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Inspection of the Canadian Embassy - Jakarta, Indonesia
November 21 - 28, 2011
- Inspection Scope and Objectives
- Executive Summary
- 1 Mission Management
- 2 Foreign Policy and Diplomacy Service (FPDS)
- 3 Commercial Economic (CE)
- 4 The Association of Southeast Asian Nations (ASEAN) Network
- 5 Consular
- 6 Common Services
- Appendix A: Mission Resources Fact Sheet
- Appendix B: Frequently Used Acronyms
Inspection Scope and Objectives
The scope of the Inspection included a review of Mission Management and the Foreign Policy and Diplomacy Service, Commercial Economic, Consular and Common Services programs. The inspection objectives were to:
- Assess the effectiveness of the leadership and management practices of the Head of Mission (HOM) and the Mission Management team;
- Review the alignment of plans and activities, and program integration to Government of Canada and departmental objectives and priorities;
- Assess the adequacy of management controls and systems, procedures and the reliability of information for decision making and accountability purposes;
- Determine the extent of compliance with legislation, regulations and operating policies;
- Evaluate the use of resources to determine that they are judiciously used and if value-for-money is received; and
- Make recommendations, where warranted, to improve the efficiency and effectiveness of the Mission and its programs.
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 Locally Engaged Staff (LES) representatives of the LES Management Consultation Board, 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.
An inspection of mission management, the Foreign Policy and Diplomacy Service (FPDS), Commercial Economic (CE), Consular and Common Services programs was conducted in Jakarta from November 21 to 28, 2011. A previous audit of these programs took place in 2005.
The mission delivers departmental programs in Indonesia and East Timor. The head of mission (HOM) is also Ambassador to the Association of South East Asian Nations (ASEAN).
The mission is *** managed by a HOM who demonstrates *** leadership, engagement and support to all mission programs. Appropriate governance structures are in place to facilitate effective program delivery and support a whole-of-government approach. Departmental programs are actively pursuing their objectives and providing good services to internal and external clients. Mission management has a good relationship with the LES community which is supported by strong formal and informal communication practices. Emphasis needs to be placed upon *** plan and subsequent testing of the plan.
The FPDS Program is *** managed and morale is high. The program manager provides *** leadership. He is supported by enthusiastic and competent officers. The priorities of the program are clear, and are aligned against the mission?s MPR, which lays out strategic objectives and long term expected results. ***.
The Commercial Economic Program is managed by an *** program manager. The program has a plan in place that is aligned with the Mission Planning and Reporting (MPR) document and government of Canada priorities. The planning framework is thorough and has strategic focus. Activities are well aligned with mission objectives and the implementation of a regional approach is demonstrating results in terms of improved sector planning and performance measurement. ***.
Canada?s ASEAN Network is based out of the mission and it is one of the four regional policy and programme centres formed as a pilot project in 2009 under the department?s Transformation Agenda. The ASEAN Network has its own MPR document, which is well aligned with departmental objectives and takes into account the interests of both headquarters and other stakeholder missions. The HOM, the ASEAN Coordinator, Senior Trade Commissioner (STC) and FPDS program manager (PM) have shown *** leadership in developing regional commercial and political teams. Although there is already an organizational structure in place for the network, the mission should formalize the reporting relationship in terms of all ASEAN- related work.
The Consular Program benefits from efficient teamwork and effective communication. The Deputy Management Consular Officer (DMCO) is *** involved in the program?s activities, and clients are well served by experienced and service oriented Consular staff. Challenges include the geographic size of the Indonesian archipelago.
The Common Services Program has experienced and capable staff and is providing a good level of services to clients. The MCO and DMCO arrived at the mission four months prior to the inspection and have gained a good understanding of program operations. Areas for improvement have been identified and a workplan is being developed to achieve these objectives. Overall, emphasis will have to be placed on documenting policies and procedures. In addition, some deficiencies in the physical resources, finance and contracting areas will need to be addressed.
A total of 41 inspection recommendations are raised in the report, 41 are addressed to the mission and none are addressed to headquarters. Management has responded to each recommendation indicating action already taken or decisions made, as well as future action. Of the 41 recommendations, management has stated that 26 have been implemented. For each of the remaining 15 recommendations, management has indicated the initiatives in progress or the intended future action.
1.1.1 The Canadian Embassy in Jakarta is a medium-sized mission with 20 Canada-based staff (CBS) and 55 locally engaged staff (LES). It is responsible for departmental program delivery in Indonesia and East Timor and provides a platform for several partner departments and agencies: the Canadian International Development Agency (CIDA), Citizenship and Immigration Canada (CIC), the Department of National Defense (DND) and Public Safety Canada. The EX-03 head of mission (HOM) is also Ambassador to the Association of South East Asian Nations (ASEAN) which is headquartered in Jakarta.
1.1.2 There are no Canadian honorary consuls in Indonesia or East Timor. A consular sharing agreement is in place with Australia, whereby the Australian Consulate General in Bali (Indonesia) and the Australian Embassy in Dili (East Timor) provide consular services to Canadians in those regions.
1.1.3 The mission oversees operating and capital budgets of $2.5 million and $130,000 respectively, and is responsible for the management of 21 Crown-leased properties. The mission collects approximately *** in revenue on an annual basis through the provision of consular and immigration services.
1.2 Mission Management
|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|
|The Committee on Mission Management (CMM) is an effective forum to review and make decisions on Mission policies and management issues.||X|
|The Locally Engaged staff Management Consultation Board (LESMCB) is representative of Mission programs and employee levels, and is utilized by both LES and Mission management to facilitate communication.||X|
|Mission Management ensures that employees remain informed of key priorities and common services policy decisions.||X|
|Canadian public service values and ethics are promoted and reinforced, and employees are aware of available support resources (values and ethics, staff relations, etc.).||X|
1.2.1 Overall, mission management is engaged and the appropriate governance structures are in place to facilitate effective program delivery and support a whole-of-government approach. Departmental programs are providing good services to internal and external clients. Mission management maintains a good relationship with the LES community which is supported by strong formal and informal communication practices. There is also regular structured dialogue with the Locally Engaged Staff Management Consultation Board (LESMCB).
1.2.2 Communications from the HOM and mission management are effective and a variety of mechanisms are used to ensure staff are informed of key priorities and mission policy changes: CMM records of decisions are distributed to all staff, town hall meetings are held a periodically during the year and an annual mission retreat is held. A Mission Communications Committee is in place with representation from all programs. As a best practice, the HOM took the time to meet all staff individually shortly after his arrival.
1.2.3 The inspection team was accompanied by a member of the Values and Ethics Division. During the course of the inspection, information sessions were held with all staff to educate them on the Values and Ethics Code and inform them of the tools at their disposal. Canadian values and ethics are promoted by the HOM and relations between LES and CBS are generally cordial. However, some instances of *** were reported. The HOM is committed to reinforcing core public service values and intercultural awareness.
