trouble or caught in emergencies when abroad. The evaluation noted that planned spending was expected to drop from a high in 2010-11 of $69.6 million to $58.2 million in 2012-13, the lowest of all program activities, including those aligned with the same Government of Canada outcome area.^{Footnote 28}

Figure 1: Government of Canada Whole-of-Government Framework

Spending Areas: Economic Affairs

• income security and employment for Canadians
• strong economic growth
• an innovative and knowledge-based economy
• a clean and healthy environment
• a fair and secure marketplace

Spending Areas: Social Affairs

• healthy Canadians
• a safe and secure Canada
• a diverse society that promotes linguistic duality and social inclusion
• a vibrant Canadian culture and heritage

Spending Areas: International Affairs

• a safe and secure world through international engagement
• global poverty reduction through international sustainable development
• a strong and mutually beneficial North American partnership
• a prosperous Canada through global commerce

Spending Areas: Government Affairs

• strong and independent democratic institutions
• a transparent, accountable, and responsive federal government
• well-managed and efficient government operations

Source: Treasury Board Secretariat, Canada

DFAIT's 2011-12 Program Activity Architecture includes seven program activities of which three are aligned with "International Services for Canadians," including Consular Services and Emergency Management (CS&EM), which collectively contribute to the Department's Strategic Outcome that "Canadians are satisfied with commercial, consular and passport services." CS&EM sub-activities include consular services in Canada and abroad, as well as emergency management with two sub-sub-activities: emergency preparedness and emergency response.

Despite declining budget projections previously mentioned, the Department in the 2010-11 RPP planned to further enhance CS&EM capabilities. It was to build on the already established Emergency Management Bureau by securing funding for the design and construction of the Emergency Watch and Response Centre. This would improve government-wide coordination and DFAIT management of emergencies along with the opening of additional Regional Emergency Management Offices to support Missions in emergency preparedness and response. The Policy, Contingency Planning and Training Division was tasked with developing policy framework for handling international emergencies, developing a department-wide emergency management training program, as well as improving business continuity plans. Strengthening relations through formal agreements with OGD and international partners, developing policy framework for handling complex consular issues involving children, dual nationals, and arrest and detention cases and continued outreach to inform Canadians about the hazards of travelling abroad and other consular issues were priority activities.^{Footnote 29} However, the perception among stakeholders interviewed by the evaluation at both headquarters and at Missions was that stable or declining financial resources made it challenging to meet both Departmental and client expectations for improved CS&EM services.

The CS&EM Logic Model reflects programming priorities at the immediate and intermediate outcome levels, with the latter focussed on increased awareness of Canadian travellers, fewer distress cases, timely processing of distress and emergency cases and the reduced impact of emergencies on Canadians and Canadian interests. The ultimate outcome aligns with the Department's Strategic Outcome "Canadians receive high quality, reliable CS&EM according to service standards." The addition of the "service standard" caveat in this statement circumscribes the level of service that Canadians can expect given the availability of CS&EM resources.

8.2.2 Clearly Defined Mandates

Finding 6:
Although there is no noticeable mandate overlap or duplication between CFM and other partner departments and agencies (CIC, PSC, CBSA, and PPTC), their mandates are in constant need of clarification or adjustment to meet changing policy and administrative circumstances. Consequently, their respective operational roles and responsibilities also require continual clarification.

The evaluation did not find evidence of overlapping mandates or duplication of services among partners (e.g., CIC, CBSA, PSC and PPTC). However, the evaluation did find that how services are provided do change and are not always subject to Memorandum of Understanding (MOU). For instance, DFAIT-PPTC MOU is the only formal agreement to date. MOUs with CIC and Correctional Services Canada (CSC) have yet to be signed. When changes have occurred in the delivery of passports abroad, authorities for passport approval or for CIC or CBSA presence abroad, they have had implications for changes in roles and responsibilities. It would seem reasonable to assume then that roles and responsibilities may be better served if clarified in MOUs as a means to ensure understanding among those involved in service-delivery.

The 2007 Emergency Management Act (EMA), its policy, response plan and guidelines offer a government-wide approach to emergency management in Canada. The Minister of Public Safety is responsible for exercising leadership in domestic emergencies and, in support of the EMA, PSC has developed a Federal Emergency Response Plan (FERP) which requires federal departments to have strategic plans designed primarily for domestic emergencies (in-Canada). With regard to the FERP, the evaluation noted that there appeared to be divergent views over DFAIT's involvement and its compliance to the FERP. The differences were on issues such as whether PSC's coordination role should include international emergencies especially if these events involve domestic or in-Canada agencies and departments or, should that rest with DFAIT considering its mandate to deal with international emergencies. The EMA is not clear in defining parameters. To further complicate this matter, in the case of emergencies in the USA, each OGD has its own direct relationship with their American counterparts which becomes challenging for DFAIT when responding to emergencies in the USA that could involve Canadians. While the respective mandates of DFAIT and Public Safety appear clear, and even acknowledged in the FERP, operationalizing their respective roles and responsibilities within a unified structure and national emergency response system remains in need of clarification.

To further illustrate, the evaluation showed differences in Canada's response to the Haiti earthquake compared to the Fukushima nuclear disaster. Both were international emergencies, but only in the latter was the Government Operations Centre (GOC) ^{Footnote 30} consulted and the FERP governance structure, operational and communications tools used from the onset of the emergency. Although the Geographic group led on Japan, CFM actively participated in the emergency response and managed the in-country (Japan) issues, including the safety of Canadians. This disaster also had a domestic aspect regarding the possible impact on Canada of a tsunami, contaminated ships, containers and the need to evacuating people, so DFAIT collaborated at the onset of the crisis with the GOC on whether to deploy strategic emergency management assets from other government Departments such as field hospitals and water purifiers

On the other hand, the Government Operations Centre was involved only in the later stages of the Haiti earthquake to coordinate the domestic support needed for Canadian evacuees, much like the Lebanon evacuation several years before. It may be reasonable to assume that a smoother handover of responsibilities for evacuees could have been achieved with the involvement of the Government Operations Centre at the beginning of the emergency response. Evaluation interviews suggested the following areas for clarification which may improve efficiencies: 1) prior consultation when determining the lead department in a given emergency, 2) ensuring a smooth hand-off between international and domestic responsibilities for the coordination of the whole-of-government response, and 3) sharing and communicating up information and intelligence through the FERP governance structure.

8.2.3 Service Delivery in Accordance with Policies and Mandate

Finding 7:
Consular services are delivered within a complex policy environment in constant flux and without the benefit of specific guidelines on what should and should not be done, Consular Officers find themselves exceeding their mandates and relevant service standards in the best interests of their client.

The consistent delivery of consular services according to Government of Canada policies has been a long standing concern for DFAIT and its partners. The involvement of several key partners (PPTC, CIC, CBSA), with their own mandates and policies, as well as overarching legislation (Federal Privacy Act), creates a complex policy environment.

For example, Consular Operations prepared a document entitled "Guidelines on Use and Disclosure of Personal Information," regarding the collection, use and disclosure of personal information in circumstances where obtaining a client's consent is unrealistic or impractical, particularly in crisis situations.^{Footnote 31}Nevertheless, the prevailing view from the evaluation interviews was that personal information is not to be shared with key partners or released to the media under any circumstances. However, the Federal Privacy Act does allow a disclosure of personal information if it will help or protect Canadians and contains provisions for delegated authority to a DFAIT Minister and/or the Head of Mission to disclose information under certain circumstances (e.g., when a consular client is misleading the public with regard to the consular services received). Personal information can also be disclosed to parliamentarian who is involved in a consular case because their constituent has requested help, or to the RCMP in an ongoing investigation. Evaluation interviews suggested that there is a lack of familiarity with the provisions of the Privacy Act. DFAIT also does not have specific agreements and procedures with many of its key partners to define the conditions under which personal information can be shared, which would further decrease any misunderstandings.

Consular Officers are expected to be conversant with the relevant policies and procedures as they apply without the benefit of a cohesive consular policy framework, interdepartmental MOUs, or an updated Manual of Consular Instructions. They are mandated to exercise discretion in the delivery of consular services given the local conditions, e.g., prison conditions, constraints (receiving State recognition of dual nationality), and client profile (illiteracy in Canada's official languages). The evaluation found that consular officers frequently found themselves exceeding their mandates and relevant service standards in the best interests of their client. For example, Consular Officers have translated passport applications, and have provided interpretation services in arrest and detention cases to facilitate the timely release of detainees when language was a barrier. Consistency in the delivery of consular services was also affected when Ministerial prerogative was exercised to provide more services in cases requiring Consular Officers to exceed service standards.

The delivery of emergency services, especially in the evacuations of Canadian entitled persons, is often guided by standard operating procedures. While there are no specific policies or emergency service standards, the policies and procedures of key partner departments are generally applied to safeguard Canada's national security, but with greater flexibility to accommodate the circumstances in emergencies, the safety of individuals at risk and with Canada's best interests in mind. *** The evaluation noted that these were opportunities for PPTC and CFM to work more closely on the entitlement process to improve consistency of service during an emergency.

8.3 Alignment with Federal Roles & Responsibilities

8.3.1 Federal Mandate to Deliver Consular and Emergency Services

Finding 8:
DFAIT has the federal mandate to coordinate Canada's efforts in the delivery of consular and emergency services abroad by virtue of the 1985 DFAIT ACT.

The Vienna Convention on Consular Relations,^{Footnote 32} to which Canada and 169 other states are party specifies that the consular function is exercised by consular posts and diplomatic missions accredited by the receiving State. The Convention specifies in Article 5 what the Consular Officers and Honorary Consuls engaged by the sending State can undertake within the limits imposed by the laws, regulations, procedures and practices of the receiving State. These functions include protecting the interests of Canadian nationals, both individuals and corporate bodies, assisting Canadian corporate bodies and citizens who are conducting business; living or travelling abroad is thus an internationally recognised consular function.

