April 26-30, 2010
The scope of the Inspection included a review of Mission Management and the Political Economic Relations and Public Affairs, International Business Development, Consular and Administration programs. The inspection objectives were to:
The focus and extent of on-site work was based on an assessment of materiality and related risk. This was done through communication with Headquarters (HQ) bureaux, including briefings by line management and the functional bureaux, review of relevant HQ and Mission documentation, past audit findings, and an analysis of recurring trends and systemic issues.
During the Inspection, inspection issues and lines of enquiry were further refined from information gathered through interviews with the Head of Mission and program managers, a meeting with the Locally-engaged staff Committee, individual interviews with staff, and results of other documentation reviewed. The level of inspection work was therefore based on issues and information identified and gathered at all levels, HQ, Mission management and Mission operations.
The Mission in Kyiv is a medium-sized mission with 16 Canada-based staff (CBS) and 47 Locally-engaged staff (LES). It is responsible for departmental program delivery in Ukraine. Partner departments located within the Mission include Citizenship and Immigration Canada, the Canadian International Development Agency (CIDA) and the Department of National Defence.
The Political Economic Relations and Public Affairs Program is small when considering the size of Ukraine, its strategic importance and the strong and long established Canada-Ukraine relationship. The small size is somewhat compensated by the existence of other programs here with Canada-based staff representation - notably the Department of National Defence and the Canadian International Development Agency. Even so, the Program simply does not have the capacity for assuming more work when considering its current activities. Despite this, the imminent introduction *** and the transfer *** will add a significant amount of work to an already stretched Section.
The International Business Development Program's Business Plan is well developed and speaks in detail to the profile of their priority sectors and the correspondent opportunities for Canadian business. There are a number of unique characteristics of the Ukrainian economy that present potential niche opportunities for Canadian clients. These are mainly centred around advanced technical research and development capabilities.
Within the Consular Program, key management controls were reviewed and in place. The Mission has ensured that key documentation, such as the Consular Contingency Plan are kept up to date. There is, however no work-plan to schedule recurrent activities, or those activities of which the Program has advanced notice. Such a plan could assist the Consular Program to better manage resources and create more structure in what is predominantly a reactive environment.
The Common Services Program benefits from an *** management team. Management delegates tasks *** and provides guidance and instruction where necessary. There is a good balance between empowerment and oversight. However, some of the processes around overall planning and communication could be tightened. Additionally, some key controls and processes for client service are in need of improvement. Clients and staff had *** knowledge of established service standards.
A total of 42 inspection recommendations are raised in the report, all addressed to the Mission. Management has responded to each recommendation indicating action already taken or decisions made, as well as future action. Of the 42 recommendations, management has stated that 13 recommendations have been implemented. For each of the remaining 29 recommendations, management has indicated the initiatives in progress or the intended future action.
1.1.1 The Mission in Kyiv is a medium-sized mission with 16 Canada-based staff (CBS) and 47 Locally-engaged staff (LES). It is responsible for departmental program delivery in Ukraine. Partner departments located within the Mission include Citizenship and Immigration Canada, the Canadian International Development Agency and the Department of National Defence.
1.1.2 Main challenges for the Mission include covering a rapidly evolving political and commercial environment, working in a Chancery that is sub-optimal in terms of its structural integrity and working conditions and handling high levels of Immigration and Consular clientele. The working conditions in the chancery have a significant impact on staff morale.
|Key Mission Management Criteria||Meets||Needs Improvement||Does Not Meet|
|The Mission's strategic objectives are consistent with Government and DFAIT priorities and guide staff performance measurement objectives.||X|
|DFAIT programs have developed operational plans based on the objectives outlined in the country strategy and advice/guidance from Headquarters (HQ).||X|
|The Committee on Mission Management (CMM) is an effective forum to review and make decisions on mission and administrative policies.||X|
|Mission management maintains an active and productive dialogue with the Locally-engaged staff Management Consultation Board (LESMCB).||X|
|Mission Management ensures that employees remain informed of key priorities and administrative policy decisions.||X|
|Minutes of committee meetings, particularly CMM, are made available to all staff, as appropriate.||X|
|The Official Languages Policy is respected and promoted by Mission Management.||X|
|Canadian Public Service values and ethics are promoted and reinforced, and employees are aware of available support resources (Values and ethics, staff relations).||X|
1.2.1 The Mission in Kyiv benefits from a *** management team and open communications. Inter-program cooperation is occurring for the most part and staff feel that they are aware of Mission strategies and policy decisions.
1.2.2 The Committee on Mission Management (CMM) could be operating at a more strategic level, determining broad areas of focus and potential collaborative initiatives, as well as making key Mission policy decisions. Operational decisions and budgetary matters could be discussed at a sub-committee of the CMM, which has full program representation, to allow for sufficient time, analysis and consultation on these matters and to avoid interfering with management discussions reserved for the CMM.
1.2.3 The Mission is able to provide client services in French, English, Ukranian and Russian. Some signage within the Mission needs to be translated into both Official Languages.
|Key Management Controls Criteria||Meets||Needs Improvement||Does Not Meet|
|The Mission's strategic objectives are consistent with Government and DFAIT priorities and guide staff performance measurement objectives.||X|
|The Mission's committee structure meets minimum requirements based on size (Health and Safety, Security, Contract Review, etc.).||X|
|Mission committees are meeting regularly and effectively discharging their governance responsibilities.||X|
|Program managers are provided regular financial/budget updates to facilitate effective management and decision making.||X|
|Security policies and regulations are respected and promoted under the leadership of mission management.||X|
|The appropriate authority participates in the quarterly reconciliation of passport inventory and signs for the assets on hand.||X|
|The appropriate authority reviews and signs-off on the mission's bank reconciliations on a monthly basis.||X|
|The Mission has a plan to ensure the continuity of operations in the event of a major disruption or catastrophic event (i.e. Business Continuity Plan).||X|
|Mission Hospitality guidelines are reviewed and updated annually by CMM.||X|
|Hospitality diaries are properly supported, demonstrate value-for-money and are used in alignment with Mission objectives.||X|
|All employees have performance objectives set, annual appraisals occur, and a coordinated approach is taken to training and development.||X|
1.3.1 Higher level management controls are generally in place at the Mission. Security and main administrative policies and procedures are particularly well developed and are regularly reinforced through communication. The Head of Mission (HOM) takes his control responsibilities ***.
1.3.2 Some adjustments are required to the Mission's Business Continuity Plans to ensure that staff are aware of the specific procedures to follow in the event of an emergency or major disruption. The Mission's main clients and stakeholders should be informed of these plans.
1.3.3 Adjustments should be made to the management of travel and hospitality funds at the Mission. Hospitality and travel funds are not devolved to DFAIT program managers for use within their programs to plan events aligned with priorities.
1.3.4 A detailed review of hospitality files indicates that the vast majority of hospitality has been undertaken by the HOM. Where hospitality is offered the objectives and evaluations recorded in the hospitality diary are not clearly linked to Mission, departmental or governmental objectives or priorities.
1.3.5 Not every employee at the Mission has current Performance Management Program (PMP) objectives and assessments. It is important that these are done systematically.
1.4.1 The Mission should develop a detailed Business Continuity Plan for all essential operations. A template has been developed by the Emergency Management Bureau (CED) of the Consular Branch for that can be used for this purpose.
1.4.2 Travel and hospitality funds endowed to the Mission should be devolved to DFAIT program managers for their management and use.
1.4.3 The Mission should ensure that hospitality diaries clearly explain the objective of hospitality events (given and received), the place of the event, the link to Mission, departmental or government objectives and contain a detailed evaluation of the event.
1.4.4 All Mission staff should have current PMP objectives and assessments.
1.4.5 A Committee on Operations, with all programs represented, should be struck in addition to the CMM as the forum for the discussion of ongoing operational matters.
1.4.6 Signage and written instructions within the Mission should be in both Official Languages.
1.4.1 In progress. This is to be rolled out to missions this calendar year by the Policy, Emergency Planning and Training Division (CEP). Currently the Mission has an up-to-date Consular Contingency Plan (CONPLAN), ***, Pandemic Influenza Preparedness Plan (PIPP), *** and a Duty Officer Manual (DOM).
1.4.2 In progress. The DFAIT travel and hospitality budgets were merged in one single envelope in 2009/2010 to facilitate the management of the 50% cut of these budgets. With the re-establishment of the integrity of these budgets, they will be devolved to the DFAIT program managers as this was in the past.
1.4.3 In progress. The HOM will make sure to provide more details on hospitality events, both given and received, in his hospitality diaries. The vast majority of hospitality is undertaken by the HOM in support of DFAIT, Department of National Defence (DND), Citizenship and Immigration Canada (CIC) and Canadian International Development Agency (CIDA) programs.
1.4.4 In progress for October 2010. This is an on-going exercise but complicated with CBS turn-over and the difficulty in preparing PMPs for General Services staff. The majority of PMPs for LES have been completed and program managers are reminded on a quarterly basis at the CMM.
1.4.5 In progress. The Executive Committee which consists of the HOM, MCO and DHOM will continue to meet on a weekly basis (put in place in 2008). It will involve the other PMs when required.
1.4.6 In progress. To be completed by fall 2010.
2.1.1 The Political Economic Relations and Public Affairs (PERPA) Program in Kyiv is managed by an FS-04 Program Manager (PM). The PM is supported by an LE-08 Political/Economic Program Officer and an LE-05 Program Assistant.
2.1.2 The Program is responsible for a diverse set of activities. This includes political and economic advocacy, analysis and reporting, public affairs, academic relations, youth mobility program administration, cultural events and visits management and coordination. The continually evolving political and economic situation in Ukraine and its implications for Canada result in no shortage of activity within this Program.
2.1.3 The large number of Canadians of Ukranian origin also contribute to the breadth of contacts available to the Program. This increases the level of Ukrainian and Canadian organizations' interest in Mission activities and their potential to partner with the Program on initiatives or events.
|Key PERPA Program Management Criteria||Meets||Needs Improvement||Does Not Meet|
|The Political Economic Relations and Public Affairs (PERPA) plans are aligned with the priorities and objectives outlined in the Country Strategy and informed by departmental and geographic bureau guidance and objectives.||X|
|PERPA Plans outline intended outcomes and results are measurable.||X|
|Officer roles and responsibilities are clearly defined and have been communicated to all staff.||X|
|Internal communications within the Program effectively support program delivery.||X|
2.2.1 The PM manages the Program ***. Staff felt that the level of communication and dialogue enabled a *** work environment. The level of communication and discussion of priorities is appropriate. The absence of strategic direction and input on priorities emanating from HQ *** has had less of an impact here than in other missions. The fluidity of the political situation here, coupled with the evident topics of interest to Canadian stakeholders makes areas of focus and priority apparent.
2.2.2 Given the large and expanding number of activities under the Program's responsibility, it is somewhat unreasonable to expect a detailed, comprehensive plan for Program activities. That said, it would be beneficial to identify the workload for the year, estimate the timing and level of effort required, and establish priorities. This would allow the Program to highlight particularly active periods where staff absences would have more of an impact, or contract resources may be required.
|Key PERPA Implementation Criteria||Meets||Needs Improvement||Does Not Meet|
|Strategic objectives and plans have been translated into individual or team workplans.||X|
|Activities and initiatives are aligned with the Mission's key priorities and with the principles of the New Way Forward PERPA Renewal initiative.||X|
|Relations with other mission programs facilitate program delivery (i.e. public affairs).||X|
|The program develops and maintains a contact base that meets programs needs and objectives.||X|
|Program reporting is in-line with Mission and government objectives, timely and relevant.||X|
|The Program is meeting the three categories of public diplomacy; communication of events, reinforcement of an image of Canada over the medium term; and building a longer term understanding and relationship with the country.||X|
|The program facilitates a mission-wide coordinated approach to advocacy and common messaging.||X|
2.3.1 The size, strategic importance of the host country, and the long established Canada-Ukrainian relationship, has meant that this small section has been operating at full capacity in order to deliver the PERPA Program. While the Program has been able to leverage the presence of other Partner Departments (e.g. the Department of National Defence and the Canadian International Development Agency) in order to have greater engagement with Ukrainian institutions, it simply does not have the capacity to take on more work. The imminent introduction *** and the transfer *** will both add a significant amount of work to an already stretched section.