1.3 Whole of Government
|Key Whole of Government Criteria||Meets||Needs Improvement||Does Not Meet|
|Mechanisms are in place to ensure a whole of government approach is taken for Mission and program planning.||X|
|Mission and program plans are implemented in a coordinated manner to ensure policy coherence and effectively leverage the Canadian presence.||X|
|Partner departments contribute to the overall effective governance of the Mission and its operations.||X|
|Common Services are provided in line with the memorandum of understanding and any issues are addressed at CMM.||X|
1.3.1 The Mission benefits from a strong and cohesive management team. Cooperation and collaboration are reinforced by the HOM and cross-cutting issues are regularly discussed at CMM. The HOM is engaged in all programs and provides support where needed.
1.3.2 The mission has shown strong leadership in developing regional commercial and political teams within the ASEAN and there is a high level of cooperation between the Commercial Economic Program and the ASEAN Network.
1.3.3 Discussions with partner department program managers noted a high degree of satisfaction with the common services provided.
1.4 Management Controls
|Key Management Control Criteria||Meets||Needs Improvement||Does Not Meet|
|Mission committees are meeting regularly and effectively discharging their governance responsibilities.||X|
|A Mission Emergency Plan (MEP) is in place and tested regularly.||X|
|Security policies and regulations are respected and promoted.||X|
|The quarterly reconciliation of passport inventory is properly completed and certified.||X|
|Program managers are provided regular financial/budget updates to facilitate effective management and decision making.||X|
|Bank reconciliations are properly reviewed and signed-off on a monthly basis.||X|
|Mission hospitality guidelines are appropriate and reviewed annually by CMM.||X|
|Hospitality activities are properly documented, demonstrate value-for-money and align with Mission objectives.||X|
|All employees have performance objectives set and annual reviews occur.||X|
|The Honorary Consul (HonCon) has an up-to-date mandate letter and performance is reviewed annually.||N/A|
1.4.1 While individual emergency planning documents are in place, they have not yet been integrated in the new Mission Emergency Plan (MEP) document. Once completed, regular testing of the plan, including the *** will be needed.
1.4.2 Although DFAIT program managers are provided financial/budget updates periodically, more frequent updates would facilitate effective management and decision making. Offering IMS refresher training to program administrative assistants who already hold IMS read-only access, would improve program autonomous access to timely data.
1.4.3 Hospitality guidelines were last reviewed in 2009 and do not include ceilings for events held in commercial establishments. In general, hospitality activities were properly documented and in alignment with mission objectives.
1.5 Official Languages
|Key Official Languages Criteria||Meets||Needs Improvement||Does Not Meet|
|The Official Languages Act is respected and promoted by Mission Management.||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|
1.5.1 Services can be provided to the public in both official languages and there are back-up services in place. The HOM supports the use of official languages and tries to hold one CMM per month in French.
1.6 Recommendations Recommendations to the Mission
1.6.1 The MEP should be completed and approved. Testing of the plan should be conducted on a regular basis.
1.6.2 Regular budget reports (i.e. monthly) should be provided to program managers by the finance section.
1.6.3 Mission management should ensure that all hospitality diaries effectively demonstrate value-for-money by indicating how objectives were furthered and what follow-up activities should occur.
Mission Actions and Timeframes
1.6.1 MEP is completed and was tested in February 2012 with the assistance of Policy, Emergency Planning and Training Division - CEP through a mission crisis exercise that included ***. Mission management will ensure testing of the plan occurs on a regular basis. Implemented.
1.6.2 Mission program managers are provided with regular monthly budget reports. Implemented.
1.6.3 All DFAIT program managers have been briefed on the importance of hospitality diaries effectively demonstrating value-for-money by indicating how objectives were furthered. A mission-wide training session on hospitality reporting will be held in fall 2012 after the CBS turnover season to ensure all staff continue to be well briefed on requirements.
Foreign Policy and Diplomacy Service (FPDS)
2.1.1 The Foreign Policy and Diplomacy Service (FPDS) Program is managed by an EC-07 program manager (PM) acting in an EX-01 position. He is supported by two Canada-based staff (FS-03 and FS-02), an LE-09 Research Officer, an LE-08 Public Affairs Officer and an LE-05 Administrative Assistant. The FS-03 officer is assigned to the section under the Global Security Reporting Program (GSRP).
|Operations (anniversary events)||25,000|
|Post Initiative Fund||13,200|
2.1.2 ***. The FPDS program strives to increase Canadian influence on these issues. It also coordinates our dialogue with Indonesia on multilateral issues, including those related to the G- 20.
2.1.3 Indonesia is currently the chair of ASEAN. The ASEAN Coordination Unit, in partnership with the mission?s CE and FPDS programs, provide advice to the HOM on the management of Canada?s relationship with ASEAN as an organization. The FPDS program is responsible for the bilateral discussions with Indonesia on ASEAN political priorities such as the development of human rights.
2.1.4 In 2012, Canada and Indonesia are celebrating the 60th anniversary of their diplomatic relations and a number of activities are planned to highlight this anniversary.
2.1.5 The program is also responsible for Canadian political relations with East Timor. ***.
2.2 Planning and Program Management
|Key FPDS Program Management Criteria||Meets||Needs Improvement||Does Not Meet|
|FPDS plans are aligned with the priorities and objectives outlined in the mission plan and informed by departmental and geographic bureau guidance and objectives.||X|
|FPDS plans outline intended outcomes and results are measurable.||X|
|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 program is *** managed and morale is high. The PM, who arrived last summer, provides *** leadership. He is supported by enthusiastic and competent officers. Basic management controls, directly linked to the mission?s MPR, are in place and the section meets regularly. The PM has a business plan for the program that lists activities, planned dates for the activities and related funding.
2.2.2 Despite the linkages to the mission?s MPR, the PM and his team could develop a more detailed work plan, that would identify strategic objectives, identify corresponding activities, responsible officers and measureable performance indicators that are within the program?s control. Targets should be set against the performance indicators and establish achievable expected results. The workplan could also include year-end assessments to identify the results against the planned activities. This workplan would provide for a better linkage between the MPR and staff performance management plans (PMPs), as well as a tool to reinforce the teams focus on their contribution to overall program objectives.
2.2.3 The roles and responsibilities of the officers are clearly identified. However, there is some uncertainty as to the level of support that the administrative assistant should be providing to CBS and LES officers.
|Key FPDS Implementation Criteria||Meets||Needs Improvement||Does Not Meet|
|Strategic objectives and plans have been translated into individual or team work plans.||X|
|Activities and initiatives are aligned with the Mission?s key priorities and with the principles of the New Way Forward FPDS Renewal initiative.||X|
|Program reporting is in-line with Mission and government objectives, timely and relevant.||X|
|The program develops and maintains a contact base that meets programs needs and objectives.||X|
|Relations with other mission programs facilitate program delivery (e.g. public affairs).||X|
|The program facilitates a mission-wide coordinated approach to advocacy and common messaging.||X|
2.3.1 The PM and his team align their activities with the priorities of the Canadian government, the mission?s MPR and with the principles of the New Way Forward. Their network is appropriate to the mission?s work and includes representatives of government, NGOs, academia ***. They actively promote Canadian values, such as respect for human rights and freedom of religion, as well as coordinate the Canada-Indonesia dialogue on G-20 issues and report on subjects of interest to Canada.
2.3.2 The GSRP officer is well integrated in the program,***. His network has proven valuable for undertaking *** analysis. In addition, the officer has been active in coordinating *** training ***.
2.3.3 The 60th anniversary of Canada-Indonesia diplomatic relations in 2012 will be a good occasion to raise Canada?s visibility. Given limited resources, the program will have to maintain a focus on added value in determining what activities it undertakes to celebrate this event.
2.3.4 The Canada Fund for Local Initiatives (CFLI) - currently $250,000 for Indonesia and $200,000 for East Timor - is currently managed by CIDA. However, as of 2012, the FPDS program will assume responsibility for the CFLI. It will be important for the PM to evaluate lessons learned from CIDA?s experience with the CFLI and develop a strategy to incorporate this new responsibility into the program.***.
2.3.5 The program?s administrative assistant supports five officers in addition to performing a number of other program-support duties. Given that both the CE program and the FPDS program monitor the media on a daily basis, the mission could consider *** by tasking a CE staff member to produce a press scan covering all issues of interest to Canada.
2.4 Performance Measurement
|Key FPDS Performance Measurement Criteria||Meets||Needs Improvement||Does Not Meet|
|The program has an established performance measurement system in place to monitor activities towards the achievement of objectives.||X|
|The program assesses performance against strategies / objectives and plans, and provides a high-level assessment of performance through the MPR system at the end of the fiscal year.||X|
|Hospitality diaries demonstrate value-for-money and alignment with priorities.||X|
2.4.1 The Performance Management Program (PMP) is used by the PM to establish priorities and assess individual results. As noted earlier, detailed workplans for the program and individual officers would provide a more comprehensive mechanism to develop objectives and strategies. Such workplans would also be useful for monitoring and evaluating the program?s activities and results.
2.5 Recommendations Recommendations to the Mission
2.5.1 The PM should develop a detailed workplan for the program as well as for individual team members. The plans should identify objectives and identify corresponding activities and expected results.
2.5.2 The PM should clarify the roles and responsibilities of the ***.
2.5.3 The mission should develop a business case to direct the CFLI ***.
2.5.4 The mission could consider having the CE program produce a press scan on all issues relevant to Canada.
Mission Actions and Timeframes
2.5.1 To improve FPDS strategic planning, the FPDS PM has asked GLB for advice on how best to create a strategic planning document at the level between the MPR, PMP, and other activity-level planning documents. In progress for fall 2012.
This recommendation relates to what is a likely a common challenge throughout the FPDS network. We would recommend that this should be a broader recommendation to HQ, in order for additional strategic planning documents to be created, and mandated for all FPDS programs.
2.5.2 Additional measures, beyond those already taken, are underway to ***. Part of the process will involve stopping certain activities altogether (e.g. media monitoring) and reassigning others. Implemented
2.5.3 The business case has already been made. Implemented.
2.5.4 The FPDS section will be curtailing its media monitoring activities and look for alternative service providers. We agree that an option would be for program specific needs to be addressed by those sections with the resources available to do so. Implemented.
Commercial Economic (CE)
3.1.1 The Commercial Economic (CE) Program in Jakarta is headed by an EX-01 Senior Trade Commissioner (STC). The STC is supported by one FS-02 and five LE-09 Trade Commissioners, and six Trade Commissioner Assistants (two LE-06 and three LE-05). In addition, the STC supervises the work of the FS-03 ASEAN Coordinator, supported by an LE-05 assistant (in the process of being recruited at the time of the Inspection). ***. The table below summarizes the financial resources available to the program.
|Client Service Fund (CSF)||$15,000|
|Corporate Social Responsibility (CSR) Fund||$6,000|
3.1.2 Indonesia?s GDP increased significantly from $106 billion in 2001 to over $706 billion in 2010. The market potential in Indonesia is significant. Indonesia is a member of the Association of Southeast Asian Nations (ASEAN) and the CE program coordinates the commercial component of Canada's ASEAN Network. It is working to share client information, increase coordination amongst the network, attract Canadian companies to the region and raise the ASEAN commercial profile in Canada.
3.2 Planning and Program Management
|Key CE 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|
|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 has a plan in place that is aligned with the MPR and government of Canada priorities. The planning framework is thorough and has strategic focus. The STC holds regular staff meetings that include all CE resources. Every two weeks, the FS-02 organizes a meeting for her section which provides additional guidance and support to staff.
3.2.2 The management burden on the STC has increased significantly since 2009. This is due to the added responsibility of coordinating the newly-created ASEAN Commercial Network and providing oversight of the ASEAN Coordination Unit. In addition, the Indonesian economy is booming - with Canadian exports up 70% in two years - while at the same time market access and regulatory issues have increased in number and complexity (e.g. RIM, agricultural market access, mining regulations).
3.2.3 As a result of the increasing management workload, the FS-02 has taken on a larger role in the program supervision. At present, the current management workload of the officer does not provide her with adequate time to spend on sector file management. Care should be taken to ensure that delegated responsibilities are in line with the level of the position ***.
|Key CE 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 staff PMPs.||X|
|Activities and initiatives are aligned with the mission's key priorities.||X|
|The program utilizes TRIO to facilitate client relationship management.||X|
|TRIO use is monitored to ensure activities are reported appropriately and accurately reflect the work undertaken.||X|
|InfoCentre functions are assigned and facilitate program delivery.||X|
3.3.1 The program?s plans cascade down to staff PMPs and are aligned with the mission?s key priorities. Overall, the program is providing effective services and is actively working to identify and promote opportunities for clients.
3.3.2 Activities are well aligned with mission objectives and the implementation of a regional approach is demonstrating results in terms of improved sector planning and performance measurement.
3.3.3 The timing of TRIO input is inconsistent. Some TCs are entering TRIO data in a timely manner while others are waiting until the end of each quarter. This inconsistency in the timing of data entry skews results. Given the delay between closing a service request and sending a client survey, it is imperative that TRIO data is entered as close to the event as possible so as to provide decision makers with accurate and timely data.
3.3.4 The TRIO Champion, LE-06 Informatics Assistant, is working with officers to ensure TRIO entries are appropriate, accurate and entered in a timely fashion.
3.4 Performance Measurement
|Key CE 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 The STC has championed effective performance measurement within the CE program in Jakarta as well as throughout the ASEAN network. While the STC is aware of the IBD Dashboard, he has expressed some concerns with the time required to monitor the information. The program should explore options to utilize information from the IBD Dashboard to improve overall program management.
3.4.2 All hospitality expenditures were in accordance with policy and are accurately reported.
3.5 Recommendations Recommendations to the Mission
3.5.1 The STC should continue to exercise his overall management responsibility for the CE program and should carefully review ***.
3.5.3 TRIO data should be recorded as soon as business transactions occur.
Mission Actions and Timeframes
3.5.1 ***, the STC will carefully review in consultation with the HOM how most effectively to integrate *** into the section, including how most effectively to provide both oversight and support services, and whether a rebalancing of supervisory responsibilities for the LES TCs within the section is desirable. Implemented.
3.5.3 The STC has reiterated the importance of entering TRIO data in a timely manner to all Commercial team members, underlining the link to the quality of feedback captured by the online client survey. As a back-up measure, monthly mandatory "backlog-clearing" TRIO sessions have been initiated, under the supervision of the FS-02. In addition, following the completion of the 2011-12 CEP reporting exercise, the section has undertaken a reconciliation of CEP and Dashboard performance measurement data which has resulted in the implementation of a series of data entry improvement measures which will improve the accuracy, quality and consistency of our performance measurement data entered in TRIO.
The Association of Southeast Asian Nations (ASEAN) Network
4.1.1 Canada?s ASEAN Network is coordinated out of the Canadian Embassy in Jakarta, with its institutional engagement component based in the Embassy. Since 2009, the HOM has served as Canada?s Ambassador to ASEAN, in addition to his bilateral accreditation to Indonesia and East Timor. In this role, he is supported at the mission by an FS-03 ASEAN Coordinator (who currently reports to the STC) and an administrative assistant shared with the CE program. There are another six positions (five LES and one CBS) at Canadian missions throughout the region that are part of the Network.
4.1.2 The ASEAN Network is one of the four regional policy and programme centres formed as a pilot project in 2009 under the department?s Transformation Agenda. As the pilot phase for these centres comes to a close in 2012, there will be an important opportunity to explore lessons learned to improve efficiencies across the current group of centres and better prepare the department for future regionalization efforts.
4.1.3 Canada-ASEAN merchandise trade totalled $13.8 billion in 2010, representing Canada?s seventh largest merchandise trading partner. In October 2011, Canada signed its first commercial instrument with ASEAN, covering both trade and investment. 2012 marks the 35th anniversary of Canada-ASEAN relations.
4.2 Planning and Program Management
4.2.1 The ASEAN Network has its own Mission Planning and Reporting (MPR) document, which effectively details substantive objectives as well as issues related to the operational development of the Network. The plan is well aligned with departmental objectives and takes into account the interests of both headquarters and other stakeholder missions.
4.2.2 The Network complements Canada?s bilateral relations with ASEAN member states and has allowed missions to promote Canadian interests in new and innovative ways. The HOM, STC, FPDS PM and the FS-03 ASEAN Coordinator have shown *** leadership in developing regional commercial and political teams - the commercial network and the political network - which promote Canadian interests within ASEAN and among its member states.
4.3.1 The CE program manager in Jakarta currently coordinates the commercial components of the ASEAN Network. Known as "the ASEAN Commercial Network", it has been effective in promoting information sharing, coordination among Canadian missions and in raising the ASEAN commercial profile in Canada to attract more Canadian companies to the region. The use of a regional sector lead-approach, whereby different members of the regional team take the lead in developing regional initiatives under the Integrative Trade Strategies? (ITS) Client Service Fund (CSF), has devolved file-specific leadership effectively.
4.3.2 At present, the political network has had limited engagement in activities beyond the exchange of information. Its ability to plan and implement value-added initiatives is limited by the absence of a budget dedicated to ASEAN. However, considering the importance of maintaining dialogue on good governance and human rights, the political network should develop a regional advocacy plan that would see missions collaborating and leveraging available resources to advance ASEAN-specific interests. The mission should also formalize the reporting relationship in terms of all ASEAN-related work. This is especially important to retain the focus of the positions located outside of Jakarta. Given its profile and importance ***.
4.4 Performance Measurement
4.4.1 As a good practice, the CE program has established performance measurement criteria with set targets for the ASEAN regional sectors. Quarterly workplans bolster the commercial network?s ability to evaluate how its activities are contributing to its overall objectives. As the Network strengthens its overall structure and planning, a more elaborate mechanism for performance measurement will need to be implemented for the political network.
4.5 Recommendations Recommendations to the Mission
4.5.1 The mission should formalize the reporting structure of all ASEAN positions and ensure it is accurately reflected in all job descriptions.
4.5.2 The political network should develop strategic plans, including a regional advocacy strategy, and elaborate a mechanism to measure performance.
Mission Actions and Timeframes
4.5.1 The mission, in consultation with GSD, will work towards formalizing the reporting structure of all ASEAN positions and ensure job descriptions reflect any changes. In progress for fall 2012.
4.5.2 In his role as the coordinator of the ASEAN FPDS (political) Network, the FPDS PM will coordinate a discussion with all FPDS PMs in the region, as well as with the FS-03 ASEAN Network resource in BNGKK and JKRTA, to review the ASEAN-Canada Plan of Action, consider ways to advance Canada's foreign policy agenda in ASEAN, noting however, the current budgetary constraints and the lack of an ASEAN-dedicated fund. The discussion will be organized early in the fall once the rotation season has been completed and new FPDS have assumed their new functions. In progress for fall 2012.
5.1.1 The Consular Program is overseen by the MCO with day-to-day management undertaken by the Deputy MCO (DMCO). The program is supported by an LE-07 consular officer and an LE-05 passport/consular assistant. Consular services to Canadians are provided by the Australian diplomatic offices in Bali, Indonesia and Dili in East Timor.
5.1.2 The program covers the Indonesia archipelago which comprises over 17,000 islands in 33 provinces. The mission provides approximately 460 passports and 50 citizenship applications and 300 notarial requests yearly. There are 750 Canadian citizens identified in the Registration of Canadians Abroad (ROCA) database although the estimated number of Canadians residing in Indonesia is much larger. An estimated 40,000 Canadians visit Indonesia each year, with the majority travelling to Bali.
5.2 Program Management
|Key Consular Program Management Criteria||Meets||Needs Improvement||Does Not Meet|
|Mission Consular plans and manuals are up to date.||X|
|Internal communications within the Program effectively support program delivery.||X|
|The Mission has ongoing dialogue with key local authorities to facilitate program delivery.||X|
|A warden network is in place and properly maintained.||X|
5.2.1 Overall, the program is *** managed and benefits from efficient teamwork. Communication is effective, and the DMCO is *** involved in the program?s case management activities. Weekly staff meetings are complemented by ad-hoc meetings to discuss specific cases. Meetings with like-minded missions occur monthly.
5.2.2 The mission?s general mailbox is currently being reviewed by the Consular Officer which takes time away from case management and other consular activities.
5.2.3 Whereas the level of access to *** for the mission as a whole, the consular program faces challenges in developing and maintaining contacts in the more distant and remote locations of the country. Indeed, the geographic size dispersion of the Indonesian archipelago makes effective coverage by consular staff expensive and time-consuming. Current travel allocations are not seen to adequately reflect these pressures and few visits/outreach have been conducted in previous years. In recent months the consular program has taken steps to improve outreach activities, including a visit to Bali in the fall and a scheduled November outreach program in Dili, East Timor.
5.2.4 All consular plans are up to date and regularly reviewed. The program is preparing to integrate them into the Mission Emergency Plan (MEP). Delays have occurred as it is uncertain which program will assume the lead for completion of this project.
5.2.5 The program has developed an extended warden network system that covers the entire country. Wardens have been appointed for most regions and the process to assign deputy wardens is being pursued. The mission is also assessing the need for, and feasibility of, a warden conference.
5.2.6 The program?s memorandum of understanding with like-minded missions is not formalized though strong working relationships and informal verbal agreements to assist are in place.
5.2.7 COMIP statistics are recorded regularly for consular staff. They do not, however, incorporate the time spent by other staff (i.e. HOM interventions, use of drivers, etc.) on consular activities. The inclusion of this information would ensure that the consular workload is more accurately monitored and reflected.
5.3 Client Service
|Key Consular Client Service Criteria||Meets||Needs Improvement||Does Not Meet|
|Services are provided to Canadians in the official language of their choice.||X|
|Service standards, fee schedules and a copy of an official receipt are posted in public areas in both official languages.||X|
|Services are provided in line with established standards.||X|
|Client feedback is reviewed and corrective action is taken when warranted.||X|
5.3.1 Clients are well served by experienced and service oriented consular staff. The program has the ability to serve clients in both official languages and client feedback forms are available. ROCA registrations are activated within a week of data being provided and a ROCA workstation is located in the lobby for direct online registration.
5.4 Internal Controls
|Key Consular Internal Control Criteria||Meets||Needs Improvement||Does Not Meet|
|A certified CBS signs-off on all passports.||X|
|Client documents and personal information are properly stored and secured.||X|
|Procedures and practices related to the collection of revenues are appropriate (e.g. segregation of duties, handling of cash, official receipts, record of fees received forms).||X|
|Revenues are transferred to the finance section in line with the Manual of Consular Instructions.||X|
|Upon receipt of new passport stock, two CBS verify the receipt of all assets, sign and return the transmittal note.||X|
|Passport stock is securely stored and the removal of assets is recorded on an inventory log and initialled by the CBS custodian and the employee receiving the asset.||X|
|Working inventories provided to staff are appropriate and controlled by a daily log (passports issued, spoiled, returned to safe storage).||X|
|Monthly and quarterly reconciliations of passport stock are properly completed and certified.||X|
|Official seals and stamps are properly inventoried, secured and access provided to designated staff only.||X|
5.4.1 While most internal controls were in place, some improvements are required in the daily ***.
5.4.2 Canadians requesting services at the Australian consulates are charged passport fees in accordance with the Passport Canada fee structure. Australian notarial service fees apply and these revenues are collected and deposited via the Australian government?s cost recovery systems and not to the Canadian government. The fee schedules do not clearly communicate the Australian notarial fee information and creates confusion for clients.
5.4.3 The MCO, DMCO and consular officer have signing authority for notarial services. While this is sufficient to address demand levels at mission, the large number of signatories makes reconciliation more difficult. In addition, services are not tracked concurrently to facilitate reconciliation against official receipts issued.
5.4.4 The program issues *** number of temporary passports to clients who have urgent travel requirements. Consular staff will need to ensure that a thorough assessment is made in these cases ***.
5.4.5 The program issues letters of non-impediment on behalf of Canadians wishing to get married in Indonesia. The letters often include foreign passport and/or ID numbers of the proposed spouse. Consular staff are not authorized to certify foreign travel or identification documents.
5.4.6 A second *** printer is available as back-up. At the time of the inspection, however, the printer was not operable.
5.5 Recommendations Recommendations to the Mission
5.5.1 Consular hospitality and travel allocations should be reassessed to ensure appropriate coverage and outreach is conducted.
5.5.2 Foreign nationals? ID and passport details should not be included in documents issued by the mission.
5.5.3 The mission should seek to confirm with like-minded missions expectations regarding consular support in times of crisis.
5.5.4 Fee schedules for services provided by *** missions should be reviewed and confirmed.
5.5.5 COMIP statistics should include time spent by non-consular staff.
5.5.6 The Program should limit signing authority for notarial services to the Consular Officer and DMCO and implement a concurrent tracking system to facilitate reconciliation.
5.5.7 Responsibility for the general mailbox should be reviewed.
5.5.9 *** back-up equipment should be tested regularly ***.
Mission Actions and Timeframes
5.5.1 Consular travel allocations were increased in December 2012 using funding from HOM travel budget. The consular section has developed and implemented a comprehensive outreach strategy which includes both consular staff travel and the use of other program travel to maximise contact *** and wardens in the more remote areas of Indonesia. The JKRTA program 2012-13 budget plan submission includes a request for an increased consular travel budget. Implemented.
5.5.2 Foreign nationals' ID and passport details are no longer included in documents issued by the mission. Implemented.
5.5.3 The consular section completed formal outreach with like-minded missions in February 2012 in coordination with CEP and reinforced informal agreements regarding consular support in times of crisis. Strong relationships remain in place and the mission maintains regular communication and contact with key consular officials at friendly missions. Implemented.
5.5.4 Fee schedules have been reviewed and confirmed. Implemented.
5.5.5 The mission DMCO now incorporates time spent by non-consular staff in the entry of COMIP statistics. Implemented.
5.5.6 The Program will implement a tracking system to facilitate reconciliation and the signing authority will be limited to the Consular Officer and DMCO, with the MCO only signing documents when no other signatory is available. In progress for May 31, 2012.
5.5.7 Mission will transfer responsibility for the general mailbox to the receptionist and train the receptionist as an alternate mailbox manager. In progress for May 31, 2012.
5.5.9 The spare printer and other *** equipment are regularly tested to ensure they may be used ***. Implemented.
6.1.1 The Common Services Program is managed by an AS-06 MCO acting in an AS-07 position. She is supported by an AS-05 DMCO Consular/Physical Resources and 20 LES. The MCO and DMCO arrived at the mission four months prior to the inspection visit and have already gained a *** understanding of program operations. Areas for improvement have been identified and a workplan is being developed to achieve these objectives.
|Key Common Services Program Management Criteria||Meets||Needs Improvement||Does Not Meet|
|A Common Services Business Plan is in place and used to establish priorities and guide operations.||X|
|Common Services policies and procedures are documented and communicated to management, staff and clients.||X|
|Internal communications within the Program effectively support program delivery.||X|
6.1.2 The program is *** managed by a *** MCO and DMCO and benefits from experienced and long serving LES. Many of the recommendations identified by the inspection team were already contained in the MCO?s draft workplan. The MCO and DMCO have many good initiatives to further improve operations. It will be important that the workplan identify a reasonable number of priorities and achievable deadlines to ensure success. The plan will help guide staff and will be a useful tool for the HOM and MCO to monitor work.
6.1.3 Documenting policies and procedures is a key area for improvement across all sections, as identified in the draft workplan. These will help to guide staff, manage client expectations and will allow managers to hold staff accountable for delegated responsibilities. A central location for all documents will ensure ease of use, consistency and sustainability over time. In addition, some deficiencies in the physical resources, finance and contracting areas will need to be addressed.
|Key Common Services Client Service Criteria||Meets||Needs Improvement||Does Not Meet|
|Service standards have been established and communicated to clients.||X|
|Services provided reflect fair and equitable allocation and access to common services for all mission programs.||X|
|A mechanism is in place to solicit and receive client feedback, and corrective action is taken when warranted.||X|
|Hub and spoke relationships are governed by an agreement outlining the roles and responsibilities of each mission.||N/A|
6.1.4 Overall, client services were effective. A review of service standards, in consultation with staff, would be beneficial and would assist staff to work more efficiently. Once developed, these service standards should then be communicated to clients.
6.1.5 Informal feedback is sought from clients regarding services. In a mission of this size, however, a formal feedback mechanism would assist in accurately monitoring client satisfaction levels. Use of a suggestion box and/or a yearly questionnaire had already been discussed at a recent mission retreat.
|Key Procurement and Contracting Criteria||Meets||Needs Improvement||Does Not Meet|
|A Contract Review Board (CRB) is in place and operating effectively with terms of reference.||X|
|Procurement and contracting procedures have been documented and communicated to all staff involved in the process.||X|
|Contracting files demonstrate compliance with policies and procedures.||X|
|The mission's multi-year Capital Acquisition Plan is approved by CMM annually.||X|
6.1.6 In general, contracting and procurement processes in the mission need to be tightened and suffer from a lack of formalized structure. The MCO has already taken steps to strengthen these processes. An active CRB is in place and terms of reference are being finalized. The MCO provides guidance to staff in most contracting processes. Contract documents and CRB approvals have recently started to be saved on the shared drive.
6.1.7 Staff involved in the contracting process are knowledgeable but lack documented procedures to guide operations. The MCO has several useful documents in draft form, which, once finalized, will help ensure steps are not missed and documents retained on file are consistent. Information on older contracts was not centrally located and files did not always contain all required documents.
6.1.8 The mission?s annual capital acquisition plan is presented to the CMM for discussion and all sections are consulted. Given current budget constraints, development of a multi-year plan would allow the mission to better plan and address future requirements.
Recommendations to the Mission
6.1.9 Common Services policies and procedures should be documented and communicated to management, staff and clients.
6.1.10 Service standards should be established and communicated to clients.
6.1.11 A formal client feedback mechanism should be implemented.
6.1.12 Improvements to the mission contracting process should continue and include:
- Finalizing the terms of reference.
- Documenting procurement and contracting procedures.
- Ensuring contracting files demonstrate compliance with policies and procedures.
6.1.13 A multi-year capital acquisition plan should be developed.
Mission Actions and Timeframes
6.1.9 Common Service policies and procedures are documented and available to all staff on the mission I drive in a shared Policy folder. Mission Common Service section communicates policy updates to staff both through emails and by recording policy discussions in CMM minutes (circulated to all staff). All major mission Common Service policies will be reviewed, updated and brought to CMM between April and October 2012. A mission Common Service wiki page for communicating and sharing information is under construction with initial launch planned for summer 2012. In progress for October1, 2012.
6.1.10 A full review of mission service standards is underway with a goal of completing the final document by October 2012. Key service standards will be implemented and communicated to clients by July 2012. In progress for October 31, 2012.
6.1.11 Mission will implement a common service feedback organisation mailbox and suggestion box to provide clients with an opportunity to provide comments and other input to the mission MCO and DMCO. In progress for May 31, 2012.
6.1.12 Mission CRB TORs and contracting documents are under review. All mission contracting files demonstrate compliance with procedures and are properly documented on the mission I drive. In progress for June 30, 2012.
6.1.13 A multi-year capital acquisition plan is being developed. HQ should provide a sample format or template to facilitate the implementation of this recommendation for all missions. In progress for July 31, 2012.
6.2 Human Resources
6.2.1 The HR functions at the mission are the responsibility of the MCO who is assisted by an LE-05 HR/administrative assistant. In the past year, the section has processed three staffing and one classification actions.
|Key HR Management Criteria||Meets||Needs Improvement||Does Not Meet|
|A Mission HR plan has been developed and submitted to headquarters.||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|
|A coordinated approach is taken with regards to training and a budget has been established.||X|
|Mechanisms are in place to monitor the completion of employee's performance evaluations.||X|
|Employee and position files are complete, maintained separately and properly secured.||X|
6.2.2 Overall, HR management is effective. A learning committee, comprising members from each program, is developing a mission learning plan to ensure the best use of the training budget. Access to the training section of PMP reports by the HR assistant would further facilitate mission-wide planning.
6.2.3 The HR assistant is taking steps to enhance CBS and LES arrival procedures, including the preparation of an orientation program and incoming checklist. Another project underway is a review of all job descriptions to ensure they are systematically updated.
6.2.4 An active LESMCB is in place which meets with the HOM three times a year with ad hoc meetings held as needed. The inspection team met with LES members of the LESMCB who indicated that the HOM and MCO are open to ideas and suggestions, and action is taken whenever possible. They also raised the following issues:
- The lack of clarity regarding how companies were chosen for use in the salary review ***;
- The need for an urgent review of the medical plan which no longer provides them with sufficient coverage;
- The inconsistent application of mission policies depending on the approving manager i.e. overtime approvals and use of official vehicles to go to the airport; and,
- Questions regarding the levels of some of the GS positions.
|Key HR Internal Control Criteria||Meets||Needs Improvement||Does Not Meet|
|Staffing actions are conducted in-line with the Locally-Engaged Staff and HQ Workforce Programs Bureau (ALD) guidelines. Written records supporting the process are maintained and contain required documents and approvals.||X|
|Letters of Offer are signed by the appropriate authority and include the appropriate clauses (e.g. values and ethics, etc.).||X|
|LES accrued leave and deductions are recorded and the related liabilities are monitored.||X|
6.2.5 Overall, HR processes and internal controls were in place. Overtime and attendance reports are sent to PMs on a quarterly basis. In addition, the mission is investigating methods to modernize the way information on accrued leave and deductions are recorded.
6.2.6 There has been recent improvement in processes for job competitions. In the past documentation held on file was not complete and could not always be located. A central email box with restricted access is now used for the receipt of applications, and the ALD checklist is being used to ensure files are complete.
Recommendations to the Mission
6.2.7 Arrival procedures for new LES and CBS should be strengthened to ensure all information is covered in a systematic manner.
Mission Actions and Timeframes
6.2.7 Incoming and outgoing LES and CBS documents are being developed and will be implemented for consistent use by mission HR staff. In progress for June 30, 2012.
6.3 Physical Resources
6.3.1 The physical resources functions at the mission are the responsibility of the MCO, with daily management falling to the DMCO. The local staffing complement consists of an LE-07 property manager, an LE-05 material assistant, an LE-05 dispatcher, seven drivers, one messenger and two cleaners. The two mission-owned recreational bungalows are staffed by a gardener and a maid.
6.3.2 The real estate portfolio is 100 percent leased. The chancery, located in a high-rise office tower, offers an above-par space configuration, with room for expected growth. The official residence, a standalone house, is well designed for official representation. The staff quarter distribution, comprising 19 properties, features both stand-alone houses and apartments in condominium complexes. The latter are increasingly preferred due to simpler maintenance, better access-control, good standards and proximity to amenities.
|Key Physical Resources Management Criteria||Meets||Needs Improvement||Does Not Meet|
|Mission property and maintenance plans are up to date.||X|
|The Chancery and Official Residence (OR) are well maintained and maintenance schedules are in place.||X|
|An efficient process is in place for receiving, processing and monitoring work orders.||X|
|Annual inspections are conducted to assess the state of SQs and input into maintenance and acquisition planning.||X|
6.3.3 The physical resources section functions in a challenging operational context, characterized by ***, constant traffic congestion, a harsh climate and a competitive real estate market. The DMCO provides ***leadership in dealing with these challenges. His efforts, *** are appreciated by his staff.
6.3.4 The absence of documented procedures and reliance on key LES presents a challenge to the section. A recent example is the ***. This situation has contributed to some of the shortcomings identified in the section.
6.3.5 The DMCO has already started to meet with management companies to establish himself as the mission representative which will be important during lease negotiations. In the past, the property manager was the primary mission contact and negotiator.
6.3.6 While an electronic work request system is in place, it is not used consistently by clients. This reduces the section?s ability to monitor and follow-up requests and increases the risk that requests will be forgotten and not actioned.
6.3.7 Non-urgent requests are known to take up time and resources outside regular office hours, due to loosely defined and enforced service standards. The property manager regularly receives calls from clients on the weekends and evenings.
6.3.8 The mission owns and manages two recreational bungalows approximately 100 km from Jakarta to provide CBS relief from the pollution and congestion of Jakarta. The following issues/concerns were raised:
- Are they justified given the increase in local tourism infrastructure?
- Is the cost charged according to HQ guidelines?
- Does staffing the bungalows with two LES continue to be necessary?
|Key Physical Resources 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 are signed.||X|
|Records of assets located in the Chancery, OR and SQs, as well as those in storage, are maintained on an ongoing basis and verified annually. Assets are appropriately safeguarded and controlled.||X|
|Disposals are appropriately authorized and follow departmental guidelines.||X|
|Vehicle logs and mileage are verified monthly by a CBS to reconcile usage to gas purchases as well as monitor vehicle performance.||X|
6.3.9 SQ inventories were incomplete and items were often added or removed from SQs without any tracking. In addition, inventories are not verified with the occupant on departure leading to unresolved questions about missing items this past relocation season.
6.3.10 ***. The inventory is maintained ***. *** is also responsible for movement and delivery of items. The stock is identified using photos taken *** and sent to the mission. Mission staff have not visited ***. There is no real sense *** the condition of the items. Given that large appliances are now available on the local market and furniture reupholstering is inexpensive, the need to hold a large number of items in stock should be assessed.
6.3.11 Annual SQ inspections are not conducted to monitor maintenance and capital acquisition needs nor are SQs which are turning over visited by a CBS during relocation to assess the condition of the SQ and furnishings. Currently, the section relies on the occupant to provide a list of improvements during the posting and on relocation.
6.3.12 Vehicle maintenance and fuel logs are satisfactory. However, fuel for the generators is not adequately documented or reconciled with electricity consumption.
Recommendations to the Mission
6.3.13 The electronic work request system should be used consistently.
6.3.14 Management of the *** to consider continuing needs, cost charged ***.
6.3.15 All inventories should be complete and kept up to date.
6.3.16 Control and oversight *** should be tightened and the quantity of items held in stock reassessed.
6.3.17 Annual SQ inspections should be conducted and a CBS should visit SQs during relocation.
6.3.18 The fuel consumption of the SQ and OR generators should be regularly monitored.
Mission Actions and Timeframes
6.3.13 The electronic work request system is consistently used by all mission staff to make property and material-related requests. Implemented.
6.3.14 The mission in coordination with the Client Relations and Missions Operations Bureau (AFD) ***. In progress for June 30, 2013.
6.3.15 Mission inventories are up to date with the exception of staff departing summer 2012. Inventories will be completed for those staff as part of their departure process. In progress for June 30, 2012.
6.3.16 A disposal sale was carried out in February 2012 and the *** contains only a small number of surplus items. Asset and inventories are tracked by the mission. Implemented.
6.3.17 All SQ inspections will be completed and up to date by the end of the summer relocation season. A CBS will visit each SQ during relocation. In progress for August 31, 2012.
6.3.18 A fuel inventory system is being implemented and checks will be carried out every two months during DMCO regular meetings with OR staff. In progress for June 31, 2012.
6.4.1 The Finance Section is managed by the MCO, with daily operations under the responsibility of the LE-07 accountant who is assisted by an LE-05 assistant accountant. Both accountants have *** received training in Canada.
|Key Finance Management Criteria||Meets||Needs Improvement||Does Not Meet|
|Roles and responsibilities ensure adequate segregation of duties.||X|
|The section employs methods to minimize disruption (e.g. setting of "quiet hours" and controlling access to the finance section).||X|
|The section has explored alternate methods to minimize transactions and reduce reliance on cash (i.e. acquisition cards, electronic fund transfers).||X|
|Payment runs are kept to a minimum, but are sufficient to provide good client service.||X|
6.4.2 The section is managed by an MCO***.
6.4.3 The MCO has not yet established a direct line of communication with the management of the bank used by the mission. As the financial institution is located *** an early courtesy call is warranted. Currently, the bank?s first point of contact at the mission is the *** who is called upon to confirm transactions. Discussions with the bank will also be a good opportunity to review the banking agreement which is out-dated, having been signed in 1990.
6.4.4 Efficiencies could be gained for the section by:
- Communicating and enforcing quiet hours to provide the accountants with an uninterrupted period of time when they can focus on their work;
- Greater use of electronic fund transfers to reduce the section?s workload; and,
- Use of acquisition cards to reduce the number of transactions.
6.4.5 Weekly meetings are held for planning and to address existing issues. Staff work closely with the International Finance Section (SMFF), and communications occur several times a month.
|Key Finance Internal Control Criteria||Meets||Needs Improvement||Does Not Meet|
|The mission's bank reconciliations are reviewed and signed-off on a monthly basis.||X|
|The asset and liability report is reviewed on a monthly basis.||X|
|Financial signing authorities are exercised by individuals who possess the appropriate delegation of authority.||X|
|A CBS 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 the 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|
|Travel and hospitality claim processes ensure that policies and guidelines are adhered to and that the accountant verifies the completeness and accuracy of the claim.||X|
|Reimbursement of HonCon operational expenses is based on an established agreement.||N/A|
|A percentage of costs for personal use of OR supplies is determined and regular reimbursements are made to the Mission.||X|
|A process is in place to ensure that, where applicable, CBS reimburse the mission for any services of a personal nature received at their staff quarters (e.g. television, internet, telephone, etc.).||X|
6.4.6 The majority of internal control mechanisms assessed were in place. Further improvements are required to provide the MCO with better oversight and monitoring.
6.4.7 While the asset and liability report is reviewed on an ad hoc basis, ***.
6.4.8 The bank accounts are available on the internet and *** reviews bank account transactions regularly in this manner. The MCO does not currently have this access which would provide her with improved monitoring capabilities.
6.4.9 Three utility bills (electricity, telephone and water) are paid monthly by direct ***. Invoices are only received post-payment. This is a cumbersome process which could be improved by using EFTs.
Recommendations to the Mission
6.4.11 The MCO should establish as the official mission contact with the bank?s management
6.4.12 The agreement with the bank should be updated.
6.4.13 Quiet hours should be enforced.
6.4.14 Use of electronic fund transfers and acquisition cards should be increased.
6.4.15 The asset and liability report should be accessed and reviewed by the MCO monthly.
6.4.16 EFT payment options should be pursued for utilities payments rather than direct debit.
6.4.17 *** should be limited to one employee.
Mission Actions and Timeframes
6.4.11 The MCO has been established as the official mission contact with the bank's management. Implemented.
6.4.12 The MCO met with the bank in January 2012 and is working with the bank management to update the agreement. In progress for August 31, 2012.
6.4.13 Quiet hours are now enforced and staff are reminded of their obligations to respect quiet hours. Implemented.
6.4.14 Mission is working with SMFF and the local bank to introduce the use of EFTs. Hard copy fund transfers are used wherever possible in lieu of cheques. Mission is expanding use of acquisition cards. In progress for January 2013.
6.4.15 The MCO now runs and reviews the asset and liability report on a monthly basis. Implemented.
6.4.16 See 6.4.14. In progress for January 2013.
6.4.17 The mission has *** to one employee ***. Implemented.
6.5 Information Management - Information Technology (IM-IT)
6.5.1 The IM-IT Section is the responsibility of the MCO, supported by an LE-08 and an LE-07 Locally Engaged Information Technology Professional (LEITP). The section provides services to 55 employees in Jakarta and receives support from a regional Foreign Service Information Technology Professional (FSITP) based in Kuala Lumpur. The Client Support Regional Manager (CSRM) for Southeast Asia is stationed in Singapore.
|Key IM-IT Management Criteria||Meets||Needs Improvement||Does Not Meet|
|An Information Management - Information Technology (IM-IT) plan exists and includes regional activities.||X|
|The liaison between the mission, HQ and regional manager is effective.||X|
|The mission uses the required IM-IT service request system and maintains relevant data.||X|
6.5.2 The section is functioning well and roles and responsibilities are clearly defined. Weekly meetings take place between the MCO and LEITPs. The section does not have an IM-IT business plan but a draft plan is currently being discussed.
6.5.3 There is good communication between the section and HQ despite the challenges posed by a 12 hour time difference. There are regular communications between the CSRM and LEITPs. The CSRM is on call and available at any time.
6.5.4 Clients interviewed confirm that the section provides a high level of service. The LEITPs regularly monitor remedy tickets to ensure issues are resolved in a timely manner. However, requests are often made using informal channels and remedy tickets are not always created for minor requests. This increases the risk that requests will be not be actioned on a timely basis and does not allow for monitoring of the section?s workload.
|Key IM-IT Internal Control Criteria||Meets||Needs Improvement||Does Not Meet|
|Back-ups are performed routinely and tapes are stored appropriately in a secure location away from the primary use area.||X|
|The Mission has appropriate secondary communications systems in place and those tools are tested regularly.||X|
|Controls are in place to ensure the Network Acceptable Use Policy (NAUP) is respected (SIGNET and digital subscriber line (DSL) connections).||X|
|Employees formally sign out IT assets (mobility tools) and are advised of their accountabilities.||X|
|Surplus IT assets are disposed with the appropriate approvals per departmental policy.||X|
6.5.5 Overall, IM-IT processes and procedures are effective, with minor improvements required pertaining to distribution of *** phones and storage of surplus equipment.
6.5.6 Surplus IT equipment is currently stored ***.
6.5.8 System back-ups are performed regularly and the tapes are appropriately stored.
6.5.9 DISA tokens, Blackberries, laptops and projectors are formally signed out by users. The sign out sheet informs users of their accountability.
Recommendations to the Mission
6.5.10 The section should develop an IM-IT plan.
6.5.11 *** should be distributed to different locations ***.
6.5.12 *** should be appropriately safeguarded.
Mission Actions and Timeframes
6.5.10 An IM-IT plan has been developed and CMM approved. Implemented.
6.5.11 Implemented. Refer to *** section of report for details.
6.5.12 *** is now stored in locked offices at all times. Implemented.
Appendix A: Mission Resources Fact Sheet
|Head of Mission||9||2||7|
Appendix B: Frequently Used Acronyms
- Canada-based Staff
- Commercial Economic
- Committee on Mission Management
- Consular Management Information Program
- Contingency Plan
- Contract Review Board
- Client Service Fund
- Electronic Funds Transfer
- Deputy Management Consular Officer
- Foreign Policy and Diplomacy Service
- Foreign Service Information Technology Professional
- Full Time Equivalent
- Fiscal Year
- Global Commerce Strategy
- Global Value Chains
- Head of Mission
- Honorary Consul
- Human Resources
- High Security Zone
- Information Communication Technologies
- Information Management - Information Technology
- Integrated Management System
- Locally Engaged Information Technology Professional
- Locally Engaged Staff
- LES Management Consultation Board
- Management Consular Officer
- Mission Emergency Plan
- Mission Financial Officer
- MM Module
- Materiel Management Module of IMS
- Mission Maintenance Work Plan
- Memorandum of Understanding
- Mission Security Officer
- Mission Property Management Plan
- North American Platform Program
- Official Residence
- Operations Zone
- Post Initiative Fund
- Program Manager
- Performance Management Agreement
- Human Resources - Performance Management Program
- Consular - Passport Management Program
- Physical Resources Information - Mission Environment
- Registration of Canadians Abroad
- Science and Technology
- Senior Trade Commissioner
- Staff Quarter
- Security Zone
- Trade Commissioner
- Trade Commissioner Assistant
- Trade Commissioner Service
- The TCS? Client Relationship Management System
- Office of the Inspector General
- Inspection Division
- Date Modified: