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Inspection of the High Commission of Canada to Tanzania Including the Office of the High Commission of Canada in Lusaka, Zambia
November 29 – December 7, 2012
- Inspection Scope and Objectives
- Executive Summary
- 1. Mission Management
- 2. Foreign Policy and Diplomacy Service (FPDS)
- 3. Commerical Economic (CE)
- 4. Consular
- 5. Common Services
- 6. The Office of the High Commission of Canada in Lusaka, Zambia
- Appendix A: Dar es Salaam 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, 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 Tanzania and Zambia from November 29 to December 7, 2012. The inspection covered the High Commission of Canada to Tanzania in Dar es Salaam and the Office of the High Commission of Canada in Lusaka, Zambia. The mission in Tanzania is responsible for the office in Zambia and also delivers programs for Comoros and Seychelles. A previous audit/inspection of these programs took place in 2005.
Canada has a longstanding bilateral relationship with Tanzania, centered on development assistance and international cooperation as members of the United Nations and the Commonwealth. Tanzania remains a main recipient of Canadian development assistance. More recently, the bilateral relationship has shifted towards trade with mining and other emerging sectors becoming areas of focus. In November 2012, Canada and Tanzania concluded a Foreign Investment Promotion and Protection Agreement (FIPA), the first for Canada with a sub-Saharan African country.
The High Commission is managed by a recently arrived HOM who is responsible for overall program delivery in Tanzania, Zambia, Comoros and Seychelles. The High Commission’s responsibility towards the office in Lusaka is detailed in a memorandum of understanding (MOU) that outlines reporting relationships, roles and responsibilities. More direct responsibility is expected to be required from the High Commission in Dar es Salaam ***.
The FPDS program in Dar es Salaam is managed by a FS-03 officer who is the only dedicated resource. The program is functioning well with activities and initiatives in line with Mission Planning Reporting (MPR) tool objectives. However, with only one full time resource, the program is stretched to cover all accredited territories to the extent identified in the MPR commitments. ***.
The CE program functions well. There is a hub and spoke relationship between Dar es Salaam’s CE program and Nairobi. The Senior Trade Commissioner (STC) in Nairobi is responsible for regional trade programs, and regional trade development and activities. The program receives instructions from the HOM, FPDS PM and the STC. While staff appreciate the involvement and support of all three managers, it was not always clear whom to approach in given situations, and who has overall responsibility for the program and their performance. The LES Trade Commissioner (TC) in Lusaka, in addition to reporting to the HOM in Dar es Salaam, receives direction and guidance from the STC based in Nairobi. Planning and activities are coordinated on a regional basis by the STC.
The Consular program is *** managed by the MCO and benefits from efficient teamwork. Communication is effective on a reactive working level and the Deputy Management Consular Officer (DMCO) is directly involved in the program’s case management activities. Challenges include the replacement ***, updating Mission Emergency Plans for countries of accreditations, increasing its wardens’ network and the development of a communication strategy with registered Canadians.
The Common Services program is managed by experienced staff. The MCO and DMCO have been at the mission since summer 2011 and provide quality services to clients in a difficult environment. The mission was scheduled to be***. Following a reassessment of time-lines and missions’ preparedness, a decision was taken to***. The program is in the process of managing ***, in the Property and Finance sections, and has prepared a detailed hiring process and a clear schedule to ensure continuity of operations.
Canada has reduced its presence in Zambia taking into consideration ***.
A total of 78 inspection recommendations are raised in the report, 75 are addressed to the mission and three are addressed to headquarters. Management has responded to each recommendation indicating action already taken or decisions made, as well as future action. Of the 78 recommendations, management has stated that 32 have been implemented. For each of the remaining 46 recommendations, management has indicated the initiatives in progress or the intended future action.
1.1.1 The High Commission of Canada to Tanzania in Dar es Salaam is a medium-sized mission with 13 Canada-based Staff (CBS) and 27 locally engaged staff (LES). It is responsible for departmental program delivery in Tanzania, Zambia, Comoros and Seychelles. The mission is responsible for the Office of the High Commission in Lusaka which has two CBS and eight LES. A memorandum of understanding (MOU) is in place that outlines reporting relationships, roles and responsibilities. The Canadian International Development Agency (CIDA) CBS reports to the CIDA program manager in Dar es Salaam and the MCO factually reports to the HOM although the MOU between LSAKA and DSLAM shows the MCO in LSAKA reporting to the MCO in DSLAM. The Commercial Economic (CE) Program Manager for both Tanzania and Zambia is based in Nairobi. Citizenship and Immigration Canada (CIC) serves Tanzania from Nairobi as well.
1.1.2 The mission is managed by an EX-01 HOM (acting in an EX-02 position) who is responsible for overall mission operations and oversees the operational and capital budgets of $1.04 million and $40,000 respectively for Tanzania and $144,700 and $18,000 for Zambia. The mission manages a property portfolio in Tanzania that includes a chancery, an official residence, five Crown-owned and six Crown-leased staff quarters, and in Zambia, a Crown-owned chancery and two Crown-owned SQs.
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|
|Mission management ensures that employees remain informed of key priorities and common services policy decisions.||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 dialogue.||X|
|Mission committees are meeting regularly and effectively discharging their governance responsibilities.||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 Management and communications in the mission are effective. The recently arrived HOM inherited the existing management framework which is based on sound principles. The mission’s strategic objectives are reflected in the Mission Planning and Reporting (MPR) tool which was developed with input from all programs. These objectives are consistent with departmental priorities and are used to guide mission operations. The CMM is used effectively as a forum to discuss issues and share information on a weekly basis with inclusion of all CBS once per month. The HOM meets weekly with each program manager and program staff meetings are used to further disseminate information.
1.2.2 The mission has an effective committee system in place with representation and participation from all programs and includes CBS and LES members. In addition to the CMM, these committees include the Contract Review Board (CRB), Locally Engaged Staff Management Consultation Board (LESMCB), Housing, Occupational Health and Safety, Security, and Environmental committees.
1.2.3 The mission’s LESMCB became operational in 2012 and the new HOM and MCO plan to meet with LES representatives on a regular basis to discuss managerial issues of mutual concern.
1.2.4 Values and ethics form part of the mid-year and year-end appraisal discussions with staff. In 2011, the HOM gave a presentation to all staff on values and ethics issues.
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 A whole of government approach is incorporated into the MPR planning process and through weekly CMM discussions. The HOM participates with the CIDA program manager in high level meetings with Tanzanian government officials and other interlocutors. There is ongoing collaboration between CIDA and the CE program on areas of mutual interest. The Foreign Policy and Diplomacy Services (FPDS) Program Manager attends the weekly CIDA staff meetings and joins the HOM in regular reviews of CE program activities. Mission reports on key issues are sent to both CIDA and DFAIT HQs, and are shared with other missions as appropriate.
1.4 Emergency Preparedness
|Key Emergency Preparedness Criteria||Meets||Needs Improvement||Does Not Meet|
|The mission emergency plan (MEP) is up to date.||X|
|An emergency response team (ERT) has been identified and members are aware of their roles and responsibilities.||X|
|The MEP is tested regularly through the conduct of exercises and simulations.||X|
|The mission has identified an alternate command post (ACP) and the appropriate secondary communications systems are in place and tested regularly.||X|
|Consultation occurs with like-minded and neighbouring Canadian missions regarding emergency planning.||X|
1.4.1 The mission security committee consists of all members of the CMM and includes the Deputy Mission Security Officer (DMSO). Committee meetings are not held regularly but on an as-required basis. Regularly scheduled meetings could be established to allow the committee to discuss emergency planning and assess current and future security issues.
1.4.2 The MEP was tested through a table-top exercise in the summer of 2012 while the regional emergency management officer (REMO) from Ankara was in Dar es Salaam. The mission has *** since the arrival, in summer 2011, of the current Mission Security Officer (MSO). Activities of this nature could be included in a security workplan or identified as part of the MEP.
1.4.3 ***. The issue was raised with the Military Police Security Specialist (MPSS)/Nairobi. ***.