The legal mandate of the Department was set out in the Department of Foreign Affairs and International Trade Act.^{Footnote 33} Under this Act, DFAIT was empowered to provide consular services and assistance to Canadians abroad. The provision of consular services is deemed to be a royal prerogative based on the principle of "helping Canadians to best help themselves." The DFAIT Act mandates the Minister with the powers, duties and functions relating to the conduct of the external affairs of Canada, including the conduct of all diplomatic and consular relations on behalf of Canada, the management of Canada's diplomatic and consular missions, as well as coordinating the direction given by the Government of Canada to the Heads of Mission. As such the Department has the federal mandate to coordinate Canada's whole-of-government efforts in the delivery of consular and emergency services abroad. Supported by this authority it received funding approval for the creation of the Consular Services and Emergency Management Branch (CFM) to strengthen its capacity in fulfilling this mandate, increase the visibility of consular and emergency management and provide a focal point and common services platform to assist lead branches and partner departments in responding to emergencies and crises overseas where Canadian citizens and Canadian national interests are affected.

The Government of Canada Policy on Government Security has significant implications for the management of Canada's diplomatic and consular missions and emergency management programming. "The objectives of this policy are to ensure that deputy heads effectively manage security activities within departments and contribute to effective government-wide security management."^{Footnote 34} The policy required DFAIT to allocate resources to create the mechanisms and processes to safeguard Mission assets and employees, and to ensure the continuity of government services in the event of security incidents, disruptions and emergencies.

The Federal Emergency Response Plan (FERP) also recognised the Department's lead role for coordinating Canada's response to international emergency events and to ensure the safety of Canadian employees and citizens during such events.^{Footnote 35} Funding received in December 2009 for the design and construction of the Emergency Watch and Response Centre to strengthen its situational awareness and international threat monitoring capacity was recognition of DFAIT's mandate to manage Canada's diplomatic and consular missions as a whole and to ensure the safety of employees and Canadian citizens in general. In 2011 CFM introduced the Mission Emergency Plan which is prepared under the authority of the Head of Mission and addresses DFAIT's security policy responsibilities as it includes the four types of emergency plans the Missions are most likely to require: Business Continuity Plan, Consular Evacuation Plan, Pandemic Influenza Preparedness Plan, and a Personal Safety Contingency Plan.^{Footnote 36}

8.3.2 Clear Departmental Roles and Responsibilities

Finding 9:
The creation of the CFM Emergency Management Bureau has caused some misunderstanding among key government partners with respect to determining single departmental point of contact for responding to international emergencies.

DFAIT is responsible for the delivery of consular services and responding to international emergencies. Within DFAIT there are multiple accountabilities in the delivery of these services.

DFAIT's Stabilization and Reconstruction Task Force (START)^{Footnote 37} has an inter-departmental mandate and leadership role in coordinating Canada's response to natural disasters abroad. It's Government of Canada Standard Operating Procedures (SOPs) for natural disasters have been frequently used and improved over the years and are considered very effective by OGD stakeholders and international partners involved in or working with Canada in humanitarian response operations.

Based on this model, another set of SOPs were approved for development in 2009 for conflict and political violence in fragile and conflict affected states but have yet to be finalized. The evaluation found that START fulfilled a much needed and expanded role in coordinating the Government of Canada's response to international emergencies.

The Consular Affairs Branch had traditionally been represented on START's emergency task force by its Consular Operations Bureau with an acknowledged mandate to ensure the safety of Mission staff and Canadians. Its mandate and associated roles and responsibilities did not overlap with that of START or the Geographic Branches as it fulfilled a support role. Consular provided advice on issues related to dual nationals particularly in the context of evacuations. The evaluation found that there was a seamless division of labour among Consular, IRH and the Geographic Branches during emergencies with no real duplication for emergency response.

The funding request for the creation of the Consular Services and Emergency Management Branch (CFM) was in response to the 2007 Emergency Management Act with a mandate "to lead the coordination of the Government of Canada's preparedness and response to international emergencies working with OGDs and the Government of Canada."^{Footnote 38} The new Emergency Management Bureau (CED) began to assume responsibility to "provide a focal point and common services platform to assist lead branches and partner departments in responding to emergencies and crises overseas where Canadian citizens and Canadian national interests are affected." CED regularly participates in START Task Force meetings in response to international emergencies resulting from natural disasters (Haiti earthquake); CED also co-led with the Geographic Branches the consular response to political crises (the Arab Spring).

However, the evaluation found that although mandates, roles and responsibilities between IRH and CED were well defined and understood within DFAIT, they were not readily understood by certain OGD partners. For some, there was a lack of clarity in terms of who to contact at DFAIT at the onset and throughout an emergency due to different leads and shifting of responsibilities during an emergency as the nature of the emergency and Canadian priorities in response to that emergency evolve (e.g., evacuation, stabilization and/or humanitarian crisis).

It was suggested that the new EWRC would most likely remedy this problem because it would act as a single initial point of contact to anchor and centralize communications between DFAIT and OGDs in a government-wide response to international emergencies. At the time of the evaluation, this was yet to be seen. The evaluation also found some duplication between the Standard Operating Procedures in use between IRH and CED, overlap in training and preparedness, deployment of separate rapid response teams, as well as the deployment of different emergency kits for temporary duty personnel. Some interviewees with multiple roles in international emergencies viewed this as a source of confusion in the delivery of their functions during an international emergency.

8.4 Achievement of Expected Outcomes

8.4.1 Meeting Service Standards

Finding 10:
CFM has achieved respectable performance against consular service standards worldwide for citizenship (86%), passport (100%) and arrest/detention (72%) cases (for fiscal years 2006-07 to 2010-11).

Performance against service standards worldwide for passport and citizenship cases was 100% and 86% respectively for 2006-07 to 2010-11. This seems to reflect a high proportion of staff time spent on these routine consular services. It was also noted that it took of an average of 8 days to process a passport application when compared to the 15 day service standard.

The consular service performance statistics included in the case studies were verified during mission site visits with consular staff who found them to be mostly accurate. For example, the Mission in Bangkok Thailand considered the citizenship statistics to be lower than their own numbers, since there are approximately 500 open cases and 180 new applications per year. New files are opened when the mission receives an application and are closed only when the citizenship card is sent to the client. The Haiti Port-au-Prince citizenship and passport statistics were also considered low for 2009-10 because there was no electricity or internet after the earthquake so the citizenship applications were sent to Sydney and the passports applications were sent to Passport Canada but not registered in COSMOS.

Nevertheless, the COSMOS statistics for performance against service standards was consistent with the evaluation survey since only 15-16% of Missions were unable to meet demand for these routine consular services in a timely manner. The main reasons provided were lack of available consular staff, increased demand and, media sensitive arrest and detention cases. A review of the consular service performance statistics for the Missions included in the case studies revealed only two cases where under-performance of citizenship and/or passport service standards was consistent. They were as follows:

The Canadian High Commission (CHC) in Islamabad, Pakistan had struggled for several years to meet its citizenship and passport service performance standards. The Consular Section had not systematically monitored and analysed its performance data until recently when it was discovered that the LES staff didn't register citizenship or passport cases upon receipt so a backlog of cases had built up. The 2011 Mission Inspection estimated *** in passport applications resulting in undetected volume management issues at that time. The number of call backs and return mail applications created a workload that would not have existed if the same number of applications were received in mostly complete and correct form. The Consular Section now uses a flowchart and backlog statistics board that is reviewed every week with the consular staff responsible. While performance against citizenship service standards has improved in the last two fiscal years, this has not been the case for passport services. The percentage of returned passport applications because of insufficient documentation, inappropriate identity documents, non-certified translations, unacceptable photos remained at 75-80% at the time of the evaluation but was expected to decline with the initiatives taken to communicate instructions in Urdu. The backlog of passport applications has been halved since the introduction of performance monitoring and the 2010-2011 data has reflected improvements in application processing times.

The Embassy in Mexico City experienced significant increases in the demand for passport services in 2006-2007. Demand had grown when there was a policy change regarding country of birth, the Western Hemisphere Travel Initiative and the visa requirement. Despite repeated requests to headquarters for additional staff, the two full time equivalent (FTEs) consular staff dedicated to providing passport services continued to have difficulty in meeting the service standards through to 2009-2010. The addition of two more FTEs in 2010-2011 had a significant impact on service standard performance as evidenced in the performance statistics reducing the staff time to process a passport application by half from 16 to 8 working days and well within the service standard for that fiscal year.

World-wide performance against service standards for arrest and detention cases was estimated at 72%, although the reliability of this measure was brought into question. Eight Missions in the case studies (Chile, Haiti, India, Indonesia, Israel/West Bank & Gaza, Lebanon and Thailand) viewed this estimate as low. Because the "last contact date" in the CAMANT system is not regularly updated during data entry and could account for discrepancies, while others viewed this estimate as reasonable because of the relatively flexible interpretation of how to count "contact"( telephone, letter, personal visits), and the dedication of consular officers who ensure regular contact under sometimes difficult circumstances.

8.4.2 Raising Awareness and Educating Canadian Travellers

Finding 11:
Outreach efforts to raise the awareness of Canadians regarding of travel hazards and consular services have had little impact.

The Travel.gc.ca web site is DFAIT's main communications tool to disseminate up-to-date information to Canadians about consular issues and service standards. The site's home page contains a convenient link to service standards which provides a 'declaration of quality', 'privacy notice' and a 'schedule' of services and related standards in ample detail to inform interested Canadians travelling, living and working abroad. There is strong public endorsement for the Government's role to inform Canadians of travel issues and a high degree of trust in the information provided through the Travel.gc.ca web site, travel advisories and brochures.^{Footnote 39} However, the uptake by Canadian travellers of these outreach tools has not increased since 2007 (Text Box 4). Focus group testing conducted in 2008 concluded that they were not being used by most travellers who were more concerned with climate, costs and local attractions before health, safety and security considerations. The 2009 Outreach Campaign subsequently conducted over a six week period had little success in boosting the Travel.gc.ca web site visits with only a 4.3% incremental increase, while travel agents were reluctant to distribute the available publications, e.g., Bon Voyages.^{Footnote 40}

While innovative approaches have been proposed by CFM, such as greater use of regional media and the use of social media similar to the British & Australian public outreach programs, these suggestions have not been implemented. A modern proactive public communications strategy with outreach products that incorporates social media with clear and captivating messaging has not been readily available. The evaluation found that outreach and public education is a much-needed risk mitigation strategy with the Canadian public, parliamentarians and central agencies.

While approximately half (49%) of the missions surveyed believed Canadians have an increased awareness of hazards of international travel, only 1/3 believed Canadians took preventive measures to avoid risks. Missions surveyed also believed 60% of travellers do not have an increased awareness of limitations of consular services available and 90% believed Canadians' expectations of services they can receive have not changed or are less realistic. Admittedly, only 44% the Missions regularly reached out to Canadians in their territory because of limited financial means as well as a lack of interest among dual-nationals for whom the information is less useful. The COSMOS statistics show that the number of distress cases has increased by only 840 worldwide from 2006-07 to 2010-11 and remained stable at 12-13% as a proportion of routine cases. Anecdotal data suggested that arrest and detention cases have a greater tendency to attract Canadian media attention when clients are uninformed about travel hazards or the consular services they can expect. Several Missions have produced brochures on the laws and legal systems pertaining to their countries which are viewed as useful outreach tools for clients, their representatives and others advocating on their behalf.

8.4.3 Raising Awareness of Canadians Living Abroad

Finding 12:
The outreach tools available to Missions (i.e., ROCA and Wardens) appear ineffective in raising awareness about emergency planning or services to Canadians resident abroad; their cost-effectiveness has not been demonstrated.

The primary outreach tools used by Missions abroad to raise awareness among Canadians in their territory about consular and emergency services are the Registration of Canadians Abroad (ROCA) system and the Warden Network.

While the vast majority of Missions rely on ROCA,^{Footnote 41} 95% of those surveyed also recognised that it does not reflect the actual number of Canadians in their territory. This was particularly seen in countries with high tourist volumes, e.g., Mexico, India and Thailand, or a large resident dual national population, e.g., Mexico, Lebanon, and Haiti. Typically ROCA registrants represent less than 10% of the visiting and resident Canadian community as demonstrated in the case studies. ROCA was often used for proactive outreach efforts via email to the Canadian resident community to provide information on new consular related policies, procedures, as well as reminders to renew passports before travel season. It was also the primary outreach tool used in emergency situations however the dual national population in most countries are typically not registered. Again, 95% of missions surveyed indicated that ROCA was not reliable to account for Canadians in their territory. Case studies (Lebanon, India, Indonesia, and Mexico) also suggested that the information in ROCA was incomplete which reduces its usefulness in an emergency. But, ROCA registrations did spike during a crisis which suggests Canadians will use ROCA. Further study is needed on the advantages and disadvantages of ROCA in consideration of risk. For instance, not being able to reasonably account for Canadians in countries where there are an increasing number of natural disasters or civil unrest situations would place added risk to managing emergencies efficiently should evacuations be needed.

The Warden Network has also been used to reach out to the Canadian community, but budget constraints for consular travel, poster sessions and Warden Conferences have hampered many Missions' capacity to keep Wardens engaged, identify replacements, let alone expand coverage within and to new districts. Among the Missions visited by the evaluation only Chile and Thailand had active Warden Networks while most others were described as either neglected or dormant. In these countries most Wardens did not have a clear understanding of their role, did not have enough information, had few organised opportunities to meet registered or non-registered Canadians and were generally not equipped to respond to an emergency effectively. Without effective outreach tools and adequate financial resources, consular staff can do little to raise awareness about the services they provide or engage in emergency planning and preparedness with the Canadian community. The Mexico case study (Text Box 5) stands out as an exception because of its decentralised Mission Network with seven points of service which allows Consular Agents to directly undertake local outreach activities at a relatively low cost.

8.4.4 Impact on Service Delivery

Finding 13:
Outreach efforts with ROCA registered Canadians, Wardens or through brochures and travel.gc.ca have had no noticeable impact on the demand for consular services.

Further to evaluation Findings 11 and 12, without a robust modern public education campaign aimed to resident Canadians abroad and travelling Canadians, current outreach efforts such as brochures, ROCA, wardens or travel.gc.ca have not resulted in a significant worldwide reduction in the number of distress or routine cases. Based on consular caseload volumes reported in Table 6 below, the average year-to-year increase for distress cases was 3.5% with the most significant increase in 2009-10 (8.3%) attributable to emergency distress cases related to the Haiti earthquake.

The average year-to-year increase for routine cases was 5% with the most significant increase in 2008-09 (14%). The total number of cases increased on average by 5% with the most significant increase in 2008-09 (12.7%) due to routine cases. Although there are variations among regions, the proportion of distress to routine cases has remained stable at 12-13% from 2006-07 to 2010-11, thereby suggesting that current outreach efforts have had no noticeable impact.

It was further hypothesized that another aim of public outreach was to educate Canadians on travel hazards to reduce their conflict with the law. In this regard, arrest and detention cases, in the nine case study countries, were analysed to see if there was any noticeable change in trends over five years (2006-07 to 2010-11). The analysis showed that, although there are some variations by region and by year, there is no trend indicating that the number of arrest and detention case decreased over the five year timeframe. The analysis of distress as well as arrest and detention cases suggested outreach efforts have not shown any noticeable impact on caseload.

Among Missions, those in the Middle East and Africa were the most impacted by increases in consular cases. They were the most likely to work overtime (86%), face increased media attention (50%), require more interaction with CFM headquarters (79%), consult more frequently with Heads of Mission (50%), and call for additional resources (57%). When faced with increases in distress cases, missions in Europe were most likely to request additional resources (30%), while those in Latin America and the Caribbean interacted frequently with CFM headquarters (73%) and with Heads of Mission (64%). Missions in Asia and North America were the least impacted by increased demand for consular services, either routine or distress cases.

The majority of Missions visited by the evaluation had successfully managed fluctuations in the demand for service by cross-training consular staff, delaying administrative tasks, working overtime when required and restricting time-off during peak periods. Case studies and the evaluation survey found that service standards were met for a majority of cases supporting Mission perceptions of relatively high client satisfaction. However, unrealistic client expectations, the propensity to involve the Canadian media has put added pressure on CFM headquarters and Mission resources given the additional briefings, messaging and services they are required to provide. Focus groups with Consular Officers noted that this was especially problematic for smaller Missions that only have one MCO since there was usually no backup for the MCO.

During emergencies, consular officers were fully dedicated to the immediate tasks of activating ROCA registrant files, locating affected Canadians and attending to needs of Canadians and the Mission. Case studies noted that wardens have been helpful in some emergencies but a direct correlation with the investments made in maintaining a warden network and the training of Wardens has not been demonstrated. It was also found that at Mission, the recovery from an emergency with a significant number of affected Canadians places pressure on consular resources which in turn affects post-emergency routine service delivery if no contingency is in place to relieve the pressure.

8.4.5 Improved Emergency Management Capacity and Response

Finding 14:
CS&EM capacity to coordinate timely and effective emergency response has continually improved at CFM headquarters and at Missions, although concerns were identified with regard to the efficient and effective use of available resources, e.g., CED and START-IRH coordination, the need for advance operational planning with partners, and the need to update ROCA in emergencies.

Key interlocutors rated CFM's ability to fulfill its overall mandate as very good on a scale of poor to excellent. Missions seemed to manage small scale emergencies effectively using internal resources, local government authorities and friendly missions (see *** case studies). On the other hand, a whole of government approach to complex large scale emergencies has been challenging in the past, but has shown considerable improvement as witnessed in the 2011 Libya evacuation. The introduction of the Mission Emergency Plan and Incident Command System was considered a significant improvement by most Heads of Mission and MCOs over consular contingency planning in enhancing the ability of Missions to coordinate its emergency response.

Nevertheless, the evaluation identified two major concerns on the efficient and effective use of available resources. The first was the practice of using Mission resources, often locally engaged consular staff, to establish temporary call centres in small scale emergencies,^{Footnote 43} activate ROCA registrant files and update information on affected Canadians for the Emergency Operations Centre. These were considered to be time consuming tasks which could be managed differently so that valuable consular resources can focus on meeting the needs of distressed clients.

The second area of concern was better coordination between the Emergency Management Bureau and START-IRH in terms of advance operational planning and alignment of processes with CIC, CBSA, and PPTC in conjunction with the Government Operations Centre. This would help to ensure adequate staff resources and equipment are mobilised and/or deployed in a strategic and timely manner to facilitate the estimated number of Canadian entitled persons to be evacuated to Canada. The last minute inclusion of Permanent Residents, insufficient stocks and manual processing of ETDs has caused evacuation delays during some emergencies for dual nationals, mixed families and those who lost their personal identification documents.

Other improvements included: timely responses from the Emergency Operations Center, identification of departmental liaison officers, deployment of adequately trained staff, management of media communications, availability and use of information communications technologies (e.g., Signet, BlackBerry, PMP), and information on evacuation cost-recovery procedures.

8.4.6 Enhanced Emergency Preparedness and Regional Response

Finding 15:
Time spent by Missions on emergency planning and preparedness varied considerably among geographic regions.