2.3.2 In light of the diverse workload of the Program, decisions will have to be made on priorities. It would be unreasonable to expect the Program to be able to continue to devote the same amount of attention to all areas as new pressures are added. There are obviously some elements that cannot be curtailed (media relations, political/economic reporting, visits coordination) but some other elements may have to be rationalized ***. The use of the Post Initiative Fund (PIF) should be targeted to reduce total time required for administrative oversight. It may be worth considering pursuing a smaller number of initiatives with the PIF to minimize resource implications.
2.3.3 Reporting is regular and topical. It will be important for the Program to liaise with their International Business Development (IBD) colleagues as to developments related to the political/economic interface here. The links between business and politics are significant and, as such, reporting would benefit from a combined point of view. This is especially important as Canada and Ukraine recently moved to begin Free Trade Agreement negotiations.
2.3.4 Staff are aware of New Way Forward (NWF) principles and have taken the training. A team discussion as to how these principles may be able to alleviate some workload and prioritize activities could help to further ingrain NWF principles.
|Key PERPA Performance Measurement Criteri||Meets||Needs Improvement||Does Not Meet|
|The PERPA Program has an established performance measurement system in place to monitor activities towards the achievement of outputs and objectives.||X|
|The PERPA Program assesses performance against their strategy / objectives and plans.||X|
|Hospitality diaries are maintained in a fashion that demonstrates value-for-money and alignment with priorities.||X|
2.4.1 The LE-08 Officer is undertaking all elements of PERPA functions. There is likely a case to be made to have this ***. This has been mentioned in past audit reports.
2.4.2 The LE-08 Officer ***. The LE-05 Assistant has not had the benefit of taking Program Assistant training ***. The provision of this training to the Assistant should be the training and development priority for the Program.
2.4.3 The Program works closely with the HOM office on coordination of
activities. The PERPA Assistant acts as a back up for the HOM Interpreter/Social
Secretary when she is away. It is important that sufficient attention be given to ensuring that all involved parties are equipped to respond to inquiries when they are given the responsibility to do so ***.
2.5.1 The Program should develop a high-level workplan that identifies its main activities and events for the year and the level of associated effort. This workplan could then be used as a communication and management tool.
2.5.2 Once the workplan has been developed, the Program should rationalize and prioritize its activities (including PIF use), in line with New Way Forward principles and with a view to consolidating or eliminating any low-priority/value events or activities.
2.5.3 The Program should consider ways to include IBD issues and analyses in its political and economic reporting.
2.5.4 The LE-08 Officer position should be assessed ***.
2.5.5 The Program Assistant should be registered for the Program Assistant course at the first opportunity.
2.5.6 The HOM Social Secretary should be invited to Program staff meetings, particularly prior to periods of absence, to allow for *** back-up.
2.5.1 In progress. A high-level workplan will be prepared and completed by fall 2010.
2.5.2 In progress. PERPA priorities will be rationalized to compliment New Way Forward principles; this will be an ongoing undertaking.
2.5.3 Implemented. The Mission has requested a Junior CBS Political Officer to help broaden the scope of reporting, to include IBD issues. In addition, an LE-06 IBD position has been converted now with 75% PERPA responsibilities and 25% IBD to face upcoming additional PERPA responsibilities. In the interim, the Mission will report on significant IBD matters.
2.5.4 Implemented. All documentation on this matter has been submitted but the request ***, while approved by Committee on Representation Abroad (CORA), was declined by the Strategy and Services (GLB).
2.5.5 In progress. The Program Assistant will be proposed for the Program Assistant Course when the next session is offered by Canadian Foreign Service Institute (CFSI).
2.5.6 Implemented. The Social Secretary is attending and participating in the weekly PERPA meetings.
3.1.1 The International Business Development (IBD) Program in Kyiv is managed by an FS-03 Senior Trade Commissioner (STC). The STC is supported by two LE-09 Trade Commissioners (TCs) and an LE-05 Trade Commissioner Assistant (TCA). There is another TCA position that is currently vacant.
3.1.2 Priority sectors include Aerospace and Defence, Agricultural Technology and Equipment, Fish and Seafood Products, Education, Electric Power Equipment and Services and Health Industries.
|Key IBD Program Management Criteria||Meets||Needs Improvement||Does Not Meet|
|Program objectives reflect departmental plans and priorities, including partner departments where applicable.||X|
|Performance targets are defined, clear and measurable.||X|
|Officer roles and responsibilities are clearly defined and have been communicated to all staff.||X|
|Internal program communication effectively supports program delivery.||X|
3.2.1 The Program's Business Plan is *** developed and speaks in detail to the profile of their priority sectors and the correspondent opportunities for Canadian business. There are a number of unique characteristics of the Ukrainian economy that present potential niche opportunities for Canadian clients. These are mainly centred around advanced technical research and development capabilities.
3.2.2 Canada is a donor country for the Science and Technology Center in Ukraine ***. Funding for this Center is part of a larger non-proliferation initiative supported by Canada, the United States and the European Union.
3.2.3 Program management and communication is *** of the STC. Priority sectors are delineated appropriately. There is some concern that, as the Sector Practices at Headquarters consolidate Client Service Funds (CSF) across the Trade Commissioner Service (TCS), this money will not be available to the Program. This is due to its priority sectors and sub-sectors not corresponding with those identified by the Sector Practices.
|Key IBD Implementation Criteria||Meets||Needs Improvement||Does Not Meet|
|Business plan objectives and those outlined in management's PMAs (Performance Management Agreement) /PMPs (Performance Management Program) appropriately cascade down into officer PMPs.||X|
|The program utilizes TRIO to facilitate client relationship management.||X|
|Staff use of TRIO is monitored to ensure activities are reported appropriately and accurately reflect the work undertaken.||X|
|The InfoCentre function has defined objectives and responsibilities.||X|
3.3.1 The Program benefits from an *** to make a significant contribution to Canadian interests in Ukraine. His *** of the country, DFAIT operations and local language capacity facilitated his transition into the role. This has helped avoid the need for TCs to act as quasi translators during functions ***. Should *** not speak functional Ukranian, the use of TCs in this capacity should be discouraged. A better solution would be to have the HOM Social Secretary (when available) or the TCA perform this role.
3.3.2 A significant amount of time is spent by the STC and the TC responsible for Agriculture/Fish and Seafood on market access and troubleshooting issues. It is important for the Program to be able to respond to these issues effectively as they have a direct impact on ongoing bilateral trade. The current STC and local staff have all been instrumental in working to resolve a number of issues of this nature.