1.4.4 The MSO is well connected and has established regular contact with his like-minded *** counterparts from the UK, Germany, US, Finland, Sweden and Switzerland.
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 Overall, the mission respects the Official Languages Act and promotes the use of both official languages. Signage within the mission is posted in both languages. The mission is well served by a receptionist capable of speaking both French and English.
1.5.2 Within the consular program ***, and other CBS are capable of providing services to clients in both official languages ***. The anticipated normal turnover of CBS providing services to Canadians, coupled with the *** will require management’s attention to ensure continued capacity of the Consular program to serve clients in both official languages. Given the rotational nature of the MCO positions, there is a need to ensure that ***.
1.6 Management Controls
|Key Management Control Criteria||Meets||Needs Improvement||Does Not Meet|
|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|
|A coordinated approach is taken with regards to training and a budget has been established.||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|
|Mechanisms are in place to monitor the completion of employee's performance evaluations.||X|
|The Honorary Consul (HonCon) has an up-to-date mandate letter and performance is reviewed annually.||N/A|
1.6.1 The MCO, who is also the Mission Security Officer (MSO), has ***, partially due to the workload. *** should be *** communicated with staff and ***.
1.6.2 The previous year’s HR Plan is used as the basis to plan training needs and resources are allocated on that basis. The level of coordination between PMs depends on each PM. While staff are encouraged to provide input, little has been received in terms of requests. A more cohesive approach at a mission level is required to identify training needs more effectively.
1.6.3 At the time of the inspection, bank reconciliations going back several months were outstanding although they had been prepared by the accountant. The MCO is *** in scrutinizing the bank reconciliations and performs a challenge function before providing them to the HOM for review and approval. The delay is in part due to the MCO’s workload.
1.6.4 While the value of employee performance evaluations are understood by mission management, a number of employees across the mission had not completed their evaluations at the time of the inspection. In many cases, employees did not have the opportunity to discuss expectations and objectives with their managers. No tracking is maintained to ensure that this annual exercise is completed. The mission’s overall HR management would benefit from the tracking and follow-up by the HR section to ensure supervisors and program managers are aware of their roles.
Recommendations to the Mission
1.7.1 The mission security committee should meet based on an established schedule to assess security issues and manage emergency planning.
1.7.2 The mission should allocate more time to the development and review of *** policies and ensure they are communicated to staff.
1.7.3 The consular HR strategy should ensure sufficient language capacity to serve clients in both official languages.
1.7.4 The mission should develop a mission-wide training plan coordinated among programs.
1.7.5 The mission should ensure bank reconciliations are completed in a timely manner and sent to HQ as per policy.
1.7.6 The mission should put in place measures to coordinate and ensure the completion of employees’ performance evaluations.
Mission Actions and Timeframes
1.7.1 A monthly scheduled meeting has been put in place in individual calendars of committee members. The mission security committee will meet according to this newly implemented schedule. Implemented February 2013.
1.7.2 The mission is working towards this recommendation and is working with HQ towards getting additional resources in the coming month to cope with the *** workload at the mission. In Progress October 2013.
1.7.3 The mission has started to work with current staff (including newly-hired LES) involved in the delivery of the Consular program to improve the capacity in both official languages and to ensure that all clients will be served in the official language of their choice. In Progress September 2013.
1.7.4 The mission is planning to work on the development of such a plan following the summer rotation season and the arrival of new CBS supervisors and program managers. In Progress November 2013.
1.7.5 The mission has almost fully addressed the backlog of bank reconciliations prior to the transition to the new finance model with the CSDP. In Progress October 2013.
1.7.6 Management has held several discussions on this matter. PMPs have been discussed at several CMM meetings. Measures have been put in place to coordinate and ensure the completion of PMPs in a systematic manner. Implemented May 2013.
Foreign Policy and Diplomacy Service (FPDS)
2.1.1 The FPDS program is managed by a FS-03 officer who is the only dedicated resource. The program budget is provided below. Travel and overtime budgets for the program have not been allocated. The amounts indicated are notional as travel, hospitality and operations budgets are managed centrally and can be reallocated by the HOM.
|Travel (Not allocated)||15,000|
|Hospitality (Not allocated)||4,500|
|Overtime (Not allocated)||13,500|
|Post Initiative Fund||3,000|
2.1.2 The program has a heavy workload that includes bilateral relations with Tanzania, Zambia, Comoros and Seychelles. Tanzania is one of Canada’s *** partners in Africa ***. It has been constructive in advancing peace and security in Africa and is a model for its political, religious and ethnic tolerance.
2.1.3 The program is responsible for coordinating input from all programs for the Mission Planning Reporting document (MPR). The input is used to develop and draft MPR commitments in the light of the department’s Program Activity Architecture (PAA), the local context and other department directives and guidelines.
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|
|Internal communications within the program effectively support program delivery.||X|
2.2.1 The FPDS program is functioning well with activities and initiatives in line with MPR objectives. With only one full time resource, the program is stretched to cover all accredited territories to the extent identified in the MPR commitments. For the time being, the program cannot realistically achieve all set objectives.***. This will provide options for the program in terms of increased capacity in Zambia by having the ***. The program has no assigned administrative support, however some assistance is provided by the Trade Commissioner Assistant (TCA). The TCA also coordinates and administers the Military Training and Cooperation Program. The mission, in consultation with HQ, should identify potential options to increase administrative support for the FPDS program. ***.
2.2.2 Historically, the FPDS Program Manager (PM) has been assigned responsibility for the day-to-day supervision of the three Commercial Economic (CE) program staff since the mission does not have a resident CE CBS manager. Under the current arrangement, the FPDS Program Manager also provides some guidance on political/economic issues, and works closely with the section on issues of mutual interest. This responsibility is reflected on the mission’s organizational chart as a direct reporting relationship. The former HOM was fulfilling the role of day-to-day operations manager for the CE staff although this role is currently being fulfilled by the FPDS Program Manager. The Senior Trade Commissioner (STC) in Nairobi provides functional guidance, and coordinates planning and regional activity.
2.2.3 The program provides assistance to the CE and CIDA programs in coordinating and promoting joint public diplomacy and whole-of-government initiatives. The PM attends the weekly CIDA staff meetings to keep informed of CIDA programing and issues, and to share information with the team. HOM activities are well integrated with FPDS program plans as evidenced by effective communications, teamwork and mutual support.
2.2.4 To improve consistency and provide a base for monitoring and review, a workplan for the program should be developed and formalized. This workplan would serve to operationalize objectives by articulating strategies, activities, expected results, outputs and performance indicators, as well as demonstrating areas for collaboration and the application of modern advocacy principles.
|Key FPDS Implementation Criteria||Meets||Needs Improvement||Does Not Meet|
|The program facilitates a mission-wide coordinated approach to advocacy and common messaging.||X|
|Program reporting is in-line with mission and government objectives, timely and relevant.||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|
|Relations with other mission programs facilitate program delivery (e.g. public affairs).||X|
|The program develops and maintains a contact base that meets programs needs and objectives.||X|
2.3.1 The program is actively involved in mission management and liaises with other programs to coordinate a mission-wide effort for planned advocacy and common messaging. The program’s objectives and activities are based on larger government objectives and policies and are aligned to the New Way Forward initiative.
2.3.2 The FPDS PM maintains a valued contact base allowing for effective program delivery and access to key contacts to advance the mission’s objectives.
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 In the light of FPDS workload and competing priorities, it would be useful for the program to develop and formalize a public diplomacy (PD) strategy for the mission that will more precisely translate and itemize specific strategies and activities related to MPR commitments. The PD strategy would be reviewed and approved by the CMM and would form the basis for FPDS plans, identifying related activities and events, required resources, timelines, outputs and expected results. The plan would provide an operational tool to schedule, monitor and track activities and would facilitate prioritizing of conflicting demands and highlight ongoing resource requirements. Once implemented it can be used to capture outputs and related results in order to assess success and adjust programing accordingly.
Recommendations to the Mission
2.5.1 The mission, in consultation with HQ, should develop options for resourcing administrative support for the FPDS program.