Case studies revealed the amount of attention and staff time allocated by Missions to emergency planning and preparedness varied. The survey results indicated that consular staff spent on average 19 days in 2010 on emergency planning and preparedness. The range is quite broad and the average varies by region as follows:

The majority (59%) of missions updated their Mission Emergency Plan (MEP) in the last quarter of 2011, amounting to a total of 73% Missions updating their MEP in 2011. The MEP is a single source planning document that includes previous emergency plans (Business Continuity Plan, Consular Emergency Contingency Plan, Personal Safety Contingency Plan and the Pandemic Influenza Preparation Plan). Survey results indicated that the MEP was particularly useful to enhance a Mission's emergency preparedness capacity when combined with table top and live simulation exercises.

Finding 16:
Latin America and the Caribbean Region benefited the most from REMO and CPAT visits.

Regional Emergency Management Offices (REMOs) were created to deliver regional emergency management services directly to missions. Three REMOS were proposed in strategic locations to assist Missions and HQ in emergency planning. Ankara was established in 2009, Panama in 2010 and Kuala Lumpur (KL) in 2011. Given that KL became operational rather late in the evaluation process, its impact was not assessed.

The evaluation showed there were differences regarding the role of the REMOs. Missions generally saw REMOs as offering surge capacity, while REMOs saw themselves as offering emergency management training tools such as desktop exercises. The evaluation showed that, in addition to support provided by REMOs, some missions still needed to develop their own tabletops exercises to reflect unique mission realities. REMOs also assumed different yet flexible functions. REMOs (Panama City and Ankara) were considered proactive in offering training and support services, while REMOs have also assisted missions in deploying staff to deal with emergencies on site such as during the Arab Spring. Therefore, REMOs were flexible to meet demands.

Another aspect of emergency planning is the Contingency Planning Assistance Teams (CPAT). This activity is led by DND and provides missions with emergency evacuation routes and logistics. Not all missions receive CPAT visits. Of the Missions that had received a CPAT visit, 86% stated that emergency protocols based on the findings were incorporated into their Mission's emergency preparedness and response plan. Survey results indicated that the contribution of REMO and CPAT visits has been the most useful to the Missions in the Latin America & the Caribbean region.

Finding 17:
Mutual assistance agreements with other countries on joint emergency planning and preparedness have not been maximized.

The Government of Canada has an agreement with Australia^{Footnote 44} regarding consular services. There are also arrangements with other countries for joint emergency planning and assistance. ***^{Footnote 45}. Case studies indicated that information sharing, periodic consultations and mutual assistance in emergencies were the norm with these and other friendly Missions. However most in-country cooperation was informal and ad hoc with little emergency planning and preparedness based on the assumption of joint evacuation operations. Operationalizing mutual assistance agreements was noted as important and useful by the Missions in countries with limited evacuation options, or within countries when consular representation was limited, ***

8.4.7 Efforts to Increase Consistency in the Delivery of CS&EM Services

Finding 18:
Training for routine consular services was considered sufficient, while training for distress cases and emergency management was considered less sufficient.

The majority of Missions surveyed (77%) considered the consular training they received (e.g., passport certification), sufficiently prepared them to deal effectively with routine consular cases. Approximately half (47%) were less-prepared to deal with distress cases. Missions that felt there were gaps in training for routine cases and identified the following: lack of detail on case management issues (45%), too short training sessions (45%), dated training materials (40%), insufficient detail on policies (40%) and inadequate format (35%). For distress cases, missions who felt there was a gap in training identified insufficient detail on case management issues (59%), insufficient detail on policies (46%) or a complete lack of training (39%). More specialised training was now being provided on the rules of the Vienna Convention and risk management, but the case studies showed that insufficient training was provided on case management, (document integrity), and on relevant policies and legislation ( Privacy Act related to how and when to disclose personal information). Nevertheless, the consular training that has been provided and the Mission-initiated cross-training of locally-engaged staff in all areas of consular work, as noted in the case study data, has contributed to increased consistency in the delivery of routine consular services based on performance against standards for passport and citizenship cases.

The expanded mandate of the consular section for contingency and emergency management planning was challenging for consular staff as these areas have traditionally been outside their common knowledge set. The need for mandatory training on crisis management, disaster response and consular services (how to issue a passport or emergency travel document) designed for Heads of Mission, Consular Officers and other DFAIT staff participating in Rapid Deployment Teams has been consistently advocated since 2004 in evaluations,^{Footnote 46} in after action reviews^{Footnote 47} and for those being posted or deployed to disaster-prone countries/regions. While some new training modules in these areas have been developed, the survey indicated that 60% of Missions have not received the requisite training, and just under half cite a lack of staff knowledge and skills in conducting tabletop and other emergency plan exercises, familiarity with Incident Command System roles and responsibilities and usage of specialized emergency equipment and communications tools. While emergency management training has been provided to 40% of the Missions, two thirds of the recipient Missions did not feel that it sufficiently prepared them to deal with emergencies and crises in an effective manner.

8.4.8 Effective Collaboration with Federal Partners

Finding 19:
Issues related to the sharing of personal information in consular service delivery with OGD partners cause irritants in otherwise good relations. Information sharing, seamless communications and coordinated deployment also remain issues of concern between CED, GOC and OGD partners when responding to emergencies and coordinating evacuations.

The delivery of routine and non-routine consular services requires coordination with several Canadian government departments and agencies, specifically CIC, CBSA, PPTC, RCMP and others. While their respective mandates are clear, operational and procedural issues often arise with regard to the collection, uses, disposition and communication of personal information which become irritants in otherwise good working relationships and can detrimentally affect the quality of client services. What personal information can be shared between departments and agencies, by whom, to whom and under what circumstances as permitted by the Federal Privacy Act is generally not well understood by consular officers despite the existence of MoUs with certain partners.^{Footnote 48} The need for a better system and guidelines to share personal information has been consistently raised since 2004 in evaluations (Text Box 7), post-emergency reports^{Footnote 49} and has been evident in the handling of both consular cases and emergency evacuations as described in a number of case studies (Chile, Indonesia, Lebanon and Mexico). Establishing Canadian identity is a requirement before consular services can be provided and the inadvertent sharing of personal information can have legal consequences.

The Emergency Management Bureau has played an important, if not lead, information and coordination role with the same departments and agencies with the addition of DND and CIDA in emergency response operations. The evaluation found that the identification of a single point of contact and decision makers at DFAIT has been problematic for some partners and Missions. Since evacuation operations are a DFAIT, CIC, CBSA, PPTC and DND joint effort, there was an expressed need to identify a single point of contact, i.e., liaison officer for the Incident Command System and to build this awareness to reduce impacts with joint departments.^{Footnote 50} In the case of Haiti, for example, CIC's decision to evacuate Permanent Residents with related visa processes transformed the Embassy compound into a refugee camp and increased by twofold the burden on consular services. During Arab Spring, CBSA posted staff in neighbouring countries without DFAIT being aware to meet and deal with incoming planes of Canadians to assist with transit processes which resulted in a shortage of CBSA staff to facilitate departures. Otherwise the integration of CBSA and DFAIT staff on evacuation teams during the Libya evacuation proved to be effective, however the coordinated deployment of PPTC and CIC resources remained an outstanding issue resulting in a "lot of time elaborating a process with PPTC to deliver ETDs in an emergency context where most of the technological tools were not available."^{Footnote 51} It was also noted that limited communications and coordination with the Government Operations Centre in several crises resulted in some equipment mobilization miscues and less than efficient hand-over of responsibilities for evacuees entering Canada, (Lebanon and Haiti evacuations).

While these communication issues are expected to be resolved when the Emergency Watch and Response Centre becomes fully operational, the evaluation found that OGDs were not fully involved in the strategic policy analysis, planning and decision making process which led to the creation of the EWRC and REMO network, or subsequent consultations on interoperability and information sharing.

8.4.9 International Comparisons

Finding 20:
Other like-minded countries (***) face many of the same challenges in emergency planning, preparedness and response and use similar, but also innovative approaches to addressing these challenges which CFM might consider in the future.

The evaluation interviewed consular representatives of like-minded countries during site visits and identified many similarities with Canadian CS&EM approaches such as the use of country-wide and Mission focussed emergency management/contingency plans updated at least annually, annual table top and emergency simulation exercises, use of standing ERT/RDT trained professionals as first response to emergencies, and centralized volunteer emergency response surge capacity.

Like-minded countries also faced many of the same challenges. They are: high expectations from consular clients, home country media attention, difficulties in estimating dual national residents, low use of online registration systems, incomplete online registration data, difficulties in maintaining Warden Networks, Mission staff workload pressures and staff burnout during large scale emergencies. The evaluation also identified innovative approaches used to address these challenges. For example, in the UK, the production of "Banged Up Abroad" was raised in evaluation interviews as a source for educating travellers on risks, as well interviews revealed of delegated authority to Heads of mission (HOM) to speak to the media, widespread use of social media to communicate with registered nationals during emergencies, the deployment of regional staff for temporary duty in emergencies, emergency related enquiries routed to home country call centres, systematic post-emergency reporting and dissemination of lessons learned.

8.5 Demonstration of Efficiency & Economy

8.5.1 Sufficient Resources to Address Demand

Finding 21:
Resource imbalances exist among Missions; many Missions were adequately resourced to deliver routine and distress consular services, but in most Missions emergency management was under-resourced.

The evaluation was unable to estimate "resource use" on the efforts involved to deliver consular and emergency management because while CFM is responsible for the delivery of consular services and emergency management services abroad, the management and accountability of consular resources are divided among CFM, the International Platform Branch (ACM) and the Geographic Branches. CFM has responsibility for CFM headquarter resources and REMO resources; the Geographic Branches are responsible for all positions that are 100% dedicated to consular and those who spend 51% or more of their time on consular matters (the remaining time being spent on common services) while ACM is responsible for positions who spend 51% or more of their time on common services (the remaining time being spent on consular). So while CFM has the responsibility for consular service delivery, it does not have the full responsibility to account for all consular resources.

DFAIT received $90.8 million over five years (2008-09 to 2012-13) to increase CFM headquarters staff complement from 98 FTEs to 167 FTEs and to increase the consular staff FTEs for Missions abroad by 32 FTEs. However, differences were reported in FTE base counts in 2008 which reduced the total projected FTE complement for CFM headquarters to 164 FTEs. Subsequent to the implementation of the New Business Model and internal reallocations, the 2011 FTE count for CFM headquarters was again reduced to 147 FTEs. The evaluation found that these reductions have had an impact on the capacity of CFM headquarters to accomplish its initial tasks.

Interdependency with the International Platform Branch and Geographic Branches for CS&EM budget allocations presented significant management challenges. While the addition of the international emergency management mandate was supported with increased reference level funding for CFM headquarters, the prevailing view within the Branch is that the function remains under-resourced, a view that is shared among many representatives in the Geographic Branches. Delays in the development of a consular policy framework and procedures, increased rapid deployment capacity, training for emergency response, and the inability to leverage existing technology to detect, monitor and analyse potential crises for use in emergency planning have all been attributed to budget constraints and cuts. While such compromises are not surprising in a government context of fiscal constraint where the consolidation of operational responsibilities and resources within a Department is common place, the additional management effort required to access supplementary funding for small scale emergencies places an administrative burden on CFM which is neither an efficient or effective arrangement and can compromise timely and adequate emergency preparation and response when needed.

The evaluation therefore developed proxies to measure efficiencies. Based on survey results, the majority of Missions were adequately resourced to deliver routine and non-routine consular services, while half the Missions reported insufficient funds for emergency management training, equipment and supplies. Based on the COSMOS data, performance against passport and citizenship service standards for a significant number of Missions is exceptionally high and, by their own admission, consular officers will surpass the acceptable standard of service in distress cases at their own discretion. On the other hand, a small number of missions have consistently struggled to meet their service standards or maintain their Warden Networks.

With the addition of emergency planning, the MCO position in small and large Missions bears a heavy administrative burden, to direct the development, planning and management of the Mission's general administration, human resources, budget, property management, systems administration, telecommunication requirements, high level visits, as well as consular services. Approximately half of Missions indicated in the survey that consular resources were not adequate to conduct training of staff in emergency roles (53%), table top and other emergency plan exercises (49%). Case studies for Chile, India, Indonesia, Israel/West Bank & Gaza, and Lebanon revealed a common challenge among all Consular Sections that emergency planning and response had to be juggled with other, sometimes more urgent responsibilities such as human resources, administration, managing the mission budget, property management and the delivery of routine and distress consular services; the workload was reported to be overwhelming and the resources inadequate.

It is also evident from case studies that there are imbalances in resourcing levels across the network of Missions abroad and within larger Missions that can be addressed in order to improve overall cost-efficiency and effectiveness of consular and emergency services. Evaluation interviews expressed a need for a resource allocation formula acceptable to the ADMs of all the Branches involved so as to avoid the elimination or addition of consular positions in Missions without a clear rationale or even CFM's knowledge. The Consular Resource Allocation Model currently in development is one tool that has the potential to inform joint decision making.

8.5.2 Sufficient Surge Capacity for Emergency Response

Finding 22:
Establishing a Rapid Response Community has improved surge capacity, although this approach may not be sustainable without Standing Rapid Deployment Teams with trained volunteers ready for temporary duty.

START-IRH and CFM have responded to many crises over the years for which after action and lessons learned reports have been prepared that address issues related to surge capacity for emergency response. The need for a more systematic method to identify, qualify, select, and deploy temporary duty (TD) personnel for emergency assignments was identified after the 2004 Indian Ocean Tsunami.^{Footnote 52} The need for trained TD personnel to ensure that they themselves do not add to the consular burden of the Canadian mission was identified after the 2007 Peru Earthquake.^{Footnote 53} The need for better structures and procedures to identify the duties of TD personnel and to track their assignments during emergency operations was identified after the 2010 Haiti Earthquake.^{Footnote 54} And, again, the need to conduct pre-deployment assessments to ensure that TD personnel have the adaptability and capabilities e.g., focussed, task-oriented, adaptable and resilient to work in an emergency context was identified after the 2011 Libya Evacuation.^{Footnote 55}

When created in 2008, the Emergency Management Bureau (CED) was comprised of three divisions: Policy, Contingency Planning & Training (CEP), the Rapid Response Network (CER) and the Emergency Watch and Response Centre (CEC). At this point CER initially consisted of eight employees, but was subsequently reclassified as a unit within the CEC division and the staff complement reduced to two officers with one deputy Director. Nevertheless, the CER was expected to strengthen DFAIT's surge capacity by establishing, equipping and managing core teams of trained, multi-skilled personnel capable of providing emergency management and emergency consular support services to assist missions and headquarters in responding to crisis situations overseas.^{Footnote 56}

The Rapid Response Network unit has a roster of self-identified officers who wish to go on TD during emergencies referred to as the Rapid Response Community. At the onset of a crisis, the unit's officers have to identify potential volunteers from the roster with the appropriate competencies who are prepared to assist and have the approval of their managers which increases the response time to the emergency. It was noted in the lessons learned report for the 2011 Libya Evacuation that TD resources were requested early for Libya and Malta but were not deployed immediately. Ideally, decisions should be made at CFM as early as possible to deploy pre-authorized "go teams" with visas on standby however such a standing rapid deployment capacity has yet to be developed

While the establishment of a Rapid Response Community has improved the Department's surge capacity, the evaluation interviews indicated that the approach has created tensions with responsible managers who are unable to back-fill work demands when their volunteer staff were assigned to work on emergencies. The ongoing work at DFAIT headquarters and other contributing Missions had to be set aside during the most intense phase of an emergency response and required several months to deal with the accumulated backlog of work. This situation is further aggravated by the need for rotational deployment to avoid burn-out by the first TD responders who generally work for several days without sufficient rest. A growing reluctance by senior managers to release staff for training and voluntary temporary duty for anything but large scale emergencies puts into question the sustainability of the current approach.

Surge capacity at the REMO and Mission level is limited given the size of the staff complement, with the exception of countries with an extensive Mission Network of Consulates general, Consulates and/or Consular Agencies, e.g., China, India, Mexico.

8.5.3 Need for Legal Counsel and Action

Finding 23:
Liability claims increased dramatically ***.

High-profile cases have raised the expectations of the Canadian public who have increasingly turned to the Canadian media and legal counsel when they perceive that the Government of Canada has not provided appropriate consular services. Consular officers have nevertheless been expected to exercise a high degree of discretion in delivering services with the concomitant exposure to potential liability.***.^{Footnote 57}

***

Although increased sensitivities to potential liability have resulted in greater involvement of legal services on consular issues (the revision of the Manual of Consular Instructions, training of consular staff on the rules of the Vienna Convention, updating Travel Advisories and other communications products, the use of insurance waivers), legal services is not fully integrated on all aspects of consular issues and provide legal advice only upon request. Close working relations with Legal and seeking legal advice earlier in a case can be expected to contribute to more informed decision making to ensure consistent consular service delivery worldwide with reduced exposure to liability.

8.5.4 Dissemination of Lessons Learned and Best Practices

Finding 24:
Lessons learned reports were not always produced or disseminated systematically to Missions resulting in missed opportunities to integrate lessons learned into Mission Emergency Plans and improve upon emergency operations from one crisis to the next.

Numerous emergencies occurred between 2006-07 and 2010-11 and the evaluation obtained three comprehensive After Action Reviews (2007 Peru Earthquake, 2010 Haiti Earthquake) and Lessons Learned (2011 Libya Evacuation) reports, as well as a CED Report (2008 Mumbai Bombing). Content analysis of these reports revealed a wealth of lessons learned and best practices along with recommendations for: improvements to whole-of-government emergency coordination; Mission planning and preparedness; the role of the Emergency Operations Centre, equipment and materials management; on the ground operations with an established incident command system; logistics and human resources management; media communications and messaging, internal communications between Missions and headquarters, financial assistance, and situation reports and post-emergency reporting. Given the breadth and depth of the available material the evaluation focussed on the suggested systems and processes to improve the dissemination of lessons learned and best practices, leaving a synthesis of this body of information to CFM to consider at a later date.

Of particular note was the CED Report on the 2008 Mumbai Bombing which called for the creation of a permanent CFM/CED working group to examine and implement lessons learned from this and subsequent emergencies and large-scale consular incidents. However no additional lessons learned reports appear to have been produced, systematically disseminated to the Missions abroad, exchanged with like-minded countries or posted on the DFAIT web site. The After Action Review Report on the 2010 Haiti Earthquake identified the need for a "Best Practice Guide" for Missions to address issues such as disaster victim identification, repatriation of Canadian Entitled Persons and human remains, and best use of TD personnel.^{Footnote 58} These consular issues as well as a number of others were not covered in the report but it was expected that CFM would prepare a separate post-emergency review that was to have been appended. The evaluation found no evidence that either the guide or the addendum were prepared.

Case studies also identified a myriad of lessons learned from the various consular cases and emergencies. Integrating lessons learned from past emergencies into the new Mission Emergency Plans had only occurred in a few exceptions (Chile). Most Missions have never received an after action review or lessons learned report from CFM on any of the afore-mentioned emergencies unless specifically requested. This has resulted in lost opportunities to improve emergency operations from one crisis to the next and to integrate lessons learned into the new Mission Emergency Plans, perhaps leaving Missions less well prepared than otherwise possible.

9.0 Conclusions of the Evaluation

The following conclusions were derived from evaluation findings.

9.1 Continued Need for the Program

Conclusion 1:
There has been a steady increase in the demand for consular and emergency services and the needs of Canadians are changing.

The evaluation found that more Canadians are travelling and living abroad which has led to an increase in demand for consular and emergency services. Canadian travellers, are also travelling to a broader range of destinations, and are engaging in new types of travel, often including high risk activities which have put pressure on routine and non-routine consular services. Unrealistic client expectations regarding the consular services they can expect combined with the inconsistent application of consular policies and service standards in high profile consular cases involving media interest and involvement by Members of Parliament has put added pressure on the fixed resources available at CFM headquarters and Missions.

The increased demand for emergency services can also be explained by the recent increase in the number of international emergencies; however the needs of dual nationals and Canadian businesses abroad for emergency services were not as evident. These factors suggest support for the continued need for consular services and international emergency management.

Conclusion 2:
DFAIT has responded to the changing needs of Canadians by enhancing the emergency response capacity, though there is a need to harmonize the delivery of routine and emergency services for passport and citizenship applications.

CFM has responded to the evolving need of Canadians by creating a Branch within DFAIT dedicated to consular and emergency services to enhance headquarters, regional support infrastructure and improved emergency preparedness guidelines for Missions. Mission Emergency Plans, REMOs, rapid deployment teams and the establishment of the Emergency Watch and Response Centre are some key organizational additions to strengthened response to international emergencies. However, in the application process, there is duplication in document authentication process between PPTC and CIC for both routine and emergency cases which increase workload for consular officers. Evaluation findings have also pointed to a need for *** expertise to be developed at Missions. *** are considered experts in this field and issues have arisen whether it is more effective for *** officers to be available at Missions or to increase consular training to include ***.

9.2 Alignment with Government Priorities

Conclusion 3:
The expected results of the consular services and emergency management program are aligned with the Department's strategic outcome to provide satisfactory services to Canadians and the federal government priority for a safe and secure world.

The CS&EM program logic model aligns with the strategic outcome of the Department for International Services to Canadians as set out in the 2011-2012 Program Activity Architecture; both consular services and emergency management are identified sub-activities. Its ultimate outcome that "Canadians receive high quality, reliable CS&EM according to service standards" reflects the need to circumscribe performance expectations given the financial and human resources available. Nevertheless, consular officers find themselves in extenuating circumstance where they exceed their mandates and relevant service standards in the best interests of their clients and the Government of Canada.

9.3 Alignment with Federal Roles & Responsibilities

Conclusion 4:
The federal government represented by DFAIT has an important role and extensive responsibilities to provide consular and emergency management services to Canadian citizens who find themselves in difficulty while abroad.

The Government of Canada has had a long standing tradition of assisting Canadian corporate bodies and citizens who are conducting business, living or travelling abroad and find themselves in difficulty. The provision of consular services is a royal prerogative based on the principle of "helping Canadians to best help themselves." DFAIT has the federal mandate to coordinate Canada's whole-of-government efforts in the delivery of consular and emergency services abroad through its headquarters operations and network of diplomatic and consular Missions. This role is critical to meeting federal government obligations as a signatory to the Vienna Convention on Consular Relations and in protecting the safety, security and human rights of Canadian citizens.

Conclusion 5:
Roles and responsibilities are clearly defined within DFAIT with regards to emergency management but partner engagement needs to be defined.

The evaluation found that mandates for international emergency response are clearly defined and roles and responsibilities of the various groups engaged in emergency response are clearly defined within the Department; but partners pointed to the need for a single contact at DFAIT. There is currently a lack of clarity in terms of who to contact at DFAIT at the onset and throughout an emergency due to different leads and shifting of responsibilities during an emergency.

9.4 Achievement of Expected Outcomes

Conclusion 6:
Consular services have achieved respectable performance against service standards despite the challenges of reaching out to Canadian travellers and residents abroad.

Consular operations involving CFM and Missions have achieved respectable performance against service standards worldwide for citizenship (86%), passport (100%) and arrest/detention (72%) cases for fiscal years 2006-07 to 2010-11. However, CFM is still working towards meeting the expected outcome of "Increased proficiency of Canadian public - smarter traveler, more realistic expectations"^{Footnote 59} or "Fewer distressed Canadians cases as a result of better knowledge and awareness of international travel hazards."^{Footnote 60} The outreach tools and approaches to inform Canadian travellers of the risks involved in international travel and the limitations of consular services have been largely passive with few campaigns to boost overall awareness. In-country outreach efforts by Missions using ROCA and the Warden Networks have been equally ineffective in raising awareness about emergency planning or services to Canadians resident abroad. The proportion of distress to routine cases has been stable over time, when the impact of large scale emergencies is taken into account, and as a proxy indicator does not suggest that Canadians have become more proficient or smarter travellers with more realistic expectations. In fact, the evaluation findings indicate that client expectations may be unrealistic but it is difficult to manage expectations effectively given the more frequent recourse to public media resulting in more high profile cases than in the past and concomitant inconsistency in consular service delivery.

Conclusion 7:
DFAIT's capacity to respond to emergencies has continually improved but areas of improvement remain.

The capacity of CFM, Regional Emergency Management Offices and at Missions to reduce the impact of emergencies on Canadians has continually improved although it remains a work in progress. Working level relationships with OGD partners in consular service delivery are generally collaborative, despite few formal agreements, although information sharing, seamless communications, advanced operational planning and coordinated deployment remain issues of concern between CED, GOC and OGD partners when responding to emergencies and coordinating evacuations. Clarity in identification of a single point of contact between CED and START-IRH for the coordination of a whole-of-government response to international emergencies also remains outstanding. The training of Mission staff for non-routine complex distress cases and emergency management has been insufficient, as well as the in-country operationalization of mutual assistance agreements with the USA and Australia on emergency and evacuation planning. These like-minded countries and others face many of the same emergency management challenges and have implemented some innovative approaches which CFM might consider in the future.

9.5 Demonstration of Efficiency & Economy

Conclusion 8:
The provision of routine and non-routine consular services is adequately resourced to achieve expected outputs and outcomes although areas have been identified where economies can be achieved and where cost-efficiency could be negatively affected if current liability claims are successful.

The majority of Missions are adequately resourced to deliver consular services, however high profile consular cases are demanding, putting a strain on resources. ***. The impact of high profile cases and *** on the cost-efficiency of the consular program is a consideration that requires further analysis. Resource imbalances also exist across the network of Missions abroad and within some larger Missions where economies could be achieved and reinvested where the demand for consular services has outpaced the resources available and where the risks of natural disasters and civil unrest are omnipresent.

Conclusion 9:
Declining resources to support certain emergency management functions has slowed the production of outputs related to emergency surge capacity and, the preparation and dissemination of lessons learned which would have enhanced the efficiency of emergency response operations.

Under-funding of certain emergency management functions such as the Rapid Response Network and associated training of temporary duty personnel has slowed the production of outputs and achievement of expected outcomes such as the formation of Standing Rapid Deployment Teams without which the Department's surge capacity will continue to rely on volunteers and the cooperation of their managers. Available resources have been invested to expand the regional office infrastructure for emergency management, i.e., REMOs which to date has had some value-added to about a third of the Missions, primarily in the Latin America and Caribbean Region. The role of the REMOs in emergency planning and training support to Missions and their contribution to the reduced impact of emergencies on Canadians and Canadian interests is a consideration that should be monitored over the long-term to better determine the value-for-money proposition of the resources invested.

The preparation and broad dissemination of lesson learned from post-emergency reviews is widely considered to contribute to improved efficiency of future emergency response operations. This practice has not been standardized or systematically adopted resulting in missed opportunities to improve Mission Emergency Plans and emergency operations from one crisis to the next.

10.0 Recommendations

Four recommendations have been derived from the evaluation findings and conclusions. These recommendations take into account a long-term perspective that consular services and international emergency management will continue to play an important role as an instrument of Canada's foreign policy.

Recommendation 1:
That DFAIT establish a single point of contact to act as a communication portal during emergencies and that this is clearly communicated to partners.

Evidence demonstrates that although roles and responsibilities between CFM and START during an international emergency response are clear, there is a need to establish a single point of contact to act as a communication portal during whole-of-government response to international emergencies to reduce any source of confusion among partners. In particular, some partners with multiple roles in international emergencies have found it confusing when dealing with DFAIT when there are multiple DFAIT lead roles or these roles change or are transferred in the midst of an emergency as the nature of the emergency evolves (e.g., evacuation, stabilization and/or humanitarian crisis).

A single communication portal would ensure all partners have direct instant access to DFAIT, are engaged in a timely manner and receive the same information. Consideration should be given to the new EWRC to be that single point of contact.

Recommendation 2:
That DFAIT establish a modern Public Outreach Campaign which will maximize the use of social media platforms to educate the public explicitly on what clients should expect from consular services in routine, distress and emergencies.

Evidence clearly demonstrates that an absence of a robust outreach strategy has contributed to what it seems is more frequent recourse to the media, increased political involvement and a spike in liability claims. This suggested that the expectations of Canadians are not well managed and that they are not aware of the limitations of consular services. Also, the number of distress cases, especially arrest & detention cases has not shown any downward trend as could be expected following a successful campaign to sensitise Canadians about the hazards of travelling abroad.

Some best practices observed during the evaluation by other like-minded countries included targeted social media campaigns with clear messaging. Evaluation interviews revealed that in the UK, videos of "Banged-Up Abroad" appeared on YouTube.

Recommendation 3:
That DFAIT engage with partner departments to harmonize processes and planning for routine, distress and emergency services in order to gain efficiencies.

The need to harmonize processes between DFAIT and partners has been raised repeatedly during the evaluation and multiple examples of these inefficiencies have been flagged. ***

Evaluation found that a need for more collaboration in the decision making process during evacuations of Canadian. Decisions were seen as often taken unilaterally by each Department which has sometimes resulted in increased workload or gaps in the evacuation process; this was the case in the Haiti evacuation when CIC decided to evacuate permanent residents alongside Canadians, which increased the number of persons to be evacuated by consular staff. During the Arab Spring, CBSA posted officers in various missions across the region resulting in a lack of expertise on-site to facilitate departure of evacuated Canadians. The process of sharing personal information between partners has also been signalled as needing harmonization. There are currently no agreements and procedures in place with the majority of partners to outline conditions under which personal information can be shared with partners resulting from a lack of familiarity with the provision of the Privacy Act.

The need for advanced emergency planning between DFAIT, CIC, CBSA and PPTC in conjunction with the GOC was also raised. Evidence pointed towards a need to ensure adequate staff and equipment (technical interoperability) are deployed strategically to facilitate the evacuation of Canadians and gaps in the harmonization of processes for passport, citizenship and emergency travel documents partners has contributed to inefficiencies and risks which could be reduced.

Recommendation 4:
That DFAIT establish an integrated risk-based strategy for managing international emergencies which would take into account regional risks and threats.

The evaluation found that while Missions appeared adequately resourced to deliver routine consular services, the delivery of emergency management and distress consular assistance seemed less resourced or structured. This imbalance may be partly due to the relative infancy in the development of an emergency management culture. Emergency protocols such as the Management Emergency Plan, the Incident Command System or maximizing upon joint emergency training or operations with like-minded countries, establishing rapid response surge capacity or in the preparation and dissemination of lessons learned all of which would enhance the efficiency of emergency response and consular distress assistance, were relatively new and in various stages of implementation.

As well, the Emergency Watch and Response Center (EWRC) and Regional Emergency Management Offices (REMOs) have been only recently implemented. Wardens and ROCA, while generally considered ineffective as outreach, have been valued in some emergencies. Given that the type of emergency varies by region, it would appear timely to consider a more comprehensive and integrated approach which takes into account regional risks and threats as well as the type of emergency response. An integrated risk-based approach could also review whether it is feasible to establish early predictive forecasting of emergencies based on past emergencies and would serve to better assess the need for wardens and ROCA.

The evaluation found that the usefulness of wardens varies among regions. In many regions, wardens were dormant and not always relied upon during emergencies but, in other regions, wardens were engaged given the culture of the resident community, connection with the Mission and composition of wardens. A regional risk-based approach may assist in pinpointing the use of wardens in regions where value-added is expected and for other regions, where wardens may not be as effective, other options could be considered such as using Canadian Associations and Business abroad as contact points for resident Canadians during emergencies.

Another part of the current emergency management strategy that would benefit from regional risk-based approach is the ROCA system. To maximize ROCA usefulness in times of crisis, it could be aimed at travelling Canadians who are more likely to require assistance than dual-nationals. It is estimated that ROCA registered Canadians in any given country represents less than 10% of the estimated Canadian population. Most of the registrants in ROCA are travelling Canadians. Many dual-nationals do not register because they usually have a local support system and are less likely to turn to the Mission for assistance.

Similarly, the rapid response network (RRN) is another element of the emergency management that would benefit from a more integrated risk-based approach. The current rapid response network (RRN) does not appear sustainable as it relies on volunteers who are not always properly trained and for which managerial approval is required before they can be deployed to affected areas. Past experience has shown that there were delays in the deployment of volunteer staff to affected areas because of the need for volunteers to arrange for managerial approval for their deployment or in some cases managers did not approve deployment because of operational requirements which led to shortages of on-site consular expertise. Establishing standing rapid response teams consisting of pre-identified and trained experts could be a remedy to assist in an emergency and, a risk approach based on a sound methodology that includes the probability of natural and man-made emergencies and projected caseload for consular services by region, would provide for an up-front assessment of the type of response needed and indication of resource-need by region thereby improving on effectiveness and efficiency in response.

11.0 Management Response and Action Plan

Recommendation 1:

That DFAIT establish a single point of contact to act as a communication portal during emergencies and that this is clearly communicated to partners.

Evidence demonstrates that although roles and responsibilities between CFM and START during an international emergency response are clear, there is a need to establish a single point of contact to act as a communication portal during whole-of-government response to international emergencies to reduce any source of confusion among partners. In particular, some partners with multiple roles in international emergencies have found it confusing when dealing with DFAIT when there are multiple DFAIT lead roles or these roles change or are transferred in the midst of an emergency as the nature of the emergency evolves (e.g., evacuation, stabilization and/or humanitarian crisis).

A single communication portal would ensure all partners have direct instant access to DFAIT, are engaged in a timely manner and receive the same information. Consideration should be given to the new EWRC to be that single point of contact.
Associated Findings: 9, 19

Management Response & Action Plan: CFM and IFM agree with this recommendation and have been working with DFAIT bureaus involved in emergency response towards establishing a single point of initial contact for OGDs. The EWRC was established with an all-hazards response approach to coordinating international emergencies, and works closely with lead divisions within DFAIT on the various types of emergencies (e.g., natural disasters, critical incidents etc.). In order to facilitate this interaction, when appropriate, CED is in the process of formalizing the role of the EWRC for handling international events.
Responsibility Centre: CFM, IFM
Time Frame: Implemented and ongoing

Management Response & Action Plan: Dialogue with our DFAIT partners is ongoing to ensure effective collaboration and consistency and to facilitate OGD contact with DFAIT's wide range of specialized subject matter experts through the various stages of an emergency. This is particularly important where a transition from one lead bureau to another is required due to the evolving nature of an emergency (e.g., humanitarian vs. consular focus) and a shift in Canadian response priorities.
Responsibility Centre: CED
Time Frame: Implemented and ongoing

Management Response & Action Plan: CED is working on a comprehensive process to improve communication among key stakeholders during a crisis. The EWRC would be responsible for ensuring that the lead bureau within DFAIT is aware of an emergency and facilitates the lead bureau's effort to coordinate the response, as appropriate. All OGDs who contact the EWRC are immediately included on email distribution lists and correspondence from the lead DFAIT bureau. This ensures that the EWRC reinforces the functioning lines of communication within and between Departments rather than supplant them.
Responsibility Centre: CED
Time Frame: Implemented and ongoing

Management Response & Action Plan: After initial OGD-DFAIT contact is made with the EWRC, the lead bureau overseeing the emergency will manage it through regular Interdepartmental Task Force (ITF) meetings. While DFAIT-led natural disaster and critical incident task forces involving all relevant OGDs have operated previously, considerable efforts have been made during the past 18 months to foster and strengthen seamless cooperation among bureaus when crises occur. This is now seen as a best practice. Partners are invited to participate in person or via telephone where real time information on the emergency is shared and where decisions are taken. It is worth noting that OGD partners at mission are an integral component of the Mission Emergency Response Teams as part of a whole-of-Government response.
Responsibility Centre: CED
Time Frame: In progress

Management Response & Action Plan: DFAIT's Emergency Management Portal (currently available to Signet users only) will continue to evolve with the support of CLC, including OGD access. Once available to them, OGDs will have a mechanism to obtain real time information on emergencies as soon as the information is posted.
Responsibility Centre: CED, CLC
Time Frame: Ongoing

Management Response & Action Plan: CED's Emergency Response Manual is currently under development. This manual, largely based on existing SOPs and lessons learned, will help formalize roles and responsibilities within DFAIT and will be available to all OGDs who need to be informed of DFAIT's approach to international emergencies.
Responsibility Centre: CED
Time Frame: In progress by March 31, 2013

Recommendation 2:

That DFAIT establish a modern Public Outreach Campaign which will maximize the use of social media platforms to educate the public explicitly on what clients should expect from consular services in routine, distress and emergencies.

Evidence clearly demonstrates that an absence of a robust outreach strategy has contributed to what it seems is more frequent recourse to the media, increased political involvement and a spike in liability claims. This suggested that the expectations of Canadians are not well managed and that they are not aware of the limitations of consular services. Also, the number of distress cases, especially arrest & detention cases has not shown any downward trend as could be expected following a successful campaign to sensitise Canadians about the hazards of travelling abroad.

Some best practices observed during the evaluation by other like-minded countries included targeted social media campaigns with clear messaging. Evaluation interviews revealed that in the UK, videos of "Banged-Up Abroad" appeared on YouTube.
Associated Findings: 1, 2, 3, 11, 12, 13, 20, 33

Management Response & Action Plan: Effective integrated marketing communications strategies are based on multi-pronged approaches to reach target markets, designed to meet audience needs through their preferred channels (i.e., social media, print, in-person, etc.). While BCF agrees with the spirit of the recommendation, effective development of DFAIT's relationships with its target audiences will require using both social media and other outreach tools and techniques to build awareness of consular services amongst Canadian travellers.

Social media are being used more extensively, particularly in support of the 2012 launch of the newly expanded Travel.gc.ca website. BCI will implement a variety of social media initiatives, including Twitter and Facebook channels, a retweeting strategy, and "following" and "liking" other partners, other government departments, and like-minded allies (U.K., U.S.) in order to spread reach.
Responsibility Centre: BCF, BCI
Time Frame: Post-launch of new Travel.gc.ca (after Nov. 8, 2012)

Recommendation 3:

That DFAIT engage with partner departments to harmonize processes and planning for routine, distress and emergency services in order to gain efficiencies.

The need to harmonize processes between DFAIT and partners has been raised repeatedly during the evaluation and multiple examples of these inefficiencies have been flagged. ***.

Evaluation found that a need for more collaboration in the decision making process during evacuations of Canadian. Decisions were seen as often taken unilaterally by each Department which has sometimes resulted in increased workload or gaps in the evacuation process; this was the case in the Haiti evacuation when CIC decided to evacuate permanent residents alongside Canadians, which increased the number of persons to be evacuated by consular staff. During the Arab Spring, CBSA posted officers in various missions across the region resulting in a lack of expertise on-site to facilitate departure of evacuated Canadians. The process of sharing personal information between partners has also been signalled as needing harmonization. There are currently no agreements and procedures in place with the majority of partners to outline conditions under which personal information can be shared with partners resulting from a lack of familiarity with the provision of the Privacy Act.

The need for advanced emergency planning between DFAIT, CIC, CBSA and PPTC in conjunction with the GOC was also raised. Evidence pointed towards a need to ensure adequate staff and equipment (technical interoperability) are deployed strategically to facilitate the evacuation of Canadians and gaps in the harmonization of processes for passport, citizenship and emergency travel documents partners has contributed to inefficiencies and risks which could be reduced.
Associated Findings: 4, 6, 7, 14, 19

Management Response & Action Plan: CFM agrees with the recommendation and has already implemented this approach with most OGDs. The recent "Whole of Government" planning process - led by DFAIT - for a possible *** evacuation is an example of this best practice in action.
Responsibility Centre: CED
Time Frame: Implemented and ongoing

Management Response & Action Plan: Our own standing instructions are to include CIC, PPTC, CBSA DND, RCMP, CSIS, CSE, PS (GoC), HC, and CIDA in the nascent stages of any emergency to ensure that Canada's response is coordinated and agreed across all government departments.
Responsibility Centre: CED
Time Frame: Implemented

Management Response & Action Plan: The lessons learned from the Haiti crisis have already been implemented through CED's integrated approach to emergency management. The Incident Command Structure (ICS) is now central to any response.
Responsibility Centre: CED
Time Frame: Implemented

Management Response & Action Plan: The formation of the Inter-departmental Task Force (ITF) allows for streamlined decision-making processes making the response to emergencies, such as Haiti, easier to handle in a coordinated and more effective manner.
Responsibility Centre: CED
Time Frame: Implemented

Management Response & Action Plan: CED is revising its Evacuation Policy which will form the basis of how the Government responds to future emergencies. The definition of a "Canadian Eligible Person" will guide Departments in their roles and responsibilities.
Responsibility Centre: CED
Time Frame: In progress

Management Response & Action Plan: Training and exercises, such as *** involving cross-government participation also assist in the preparation for evacuation scenarios. CED is also evaluating the inclusion of OGD representatives in its training and exercise activities to increase familiarity with DFAIT response mechanisms, both domestically and abroad.
Responsibility Centre: CED
Time Frame: Ongoing

Management Response & Action Plan: DFAIT's Legal Bureau has recently provided legal advice***.
Responsibility Centre: CED, OGDs
Time Frame: In progress

Management Response & Action Plan: The MOU with Passport Canada has been implemented and is being maintained.
Responsibility Centre: CLP
Time Frame: Ongoing

Management Response & Action Plan: The co-ordination and communication of next-of- kin notification requests have been improved.
Responsibility Centre: CLP
Time Frame: Implemented Summer 2012, before this report was completed.

Management Response & Action Plan: The working relationship with CIC is being strengthened through clarification of roles and responsibilities and through the development of joint directives which provide clear lines of contact and guidelines to our consular mission staff.
Responsibility Centre: CLP
Time Frame: Working group meetings underway. Deliverables will be phased in over 1 fiscal year.

Management Response & Action Plan: ***
Responsibility Centre: CLP
Time Frame: First exploratory meeting with PS officials upcoming (Oct. 26)

Management Response & Action Plan: CFM launched a dialogue on consular issues with the provinces and territories through a federal/provincial/territorial roundtable which was held in Ottawa on September 25-26. MSFA opened the roundtable, at which all provinces and territories were represented, by sharing her vision for improved consular services to Canadians via collaboration between the two levels of government. Participants will receive the draft report, which includes four recommendations for improving service delivery, before the end of October 2012 and concrete steps to harmonize processes for managing consular cases will get underway before the end of the fiscal year. Next steps include regular communications between DFAIT and the provinces/territories on an issue-specific basis.
Responsibility Centre: CND
Time Frame: Ongoing

Management Response & Action Plan: Not only has CFM engaged OGDs as noted above, it has also strengthened its international partnerships, particularly with Colloque countries (UK, USA, Australia and New Zealand). Canada hosted the inaugural meeting of the Colloque IT Working Group in March 2012 followed by the Colloque Annual Meeting of senior representatives in May 2012 both of which yielded important benefits. New working groups have been established in the past year, including on Crisis Planning and on Rethinking the Consular Framework.
Responsibility Centre: CFM
Time Frame: Ongoing

Recommendation 4:

That DFAIT establish an integrated risk-based strategy for managing international emergencies which would take into account regional risks and threats.

The evaluation found that while Missions appeared adequately resourced to deliver routine consular services, the delivery of emergency management and distress consular assistance seemed less resourced or structured. This imbalance may be partly due to the relative infancy in the development of an emergency management culture. Emergency protocols such as the Management Emergency Plan, the Incident Command System or maximizing upon joint emergency training or operations with like-minded countries, establishing rapid response surge capacity or in the preparation and dissemination of lessons learned all which would enhance the efficiency of emergency response and consular distress assistance, were relatively new and in various stages of implementation.

As well, the Emergency Watch and Response Center (EWRC) and Regional Emergency Management Offices (REMOs) have been only recently implemented. Wardens and ROCA, while generally considered ineffective as outreach, have been valued in some emergencies. Given that the type of emergency varies by region, it would appear timely to consider a more comprehensive and integrated approach which takes into account regional risks and threats as well as the type of emergency response. An integrated risk-based approach could also review whether it is feasible to establish early predictive forecasting of emergencies based on past emergencies and would serve to better assess the need for wardens and ROCA.

The evaluation found that the usefulness of wardens varies among regions. In many regions, wardens were dormant and not always relied upon during emergencies but, in other regions, wardens were engaged given the culture of the resident community, connection with the Mission and composition of wardens. A regional risk-based approach may assist in pinpointing the use of wardens in regions where value-added is expected and for other regions, where wardens may not be as effective, other options could be consider such as using Canadian Associations and Business abroad as contact points for resident Canadians during emergencies

Another part of the current emergency management strategy that would benefit from regional risk-based approach is the ROCA system. To maximize ROCA usefulness in times of crisis, it could be aimed at travelling Canadians who are more likely to require assistance than dual-nationals. It is estimated that ROCA registered Canadians in any given country represents less than 10% of the estimated Canadian population. Most of the registrants in ROCA are travelling Canadians. Many dual-nationals do not register because they usually have a local support system and are less likely to turn to the Mission for assistance.

Similarly, the rapid response network (RRN) is another element of the emergency management that would benefit from a more integrated risk-based approach. The current rapid response network (RRN) does not appear sustainable as it relies on volunteers who are not always properly trained and for which managerial approval is required before they can be deployed to affected areas. Past experience has shown that there were delays in the deployment of volunteer staff to affected areas because of the need for volunteers to arrange for managerial approval for their deployment or in some cases managers did not approve deployment because of operational requirements which led to shortages of on-site consular expertise. Establishing standing rapid response teams consisting of pre-identified and trained experts could be a remedy to assist in an emergency and, a risk approach based on a sound methodology that includes the probability of natural and man-made emergencies and projected caseload for consular services by region, would provide for an up-front assessment of the type of response needed and indication of resource-need by region thereby improving on effectiveness and efficiency in response.
Associated Findings: 12, 13, 14, 18, 21, 22, 24

Management Response & Action Plan: CFM agrees with some of the evaluation recommendations.

Management Response & Action Plan: CED has developed a Mission Prioritization tool which can be used to determine the emergency management corporate risk of each mission, of regions and of the world as a whole. This tool, in conjunction with Baseline Threat Analysis, will enable CED to focus its resources on the necessary mitigation measures, training and guidance for missions. Less predictable crises (such as the forest fires in Moscow, the Ash Cloud in Europe and major transportation emergencies) require greater consideration to ensure that capacity exists to respond adequately.
Responsibility Centre: CED
Time Frame: Implemented and ongoing

Management Response & Action Plan: DFAIT does use a threat/risk based approach to guide missions in the development of warden networks. CED does not ask missions in the US, Western Europe, Australia and New Zealand to put such systems in place recognizing the capacities of host governments in these regions to respond to emergencies. Warden networks, however, are essential in Africa, the Middle East, the Americas and Asia. CED will explore alternative means of communication with clients, jointly with CND and CLD such as social networking and SMS where available. When maintained, warden networks can be a very valuable tool for missions, especially in periods of diminishing resources.
Responsibility Centre: CED, CNO, CNA, CLS
Time Frame: Under evaluation to be implemented by this FY

Management Response & Action Plan: Many missions are currently using other means of communication with clients such as media outlets, local government messaging, and websites of local-Canadian associations. CED will work with CND and CLD in developing a best practice for all missions.
Responsibility Centre: CED, CNO, CNA, Missions
Time Frame: Under evaluation, MINA approval may be required to proceed. ROCA light implemented Nov 2012.

Management Response & Action Plan: While CED generally agrees that ROCA is less effective than desired, upcoming changes to the application process of the registration system will facilitate its use by clients. The implementation of a simplified registration process is expected to increase the use of ROCA noticeably. (Two factors continue to impede its effectiveness - registration is voluntary and some client groups continue to fear that personal information will be used for other means.)
Responsibility Centre: CED
Time Frame: Alternatives under evaluation.

Management Response & Action Plan: CFM hosted a working group meeting of like-minded countries (UK, USA, Australia and New Zealand) in March 2012 to share best practices in the areas of e-collaboration, social media, digital outreach and registration. With respect to the latter***.

The elimination of ROCA is not a recommended solution.
Responsibility Centre: CFM
Time Frame: Ongoing

Management Response & Action Plan: CFM agrees with the evaluation that the current Rapid Response network model is sub-optimal. While the creation of standing Rapid Deployment teams (***) would be optimal and desired, this would require resource flexibility of $800K-$1M per annum that does not exist within current Branch resource levels. CFM continues to explore options to maximize use of existing resources with a view to developing the Department's surge capacity and reducing response times. Options include making better use of in-house CED resources, enhancing regional networks via the Regional Emergency Management Offices and formalizing the HQ-based Emergency Response Roster.
Responsibility Centre: CED
Time Frame: Pending resources and funding.