3.3.3 Despite the lack of alignment with the Sector Practices strategies, and the impact on available funding, the Program benefits from a number of contacts in HQ and in industry, and these relationships should continue to be nurtured. Additionally, Program staff are encouraged to continue to share information and intelligence with the Sector Practices. As these sector initiatives are still in their relative infancy, they would benefit from timely and succinct intelligence on emerging strengths and opportunities (matched with Canadian capability) in non-priority markets.
3.3.4 While there is no formal InfoCentre - the main support functions are provided by the TCA. This includes research, general inquiries, non-priority sector inquiries and general program support.
|Key IBD Performance Measurement Criteria||Meets||Needs Improvement||Does Not Meet|
|Tools and mechanisms are in place to measure and monitor performance of the program.||X|
|Program employees are involved in the performance measurement process.||X|
|Hospitality diaries are maintained in a fashion that demonstrates value-for-money and alignment with priorities.||X|
3.4.1 TRIO usage reflected a slightly lower than average rate of activity in Kyiv relative to countries in the same tier of the Canadian Commercial Interests List (CCIL). That said, the summary TRIO dashboard produced in early April 2010 notes a 4.6 Full Time Employee (FTE) allocation to the Program. This does not reflect available resources (including a portion of the HOM's time it should be around four). In consultation with HQ stakeholders this number should be adjusted to reflect the actual human resource profile. Additionally, until recently the bandwidth available produced technical impediment to compliance. When these two factors are considered, any concern with respect to productivity and activity is negated.
3.5.1 The Program should develop a specific strategy for relaying sector- based intelligence to the Sector Practice groups and other stakeholders.
3.5.2 The Program should make representations with concerned parties in HQ to ensure that the TRIO dashboard FTE count accurately reflects the number of FTEs working for the Program.
3.5.1 Implemented. LES IBD Officers have been instructed to identify contacts for their sectors in the IBD "B" branch and industry association and insure they are copied on any relevant market intelligence.
3.5.2 Implemented. Contact has been made with eServices Division (BSS) to amend the dashboard FTE number.
4.1.1 The Consular Program is managed by the AS-06 MCO, who is supported by an LE-07 Consular Officer, and an LE-04 Receptionist who is currently acting as the Consular Assistant in a position that has been approved but is yet unfunded. The Mission is, however, funding a contract Receptionist to replace the LE-04 working in the Consular Section. The Mission also has an Honorary Consul in Lviv, ***.
4.1.2 The Mission provides approximately 230 passport services and processes approximately 50 citizenship applications and 250 notarial requests yearly. There are 134 Canadian citizens in the Registration of Canadians Abroad (ROCA) database. The estimated number of Canadians residing in Ukraine is 1,000, and there are approximately 20,000 visitors every year.
4.1.3 An LE-06 Consular Assistant position had initially been approved by HQ, but due to space issues was not filled at that time. The Mission is currently awaiting confirmation from HQ regarding re-approval and funding for this Fiscal Year (FY).
|Key Consular Program Management Criteria||Meets||Needs Improvement||Does Not Meet|
|The Mission Consular Contingency Plan is up-to-date.||X|
|The Mission has ongoing dialogue with key local authorities to facilitate Program delivery.||X|
|The Duty Officer Manual is up-to-date and contains a list of hospitals, doctors, lawyers, dentists, etc., to whom clients can be referred.||X|
|Regular staff meetings are held to communicate new directives, set priorities, plan program and operational direction, and to ensure staff are aware of case management issues.||X|
4.2.1 Key management controls were reviewed and were in place. The Mission has ensured that key documentation such as the Consular Contingency Plan is kept up to date. There is, however no work-plan to schedule recurrent activities, or those activities of which the Program has advanced notice. Such a plan could assist the Consular Program to better manage resources and create more structure in what is predominantly a reactive environment.
4.2.2 The Consular Program maintains ongoing dialogue with key contacts and keeps up-to date lists of service providers to whom clients can be referred. The Consular Officer has no hospitality funds with which to maintain such key contacts and, in the past, *** to support minor expenses in relation to network building and maintenance.
|Key Consular Client Service Criteria||Meets||Needs Improvement||Does Not Meet|
|Service standards are made available to clients in both official languages.||X|
|The Program monitors adherence to Service Standards and makes adjustments where necessary.||X|
|The Program has the capacity to provide services to Canadians in the official language of their choice.||X|
|The Mission promotes client feedback mechanisms and takes corrective action, when warranted.||X|
|The mission has provided the Honorary Consul (HonCon) with a mandate letter which establishes their role, responsibilities and accountabilities.||X|
|The HonCon's performance is reviewed annually by the mission.||X|
|There is adequate liaison/support from them mission for the HonCon.||X|
4.3.1 The Mission is *** served by *** client service oriented Consular staff. As a result, key client service criteria are, for the most part, met.
4.3.2 While the Consular Section meets the service standards, there are no service standards posted at the Embassy neither amongst the notices at the gate, nor inside the Consular booth.
4.3.3 The Consular Officer has had access issues when providing Consular assistance outside of the Mission (such as accompanying Canadians to the airport and their flight) as she is not permitted to go into the airports's secure zones. If it is not possible to get LES Consular staff accredited as Consular representatives for the Embassy of Canada, then consideration should be given to CBS accompanying staff when working outside the Mission.
|Key Consular Internal Control Criteria||Meets||Needs Improvement||Does Not Meet|
|A trained Canada-based staff (CBS) with substantial control of the passport program is assigned overall responsibility to oversee regulatory compliance with Passport Canada's policies and procedures.||X|
|A certified CBS signs-off on all passports, except in extenuating circumstances requiring the function to be conducted by an LES with the approval role in the Passport Management Program (PMP).||X|
|Completed passport application forms and related documentation are held for 60 business days following the end of the month that they were submitted and then securely destroyed.||X|
|Upon receipt of new passport stock, two CBS verify the receipt of all assets, sign and return the transmittal note. (Form PPT 300 - Passport Receipt Form - to Foreign Operations (PPSP).||X|
|The primary inventory of passport blanks (temporary and emergency), ID labels, OBS labels, stamps, and seals are stored in according to official guidelines.||X|
|Movement of assets is recorded on an inventory log and initialled by the CBS custodian and the employee receiving the asset.||X|
|LES are allocated an appropriate working inventory that is controlled by a daily log (passport #s issued, spoiled, returned to safe storage) and unused inventory is stored securely at the end of each day.||X|
|Inventory is physically counted, reconciled and signed-off at the end of each month by two staff, one of whom must be a CBS.||X|
|The appropriate authority participates in and signs-off on quarterly passport inventory reconciliations.||X|
|There are adequate segregation of duties for staff handling revenues.||X|
|Client documents and personal information are properly stored, secured, and disposed.||X|
|Official receipts are issued to Consular clients and revenue is recorded on the EXT 119 (Record of Fees Received for Passport Consular Services).||X|
|Revenues are transferred to the accounts section once $500 is reached (once a week if less than $500), a reconciliation is completed in the presence of the transferring employee and an official receipt is issued.||X|
|Official seals and stamps are properly inventoried, secured and access provided to designated staff only.||X|
4.4.1 Overall, controls on passport and Consular activities are effective.
4.4.2 The Consular Officer and Receptionist both have Passport Management Program (PMP) data entry rights, and the MCO and Deputy MCO (DMCO) have approver rights. A selection of passport applications were reviewed to confirm that the MCO and DMCO were the only ones exercising approver rights.
4.4.4 Both the wet and dry seals are stored appropriately, but the Mission does ***.
4.4.5 The LES Consular staff identified the opportunity to have ***, which has resulted in a significant decrease in the amount ***. The Consular Officer is aware of the manual of Consular Instructions (MCI) directive ***. Previously, resource levels and workload rendered compliance difficult. The *** solution has allowed the Section to manage the workload more efficiently and *** in compliance with the MCI.
4.4.6 While Official Receipts are used by the Consular Section every time revenues are collected in return for a service, there was no sample receipt posted in the Consular booth.
4.5.1 The Mission should develop a Consular work-plan to schedule recurrent activities, or those activities of which the Program has advanced notice.
4.5.2 The Mission should provide the Consular Officer with a hospitality allocation to use to develop and maintain key contacts.
4.5.3 The Mission should ensure that service standards are posted in the Consular booth in both official languages.
4.5.4 The Mission should investigate the possibility of having the LES Consular staff accredited to enter *** at airports, or have CBS accompany the LES Consular staff when providing assistance outside the Mission.
4.5.5 The Mission should develop and maintain an inventory of wet and dry seals.
4.5.6 The Mission should post a sample copy of an Official Receipt in the Consular booth.
4.5.1 Implemented. The HonCon visits the Mission on a quarterly basis and meets with Consular staff to discuss current issues. The CONPLAN and PIPP are up-dated annually. The Consular Section holds monthly meetings. The Travel Report is reviewed annually.
4.5.2 Implemented. Due to Program service budget reductions this is not possible.
4.5.3 In progress. This will be done by September 30, 2010. However, the standards can only be met with additional human resources.
4.5.4 Implemented. This can be done and has been done in the past. Accreditation is not necessary.
5.1.1 The Common Services Program is managed by the MCO who is supported by a team of two CBS and 18 LES. The following table summarizes the resources available.
|Information Management / Information Technology||2||1||1||-|
5.1.2 The Program is responsible for providing common services to 63 employees spread over four DFAIT and three partner programs.
|Key Common Services Program Management Criteria||Meets||Needs Improvement||Does Not Meet|
|The program has developed an operational plan that incorporates key mission and international platform objectives, along with measurable expected results.||X|
|The program actively seeks to implement best practices, improve efficiencies and reduce operating costs.||X|
|There are regular staff meetings in the Common Services Program to review priorities for the period and to follow up the implementation of plans.||X|
5.1.3 Issues with regard to planning and communications were identified by the Inspection Team as areas where the Program had opportunities for improvement.
5.1.4 The MCO identifies projects and establishes plans for these but, he has has not developed an overall operational plan for Common Services. An overall Program plan would allow the Mission to *** manage resources in alignment with Mission and International Platform Branch (ACM) objectives.
5.1.5 The MCO meets weekly with his Section heads, and with the Consular Program on a monthly basis. Periodic Common Services all staff meetings do not occur, but would be useful to ensure *** communications within the Program.
|Key Common Services Client Service Criteria||Meets||Needs Improvement||Does Not Meet|
|Service standards have been established and communicated to clients.||X|
|Service standards reflect fair and equitable allocation and access to common services for all mission programs.||X|
|Any hub and spoke relationships are governed by an MOU, outlining the roles and responsibilities of each mission.||N/A||N/A||N/A|
|A mechanism is in place to solicit and receive client feedback and corrective action is taken when warranted.||X|
5.1.6 The key controls and processes for client service should be improved. The Mission, at the request of Headquarters, is in the process of updating the 2004 service standards. There was limited awareness of existing service standards at the Mission.
5.1.7 The Mission should establish an overall Common Services operational plan, aligned with Mission and ACM objectives.
5.1.8 The MCO should establish regular all Common Services staff meetings.
5.1.9 The Mission should ensure that service standards are communicated to all staff, and posted by each responsible Section of the Program.
5.1.7 In progress. Once the Mission receives feed-back from our CSM (client service manager), sent to the RSC (regional service centre), this should be completed.
5.1.8 In progress. This will commence in September 2010 with the arrival of the new MCO and DMCO.
5.1.9 In progress. These are contained in InfoBank but will also be posted where applicable by fall 2010. Reminders are sent via e-mail on a regular basis.
|Key HR Management Criteria||Meets||Needs Improvement||Does Not Meet|
|Responsibilities for the human resource activities have been clearly defined, delegated and communicated to all staff.||X|
|LES have been provided with the most recent version of the LES Handbook.||X|
|The LES MCB is representative of mission programs and levels and is utilized by both LES and Mission Management to facilitate communication.||X|
|An HR plan has been developed and submitted to HQ.||X|
|A Mission training coordinator has been appointed and budget established.||X|
|Mechanisms are in place to monitor completion of employee's performance evaluations, CBS and LES.||X|
|Personnel and position files are complete and maintained separately.||X|
|Job descriptions are up to date and signed by incumbent and supervisor.||X|
|The Mission records LES accrued leave, deductions and current balances.||X|
5.2.2 Many HR management processes are in place and functioning effectively. Certain key elements, such as job descriptions and the PMP process, were not fully implemented and are key to performance management.
5.2.3 Not all staff have seen copies of their job descriptions recently, and therefore can not validate that they accurately reflect the duties assigned to them. The Mission should ensure that job descriptions are reviewed whenever there are significant changes to the roles and responsibilities, or every five years.
5.2.4 Not all staff have completed their PMPs for the previous year. In one case, a long serving staff member was not aware of the PMP process. The Mission should ensure that all staff have active PMPs and that the process for the previous fiscal year is completed.
|Key HR Processes and Internal Control Criteria||Meets||Needs Improvement||Does Not Meet|
|The mission maintains written records of each staffing action in-line with the requirements established by the International Platform Branch Human Resources Services Bureau (ALD).||X|
|Letters of Offer are signed by the appropriate authority.||X|
|New LES and CBS employees are provided with an information package on the working conditions, benefits and regulations pertaining to employment at the mission.||X|
|Classification action files demonstrate adherence to departmental procedures and contain the required documents and approvals.||N/A||N/A||N/A|
|Employees concerned are advised in writing of the Classification Committee's decision and of their rights to grieve.||N/A||N/A||N/A|
|Staff are aware of and comply with the Values and Ethics Code and have signed a document certifying that they have read and understood this code. Staff should be reminded on an annual basis.||X|
|Mission signage is provided in both English and French and a bilingual Official Languages Co-ordinator has been appointed.||X|
|The mission has sufficient capacity to communicate with and provide services to the public, both orally and in writing, in both official languages.||X|
5.2.5 While HR processes and internal controls were adequate, certain aspects need further development, specifically in relation to the management of files. Due to resource limitations during the Inspection visit, classification files were not reviewed.
5.2.6 Competition files were lacking supporting documentation. Files should have copies of the scoring grids, the interview results, applications, and memorandum to the HOM recommending the successful candidate be offered employment. There were a number of cases where supporting documents consisted only of e-mails printed in the weeks prior the arrival of the Inspection Team. It was also noted that the HOM was not always signing the letters of offer.
5.2.7 The Mission should ensure that job descriptions are reviewed every five years, or whenever significant changes are made to roles and responsibilities.
5.2.8 The Mission should ensure that the PMP process for the previous year is completed and that all staff have active PMPs for the current year.
5.2.9 The Mission should ensure that all HR files, including competition, personnel, and classification, contain all required documentation and are appropriately maintained.
5.2.10 The Mission should ensure that the HOM signs all letters of offer.
5.2.7 Implemented. Electronic job descriptions are available in InfoBank and they are up-to-date. Some reviews have resulted in upward reclassifications ***. These were forwarded to HQ but not approved due to budgetary constraints.
5.2.8 In progress for October 2010. The Mission is making every attempt to keep pace with PMP.
5.2.9 In progress for October 2010.
5.2.10 In progress. The HOM currently signs all letters of permanent employment, and will in future sign all other offers of employment.
5.3.1 The Physical Resources functions at the Mission are the responsibility of the DMCO, ***. She is assisted by an LE-06 Property Maintenance Assistant, an LE-07 General Services Officer (reporting to the MCO), and eight LE-00 staff in maintenance and cleaner roles. The three LE-00 Drivers report to the General Services Officer.
5.3.2 The Property Section manages a portfolio of assets that comprise a Crown-owned Chancery, Crown-owned Official Residence (OR), and seven Crown-owned Staff Quarters (SQ), as well as eight Crown-leased SQs and a fleet ***. The Section received a total of 450 service requests in the previous fiscal year.
5.3.3 ***. The Physical Resources Bureau (ARD) and the Mission have been working for a number of years to secure temporary accommodations to allow for a ***. Unanticipated and uncontrollable delays have occurred that have prolonged this endeavour.
|Key Physical Resources Program Management Criteria||Meets||Needs Improvement||Does Not Meet|
|The MPMP and MMWP are up-to-date and approved by the appropriate mission and HQ authorities.||X|
|The appropriate authority allocates SQs based on the recommendation of the Mission Housing Committee.||X|
|The chancery is well maintained and a maintenance schedule is in place.||X|
|The official residence (OR) is well maintained and a maintenance schedule is in place.||X|
|The mission has an efficient process in place for receiving, processing and monitoring work orders.||X|
|Annual inspections are conducted to assess the state of the SQ and input into maintenance and acquisition planning.||X|
|The mission's multi-year capital acquisition plan is approved by CMM annually.||X|
|Local procurement guidelines have been established and include direction on obtaining supplier discounts.||X|
5.3.5 The Property Section is, overall, *** managed, has appropriate controls in place and is operating ***. The DMCO does not have an annual work plan, though, in conjunction with the Property Maintenance Assistant, she establishes seasonal plans to cover maintenance and other projects.
5.3.6 The DMCO has regular meetings with the Property Maintenance Assistant, and meets two times a year with the General Services Officer in order to plan purchases and capital spending. There is no multi-year Capital Asset Replacement Plan. Asset replacements are not done per the guidance in "Annex B: Determining Materiel Life Expectancy, Chapter 7 of the Materiel Management Manual" they are rather done based on a "rust-out" policy.
5.3.7 Three Crown-owned SQs were visited, and were serviceable, albeit small in the bedroom areas. A number had issues with ***. The two Crown-leased SQs visited were of good quality and, while there were some minor *** issues, were suitable for occupancy, and provided adequate space both in common and private areas.
5.3.8 The Mission is seeking to *** which are ***. All these SQs have issues with bats in the walls, sewage smell in bathrooms, and *** supply. Two of the SQs also had evidence of water damage as a result of infiltration from the outside.
5.3.9 As noted in the Audit Report of 2005, there is a need to address issues with regard to the suitability ***. Although *** meets departmental size guidelines, the personal quarters are not appropriate for a family. In addition, the overall fit and finish of the exterior and common areas of the building are not of a standard that provides an appropriate image of Canada to guests.
Mission Note: The current ***is short by one bedroom as per section 5.33 of departmental property guidelines for an ***.
5.3.10 The Mission is served by staff in the Property Section who are client service oriented. Service requests are submitted through the departmentally approved electronic service request system. However, clients do not always use the facility to provide feedback on the quality or timeliness of the work. The Property Maintenance Assistant will then often solicit verbal feedback from the clients in order to monitor the work done by the Section.
|Key Physical Resources and Internal Control Criteria||Meets||Needs Improvement||Does Not Meet|
|An inspection is conducted by new SQ occupants and a mission representative within 30 days of occupancy, after which occupancy agreements and distribution accounts signed.||X|
|A percentage of the costs for OR supplies has been established and regular reimbursements are made.||X|
|Costs of damages resulting from occupant negligence are recovered.||X|
|Records of assets in storage are maintained on an ongoing basis and verified annually. The Mission maintains a dollar value of stored assets.||X|
|Chancery, OR, and SQ assets are appropriately safeguarded, inventoried, and controlled.||X|
|Disposals are appropriately authorized and follow Departmental guidelines.||X|
|Vehicles logs are appropriately completed, demonstrating that use was for official purposes.||X|
|Vehicle logs and mileage are verified monthly by a CBS to reconcile usage to gas purchases as well as monitor vehicle performance.||X|
5.3.11 There is a need to improve the management of the Program, particularly with regard to asset controls.
5.3.12 The HOM and the Mission have not established a percentage of reimbursable costs of consumables used at the OR. As a result, the HOM is paying 100% of the costs, when he should only be reimbursing the Mission for a percentage.
5.3.13 Inventories identifying the items are complete, but are not always signed by those accountable for the assets. The Mission does not always use Materiel Transfer Vouchers whenever assets are moved from a location in order to ensure transparency of asset movement and ease the task of maintaining accurate inventories.
5.3.14 Disposal files did not have the appropriate authorizations on file. Donations of computers to international schools had no HQ authorization for the disposal, and the file for a disposal sale in 2009 also did not have the appropriate authorizations on record.
5.3.15 Contracting files contained no record of bids, or scoring grids, and Contract Review Board (CRB) files contained no supporting documents to demonstrate anything other than the CRB having approved the contract.
5.3.16 ***. The review of the vehicle logs shows that they are completed correctly. The Mission is not using EXT 159 (Vehicle Maintenance and Cost Report), rather it uses a locally developed spreadsheet to record operating and maintenance costs. As a result, while the General Services Officer performs monthly fuel reconciliation, there is no oversight by CBS as would occur with a completed EXT 159.
5.3.17 The Mission should establish a multi-year capital acquisition plan, to be approved annually by CMM.
5.3.18 The Mission should ensure that all inventories are signed on a timely basis.
5.3.19 The Mission should encourage staff to use the feedback mechanism of the departmentally approved service request system.
5.3.20 The Mission should pay for OR consumables and establish a percentage recoverable from the HOM.
5.3.21 The Mission should use Materiel Transfer Vouchers whenever an asset is moved from one physical location to another.
5.3.22 The Mission should ensure that all disposal files contain appropriate authorizations, per Chapter 7 of the Materiel Management Manual.
5.3.23 The Mission should ensure that contract and CRB files contain all relevant information.
5.3.24 The Mission should ensure CBS review fuel reconciliation for vehicles and generators.
5.3.17 In progress. A multi-year capital acquisition plan will be created for the Mission. The plan will be completed and approved by fall 2010.
5.3.18 In progress. Incoming CBS will be signing the occupancy agreements/inventory within one month of occupancy of their fully furnished SQ.
5.3.19 In progress. The Program will remind employees to provide feedback through departmentally approved service request system once the tickets are closed.
5.3.20 In progress. The Program will make a recommendation to the HOM on what percentage of OR consumables should be paid for, through the Mission budget in the fall.
5.3.21 In progress. The use of Materiel Transfer Vouchers will be instated by fall 2010.
5.3.22 In progress. The Mission will ensure that appropriate authorizations will be sought for all future disposal of assets.
5.3.23 In progress. CRB files in the future will continue to include all bids received and the scoring grid used by the Board will be included on file.
5.3.24 Implemented. CBS are now reviewing fuel reconciliation for vehicles and generators.
5.4.1 The Finance Section is overseen by the MCO, who is supported by two LE-07 Accountants, ***. The contract Receptionist and the Locally Engaged Information Technology Assistant (LEITA) act, part-time, as replacements for the Accountant ***.
|Key Finance Management Criteria||Meets||Needs Improvement||Does Not Meet|
|Financial procedures have been established to guide clients and Finance staff.||X|
|The section employs methods to minimize disruption (eg. setting of "quiet hours" and controlling access to the finance section).||X|
|Acquisition cards are being used, where appropriate, to minimize burden on petty cash accounts, cheque issuance and electronic fund transfer (EFT) requirements.||X|
|Payment runs are kept to a minimum, but are sufficient enough to allow for good client service.||X|
|Where appropriate, the mission uses EFT (suppliers, LES salaries).||X|
|Immigration refunds are arranged through cheque or EFT.||X|
|The mission has developed instructions on obtaining supplier discounts and actively seeks opportunities.||X|
5.4.2 The management controls in the Finance Section are in place and operating effectively.
5.4.3 The Mission makes use of electronic funds transfers (EFT) where possible, ***. Cheques are not used in Ukraine, and acquisition card acceptance is limited. The Mission attempts to clear *** as suppliers expect almost immediate payment for goods and services.
5.4.4 While there are no service standards posted at the Finance Section, staff adhere to a three to five day service standard for internal clients, save for the payments to suppliers, where they try to adhere to a three day standard.
5.4.5 In order to better serve clients, the Section has established quiet hours, and quiet days. However, these are not always respected by staff at the Mission.
|Key Finance Process and Internal Control Criteria||Meets||Needs Improvement||Does Not Meet|
|A Contract Review Board (CRB) is in place and operating effectively with clear terms of reference.||X|
|Bank reconciliations are completed monthly and are properly reviewed and authorized by the appropriate authorities||X|
|The asset and liability report is reviewed on a monthly basis by the appropriate authority.||X|
|Section 34 is exercised by individuals who possess the appropriate delegation of authority.||X|
|Section 33 is exercised by individuals who possess the appropriate delegation of authority.||X|
|The appropriate authority receives the original monthly bank statement directly from the bank and reviews it prior to giving it to the accountant.||X|
|Official receipts are provided to clients at time of payment and to internal staff when funds are transferred (i.e. from Consular to Finance).||X|
|Reconciliations of any funds transferred within the mission are conducted in the presence of two staff.||X|
|Monthly reconciliations of immigration fees are completed and the EXT-1203 is signed by the appropriate authority.||X|
|Hospitality claim processes ensure that policy and guidelines are adhered to and that the accountant verifies the completeness and accuracy of the claim.||X|
|Hospitality files are maintained centrally in Finance, as per the hospitality guidelines.||X|
|A process is in place to ensure the consistent and appropriate review of travel claims.||X|
|A process is in place to ensure that, where applicable, CBS reimburse the Mission for any services of personal nature received at their staff quarters (television, internet, telephone etc).||X|
5.4.6 Overall, internal controls are effective, with some improvements required in the relationship with the Mission's bank, the CRB and *** in the Finance Section.
5.4.7 As addressed in section 5.3.14 of this report, the files associated with the CRB are not complete. Save for the notes on file from the MCO indicating that the Board had approved the contract, there was little documentation.
5.4.10 The Finance Section has been inputting vendor invoices (KR documents) rather than Purchase Orders (PO), as there is limited knowledge at the Mission of how to enter a PO into the Integrated Management System (IMS). Use of POs for recurring financial transactions would improve the efficiency of the process.
5.4.11 The Mission should periodically remind staff of quiet hours for the Finance Section.
5.4.12 The Mission should ensure that an English copy of the bank statement is sent directly to the MCO from the bank.
5.4.13 The Mission should acquire a ***.
5.4.14 The Mission should organize training for staff to enter POs into IMS, and make use of them whenever possible.
5.4.11 Implemented. This is being done.
5.4.12 In progress. This has been requested but the bank does not provide statements in English, however they have been requested to ensure that the statements are provided in sealed envelopes addressed to the MCO, which will be implemented by fall 2010.
5.4.13 In progress. A suitable location will be identified and *** will be ordered although it may be prudent to await the Chancery relocation.
5.4.14 In progress. There is currently one non-accounting position, ***, who can enter POs into IMS and the Mission will add another.
5.5.1 IM/IT at the Mission is overseen by the MCO with support from a CS-02 Foreign Service Information Technology Professional (FSTIP), and an LE-05 LEITA .
5.5.2 The Mission is *** served by an *** FSTIP *** to the Mission from the Embassy in Moscow. Several outstanding issues, such as a lack of a scanner in the Consular Program, installation of the departmentally approved service request system, and the configuration of the Octel messaging server, were addressed ***.
|Key IM-IT Management Criteria||Meets||Needs Improvement||Does Not Meet|
|An IM/IT workplan exists and includes regional activities.||X|
|Where required, an IM-IT Committee has been established to provide direction and program input.||N/A||N/A||N/A|
|The liaison between the Mission, HQ and Regional Manager is effective.||X|
|IM-IT requirements in relation to business continuity planning (BCP) have been defined, implemented and tested.||X|
5.5.3 Despite the absence of a formal IM/IT plan, the overall management of the Section is effective. IM/IT support is predominantly reactive in nature, and the Mission makes *** use of the tools such as the Remedy help-desk system to manage delivery.
5.5.4 The Mission has developed an IM/IT Business Continuity Plan (BCP), and identified an alternate site, where there is a satellite phone which is tested on a monthly basis.
|Key IM-IT Client Service Criteria||Meets||Needs Improvement||Does Not Meet|
|Problems experienced by the user are generally resolved within a reasonable time frame.||X|
|The Mission is using the required help-desk/client service tools and maintains relevant data.||X|
|Issues identified at regional missions under the ITPs responsibility are monitored and consultations occur regularly with the appropriate authority.||X|
5.5.5 The IM/IT section is client service oriented, and makes use of tools and processes to ensure that user needs are met ***.
5.5.6 To ensure that all support is accurately logged, the FSITP creates tickets for all requests that come in via e-mail or telephone and, as necessary, at the end of the day, creates help desk tickets for small support actions.
|Key IM-IT Internal Control Criteria||Meets||Needs Improvement||Does Not Meet|
|Back-ups are performed routinely and tapes are stored in a safe location.||X|
|The Mission has appropriate secondary communications in place and those tools are tested regularly.||X|
|The Mission has a consistent approach in place for the management of electronic and paper records and compliance to legislation, policies and standards.||X|
|Standardized practices and processes are in place to facilitate management and sharing of corporate information across programs. (e.g. e-mail best practices, effective folder structures).||X|
|Controls are in place to ensure the network acceptable use policy (NAUP) is respected (SIGNET and DSL connections).||X|
|Employees formally sign out IT assets (cellular telephones, laptops etc.) and are advised of their accountabilities.||X|
|Surplus IT assets are disposed with the appropriate approvals per departmental policy.||X|
5.5.7 Overall, IM/IT processes and controls were effective. However, there is a need to improve processes ***, and the disposal of assets.
5.5.8 The Mission securely stores *** and has established a procedure for dealing with ***. Currently the Mission performs daily incremental, weekly and quarterly back-ups. ***.
5.5.9 The Mission has established an Information Management Committee, which is active and has been addressing the management of electronic information. InfoBank is being used, and the Committee has established processes and provided users with tips on how best to use the system. The FSTIP has limited access to the shared network drive, making the use of InfoBank compulsory . The Mission will need to develop similar policies and procedures for the management of hard copy records.
5.5.10 While there have been no disposals during the FSITP's tenure, as was addressed in 5.3.13 of this report, a donation of computers to the local Lycee had no HQ authorization for the disposal.
5.5.11 The Mission should develop am IM/IT work-plan that addresses recurrent activities or projects.
5.5.12 The Mission should ***.
5.5.13 The IM Committee should identify policies and procedures for retention and disposal of hard copy records, and ensure staff awareness.
5.5.11 In progress. A draft IM/IT work-plan will be completed by fall 2010.
5.5.12 In progress. A suitable location will be identified by fall 2010.
5.5.13 In progress. This will be discussed at the next Information Management Committee (IMC) meeting and a policy document will be drafted. The next IMC meeting is scheduled for September 2010 once all staff rotations are done. Target for October 2010.
|Assets||Crown Owned||Crown Leased|
|Program Budget||Common Services Budget|
|CBS Salaries (N011)||410,951||236,644|
|LES Salaries (N012)||351,160||710,615|
|Total||$ 848,137||$ 1,915,465|