2.5.2 The program should develop a workplan documenting proposed activities related to the MPR and PD strategies.
2.5.3 The program’s workplan should include targets and performance indicators.
Mission Actions and Timeframes
2.5.1 ***. Emergency LES contracting can also be considered for heavy work periods. In Progress for September 2013.
2.5.2 The program is working on developing the workplan. With the MPR for 2013-14 to be finalized by 15 May 2013. PD Strategy is currently being developed. Broad outline, including targets and performance indicators, for a workplan to be completed by 30 June 2013. *** will add detail to and finalize workplan. In Progress for October 2013.
2.5.3 Broad outline, including targets and performance indicators, for a workplan to be completed by 30 June 2013. *** will add detail to and finalize the workplan. In Progress for October 2013.
Commercial Economic (CE)
3.1.1 The CE program in Dar es Salaam reports to the FPDS program manager and has three staff consisting of an LE-09 Trade Commissioner (TC), an LE-08 TC and an LE-05 Trade Commissioner Assistant (TCA). An LE-09 TC in Lusaka, in addition to reporting to the HOM in Dar Es Salaam, receives direction and guidance from the Senior Trade Commissioner (STC) based in Nairobi.
3.1.2 The STC based in Nairobi oversees and manages the regional trade activities in Dar es Salaam, Addis Ababa and Lusaka. The program’s financial resources are provided below. The amounts indicated are notional as travel, hospitality and operations budgets are managed centrally and can be reallocated by the HOM program.
|Operations (Not allocated)||1,000|
|Travel (Not allocated)||11,000|
|Hospitality (Not allocated)||4,700|
|Client Service Fund (CSF)||3,000|
3.1.3 Canada’s long-standing trade relationship with Tanzania is centered on the mining sector with increasing focus on related service sectors including engineering, infrastructure and other consultative services in November 2012. Canada and Tanzania concluded a Foreign Investment Promotion and Protection Agreement (FIPA), the first with a sub-Saharan country.
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|
|Internal program communication effectively supports program delivery.||X|
3.2.1 The Commercial Economic Business Plan is developed in close collaboration with partner missions in eastern Africa under the leadership of the regional STC in Nairobi. A regional approach is applied to identifying and developing sectors and planning initiatives. An annual regional retreat is held where plans and initiatives are reviewed and discussed. This allows missions to further strengthen their plans and ensures a coordinated approach.
3.2.2 Although the program staff report to the FPDS program manager, the previous HOM was involved in providing operational direction, holding regular meetings with staff, and participating in trade activities and events. The STC in Nairobi directs the annual planning process, provides additional guidance and advice when requested, and visits the mission several times a year often in conjunction with important events. Monthly conference calls are held with the STC, regional trade officers and the Geographic desk officer.
3.2.3 While the CE staff appreciates the involvement and support of the HOM, STC and FPDS program manager, it was not always clear whom to approach in given situations, and who had overall responsibility for the program and their performance. Management roles should be defined and communicated to staff. Blurred internal communication lines and the involvement of multiple managers make it more difficult to identify efficient, clear targets and monitor them. Clarity is required to ensure day-to-day supervision and support of the trade program.
3.2.4 *** would help ensure that CE program efforts are relevant while the HOM’s input can facilitate the leveraging of resources between the FPDS and CE programs and integration with other mission activities.
|Key CE Implementation Criteria||Meets||Needs Improvement||Does Not Meet|
|Business plan objectives and those outlined in management’s Performance Management Agreement (PMAs) / Performance Management Program (PMPs) appropriately cascade down into staff PMPs.||X|
|Activities and initiatives are aligned with the mission's key priorities.||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.||N/A|
3.3.1 More oversight and direction is required regarding the status and update of business plan activities. TRIO tracking and the analysis of operational performance based on dashboard information needs more attention.
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 In determining the future management of the CE program, consideration should be given to allocating more direct responsibility to the STC including more frequent visits and formal teleconferences with the Dar es Salaam staff (weekly). Alternatively, direct supervision in Dar es Salaam can continue to be provided by the FPDS program manager or the HOM. These local alternatives may require more time than either of these individuals can provide. Ideally, the supervisor would have a trade background and experience. Regardless of the accountability structure, a hub and spoke memorandum of understanding (MOU) that outlines the STC’s role should be developed with consultation and input from HQ.
3.4.2 The TCA provides support to the FPDS program in addition to her CE duties. Up to 30% of her time is spent assisting the DND’s Military Training and Cooperation Program in Tanzania and 20% of her time is spent on the FPDS program and logistical support. These roles should be agreed to, formalized and tasking related to these activities copied to her supervisor.
3.4.3 More attention needs to be given to training requirements. *** staff could benefit from refresher training based on the established trade commissioner curriculum.
3.4.4 Travel and hospitality budgets are not delegated to the program to empower staff and to allow improved scheduling of events and activities. As well, other support tools have not been considered such as increasing the cellular phone budget and providing BlackBerries to officers.
Recommendations to the Mission
3.5.1 The mission should clarify roles and responsibilities for the CE Program in consultation with HQ.
3.5.2 A formal hub and spoke MOU should be developed regarding the regional STC’s responsibilities.
3.5.3 The TCA’s role in support of FPDS and DND’s Military Training and Cooperation Programs should be formalized.
3.5.4 Training should be provided for the trade staff based on a needs assessment.
3.5.5 Travel and hospitality budgets should be formally allocated to the program.
3.5.6 Consideration should be given to providing staff with mobility tools.
Mission Actions and Timeframes
3.5.1 Discussions have begun and will be completed once the new FPDS officer and STC arrive at post this summer. In Progress for October 2013.
3.5.2 Discussions have begun with existing STC, and will be pursued upon the arrival of his successor this summer to have a formal MOU detailing the regional STC's responsibilities. In Progress for October 2013.
3.5.3 This will be done as part of 3.5.1 and 3.5.2 above as the MOU being drafted is expected to address and spell out the details regarding TCA role support. In Progress for October 2013.
3.5.4 Training plans are being included as part of the LES's PMPs after which training needs will be identified. In Progress for July 2013.
3.5.5 Travel and hospitality budgets have been reviewed and formally allocated to the program. Implemented March 2013.
3.5.6 Business cases have been developed and are being considered to determine the needs in terms of mobility tools for the program's staff. Implemented May 2013.
4.1.1 The Consular program is managed by the AS-06 Management Consular Officer (MCO) with day-to-day operations undertaken by the AS-04 Deputy Management Consular Officer (DMCO) and an LE-06 Consular Officer. The program is also responsible for Comoros and Seychelles. The program’s financial resources are provided below.
4.1.2 The mission provides approximately 200 passport services and processes approximately 15 citizenship applications and 20 notarial requests yearly. There are 522 Canadian citizens identified in the Registration of Canadians Abroad (ROCA) database for Tanzania and 10 each for Comoros and Seychelles. The estimated number of Canadians residing in Tanzania is 1,500. No estimate is available for Comoros and Seychelles.
4.2 Planning and 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|
4.2.1 Overall the program is *** managed and benefits from efficient teamwork. Communication is effective on a reactive working level and the MCO and DMCO are directly involved in the program’s case management activities. Regular staff meetings do not take place and are replaced by ad hoc meetings and written communications to discuss the approach to different cases. As the ad hoc meetings focus primarily on specific cases, formal meetings would allow the program to concentrate on forward planning activities such as outreach in regions where Canadians frequently travel. This would facilitate the program’s ability to address situations by strengthening the program’s local contacts and knowledge of the environment outside the capital. The MCO has meetings with like-minded missions regularly and has established local contacts in Dar es Salaam.
4.2.2 The program’s various plans such as the Mission Emergency Plan (MEP) and the Duty Officer Manual are up-to-date for Tanzania but have yet to be completed for Comoros and Seychelles.
4.2.3 Although consular work is reactive to a large degree, staff workplans should be in place to ensure the scheduling of responsibilities such as updates of key documents and program activities, including the update of the Duty Officer’s Manual, prison visits, monthly reporting and passport counts, and the destruction of client files within the prescribed time.
4.2.4 The Consular Officer is scheduled ***. This will be an opportunity to review responsibilities and objectives, and to maximize use of this key position by ensuring that the *** consular officer is ***.
4.2.5 ***. Going forward, involving the Consular Officer will allow management to focus on other areas of the program such as planning and outreach.
4.2.6 The program has an extensive wardens’ network but despite ongoing recruitment efforts, certain regions do not have wardens identified. The mission explained it is a challenge to find wardens to fill all regions. The program should seek to have wardens in large companies employing Canadians to ensure that the ability to communicate with Canadians is strong. Consultation with the mission’s other programs to identify specific individuals as potential wardens could be beneficial.
4.2.7 The mission’s 2012 wardens’ conference was successful. However, a discussion with Canadians living in the country during the inspection, including a warden, did indicate that the existing program’s visibility with its registered Canadians would benefit from increased communications. For instance, further use of the ROCA mass email function and SMS to alert Canadians of emerging issues was suggested. Issues related to rising criminal activity and overall safety were repeatedly referred to as sources of concern. The program should assess the need for such communications and implement a strategy.
4.2.8 The program currently has one set of equipment to process passports with no backup equipment in place, presenting a risk should the equipment fail. The program should work towards securing back-up equipment and test it on a regular basis.
4.3 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|
4.3.1 The consular section is operating well and its experienced staff provide good service. The program has the ability to serve clients in both official languages. Although client feedback forms are available, they are not prominently displayed and there is no formal mechanism to address feedback when it is received. Procedures to address client concerns should be in place to take action to improve service where needed.
4.3.2 The consular booth was not sufficiently soundproof. Individuals in the lobby could overhear elements of private conversations between clients and consular staff. This poses problems associated with confidentiality of client information.
4.4 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 held in the consular section are kept to a minimum and are transferred to finance on a regular basis.||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|
4.4.1 Overall, controls governing passport and consular activities were good but in need of improvement in some areas. Controls over access *** require immediate review.
4.4.2 Client files, while properly secured, were not regularly disposed of within prescribed time frames. There was not a clear schedule to complete this or other associated tasks. The program should ensure that files are regularly destroyed as per policy.
4.4.3 Controls governing *** activities require improvement. ***.
4.4.4 ***. The program should transfer *** and include this in its workplan in collaboration with the finance section.***.
4.4.5 The mission gives bank details to clients in Comoros and Seychelles for direct deposits to the mission bank account. This practice is not consistent with normal procedures. The program should discuss options with its bank to facilitate clients payment of fees without making the account information public.
4.4.6 The Consular Officer does not sign documentation to ***. As a result there is no confirmation that ***.
Recommendations to the Mission
4.5.1 The consular officer should participate more actively in the consular planning process.
4.5.2 Detailed planning for outreach activities should be part of program plans.
4.5.3 Duty officer manuals should be completed for Comoros and Seychelles and sent to HQ.
4.5.4 The mission should continue to work actively to fill vacant warden positions and to recruit deputy wardens where possible.
4.5.5 Back-up equipment to process passports should be obtained and tested regularly.
4.5.6 A formal mechanism to address client feedback should be put in place.
4.5.7 The consular booth should be soundproofed.
4.5.8 *** should be secured and access restricted.
4.5.9 The mission should find an alternative way for clients outside of Tanzania to make payments without releasing mission bank information.
4.5.10 The program should ensure that *** are property tracked through a formal signing process whenever responsibility ***.
Mission Actions and Timeframes
4.5.1 The mission will gradually implement this recommendation due to new hiring in January 2013 of the sole consular full time resource. In Progress for December 2013.
4.5.2 The mission has been planned and budgeted for FY 2013-14 to list and conduct outreach activities to achieve its mandate. Implemented Marh 2013.
4.5.3 The mission is in the process of developing the manuals for Comoros and Seychelles. In Progress for June 2013.
4.5.4 The mission continues to work on this, two new wardens were recruited in February / March 2013, we will continue with recruiting process. In Progress for November 2013.
4.5.5 An order will be placed soon to have in place back up equipment. In Progress for July 2013.
4.5.6 A box to receive feedback from clients is in the reception area and the mission has begun extending active offers to all consular clients to leave feedback. In Progress for June 2013.
4.5.7 The mission is in consultation with the property maintenance officer and expects to have this completed during his next visit to find the best way to move forward. Implemented for June 2013.
4.5.8 A better control of all items listed has been implemented and items will be consolidated *** when it is delivered to mission. Implemented for August 2013.
4.5.9 Completed with credit cards now accepted with the new MOPS. Implemented March 2013.
4.5.10 The inventory items control sheet has been modified ***. Implemented March 2013.
5.1.1 The Common Services Program is managed by an AS-06 MCO who is supported by the AS-04 DMCO and a team of 14 LES members. The program is responsible for providing common services to 40 employees spread over five DFAIT and one partner program. The program also provides support to10 staff at the office located in Lusaka, Zambia where one MCO and four LES deliver common services to the mission.
5.1.2 The program currently manages a Crown-owned chancery, a Crown-owned OR, the Caribou Court compound housing five Crown-owned SQs and a recreational facility, a multi-unit compound housing four Crown-leased SQs, a Crown-leased apartment and one stand-alone Crown-leased SQ.
5.1.3 The mission was scheduled to be *** Following a reassessment of timelines and missions’ preparedness, a decision was taken to delay ***.
5.2 Planning and Program Management
|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|
|A mission HR plan has been developed and submitted to headquarters.||X|
|A plan is in place for major acquisitions and is approved by CMM annually.||X|
|Hub and spoke relationships are governed by an agreement outlining the roles and responsibilities of each mission.||X|
5.2.1 The program is *** managed by the MCO who is supported by the DMCO, although general improvements in process, procedures and control can be made in the property section in particular. The program is in the process of managing the ***, currently working in the Consular Program, Property and Finance sections. The MCO has prepared a detailed ***. process and a clear schedule to ensure the continuity of operations. Staff changes in the new year in the Finance and Property sections will require a period of adjustment but will potentially offer possibilities to enhance the program’s ability to respond to client needs.
5.2.2 A common service business plan is in place however the MCO should consider developing individual section workplans to assist in work flow and weekly planning. Sharing these workplans with other sections within the program would also be a good way to keep staff aware of issues in other areas of the program. For example, a workplan in the Finance section with scheduled payment runs would allow other programs to plan accordingly.
5.2.3 Although some common services policies and procedures are in place, they should be reviewed and updated periodically as this will assist staff as well as management in overall service delivery. For instance, the transportation and gardening policies should be reviewed to reflect departmental guidelines and their uniform application to clients. Finance, procurement and contracting processes should be documented to provide staff clear guidance on procedures and to provide management with a base for reviewing performance.
5.2.4 The MCO and DMCO meet with their section heads on a regular basis however they do not convene meetings where all section heads are present. This would provide the MCO and DMCO with an opportunity to discuss forward planning issues as well as to discuss issues common to multiple sections.
5.2.5 A hub and spoke agreement governing activities and assistance provided to the office in Lusaka is in place and is functioning well. This agreement will have to be reviewed ***.
5.3 Client Service
|Key Common Services Client Service Criteria||Meets||Needs Improvement||Does Not Meet|
|Service standards have been established and communicated to clients.||X|
|An efficient process in place for receiving, processing and monitoring work orders.||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|
5.3.1 Overall, client service is good despite the challenging physical environment in which the mission operates. Climate and the limited availability of reliable suppliers, contractors and maintenance companies all contribute to making the environment difficult.
5.3.2 Service delivery standards were updated in March 2012 and have been communicated and distributed to all staff.
5.3.3 The *** service order request system is used by the property section to receive and action maintenance requests. The section had only 11 work requests outstanding at the time of the inspection visit. Client feedback is not being automatically solicited although this system can be used for this purpose. The section is encouraged to seek client feedback actively following the completion of any repairs, maintenance or other service-related requests.
5.3.4 CBS clients explained that the welcome packages they received upon arrival at post lacked key information such as processes pertaining to various administrative requirements for newly arrived diplomats including diplomatic ID, clearing personal shipments and vehicle registrations. Other matters such as delays, the lack of updates on transportation requests and obtaining stationery supplies were cited by clients as examples where clearly established and communicated processes would be welcome. It was also indicated that some of the program’s staff at times demonstrate a level of apathy that was of concern to some clients.
5.3.5 Feedback is received anecdotally but there is no formal mechanism to survey the internal common service clients to obtain specific information on areas where things are working well versus those that need improvement.
5.4 Key Processes and Controls
Procurement and Expenditure Controls
|Key Procurement and Expenditure 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|
|Financial signing authorities are exercised by individuals who possess the appropriate delegation of authority.||X|
|The asset and liability report is reviewed on a monthly basis.||X|
|Reimbursement of HonCon operational expenses is based on an established agreement.||N/A|
|Travel and hospitality claim processes ensure that policies and guidelines are adhered to and that the completeness and accuracy of the claim is verified.||X|
|Vehicle logs and fuel purchases are verified against consumption (e.g. mileage/usage rates for vehicles and generators).||X|
|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|
5.4.1 The mission has a Contract Review Board (CRB) which reviews contracts that have a value of $10,000 or greater. Documentation from the past year indicates that the CRB meets through the use of email correspondence most of the time. While this may expedite the process and provide an email trail, for complex or large contracts there is value in having the CRB meet in person to have a more open discussion. CRB members have not been provided with a terms of reference document to guide them through the process.
5.4.2 Procurement and contracting processes have not been documented. This would be useful to provide staff clear guidance on relevant procedures and to provide management with a base for reviewing performance and ensuring cost effectiveness.
5.4.3 Contracting files reviewed were not complete as some information was held in different locations. The mission should ensure that central files are maintained where all relevant data pertaining to the process is available and complete including the CRB approval. The Materiel Management module of IMS is not being used to enter all contracts into the system. This results in inaccuracies in DFAIT’s mandatory contract reporting processes. There is also a risk that the total payments for a good or service could exceed the mission’s contracting authority limit without receiving HQ CRB approval.
5.4.4 There is a monthly process for distributing invoices and recording the recoverable charges incurred by staff for personal use of phones etc. However, the mission Asset and Liabilities report is only reviewed on an annual basis. The mission has cleared outstanding value added tax (VAT) rebates dating back to 2007 which is commendable but the process must be maintained to ensure the mission continues to take advantage of all applicable refunds.
5.4.5 Official vehicle logs are completed for all vehicles on a trip by trip basis. However, the program does *** for pooled vehicles or the HOM official vehicle. A *** should be undertaken *** and approved by the DMCO on a monthly basis.
5.4.6 The MCO and his team uncovered a case ***. He has since instituted proper controls and verifications, involving weekly checks for *** used at this location as well as at the OR and the one stand-alone SQ property.
|Key Revenue Management Criteria||Meets||Needs Improvement||Does Not Meet|
|Roles and responsibilities ensure adequate segregation of duties.||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|
|Revenues are deposited into the mission bank account daily, or if not cost effective, within a week of receipt, per the Financial Administration Act: Receipt and Deposit of Public Money Regulations.||X|
5.4.7 Segregation of duties can be a challenge for small missions. ***, who has IMS payment run capabilities, also prepares the ***. Similarly, *** who handles the *** also has IMS input capabilities. These weaknesses are somewhat mitigated by the small amount *** and the MCO’s *** IMS skills which he uses frequently to review entries. In the next fiscal year,***.
5.4.8 The delay in *** of the main *** provides the mission the opportunity to plan, to prepare staff for their new role in the payment process, to transition vendors to electronic fund transfers for payment, and to ensure roles and responsibilities are understood and documented in the final agreement. This is particularly relevant for the new Common Services Assistant position. A clear plan to expand upon the ***.
5.4.9 The mission accountant, ***, has agreed to work part-time to provide continuity and assist with workload issues until implementation ***. A Common Services Assistant has been hired and is being trained to assume the residual finance duties at the mission. This is a good time to implement new procedures. For instance, the Finance section does not have established quiet hours. The efficiency and accuracy of accounting work can suffer if the accountant and Common Services Assistant do not have uninterrupted time to perform work that requires more concentration.
Asset Life-cycle Management
|Key Asset Life Cycle Management Criteria||Meets||Needs Improvement||Does Not Meet|
|The chancery and official residence (OR) are well maintained and maintenance schedules are in place.||X|
|Annual inspections are conducted to assess the state of SQs and input into maintenance and acquisition planning.||X|
|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|
|Employees formally sign out IT assets (mobility tools) and are advised of their accountabilities.||X|
|Disposals are appropriately authorized and follow departmental guidelines.||X|
5.4.12 As part of the inspection process, the OR, four SQs and chancery facilities were reviewed. These properties were well maintained in most cases ***. All water for this property must be delivered by tanker truck by mission staff and stored in water tanks located on the grounds. ***.
5.4.13 The Caribou Court compound houses five SQs as well as recreational facilities including a tennis court, swimming pool and a clubhouse. Facilities are well maintained except for the children’s wooden play structure which is in disrepair and should be removed from the property due to health and safety concerns.
5.4.14 The chancery is in good operational condition and is well maintained. The compound was constructed in 1991 and has not undergone a refit since that time. The CIDA Canadian Cooperation Office (CCO) is co-located with the mission and occupies approximately three quarters of the space on the ground floor of the chancery.
5.4.16 The OR was first constructed in 1960, underwent an extensive renovation project in 2003 and is considered to be a first class property. The grounds are well maintained. One issue that should be investigated concerns ***. ARD/CSRA should obtain permission from the local authorities to complete the ***.
5.4.17 Property expertise and support is provided by the Regional Service Centre Europe, Middle East Africa (RSCEMA) located in London and by a regional maintenance officer based in Dubai. The program has established regular contact with the regional maintenance officer who has been ***. Contact and support from the RSCEMA is also very helpful for project management issues. The desk officer in London is considered by the mission to be *** in dealing with the mission's property needs.
5.4.18 The mission maintains an *** warehouse***. Although the mission has created a list of assets in storage, *** and those that should be disposed. The bulk of stationery supplies are stored in the main storage facilities *** while a working supply is maintained in the property section. *** are in place to track surplus items and the area is open to all staff.
5.4.19 Inventories and occupancy agreements for SQs are not all up-to-date and, in most cases, the condition of assets is not recorded. The Property section should ensure that inventory checks are undertaken by the distribution account verifier and the occupant soon after the arrival of the CBS to ensure accuracy of the list of assets on hand. Materiel transfer vouchers are not used to track any movement of inventoried items after the initial inventory has been signed. The inventory of assets at the OR is not yet completed. This should be undertaken on a priority basis given that the HOM has just recently arrived. The mission is reminded that occupancy agreements should be signed by the occupant and the HOM once completed.
5.4.20 The handymen are provided with all tools and equipment required to undertake electrical, plumbing and general service tasks ***.
5.4.21 The LEITP has developed solid inventory controls and a sign-out sheet for items on loan to staff such as laptops, BlackBerries and cellular telephones. Staff are requested to sign an agreement form outlining their responsibilities prior to the issuance of these items. Surplus IT assets are disposed of by the Property section during annual auctions or through a sealed bid process.
5.4.22 Disposal files inspected were not complete, copies of official receipts were missing and the HOM’s signature was not always provided on the EXT369 Disposal Report forms
Staffing and HR Controls
|Key Staffing and HR 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|
|New LES are provided with an information package on the working conditions, benefits and regulations pertaining to employment at the mission.||X|
|Employee and position files are complete, maintained separately and properly secured.||X|
|LES accrued leave and deductions are recorded and the related liabilities are monitored.||X|
5.4.23 The HR section is managed by the MCO and is supported by the administrative assistant. Overall, a good level of service is offered to clients. The section has revised and introduced well established processes to conduct efficient staffing actions. Appropriate guidelines are followed and the proper authorities for letters of offers are in place. New LES employees are provided with information packages outlining working conditions, benefits and regulations.
5.4.24 HR processes as they relate to hiring practices are detailed and follow existing guidelines. The approach taken is inclusive of programs needs and has successfully addressed client needs under the current management’s approach to hiring.
5.4.25 A review of the section’s files found them to be generally complete but somewhat lacking in their organization. Ongoing competition files contained stacked information not always presented in a sequential or otherwise clearly organized manner.
5.4.26 LES leave and attendance files are maintained by the section’s assistant under the supervision of the MCO. While these are kept properly, balances are communicated to supervisors and program managers on an ad hoc basis. This makes it more difficult for proper resource budgeting and forward planning.
|Key IM-IT 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|
|Controls are in place to ensure the Network Acceptable Use Policy (NAUP) is respected (SIGNET and digital subscriber line (DSL) connections).||X|
5.4.27 The IM-IT section is managed by the MCO with day to day functions undertaken by an LE-08 locally engaged information and technology professional (LEITP). The section is well organized and is providing clients with a *** level of service. The MCO provides backup support for this section when the LEITP is absent. Meetings between the LEITP and the MCO are held weekly.
5.4.28 The section provides services to 40 permanent staff positions as well as to term and emergency employees as required. Regional support is provided by the foreign service information and technology specialist (FSITP) located in Nairobi who schedules semi-annual visits to the mission. The LEITP advises that there is a good working relationship and cooperation with the FSITP.
5.4.30 The mission has formally designated *** and is in the process of equipping it. Testing should be undertaken on a regular basis once the site is up and running.
Recommendations to the Mission
Planning and Program Management
5.5.1 Policies, procedures and controls should be reviewed periodically, revised when required, documented and changes communicated to staff and clients.
5.5.2 The Common Services program should develop workplans that clearly define section and individual responsibilities to assist work flow, planning of specific tasks and to identify deliverables.
5.5.3 Workplans from sections within the program should be shared to keep staff aware of issues in other program areas that affect their sections.
5.5.4 The Finance section should have scheduled payment runs communicated to their clients.
5.5.5 Meetings where all section heads are present should be routinely scheduled.
5.5.6 The hub and spoke agreement between the missions in Lusaka and Dar es Salaam should be revised to reflect changes ***.
5.5.7 An annual mechanism to survey internal common service clients should be put in place.
5.5.8 The client feedback feature in *** for property related requests should be activated.
5.5.9 The CBS welcome package should be reviewed and clients surveyed to ensure that key information is included and updated as required.
5.5.10 Processes pertaining to client services should be communicated to clients and made readily available as a resource on the mission wiki through the common service portal.
5.5.11 Clients should be kept informed of the ***.
Procurement and Expenditure
5.5.12 The Mission Contract Review Board should have terms of reference approved by CMM which includes a monetary threshold appropriate for the mission’s circumstances.
5.5.13 Contracting files should be maintained centrally and contain all relevant data pertaining to the process, including CRB comments and approval.
5.5.14 The MM module of IMS should be used to enter all contracts.
5.5.15 The Asset and Liability report should be reviewed monthly.
5.5.16 *** should verify and reconcile the mileage driven and fuel consumed by mission vehicles and the DMCO should review and approve the reconciliations monthly.
5.5.17 A clear plan going beyond the *** needs to be in place to address *** (HR, training, structure/work organization, IT, etc.)
5.5.19 Quiet hours should be established for the Finance section.
5.5.20 The staff member making *** should always be ***.
Asset Life-cycle management
5.5.21 The Crown-leased property ***.
5.5.22 The children’s play structure at Caribou Court, which is in disrepair, should be removed.
5.5.23 *** and *** procedures should be put in place to control ***.
5.5.24 *** including the *** of assets should be *** soon after the arrival of occupants in SQs or the OR.
5.5.25 Occupancy agreements should be signed by the occupant and the HOM when completed.
5.5.26 Materiel transfer vouchers should be used to track the movement of assets.
5.5.28 Documentation indicating HOM approval should be completed for all disposals.
Staffing and HR
5.5.29 HR files should be presented sequentially or in an otherwise clearly organized manner.
5.5.30 LES accrued leave balances should be communicated to supervisors and program managers regularly.
5.5.31 The HR section should track and follow up to ensure the PMP process is followed consistently for all employees.
Recommendations to HQ
5.5.33 The Physical Resources Bureau (ARD) should establish a clear understanding regarding the *** and communicate this to the mission and CIDA.
5.5.34 ARD should assist the mission in discussions and seeking an agreement with local authorities regarding the ***.
Mission Actions and Timeframes
Planning and Program Management
5.5.1 Several initiatives have already been put in place - Service Delivery Standard, Mission Transportation Policy, On-line banking, Mission watering policy, Mission uniform policy, VAT clearing process and clean-up of back-logs, Banking signing authority clean-up, Security briefing for all new staff and refresher for current staff, Signatures of section 34 and 33 of the FAA by appropriate manager, etc. Implemented October 2013.
5.5.2 The mission agrees, workplans for all sections are in place but more will be done to bring it down to each staff member level. In Progress for October 2013.
5.5.3 The section workplans are being reviewed and shared in order to keep staff aware of various activities and plans. In Progress for October 2013.
5.5.4 The mission agrees and will implement that following***. In Progress for November 2013.
5.5.5 The program has put in place meetings where all section heads are present. Implemented December 2012.
5.5.6 A draft has already been prepared and final version to be completed soon. In Progress for July 2013.
5.5.7 The mission agrees, relevant divisions in Ottawa and at the RSCEMA have been contacted to obtain the template to be used. In Progress for September 2013.
5.5.8 The mission agrees and will seek the support from relevant IT sections at HQ to make it happen. In Progress for June 2013.
5.5.9 The mission agrees, welcome packages will be reviewed after the relocation season and the survey (see section 5.5.7) will include a question on that subject. In Progress for October 2013
5.5.10 Mission agrees, communication with clients can always be improved and assesment to start a Wiki for the mission will be made. In Progress for October 2013.
5.5.11 Regular updates are given to CMM and CMM notes are circulated to all staff to keep them informed of upcoming plans. Implemented January 2013.
Procurement and Expenditure
5.5.12 The CRB's term of reference are being developed including monetary thresholds and will be communicated to CRB. In Progress for October 2013.
5.5.13 Discussion with officer in charge has taken place to ensure files are properly maintained including CRB discussions and approvals. Implemented January 2013.
5.5.14 The mission agrees and is waiting for more information from the RSCEMA as this is part of the review for the CSDP. In Progress November 2013.
5.5.15 The asset and liabilty is now reviewed on a monthly basis and addressed as required. Implemented May 2013.
5.5.16 Instructions have been provided and process implemented to ensure monthly review and reconciliation of fuel consumption and mileade driven. In Progress June 2013.
5.5.17 The mission agrees and will ask the finance team at the RSCEMA (lead on that project) to develop such a plan. In Progress for November 2013.
5.5.18 Implemented May 2013.
5.5.19 The mission agrees. In Progress for July 2013.
5.5.20 Implemented May 2013
Asset Life-cycle management
5.5.21 The mission will evaluate this option ***. In Progress until change of occupant..
5.5.22 The mission has removed the play structure from the Caribou Court grounds. Implemented March 2013.
5.5.23 The mission expects that the *** which should be implemented soon at all mission will improve mission's ***. In Progress for September 2013.
5.5.24 The backlog was cleared and a reminder was sent to relevant staff to inform them of this important procedure in light of upcoming relocation season. Implemented. March 2013.
5.5.25 Previous backlog of occupancy agreements not signed properly revisited, updated and cleared. Mission is now up-to-date on all current occupancy agreements. A reminder was also sent to relevant staff to inform them of this important procedure, including signature within 30 days of occupancy by the occupant and the HOM, in light of upcoming relocation season.Implemented March 2013.
5.5.26 The mission expects that the new *** which should be implemented soon at all mission will improve mission's ***. As required *** to be used. In Progress for September 2013.
5.5.27 The Mission expects that the new *** that should be implemented soon at all missions will improve mission's *** including the ***. In Progress 2013.
5.5.28 A reminder was sent to relevant staff to inform them of this important procedure. Implemented May 2013.
Staffing and HR
5.5.29 The mission will spend time to re-organise its filing system. In Progress for December 2013.
5.5.30 Program managers will receive a report every two months between April and December and every month afterwards until the end of March as part of a new process to be continued onward. Implemented. May 2013.
5.5.31 Special access to produce reports on PMP completion has been obtained from HQ and tracking started to ensure completion of PMPs. Implemented May 2013
5.5.32 Mission has started *** process***.Implemented June 2013.
HQ Action and Timeframes
5.5.33 Currently the mission does not *** is governed by the "Guidelines for Sharing Space with Program Support Units (PSUs) and has been applied to the current presence ***. When finalized it will be published on the DFAIT web and missions will be advised. Implemented June 2013.
5.5.34 We will proceed with consultation with CSRA and the mission on that matter and include the required work into CIPP programming. In Progress for March 2014.
The Office of the High Commission of Canada in Lusaka, Zambia
6.1.1 The mission in Lusaka is a micro mission reporting to the Head of Mission (HOM) based in Dar es Salaam. The mission has a total of 10 staff including an MCO (AS-05) who manages three Common Services program-tagged general services (driver) positions and one consular LES, a CBS CIDA Program Manager (EC-06) who manages two LES staff, and an LES (LE-09) Trade Commissioner (TC).
6.1.2 Canada reduced its presence in Zambia in 2007 from a full service high commission with a resident HOM to an Office of the High Commission with a HOM in Tanzania. From 2007 to 2012, CIDA has been the main program interest ***.
6.1.3 The MCO is involved in all aspects of mission operations. In addition to common service and consular duties, she represents the HOM for official business with the Zambian government, attends functions as the de facto Canadian representative and provides political reporting under the direction of the Dar es Salaam FPDS Program Manager and the HOM. The CIDA program manager and the MCO work closely together providing back-up and support to each other as required.
6.1.4 The LES Trade Commissioner (TC), in addition to reporting to the HOM in Dar es Salaam, receives direction and guidance from the Senior Trade Commissioner (STC) based in Nairobi. Planning and activities are coordinated on a regional basis by the STC. The TC focuses on Canadian economic interests in Zambia where there is significant investment in the mining sector by Canadian companies and in associated Corporate Social Responsibility initiatives. A bilateral Foreign Investment Promotion and Protection Agreement between Canada and Zambia is being negotiated.
6.2 Mission Management
6.2.1 The mission faces several critical challenges as it undergoes *** reorganization. The primary focus ***. Agreement in general has been reached *** regarding the physical space required and estimated timelines for ***, although actual work required for *** has not yet started. The mission should ensure that a formal agreement regarding *** is in place and that an overall implementation plan is developed and shared with the ***. Within this plan, critical project elements should be highlighted and specific responsibilities outlined for all parties concerned (Lusaka, Dar es Salaam, ***, HQ Geographic branch, ALD, ARD and CSRA).
6.2.2 In conjunction with the *** project, *** needs to be planned and managed. The mission advises that *** has expressed keen interest in *** in an***. ARD should consider the easiest way to facilitate *** to minimize work by the mission as ***. Again, involvement and coordination of both mission and HQ bureaux are essential.
6.2.3 The chancery has been in decline for several years due to downsizing and the departure of the CIDA Post Support Unit.***.
6.2.4 There is an extensive MOU between Dar es Salaam and Lusaka regarding roles and responsibilities, and operations in general. With the transition, a new MOU will need to be developed and, to the extent possible, operating procedures revised. This will greatly assist the mission during and after the*** , particularly in the light of *** that will occur.
6.2.5 The mission has kept staff informed of the upcoming *** and their impacts. Staff have appreciated these efforts. As the transition unfolds, regular communication with staff regarding developments and project status will be essential.
6.2.6 It is important to note that the MCO in Lusaka, who has been and will continue to be heavily involved in the transition process, will be relocating in the summer of 2013 as will the CIDA program manager. Both the MCO and DMCO located in Dar es Salaam will also be rotating out in the summer of 2013. This presents a risk to the success of the transition and will place increased responsibility and involvement on the HOM. Consideration should be given to mitigate this situation through *** or term assignments to provide project assistance and continuity.
6.2.7 The HOM in Dar es Salaam is newly arrived at post. He has been well informed of the situation prior to and since his arrival. He is fully aware that he will need to manage and be heavily involved in all aspects of the *** in Lusaka.***, it would be worthwhile for the HOM to make *** visit to obtain an early and full appreciation of the situation by meeting with staff and other officials and visiting the chancery and SQs.
6.3.1 The Consular program is functioning *** under the guidance of the MCO. The consular assistant also devotes approximately 20% of his time to the Commercial Economic program as part of his duties. The consular assistant assumed the position on an indeterminate basis in 2011. ***.
6.3.2 The program provides less than 100 passport services annually as well as a low volume of citizenship and notarial services. There are 152 Canadian citizens identified in the Registration of Canadians Abroad (ROCA) database although the estimated number of Canadians residing in Zambia is believed to be much greater, with many holding dual citizenship.
6.3.3 *** and routinely requests clients to speak English. *** was advised that the proper process would be *** to simply contact the MCO ***.
6.3.4 The mission has a warden network in place although there are three districts without coverage. A warden conference was held in January 2012 and wardens are provided with ROCA updates every three months.
6.3.5 The consular assistant maintains ***. The program also maintains***. A reconciliation was performed as part of the inspection process and it was discovered that the petty cash account did not reconcile as there was an overage of approximately $11.00. This overage should be deposited to the consolidated revenue fund (CRF).
6.3.6 The mission has a number of official seals and stamps***. The mission also has a number of obsolete stamps that should be returned to Headquarters.
6.3.7 All passport supplies are maintained and controlled by the MCO***. A sign-out register is used when supplies are given to the consular assistant. Although the program operates with two passport printers, they only have one passport laminator on hand. This could be problematic should the laminator break down.
6.3.8 Passport supplies were verified as part of the inspection process. The mission retains old passport files well beyond the 60-day limit even though passport services have been rendered. These should be destroyed within prescribed time frames.
6.3.9 The Duty Officer Manual is up to date as of September 2012 although the consular assistant did not have a hard copy to refer to. One should be printed and maintained on file in the event that the electronic version is inaccessible.
6.3.10 Client feedback is provided on an ad hoc basis. There is no box located in the consular waiting area for clients to deposit forms. This may be a deterrent to clients wishing to provide feedback. While service standards and consular and passport fee schedules are posted in the consular booth, there is no official receipt posted that would advise clients of their right to receive proof of payment for services rendered.
6.4 Common Services Overview
6.4.1 The Common Services program is *** managed by the MCO who is supported by four LES members. The program manages a Crown-owned chancery and compound as well as two Crown-owned SQs.
6.4.2 The number one issue occupying the MCO’s time and energy is ***. In this regard, the MCO should prepare a workplan that will address all issues involved. The support of the HOM in Dar es Salaam will be critical in moving issues forward and obtaining decisions from HQ. Consideration should be given to assisting the MCO with the *** as well as to assist in the development of procedural documents relating to the *** arrangement. The MCO will have to prepare extensive handover notes for the new CBS officer replacing her this summer as this will be the only CBS position at the mission.
6.4.3 Morale among staff, ***, is low but staff are still performing well. The inspection team met with all LES and their main concern was the uncertainty of positions ***.
6.4.4 The program is mostly self-sufficient although approval and signatures from the mission in Dar es Salaam are required for some administrative issues. Overall, the program is functioning well although improvements in process, procedures and controls can be made in all areas of common service delivery.***, the mission will require more support and oversight from Dar es Salaam.
6.4.5 A common service business plan is in place. However, the MCO should consider developing individual section workplans to assist in work flow and planning. Sharing these workplans with all staff would also be a good way to keep staff aware of issues in other areas of the program. Service delivery standards will have to be reviewed and updated given the new potential staff complement.
6.4.6 Contracts valued above $8,000 are approved by the Contract Review Board (CRB) located in Dar es Salaam. The mission should consider lowering the ceiling ***.
6.5 Human Resources Section
6.5.1 An up-to-date HR plan has been submitted to HQ. Four well documented staff competitions were recently conducted. All were appropriately staffed as term employees ***.
6.5.2 There is a lack of official languages capacity *** and there is no receptionist/telephonist currently in place. Incoming phone calls are routed through ***.
6.5.3 HR files are properly separated although the MCO should hold personnel files for staff and the position number files should be maintained by an LES.
6.5.4 The LESMCB had discussed issues with the previous HOM through conference calls that were arranged as required. Staff issues center around uncertainties in the workplace and deteriorating morale.
6.6 Physical Resources
6.6.1 The section is providing service in a difficult environment, both from a climate perspective as well as ability to source reliable contractors and maintenance companies. Property maintenance plans are up-to-date and routine maintenance schedules are in place for the three properties. Service requests are received via e-mail.
6.6.2 The chancery compound was constructed in 1989 by the former Czechoslovak government and was purchased by the Canadian government in 1991 when the Czech/Slovak split occurred. The CIDA Program Support Unit (PSU) was co-located within the High Commission until 2011 and occupied approximately one third of the space on the ground floor of the chancery. The mission currently houses the office of the International Monetary Fund (IMF) on the ground floor ***. The swimming pool and tennis court are in *** the grounds are still well maintained by the full time gardener. ***.
6.6.3 The two Crown-owned SQs were visited as part of the inspection, These properties are well maintained. Both SQs are located on very large property footprints and require substantial gardening attention. Costs are shared between the mission and the occupants through the recommended percentage formula. Both properties have swimming pools and occupants pay for their maintenance.***.
6.6.4 ***. There is *** for one SQ property ***. Generally, *** are in place for stored items. The mission does have a chancery inventory prepared in 2010 although it will have to be updated***. Stationery is distributed by the property/materiel assistant although distribution of supplies should be controlled through the use of a sign-out system.
6.6.5 Disposal of surplus assets is undertaken through sealed bid auctions. This method has been successful although EXT369 Disposal Report forms have not been signed off and "non-official" receipts are given to buyers. The mission should ensure that official receipts are used for this purpose.
6.6.6 Official vehicle logs are completed for both official vehicles on a trip-by-trip basis. However, the section ***. It should be completed by the property/materiel assistant and approved by the MCO on a monthly basis.
6.7 Finance Section
6.7.1 Day-to-day finance functions are undertaken by the LE-06 accountant who has been in the position ***. There are no working procedures in place for staff to follow and there is no formal workplan. Both of these need to be developed.
6.7.2 Bank reconciliation submissions to HQ are late by three months although the hold-up seems to be attributed to the mission in Dar es Salaam finalizing the review process. The accountant sends vouchers for section 33 signature on a weekly basis although she advises that some are misplaced by Dar es Salaam finance staff. This causes delays in the final reconciliation process.
6.7.3 The mission has a recovery process for CBS personal expenses such as SQ telephones and fuel purchases. The allowance of personal fuel purchases creates a liability for the mission and more work for the accountant. These should cease immediately.
6.7.4 The bank agreement dates back to 2006 and service charge rates have not been updated for several years. ***. The MCO should be involved in this process as rates can change daily and the bank does not post rates online.
6.7.5 The asset and liability report has outstanding items from 10 years ago (CBS personal expenses). This account should be settled ***.
6.8 IM-IT Section
6.8.1 The section is managed by the MCO who also acts as the Signet systems assistant. She is providing clients with good service. Frequent power outages disrupt the phone service and create obvious problems from a communications point of view. This should improve when the mission***.
6.8.2 The section provides IM-IT services to ten permanent staff positions as well as to term and emergency employees as required. Regional support is provided by the FSITP located in Harare through quarterly visits to the mission.***. Assets on loan to staff are monitored by the MCO.
Recommendations to the Mission
6.9.1 The mission should ensure that a formal agreement regarding *** is in place and that an overall implementation plan is developed and shared with the***.
6.9.2 The MOU between Lusaka and Dar es Salaam should be revised following the *** the mission in Lusaka.
6.9.3 *** should be provided with in-Canada consular training.
6.9.4 *** should be provided with French language training.
6.9.5 The mission should prepare an inventory of ***.
6.9.6 The mission should ensure back-up passport equipment is in place and operational.
6.9.7 Passport files should be destroyed within the prescribed time frame.
6.9.8 A drop box for client feedback forms should be provided in the waiting area.
6.9.9 A copy of the official receipt should be posted in the consular booth.
6.9.10 The MCO should prepare a workplan outlining issues that will need to be addressed ***.
6.9.11 The MCO should prepare handover notes for the CBS arriving at the mission in 2013.
6.9.12 Individual workplans should be developed for common service program staff.
6.9.13 Inventories of *** should be prepared for the *** facilities.
6.9.14 Official receipts should be provided to the buyer and form EXT369 should be completed and signed off by the HOM when Crown assets are disposed.
6.9.15 Monthly reconciliations of official vehicle usage should be undertaken.
6.9.16 Personal charges for SQ telephones and fuel purchases should be paid by the employee directly.
6.9.17 The MCO should be involved in negotiating ***.
6.9.18 The asset and liability report should be reviewed and any outstanding items settled.
Recommendations to HQ
6.9.19 ARD should consider the easiest way to facilitate *** to minimize work by the mission and expedite the process.
Mission Action and Timeframes
6.9.1 ARAK and AFR have taken the lead on the formal ***documentation which is expected to be signed by the end of May 2013. In Progress for June 2013.
6.9.2 The MOU has been updated and will be in effect for July 1 , 2013. Implemented July 2013.
6.9.3 *** attended the in-Canada consular training in February 2013 Implemented. February 2013.
6.9.4 *** have attended in house French language training delivered by the Alliance française since early 2012. Training will continue through FY 2013-2014. Implemented.
6.9.5 An inventory was prepared in February 2013 and is kept with the passport supply records. Implemented February 2013.
6.9.6 The mission will request a second passport laminator. In Progress for May 2013.
6.9.7 A disposal program has been put in place and all files that have exceeded the retention period will be destroyed by the end of May 2013. In Progress for May 2013.
6.9.8 The drop box will be added to the consular waiting area by the end of June 2013. In Progress by June 2013.
6.9.9 A copy of the official receipt has been posted in the consular booth in May 2013. Implemented May 2013.
6.9.10 The MCO has started the workplan *** the first draft of which will be completed by the end of May 2013. In Progress for June 2013.
6.9.11 The MCO has started handover notes which will be completed by the end of July 2013. The CS team have also started work on the Mission Operations Manual , the first draft of which will be completed by the end of June 2013. In Progress for June 2013
6.9.12 An individual workplan will be developed for the remaining CS position in early July 2013. In Progress for July 2013.
6.9.13 The inventory at *** will be completed ***. The inventory for *** will be updated ***. In Progress.
6.9.14 Official receipts will be issued for all payments made to mission. EXT369 disposal forms will be completed for all upcoming and future disposals. Implemented
6.9.15 The MCO reviews the log sheets each month with fuel purchase. A reconciliation and yearly analysis cheat sheet will be left for the incoming CBS officer to review vehicle logs on a regular basis. In Progress for July 2013.
6.9.16 Changes to the phones at the SQs will be made with the upcoming rotation (disconnection/reassignment of account). The mission is in the process of updating the fuel purchase arrangements to have CBS billed directly for this. In Progress for July 2013.
6.9.17 As of April 2013 mission receives funding directly *** and is taking steps ***. In Progress.
6.9.18 Outstanding assets and liabilities items from previous FYs were cleared by SMFF. The report is reviewed on a regular basis by the MCO and all listed items at this time are current. Implemented January 2013.
HQ Action and Timeframes
6.9.19 The *** of any real property asset is highly regulated by Treasury Board and gives us limited flexibility on how to proceed. The process is managed by *** ARAK and generally requires minimal involvement from the mission. The process is already underway and will be duly expedited. In Progress for April 2014.
Appendix A: Dar es Salaam Mission Resources Fact Sheet
|Physical Resources Assets||Crown-Owned||Crown-Leased||Private-Lease|
|Head of Mission||6||2||4|
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: