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Inspection of the Embassy of Canada, Lima, Peru Including the Embassy of Canada (Program Office) in La Paz, Boliva

January 24 - February 1, 2013

Table of Contents

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:

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 inspection findings, and an analysis of recurring trends and systemic issues.

Inspection issues and lines of enquiry were further refined during the inspection from information gathered through interviews with the HOM 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.

Executive Summary

An inspection of Mission Management, the Foreign Policy and Diplomacy Service (FPDS), Commercial Economic (CE), Consular and Common Services programs was conducted in Lima, Peru from January 28 to February 1, 2013. Members of the inspection team also visited La Paz, Bolivia from January 24 to 25, 2013, and spoke with all departmental employees in the mission. A previous inspection of these programs took place in 2004.

The embassy in Lima is a medium-sized mission with 20 Canada-based Staff (CBS) and 47 Locally Engaged Staff (LES). It is responsible for departmental program delivery in Peru and Bolivia. Partner departments and agencies represented at the mission include the Canadian International Development Agency (CIDA), Citizenship and Immigration Canada (CIC), the Canadian Border Services Agency (CBSA) and Export Development Canada (EDC).

The mission functions well under the leadership of a recently arrived Head of Mission (HOM). She takes an inclusive approach to management and has established *** rapport with her team. The mission's priorities are relevant to a number of government departments and agencies, and mission management promotes the value and importance of a whole-of-government approach. Going forward, it will be important to leverage planning processes to develop a cohesive vision and long-term direction for the mission. Key elements of the HOM's Performance Management Agreement should cascade into program managers' and employees' performance objectives.

The mission's committee and management structures support effective mission governance and management. Communications are generally good, as is overall mission morale. The ongoing high pace of activity and frequent incoming visits does, however, generate stress and drain energy. Another pressure has been a broad sense of instability generated by a number of factors: the prolonged absence of a HOM; the closure of the Andean Unit for Democratic Governance (a pilot policy centre that was located in Lima); the implementation of reductions following departmental decisions related to Budget 2012; the expansion of the CIDA program; and adjustments of roles and responsibilities.

Mission management takes emergency preparedness seriously and has undertaken the necessary planning. However, attention is required to ensuring roles and responsibilities are clear ***. Overall, key management controls are in place and are effectively supported by a strong governance structure. Nonetheless, a number of employees, including program managers, do not have Performance Management Programs (PMPs) in place. As well, attention is required to improve hospitality reporting.

The FPDS program is operating *** under the leadership of an FS-03 program manager. FPDS priorities are aligned with departmental objectives in the Hemisphere, and it works in a collaborative whole-of-government manner. However, the program would benefit from a more precisely defined workplan prioritizing activities and aligning them to key priorities. Strengthening planning would also facilitate more meaningful performance measurement. Similarly, the program should also clarify roles and responsibilities and address the absence of an administrative support position. The program's activities and initiatives advance bilateral, regional and international priorities and it has been effective in leveraging high-level visits.

The CE program is *** managed by an FS-03 Senior Trade Commissioner acting in an FS-04 position. The program's priority sectors are agriculture and agri-food, education, information and communication technologies, infrastructure and mining. Defence and life sciences are emerging sectors that will be a priority for the program in the 2013-14 fiscal year. At the strategic level the program has the proper orientation. However, there is a need to clarify roles and responsibilities within the team and to re-evaluate the CEP plan to ensure that performance targets are set at the appropriate level. As well, departmental tools, such as TRIO and the trade commissioner service website could be better leveraged to serve clients and manage the program. In addition, the program should ensure that all employees have PMPs and that they are used to align individual performance with program objectives.

The day-to-day operations of the Consular program are functioning well under the AS-04 Deputy MCO (DMCO) with oversight provided by the AS-06 MCO. Overall, the program is *** managed and functioning effectively; it benefits from experienced and knowledgeable staff. The MCO and HOM are sufficiently involved in the program and provide good oversight. The program maintains a good network of contacts and has a well-developed warden network. Service to clients is provided in both official languages and is delivered in line with service standards. ***.

The Common Services program is providing high quality services to clients. A common service business plan is in place, and individual section work plans have been developed that assist in work flow and planning. Most policies and procedures are well documented, but they need to be updated on a regular basis. Communications within the program could also be improved with the addition of discussion on forward planning, program delivery and other issues that may affect multiple sections. Although the mission has identified the lack of a dedicated human resource as a challenge, services are generally good and meet expectations. The Physical Resources, Finance and Information Management - Information Technology sections are all functioning well overall with some minor improvements required.

The Embassy of Canada (Program Office) in La Paz, Bolivia

The Embassy of Canada (Program Office) in Bolivia is a small mission with four CBS (three from CIDA and one from DFAIT) and seven LES positions. Overall, there is good informal communication among staff and morale is positive. Employees are motivated, open to change and operate well as a team. However, there are no regularly scheduled all-staff or program meetings and information is routinely communicated by e-mail. As well, the memorandum of understanding that governs the relationship between Lima and La Paz requires updating. In doing so, there is an opportunity to reinforce support for La Paz in terms of mission governance and its Common Services program. Overall, the mission's governance structure should be strengthened, including by designating an officer to serve as Head of Office.

The MCO in La Paz manages both the Consular and Common Services programs. In 2011, the Consular program assumed responsibility for the processing of passport and citizenship applications for Bolivia from the mission in Lima. The workload has further increased with a change to documentation requirements for foreign citizens under Bolivian law. The program has experienced challenges in meeting service delivery standards for these services. The MCO has also reviewed the program's workflow but improvements could be made to further streamline processes. Good passport inventory controls and processes are in place, ***. As well, completed passport files are retained well beyond the 60-day limit, and there is a current backlog of old applications that dates to October 2011.

The Common Services program has been operating on an informal and reactive basis and is struggling to keep up with the increased workload. Nonetheless, clients are generally satisfied with services, although they are not aware of service standards or mission policies. The MCO and her staff have reviewed and aligned some job packages and a number of changes have been implemented. Nonetheless, there is a need to add structure, strengthen processes and document procedures in most areas of common services. *** requires immediate attention. There is room for further collaboration with the mission in Lima to use already developed policies and procedures that would apply to La Paz.

A total of 62 recommendations are raised in the report: 60 are addressed to the missions and 2 are addressed to Headquarters. Management has responded to each recommendation indicating action already taken or decisions made, as well as future action. At the time of writing, management has stated that 32 have been implemented.

1 Mission Management

1.1 Overview

1.1.1 The embassy in Lima is a medium-sized mission with 20 Canada-based Staff (CBS) and 47 Locally Engaged Staff (LES). It is responsible for departmental program delivery in Peru and Bolivia. Partner departments and agencies represented at the mission include the Canadian International Development Agency (CIDA), Citizenship and Immigration Canada (CIC), the Canada Border Services Agency (CBSA) and Export Development Canada (EDC).

1.1.2 The mission is managed by an EX-01 Head of Mission (HOM) in an EX-03 position who is responsible for overall mission operations and oversees the operational and capital budgets of approximately $760,000 and $153,000 respectively. The mission also manages a property portfolio that includes a Crown-owned chancery and compound, a Crown-owned official residence (OR) as well as 7 Crown-owned and 12 Crown-leased staff quarters (SQs).

1.1.3 The Embassy of Canada (Program Office) in La Paz, Bolivia, reports to the mission through a hub-and-spoke relationship. Members of the inspection team visited La Paz and conducted interviews with all departmental staff in the office. The summary of findings from La Paz is included below.

1.2 Mission Management

Evaluation of Mission Management
Key Mission Management CriteriaMeetsNeeds ImprovementDoes 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 Overall, the mission is operating well. The newly arrived HOM has established *** rapport with her management team and takes an inclusive approach to management. The mission's strategic objectives reflect the priorities of Canada's engagement in the Americas, and the mission facilitates high-level visits from a number of departments and agencies.

1.2.2 Although the mission's programs have plans in place with clear priorities, there are some questions as to the overall strategic direction in the medium to long term. This may be related to the fact that the HOM was only recently appointed, following an extended period during which the mission was led on a month-to-month basis by a chargé d'affaires. Looking forward, it will be important to leverage the planning processes for the new fiscal year to develop a cohesive vision and direction for the mission. In doing so, the HOM should share key elements of her Performance Management Agreement (PMA) and ensure that these same elements cascade into program managers' and employees' performance objectives.

1.2.3 In general, the committee and management structures in place function well to support effective mission governance and management. The Committee on Mission Management (CMM) is a forum for information exchange and decision making on mission policies and management issues. For more effective time management, program managers identified a need to keep discussions focused. Consideration should be given to holding a weekly or biweekly operations committee meeting with the addition of a regular, but less frequent, CMM that would focus on decision making and mission governance.

1.2.4 Communications in the mission are generally good. Town halls, program meetings and the posting of policies and procedures to the wiki and the shared network drive all contribute to a sense of transparency. Although minutes are taken at the CMM and posted to the wiki, not all employees are aware of their existence, and they do not always capture the full substance of the discussions. As well, because both the wiki and the shared drive are used as central repositories, it is not always clear to clients where to look for information.

1.2.5 Mission morale overall is very good. The atmosphere is positive and employees work together as a team. CBS and LES alike are professional and dedicated to their work. However, the high pace of activity and frequent incoming visits, while positive, are also generating stress and draining energy. Another pressure has been a broad sense of instability generated by a number of factors: the prolonged absence of a HOM; the closure of the Andean Unit for Democratic Governance (a pilot policy centre that was located in Lima); the implementation of reductions following departmental decisions related to Budget 2012; the expansion of the CIDA program; and adjustments of roles and responsibilities.

1.2.6 LES representatives from Lima expressed their satisfaction with the LES Management Consultation Board (LESMCB), including the engagement by the HOM and the MCO. They conveyed the following subjects as priorities for LES: technical issues on the management of pay and pensions; the lack of a clear career path for LES; and broad interest in additional learning opportunities and performance feedback.

1.2.7 An LES representative from La Paz has recently been incorporated into the Lima LESMCB. However, the principal issues identified by LES in La Paz focused on the terms and conditions of employment. Management in Lima should ensure that mission-specific themes, such as compensation and benefits, are addressed separately with each mission to avoid confusion. Overall, the LES in La Paz appreciate the opportunity for direct engagement with management in Lima and look forward to greater communication, both in terms of quality and frequency.

1.3 Whole of Government

Evaluation of Whole-of-Government
Key Whole-of-Government CriteriaMeetsNeeds ImprovementDoes Not Meet
Mechanisms are in place to ensure a whole-of-government approach is taken for mission and program planning.X  
Mission and program plans are implemented in a coordinated manner to ensure policy coherence and effectively leverage the Canadian presence. X 
Partner departments contribute to the overall effective governance of the mission and its operations.X  
Common services are provided in line with the memorandum of understanding and any issues are addressed at CMM.X  

1.3.1 The value and importance of a whole-of-government approach is recognized and promoted by mission management. Both mission and program plans are consulted widely, providing opportunities for discussion on priorities, objectives and shared opportunities. Generally speaking, communications are open and there is good cooperation and collegiality among program managers. The CIDA program manager demonstrated *** leadership and *** to the whole-of-government approach during his time as chargé d'affaires, including while the mission prepared for the Governor General's visit to Peru in November 2012.

1.3.2 The mission's priorities are relevant to a number of government departments and agencies (e.g. the extractive industries, indigenous rights and the environment). Positive momentum in the bilateral relationship has translated into frequent high-level visits to Peru by Canadian officials and ministers. In terms of implementation, a whole-of-government advocacy plan would be an effective tool to ensure consistency and coordination in messaging and that all opportunities are fully leveraged to enhance government priorities. This element is addressed again in the section of the report on the Foreign Policy and Diplomacy Service (FPDS) program.

1.3.3 The program managers of partner departments indicated they were satisfied with the common services provided by the mission. The Common Services program has policies and procedures which it follows, but service standards have not been updated since 2011. Establishing and communicating appropriate standards will help to manage client expectations and allow for better workload management.

1.4 Emergency Preparedness

Evaluation of Emergency Preparedness
Key Emergency Preparedness CriteriaMeetsNeeds ImprovementDoes 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 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 Mission management takes emergency preparedness seriously and has undertaken the necessary planning. The Mission Emergency Plan (MEP) has been reviewed and adjusted recently and an emergency response team (ERT) exists. However, due to changes in membership, ***.

1.4.2 ***. Good consultation, from both a security and consular response perspective, occurs with like-minded and neighbouring missions as well as local authorities.

1.5 Official Languages

Evaluation of Official Languages
Key Official Languages CriteriaMeetsNeeds ImprovementDoes 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 The mission undertakes a number of activities to promote the use of English and French at the mission. Training in official languages is funded for LES and mission management encourages ongoing development. Staff embrace opportunities to improve their language skills and have informally dedicated certain days to the promotion of English, French and Spanish at the mission.

1.5.2 Although an Official Languages Co-ordinator has been identified, she only recently learned of this designation. The majority of signage is either bilingual or trilingual with some exceptions (e.g. the fire orders). The mission has sufficient capacity to effectively communicate with and provide services to the public in both official languages.

1.6 Management Controls

Evaluation of Management Control
Key Management Control CriteriaMeetsNeeds ImprovementDoes 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/AN/AN/A

1.6.1 Overall, key management controls are in place and are effectively supported by a strong governance structure. The mission demonstrates good attention to security, and the recently established Security Program Manager (SPM) position adds resources to a function that was already well organized. Headquarters, in consultation with the mission, should consider extending the mandate of the ***.

1.6.2 Program managers receive regular financial updates on their programs and bank reconciliations are undertaken in a timely manner. The CMM is reviewing the format in which they receive financial information with a view to ensuring the information is easy to understand. Although the hospitality guidelines for Lima are reviewed regularly, the CMM should review the rates in place for La Paz to ensure they are appropriate.

1.6.3 The MCO has administrator access to monitor the use of the Performance Management Program (PMP), but a number of evaluations, including those for program managers, remain incomplete. As part of the performance management cycle, all employees should review their past performance with their supervisors and jointly set new objectives that are reflective of program priorities.

1.6.4 The mission's reporting on hospitality should be enhanced to provide consistent high-quality information. The documentation reviewed did not in all cases sufficiently outline the activity's intended purpose and its full value. The HOM Guide on Official Hospitality Outside Canada is a good resource to advise the mission on leveraging funds and documenting activities.

1.7 The Embassy of Canada (Program Office) in La Paz, Bolivia

Overview

1.7.1 The Embassy of Canada (Program Office) in Bolivia is a small mission with four CBS and seven LES positions. The HOM in Lima is accredited to Bolivia and has overall responsibility for mission operations in La Paz.

1.7.2 The Canadian International Development Agency (CIDA) operates the mission's most significant program, consisting of three CBS officers and one LES assistant. The Management Consular Officer (MCO) is the only DFAIT CBS at the mission, and she manages both the Consular and Common Services programs. An LE-08 Political/Economic Analyst also works out of La Paz but reports to the Foreign Policy and Diplomacy Service (FPDS) program manager at the mission in Lima.

1.7.3 The prominence of the CIDA program at the mission reflects the central importance of development cooperation to the Canada-Bolivia relationship. CIDA has, however, recently reduced its funding to Bolivia, and the program now reports to the Head of Cooperation in Lima, as opposed to directly to Headquarters. DFAIT's profile, on the other hand, has increased incrementally since 2009: the mission has assumed responsibility for its own accounting and finance functions; the Consular program now provides full passport and citizenship services; and an FPDS resource was added to the mission.

Hub-and-Spoke Relationship

1.7.4 A memorandum of understanding (MOU) dating from November 2011 governs the hub-and-spoke relationship between Lima and La Paz. Although the MOU sets out roles and responsibilities with respect to management and operations, it is out of date. The missions should review the document and ensure that the support and oversight provided by Lima is calibrated to La Paz' current needs. In doing so, consideration should be given to including La Paz in pertinent governance committees in Lima and increasing the support provided with respect to the finance function.

1.7.5 Given that Canada has a non-resident Ambassador to Bolivia, the CIDA program manager and MCO assume a certain degree of local representational duties. This is undertaken on an ad hoc basis with managers using their best judgement to determine which events to attend. La Paz should develop a tool to identify key or recurring events at which Canada should be represented. This should be presented with a business case to Lima for any necessary associated funding (e.g. hospitality and overtime). The plan should also identify if there are events where the presence of the Ambassador would be important to supporting government objectives.

1.7.6 As of recently, the CIDA program manager and MCO from La Paz present agenda items to Lima's CMM and participate in discussions related to Bolivia. As the mission's key managers, these representatives may also benefit from observing full sessions of the CMM when it discusses key strategic or governance issues, even if focused only on Peru. This exposure would help cross-fertilize positive mission management practices as well as reinforce collaborative and cohesive planning and implementation of programs.

1.7.7 Employees in La Paz appreciate the recent efforts undertaken by Lima's management to renew links between the two missions and reinforce communication. The LES are cautiously optimistic that future engagement through the LESMCB will provide more consistent and clear communications on mission-specific issues. It was noted that the HOM held a town hall with staff in La Paz following the announcement of Budget 2012.***. Increased communication between management in Lima and employees in La Paz may help employees better understand the strategic direction of the mission as well as related Government of Canada positions and decisions.

Mission Management

1.7.8 There is no designated Head of Office in La Paz; the mission's two key managers, the PM-06 CIDA program manager and the MCO, report to different supervisors based in Lima. The absence of a clear leadership position creates some mission management challenges. Although the MCO and PM-06 meet frequently and exchange views informally, there are no operations meetings or other formal decision-making forums. Generally speaking, the mission's governance structure is limited; La Paz has no committees and only participates in Lima's CMM, LESMCB and Housing Committee. Certain management controls also require attention, such as putting in place performance appraisals for employees ***.

1.7.9 Overall, there is good informal communication among staff and morale is positive. Employees are motivated, open to change and operate well as a team. There is a good degree of collegiality within and across programs and information is shared throughout the mission. However, there are no regularly scheduled all-staff or program meetings and information is routinely communicated by e-mail. Reinforcing formal communication would increase transparency and further effective information exchange.

Consular

1.7.10 The MCO manages the Consular program and is supported by an LE-06 Consular Assistant; the LE-04 Receptionist provides occasional backup. The program assumed the responsibility for processing of passport and citizenship applications for Bolivia from the mission in Lima, Peru in October 2011.

1.7.11 The program provides approximately 500 passport, 70 citizenship and 120 notarial services annually. It receives a steady number of general inquiries by email and telephone, as well as routine general assistance cases and distress cases such as arrest. There are currently *** detainees in the country, who are visited in accordance with service standards. In total, there are 2,434 Canadian citizens in the Registration of Canadians Abroad (ROCA) database, although it is estimated that 5,000 Canadians reside in Bolivia. The majority of Canadians in the country are members of the Mennonite community.

1.7.12 In 2009, the local government changed the documentation requirements for foreign citizens, which has resulted in increased passport and citizenship demand on the mission. The program has experienced challenges in meeting service delivery standards for these services. The majority of the Mennonite community transmit their applications through agencies. Incomplete applications have been a major challenge, but the program has actively engaged stakeholders to clarify expectations and provide guidance. A passport application checklist was translated into Spanish and sent to the agencies in an effort to reduce the number of incomplete applications received.

1.7.13 The MCO has also reviewed the program's workflow with staff, which is an important first step to address workload demands. However, improvements could be made to further streamline work processes to reduce the amount of time spent and increase efficiency. Developing a telephone script for routine inquiries and standardizing data entry into the Consular Management information Program (COMIP) to ensure that workload statistics are properly categorized should also be undertaken.

1.7.14 Consular clients generally receive good service from bilingual staff, and feedback forms are provided with each service. The program also conducts outreach activities and has good contacts with local authorities and like-minded missions. Wardens are in place for 19 of the 22 districts, and regular communication is maintained.

1.7.15 Passports are authorized by the MCO or, when required, by the CIDA CBS who is certified to use the Passport Management Program. A remote approval agreement is in place with the mission in Lima to cover times when both the MCO and CIDA CBS are absent. Good passport inventory controls and processes are in place, ***. The program is not currently recording services on the EXT 119 Record of fees received Passport/Consular Services form, and the ***.

1.7.16 Client documents and personal information are appropriately stored. However, completed passport files are retained well beyond the 60-day limit, and there is a current backlog of old applications requiring destruction that dates back to October 2011.

Common Services

1.7.17 The Common Services program is managed by the MCO, who is assisted by a team of four LES, although one position was vacant at the time of inspection. The program provides services to four CBS and seven LES and manages a Crown-leased chancery and four Crown-leased staff quarters (SQs).

1.7.18 The chancery is located in a multi-tenant high-rise office building facing a public square. The office space will be at capacity once the mission fills the vacant common services position. Although the chancery has one meeting room, which is used often, it is not sufficiently large to accommodate all staff. As a result, when required, the mission rents meeting space from the CIDA Program Support Unit (PSU), which is located on the same floor of the building.

1.7.19 The security situation in the neighbourhood of the chancery has declined over the past few years. As a result of a recent incident in the public square, a number of the building's tenants***.

1.7.20 The MCO is an AS-04 acting in an AS-05 position on her first posting abroad.***. Although she had been briefed by Headquarters about ongoing staffing and resource issues, corporate handover notes were not provided *** when she arrived in 2011.

1.7.21 The MCO and common services staff work hard and operate well as a team. The MCO has largely been focused ***, human resource challenges, as well as transitioning the mission to assume responsibility for passport and citizenship services. However, the program has been operating on an informal and reactive basis and is struggling to keep up with the increased workload. The MCO and her staff have reviewed and aligned some job packages and a number of changes have been implemented. Nonetheless, there is a need to add structure, strengthen processes and document procedures in most areas of common services. The Finance section in particular requires immediate attention as concerns were raised about the mission's budget management and financial operations during Headquarters briefings. There is room for further collaboration with the mission in Lima to use policies and procedures already developed that would apply to La Paz.

1.7.22 A Common Services Business Plan guides overall program operations, but there are no formal workplans in place. The MCO has, however, developed an informal three-month project/task list that could be expanded into a workplan and shared with staff. Doing so would assist in establishing priorities and to guide operations. As well, several issues identified in the mission self-assessment that was prepared for the inspection could be added to the program's workplan.

1.7.23 Clients are generally satisfied with services, although they are not aware of service standards or mission policies. Service standards should be established and communicated to all staff and clients. Information on the common services budget and business planning could also be shared.

1.7.24 The finance functions have been challenging for the program. The mission assumed responsibility for its own finance services from the mission in Lima in 2009. Until recently, the majority of the finance duties were undertaken by the previous LE-05 Administration Assistant, who has recently moved to the Consular program.

1.7.25 ***. Efforts have been made to ensure that some procedures are followed, for example contracting procedures have been implemented and the mission uses the Contract Review Board (CRB) in Lima when required.***. More attention is required to ***, ensuring that sufficient supporting documentation is attached to the claims and invoices.

1.7.26 As a result of the above concerns and feedback from Headquarters, the MCO and LE-08 Finance-Property Officer recently reviewed and revised the budget structure, and the outstanding *** have since been completed. Further assistance and guidance from Lima and Financial Operations, International Division (SMFF) to ensure that appropriate *** are in place would greatly benefit the mission. ***.

1.8 Recommendations

Recommendations to the Mission in Lima

1.8.1 Mission management should consider holding separate operations committee and CMM meetings. Minutes from these meetings should be distributed to all employees as well as posted to the wiki or shared network drive.

1.8.2 A decision should be made to use either the wiki or the shared network drive for the central repository of policies, procedures and service standards.

1.8.3 Roles and responsibilities should be reviewed with all members of the mission's emergency response team.

1.8.4 ***.

1.8.5 ***.

1.8.6 All signage within the mission, including emergency procedures, should be posted in both official languages.

1.8.7 Hospitality activities should be supported by documentation that outlines the purpose of the event, links it to mission priorities, evaluates its value-for-money and identifies any follow up that was taken or is required.

1.8.8 Lima's CMM should review the hospitality guidelines for La Paz.

Recommendations to the Missions in Lima and La Paz

1.8.9 The missions should review and update the MOU between Lima and La Paz to ensure that La Paz has the support it requires and that roles and responsibilities are clear.

1.8.10 The missions, in consultation with Headquarters, should consider designating the CIDA program manager in La Paz as the Head of Office.

1.8.11 All employees should have a PMP in place and participate in formal performance discussions with their supervisor in accordance with the performance management cycle.

Recommendations to the Mission in La Paz

1.8.12 The mission should adopt a more formal communication structure including:

1.8.13 Management controls, with particular focus on *** performance management, should be reviewed and strengthened.

1.8.14 A business case should be developed to outline the resources required to undertake representational duties at events that require a Canadian presence.

1.8.15 The Consular program should continue to review work processes to gain efficiencies and better manage the workload.

1.8.16 A refresher course on COMIP data entry should be taken by staff to ensure data is appropriately categorized and recorded.

1.8.17 ***.

1.8.18 Old passport applications should be destroyed within the prescribed timeframe, and a plan should be developed to address the current backlog.

1.8.19 The mission should consult the common services policies, procedures and service standards in place in Lima to determine which may apply to La Paz and which could be adapted to fit the mission environment.

1.8.20 Once developed, mission policies, procedures and services standards should be communicated to all staff and easily accessible for reference.

1.8.21 The program should develop a workplan to guide staff and to assist with establishing priorities. Issues identified in the mission self-assessment should be included in the workplan.

1.8.22 The mission should seek immediate assistance from the mission in Lima and the Financial Operations, International Division (SMFF) to review financial processes and implement appropriate procedures. ***

Mission Actions and Timeframes (Lima)

(Please note: The management actions below reflect the initial responses upon receiving the recommendations. They do not reflect the current status of implementation.)

1.8.1 Management meetings have been restructured to include CMM agenda items at the onset followed by operational issues. This format allows for collaboration amongst all mission programs and increased engagement with the mission in La Paz. Minutes are sent to all staff in Lima and La Paz via e-mail and will be posted to the wiki once the reorganization is complete. Implemented February 2013.

1.8.2 All mission policies and procedures are now available on the wiki. Going forward, the wiki will be reorganized to improve clarity and access. It will be used as the central repository for policies, procedures and service standards. In progress for October 2013.

1.8.3 A MEP training plan, including incident command structure roles and responsibilities, has been developed. Briefings and training sessions will be conducted at the mission following the incoming rotation of CBS. In progress for October 2013.

1.8.4 A schedule has been developed for regular *** and includes regular emergency exercises. In progress for September 2013.

1.8.5 In accordance with guidelines recently received from Headquarters, *** Implemented August 2013.

1.8.6 All signage within the mission is now in both official languages. Implemented February 2013.

1.8.7 The supporting documentation for hospitality activities has been further strengthened to include clear linkages to program priorities and results. Implemented April 2013.

1.8.8 Lima's CMM has reviewed and approved the hospitality guidelines for La Paz. Implemented February 2013

Mission Actions and Timeframes (Lima and La Paz)

(Please note: The management actions below reflect the initial responses upon receiving the recommendations. They do not reflect the current status of implementation.)

1.8.9 The MOU between Lima and La Paz has been revised and updated. The new version takes into account changes as a result of the amalgamation of CIDA and DFAIT. Implemented June 2013.

1.8.10 With the amalgamation of CIDA and DFAIT and the arrival of a new senior development officer in La Paz, the La Paz Development program manager has been designated the Head of Office. Implemented September 2013.

1.8.11 PMPs for all staff are expected to be in place by mid-October (following the arrival of all new program managers at the posts). In progress for October 2013.

Mission Actions and Timeframes (La Paz)

(Please note: The management actions below reflect the initial responses upon receiving the recommendations. They do not reflect the current status of implementation.)

1.8.12 More formal communications have been initiated at the mission, including the conduct of all-staff meetings. However, both the senior development officer and the MCO rotated out of the mission this summer. With the arrival of new managers, a more formal communication structure will be entrenched as recommended. In progress for October 2013.

1.8.13 Enhanced management controls were in development ahead of the rotation of both the senior development officer and the MCO this summer. With the arrival of new managers, management controls, with a particular focus on *** performance management, will be reviewed and strengthened. In progress for October 2013

1.8.14 See 1.8.10. The mission will review and evaluate representational duties and costs during the next year to be in a position to establish a business case for resource allocation for representational duties in La Paz. In progress for November 2013.

1.8.15 The Consular program has reviewed its work processes. As a result, the existing LE-08 consular position was deleted and a new LE-06 consular position was created. Job descriptions for the receptionist and other staff have been updated to ensure alignment with consular work priorities. As well, structured outreach and engagement with clients *** has been implemented. Work processes will be continually reviewed to ensure appropriate resource alignment. Implemented June 2013.

1.8.16 Consular staff have completed a COMIP refresher course. Implemented April 2013.

1.8.17 The reconciliation process now uses the EXT 119 form and is conducted on a regular basis. Implemented March 2013.

1.8.18 The backlog of passport applications has been cleared, and old passport applications have been appropriately destroyed. Implemented August 2013.

1.8.19 La Paz is consulting the policies, procedures and service standards in Lima in order to adapt them to fit La Paz where possible. In progress for October 2013.

1.8.20 All mission policies and procedures are communicated to staff by email and accessible on the mission's shared network drive. In progress for October 2013.

1.8.21 An appropriate workplan will be developed in early fall following arrival of new MCO at the mission. In progress for October 2013.

1.8.22 The Senior Accountant from Lima visited La Paz for a one-week temporary duty to provide on-site training. The mission is also collaborating with the Financial Operations, International Division (SMFF) for further training and guidance. As well, the mission has hired a new Accounting & Admin Assistant.***. In progress for 2015.

2 Foreign Policy and Diplomacy Service (FPDS)

2.1 Overview

2.1.1 The FPDS program is headed by an FS-03 Program Manager who is supported by an FS-02 Political Officer, an LE-08 Political/Economic Analyst (resident in La Paz), an LE-07 Political and Public Affairs Officer and an LE-06 Public Affairs Coordinator. The program's financial resources are provided below.

Program's Financial Resources
Budget2012-2013
Operations$1,534
Travel4,316
Hospitality1,496
Post Initiative Fund9,508
Total$16,854

2.1.2 Prior to 2012, the program consisted of only three people. Two positions, the FS-02 and LE-08 in La Paz, were amalgamated into the mission's FPDS program following the closure of the Andean Unit for Democratic Governance (AUDG). The AUDG was a pilot regional policy and programme centre that was located at the Embassy in Lima.

2.1.3 In addition to engaging Peru on its multilateral and foreign policy priorities, the FPDS program concentrates on advancing democratic values and strengthening hemispheric security, core areas for Canada's engagement in the Americas. As the Canada-Peru bilateral relationship continues to grow, the FPDS program seeks to reinforce existing areas of cooperation, including in good governance and drug trafficking interdiction, and develop new avenues to work together and share experiences.

2.2 Planning and Program Management

Evaluation of FPDS Program Management
Key FPDS Program Management CriteriaMeetsNeeds ImprovementDoes 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 Overall, the FPDS program is operating well. Its priorities are aligned with departmental objectives in the Hemisphere, and it works in a collaborative whole-of-government manner, including in the management of high-level visits. The program manager guides her team *** in linking program activities to Canadian interests ***.

2.2.2 Over the last year, the program has undergone a significant transition. The AUDG closure resulted in the temporary addition of four staff to the program, followed by the deletion of two of these positions. As well, advancements in the Canada-Peru bilateral relationship have led to frequent high-level visits, which have added significant pressure to the program. While the stress is evident and workloads are high, the program is delivering good results and reporting well.

2.2.3 The program largely relies on the Mission Planning and Reporting (MPR) document to guide its priorities. An additional tool that identifies important events and leads was developed, but it does not address the program's strategic direction or outline measurable objectives. A workplan would provide the program structure and facilitate effective performance measurement.

2.2.4 Communication within the team is generally good. Nonetheless, weekly meetings could be improved by establishing a set agenda, providing more information from the CMM and Headquarters and maintaining a short record of decision. Regular telephone and videoconference calls with the LE-08 in La Paz provide effective information exchange despite the distance. Occasionally, it would be useful to have the program manager speak with the FS-02 in Lima and the LE-08 at the same time.

2.2.5 There is some uncertainty as to the roles and responsibilities of each member of the team, which has resulted in tension at times. In particular, the absence of an administrative resource affects the officers' ability to focus on higher-level work. As well, the LE-07 Political and Public Affairs Officer is tasked by members of the FPDS program as well as managers from across the mission. To ensure effective communication and workload management, all tasking of the LE-07 should go through the FPDS program manager.

2.3 Implementation

Evaluation of FPDS Implementation
Key FPDS Implementation CriteriaMeetsNeeds ImprovementDoes 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 program needs and objectives. X 

2.3.1 Although programs across the mission work well together in support of broad Government of Canada interests, there is no cohesive plan or common messaging. A whole-of-government advocacy strategy would enhance policy coordination and the consistency of messaging. The plan should be evergreen and used to guide high-level visits and other opportunities for engagement with decision makers.

2.3.2 Program activities and initiatives are aligned with key priorities. For example, high-level visits, including the recent visit of the Governor General, are leveraged to advance bilateral, regional and international priorities. As well, the Canada Fund for Local Initiatives in Bolivia supported five projects related to human rights and good governance. Reporting from the mission, both proactive and in response to client requests, is viewed positively from Headquarters. The addition of the former AUDG resources, and the related regional focus, provides good value.

2.3.3 High-level visits and other demands on the program have affected employees' ability to maintain and expand their network of influence. Networking objectives, including targeted outcalls in support of priority reporting objectives, should be included within the program's workplan. Hospitality funds should be leveraged strategically in support of this objective.

2.4 Performance Measurement

Evaluation of FPDS Performance Measurement
Key FPDS Performance Measurement CriteriaMeetsNeeds ImprovementDoes 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 There is no program-wide performance measurement system in place. However, public affairs activities are evaluated through the Mission Advocacy Activity Tracker (MAAT) and individual performance is assessed through discussions and feedback as part of the Performance Management Program (PMP). Strengthening program planning will facilitate more meaningful performance measurement. Results should be reviewed on an ongoing basis and complemented with an annual retreat to validate the related strategies and activities and incorporate lessons learned into future planning.

2.4.2 Hospitality and MAAT reporting were generally satisfactory, but there is a need to make the purpose of events more clear and provide an honest evaluation of results. The evaluation of results should extend beyond an acknowledgement that all objectives were met. A good practice in reporting outcomes is to link the event or activity to reporting or other tangible outcomes. As well, the FS-02 should be allocated a portion of the program's hospitality and be held accountable for planning and reporting.

2.5 Recommendations

Recommendations to the Mission

2.5.1 The program should develop a workplan that outlines key activities and links human and financial resources to strategic and measurable objectives. This workplan should cascade into employees' individual workplans in order to maintain a coherent strategic focus.

2.5.2 The program should clearly define its administrative needs and assign responsibilities from within the program or seek a sustainable solution in consultation with mission management. Following this, roles and responsibilities should be reviewed with all members of the program.

2.5.3 A whole-of-government advocacy strategy and plan should be developed for the mission.

2.5.4 Networking objectives should be included within the program's workplan.

2.5.5 A performance measurement system should be implemented to monitor activities on an ongoing basis and assess results against strategic objectives. Lessons learned should be captured and applied to future planning.

2.5.6 Hospitality activities should be planned in advance to ensure funds are fully leveraged and used strategically. The associated documentation should clearly state the purpose of each event, evaluate if, and how, value-for-money was achieved and identify any follow up that was taken or will be required.

Mission Actions and Timeframes

(Please note: The management actions below reflect the initial responses upon receiving the recommendations. They do not reflect the current status of implementation.)

2.5.1 Lima has instituted the program budget excel document as the main day-to-day team planning document to link human and financial resources to activities. As well, the planning template document for activities in Bolivia has been adapted. Due to an unforeseen staff change in 2013, the program has not yet officially (i.e. in PMPs) connected the team workplan to individual workplans. In practice, all staff are focused on mission/Americas Strategy priorities, which were emphasized during two team retreats (April and June 2013). In progress for October 2013.

2.5.2 The job description of the LE-06 position includes 30% for "event coordination and administrative support". There are no funds to supplement this with another position at this time. Once the new program manager is in place in early October, administrative needs and roles/responsibilities will be reviewed by both FPDS CBS (the current acting and incoming program manager), taking into account that the program in Lima grew by one position in 2012. Discussion will also take place with all members of the team. In progress for November 2013.

2.5.3 Work on a whole-of-government advocacy plan was started in early 2013, but it was not completed due to the temporary departure of the LES officer responsible for this file and the demands of the visit of the Prime Minister in May. The program will revisit the draft plan in October and November. In progress for November 2013.

2.5.4 The program networking objectives were discussed at the April team retreat. Networking objectives will be added to the workplan once a new program manager arrives in October. In progress for November 2013.

2.5.5 The implementation of a performance measurement system has been delayed due to unforeseen staff changes. In progress for December 2013.

2.5.6 The program has implemented a weekly team review of the program's budget document, which includes the hospitality envelope, to ensure effective/strategic planning (including leveraging funds from other sections on joint activities, when appropriate). Official Hospitality forms are used every quarter to demonstrate value-for-money and links to strategic objectives. Follow-up is registered in numbered reports, the Mission Advocacy Activity Tracker and other appropriate reporting mechanisms. Implemented April 2013.

3 Commercial Economic (CE)

3.1 Overview

3.1.1 The Commercial Economic (CE) program in Lima is headed by an FS-03 Senior Trade Commissioner (STC) acting at the FS-04 level. The STC is supported by three trade commissioners (TCs) (one FS-01 and two LE-09s) and two LE-05 trade commissioner assistants (TCAs). The program covers both Peru and Bolivia. Its financial resources are provided below.

Commercial Economic program financial resources
Budget2012-2013
Operations$5,949
Travel$8,115
Hospitality$863
Client Service Fund (CSF)$8,630
ITS Window$20,293
Corporate Social Responsibility Window$8,284
Total$52,134

3.1.2 Peru is an emerging market with a growing population. In 2011, it had the 50th largest gross domestic product (GDP) globally. Canada and Peru recently signed a free trade agreement, which has opened many doors for Canadian companies, and the CE program has since seen an increase in volume of activities.

3.1.3 The program's priority sectors are agriculture and agri-food, education, information and communication technologies (ICT), infrastructure and mining. Defence and life sciences are emerging sectors that will be a priority for the program in the 2013-14 fiscal year. ICT, on the other hand, is now identified as a mature sector, and will be served on a reactive basis going forward.

3.2 Planning and Program Management

Evaluation of CE Program Management
Key CE Program Management CriteriaMeetsNeeds ImprovementDoes 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 Overall, the program is functioning well and delivering on its commitments. The team is dedicated, works well together and effectively carries out activities as per the Commercial Economic program plan (CEP plan). The STC actively supports and guides officers with respect to sector action plans and major activities. The CEP plan is aligned with the MPR document, Canada's engagement in the Americas strategy and Government of Canada priorities.

3.2.2 The planning process starts with a retreat at the end of the year to discuss results and the strategic direction for the upcoming year. This discussion helps shape the strategy that is drafted by the STC. The retreat is then followed by consultations with other programs at the mission, partner departments, provinces, Headquarters and neighbouring missions in the region (also known as Team Andino).

3.2.3 Some officers have experienced difficulties in setting appropriate performance targets. There has been an increase in service demands lately, which is attributed to Peru's sustained economic growth and Canada's diverse interests in the country.The program has, however, struggled to respond to clients within the service standard of five business days. As well, given the frequent high-level visits, officers have concerns that they won't be able to provide the same level of service to clients that they once did or be as proactive in their respective sectors. In addition, market access issues have been very time consuming for the agriculture officer. These pressures affect the program significantly; although the team is positive and enthusiastic about their work, individual stress levels are a concern.

3.2.4 The program has an FS-01 position, which is intended to be an entry-level assignment for TCs on a first posting. However, the level of responsibility and scope of work handled by the incumbent may exceed that of a typical FS-01 TC position. The position's job description should be reviewed to ensure it accurately captures the full extent of the position's responsibilities.

3.2.5 Communication within the program is effective. The weekly team meetings are structured with an agenda highlighting the main topics of discussion including results from the CMM discussions. The STC also holds two separate meetings: a weekly meeting with the FS-01 TC and a daily meeting with the LE-05 TCA. The STC should consider keeping a record of decisions for important action items addressed at the team meetings.

3.3 Implementation

Evaluation of CE Implementation
Key CE Implementation CriteriaMeetsNeeds ImprovementDoes Not Meet
Business plan objectives and those outlined in management's PMAs (Performance Management Agreement) /PMPs (Performance Management Program) appropriately cascade down into staff PMPs. X 
Activities and initiatives are aligned with the mission's key priorities.X  
TRIO use is monitored to ensure activities are reported appropriately and accurately reflect the work undertaken. X 
InfoCentre functions are assigned and facilitate program delivery. X 

3.3.1 The CEP plan's objectives are aligned with mission priorities and generally cascade into the Performance Management Programs (PMPs) of the CE team. Employees have objectives for the current fiscal year and have completed mid-term reviews with their supervisors. However, the STC does not have a current PMP, which results in a significant gap in terms of aligning employee performance with objectives.

3.3.2 The program is providing effective services and actively working to identify and promote business opportunities for clients. Activities are well aligned with mission objectives and are generating results in their respective sectors.

3.3.3 Canadian interest in Peru is growing, which has translated into an increased demand from clients in a number of areas. Given limited resources, the program has responded by narrowing and targeting their focus to provide the best value. For example, the program has concentrated the infrastructure sector's focus on water/sanitation and transportation. Even with the high workload, TCs in Lima are active members of Team Andino and share information across the mission network to develop joint initiatives when possible.

3.3.4 Although the program is using TRIO, it could be used more effectively. TCs and TCAs are attempting to enter all service requests in TRIO. However, they are not entering their outcalls and therefore cannot always associate leads appropriately in the system. A TRIO champion position exists within the program; however, some of the TRIO champion's tasks were reassigned by the previous STC and the incumbent's roles and responsibilities are not clear. The STC should consider reinstating all of the TRIO champion's responsibilities to maximise resources and better track data entry.

3.3.5 The CE program has a back log of TRIO entries, which they attribute to the high number of visits. The program has since hired interns to enter data in TRIO, research company profiles and help with logistics for projects and events. This assistance allows TCs to focus on other priorities such as delivering service to clients.

3.3.6 Several out-dated market reports are available on the trade commissioner service (TCS) website, including for the agri-food, ICT, mining and oil and gas sectors. However, certain priorities are not represented, most notably education and infrastructure but also emerging markets such as defence and life sciences. As priority sectors, it would be valuable to consolidate existing and new information for clients to access on the TCS website as needed.

3.3.7 At present, there is no formal InfoCentre within the program, but two of the TCA's assume some of the responsibilities. They support TCs on priority sectors and aim to improve service to clients in non-priority sectors. The STC expressed an interest in reinstating a formal InfoCentre model comprised of a TC supervisor and two TCAs. When this transition takes place, it will be important to clarify roles and responsibilities with both the TCs and the TCAs to avoid confusion. In addition, job descriptions should be reviewed and updated as required.

3.4 Performance Measurement

Evaluation of CE Performance Measurement
Key CE Performance Measurement CriteriaMeetsNeeds ImprovementDoes Not Meet
Tools and mechanisms are in place to measure and monitor performance of the program. X 
Program employees are involved in the performance measurement process.X  
Hospitality diaries are maintained in a fashion that demonstrates value-for-money and alignment with priorities.X  

3.4.1 The STC prints a snapshot from the International Business Development (IBD) Dashboard and reviews the data with her team during staff meetings. However, TRIO reports are not used to monitor and review the level of activity, number of core services provided, interactions or business leads. It would be beneficial to use the TRIO reports along with the IBD Dashboard to ensure that data is entered appropriately. Overall results are reviewed and recorded in the CEP plan by employees and are used to guide the development of future years' plans.

3.4.2 The hospitality activities are in line with CE and mission objectives, expenses are properly justified and there is an evaluation of their value for money. However, only a limited number of hospitality activities have taken place, and the TCs do not have their own hospitality allocations.

3.5 Recommendations

Recommendations to the Mission

3.5.1 The CEP plan should be reviewed to ensure that performance targets are set at the appropriate level.

3.5.2 The job description of the FS-01 position should be reviewed to ensure it accurately conveys the responsibilities of the position.

3.5.3 PMPs should be put in place for all employees and used to guide discussions on past performance and objectives for the future.

3.5.4 TRIO data related to all performance indicators should be entered in a timely manner.

3.5.5 A formal InfoCentre model should be reinstated and job descriptions updated to accurately reflect the changes made.

3.5.6 TRIO reports should be used as a means to measure and monitor program performance.

3.5.7 TCs should be allocated a portion of the hospitality budget and held accountable for its strategic use.

Mission Actions and Timeframes

(Please note: The management actions below reflect the initial responses upon receiving the recommendations. They do not reflect the current status of implementation.)

3.5.1 New performance targets have been proposed by officers, reviewed by the STC and approved by Headquarters. Implemented March 2013.

3.5.2 The generic job description for the FS-01 officer was reviewed, discussed with the incumbent and found to adequately cover the scope of the responsibilities for the position. Implemented September 2013.

3.5.3 PMPs are used to guide performance discussions and have been initiated for all employees for the current year. Implemented August 2013.

3.5.4 Although TRIO data was entered in a timely manner during fiscal year 2012-2013, fiscal year 2013-2014 has proven more challenging due to numerous high-level visits and the Foreign Service work action. Officers are regularly reminded of TRIO responsibilities and TRIO entry is included as a measurable item in PMPs. Additionally, weekly meetings are used to review stats to date for the fiscal year. Implemented September 2013.

3.5.5 The development of an InfoCentre was considered, but it was determined that the program is not resourced appropriately for a formal InfoCentre model. To achieve a similar result, steps have been taken to formalize the management of the program's email box and all officers and assistants are aware of their monitoring responsibilities. Implemented April 2013.

3.5.6 TRIO reports are used by the STC to monitor program performance. However, due to TRIO 2 implementation challenges, the IDB Dashboard is not currently available, nor is it possible to issue TRIO reports. In progress.

3.5.7 Individual TCs have been allocated a portion of hospitality funds and are responsible for its use. Implemented May 2013.

4 Consular

4.1 Overview

4.1.1 The Consular program is managed by the AS-06 MCO, but the AS-04 DMCO has responsibility for the operational day-to-day duties. The program is supported by an LE-08 Consular Program Officer, who has delegated signing authority for notarial services, and an LE-06 Consular Assistant.

Consular program financial resources
Budget2012-2013
Operations$1,085
Travel4,247
Hospitality2,342
Total$7,674

4.1.2 The program provides approximately 500 passport services and processes approximately 290 citizenship applications and 550 notarial requests yearly. There are 736 Canadian citizens identified in the Registration of Canadians Abroad (ROCA) database, although the estimated number of Canadians residing in Peru is 5,000. There is an annual Canadian tourist volume of 57,000, which is anticipated to increase with the addition of more***

4.1.3 The transfer of passport and citizenship services for Bolivia to the mission in La Paz in 2011 has allowed the program to devote more time to the consular case workload and focus more on strategic forward planning issues such as developing crisis mapping in coordination with the Security program. The program has an active consular workload that increasingly involves complex cases that can require significant amounts of time. As well, the program receives a steady number of general enquiries by email and telephone, as well as routine and distress cases dealing with arrest, medical assistance, death, theft/loss, etc. There are currently *** Canadians detained in Peru. A transfer of offenders treaty is in place, and two transfers took place last year with another three applications submitted for this year.

4.1.4 There is no Honorary Consul in Peru at present. However, with the expected increase in the numbers of Canadians visiting and the number of consular cases in Cusco *** The mission currently has an arrangement with a like-minded mission to provide assistance when necessary and will continue to monitor and report to Headquarters should there be any significant change.

4.2 Planning and Program Management

Evaluation of Consular Program Management
Key Consular Program Management CriteriaMeetsNeeds ImprovementDoes 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 functioning effectively. The MCO and HOM are *** involved and provide *** oversight. There is, however, some improvement required to ***.

4.2.2 Internal communication is generally good. The program has developed a good workplan and it has been shared with staff. There is good team spirit and cooperation; the staff is motivated, highly knowledgeable and efficient. Discussions take place informally, but there are no scheduled meetings to discuss policy, procedural changes and ongoing consular cases.

4.2.3 Consular plans and manuals are up to date. The Consular program led in the development of the MEP last year and provided input for the required updates this year. However, it was not clear to all staff that the Security program had assumed the lead with respect to the MEP.

4.2.4 The program maintains a good network of contacts. While the DMCO only arrived recently and has not yet established a vast network, she has met with officials of the Tourist Police as well as some like-minded missions. The MCO and other consular staff have well-developed contacts with like-minded missions, the MFA, police authorities, hospitals, prison officials, etc.

4.2.5 There is a well-developed warden system that covers 12 districts, 3 of which are currently vacant. Contact is maintained with wardens as required and a wardens' conference was held in March 2012. In December 2012 a lunch was organized to introduce the new DMCO to the wardens. Internal travel costs in Peru are expensive, which has made it challenging to conduct many outreach activities. Nevertheless, the DMCO plans to visit Cusco this year and would like to undertake more outreach.

4.3 Client Service

Evaluation of Consular Client Service
Key Consular Client Service CriteriaMeetsNeeds ImprovementDoes 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 program is providing a good service and meeting the established service standards. Services are provided to clients in both official languages as well as in Spanish. Bilingual signage and information is available to clients in the consular booth/reception area and a trilingual copy of the fee schedule and official receipt are displayed. However, a copy of the service standards is not posted.

4.3.2 Although the program actively seeks client feedback, the response has been limited but positive. Feedback forms are provided with all services and are also available in the reception area along with a locked box to collect completed forms.

4.4 Internal Controls

Evaluation of Consular Internal Control
Key Consular Internal Control CriteriaMeetsNeeds ImprovementDoes 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, and 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 over passport and consular activities are in place,***. All consular staff have received Passport Management Program certifications, and passports are authorized by the DMCO or MCO. Client documents and personal information are appropriately stored.

4.4.2 ***.

4.4.3 All services are recorded on a mission-generated version of the EXT 119 Record of fees received - Passport/Consular Services form, and detailed instructions and procedures exist for the reconciliation of revenue.***.

4.4.4 The program uses several electronic spreadsheets to record fees received and services provided: one for each currency received and another for all passport/citizenship services. This makes the reconciliation process more challenging. The program should use the EXT 119 form, which has columns for different currencies, or a similar document that consolidates all the required information to record all services and fees in one place.

4.4.5 ***.

4.4.6 The program has developed a good seals/stamps inventory document that details the location, holder name and type of seal/stamp.

4.5 Recommendations

Recommendations to the Mission

4.5.1 The program should schedule formal meetings to discuss policy, procedural changes and ongoing consular cases.

4.5.2 The mission should confirm which program has the lead for developing and updating the MEP and communicate this information to staff.

4.5.3 A bilingual copy of the service standards should be posted in the reception/consular area.

4.5.4 ***.

4.5.5 ***.

Mission Actions and Timeframes

(Please note: The management actions below reflect the initial responses upon receiving the recommendations. They do not reflect the current status of implementation.)

4.5.1 Bi-weekly section meetings with DMCO, MCO, Consular Officer and Consular Assistant are taking place. Implemented February 2013.

4.5.2 The responsibility for developing and updating the MEP will be defined and communicated to staff, in consultation with HQ. In progress for October 2013.

4.5.3 A bilingual copy of the Service Standards has been posted in the reception/consular area. Implemented February 2013.

4.5.4 ***. Implemented March 2013.

4.5.5 *** Implemented March 2013.

5 Common Services

5.1 Overview

5.1.1 The Common Services program is managed by *** AS-06 MCO. He is supported by a team of two CBS and 15 LES, including five general service staff members. The program is responsible for providing common services to 67 employees spread over six DFAIT and four partner programs. The program also provides support to the mission in La Paz.

Program Management

Evaluation of Common Services Program Management
Key Common Services Program Management CriteriaMeetsNeeds ImprovementDoes 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 

5.1.2 Overall, the program is functioning well and providing high quality services to clients throughout the mission. The MCO is a *** by all staff within the program and *** by other program managers for his *** communication style.

5.1.3 A common service business plan is in place and individual section work plans have been developed that assist in work flow and planning. Most policies and procedures are well documented and are either placed on the wiki or on the common shared drive, although these policies are not updated on a regular basis. As mentioned under mission management, these should be consolidated in one area and changes communicated to clients as required. The program has also developed orientation guides to assist with the integration of new employees to the mission.

5.1.4 Communications within the program could be improved. Although the MCO meets on a regular basis with staff individually, there are no meetings where all section heads are present. Planning for regularly scheduled meetings, particularly for section heads, would be beneficial. These would also provide the MCO an opportunity to discuss forward planning, program delivery and other issues that may affect multiple sections.

Client Service

Evaluation of Common Services Client Service
Key Common Services Client Service CriteriaMeetsNeeds ImprovementDoes Not Meet
Service standards have been established and communicated to clients.X  
Services provided reflect fair and equitable allocation and access to common services for all mission programs.X  
A mechanism is in place to solicit and receive client feedback, and corrective action is taken when warranted. X 
Hub-and-spoke relationships are governed by an agreement outlining the roles and responsibilities of each mission. X 

5.1.5 Overall, client services were found to be effective with some areas identified for improvement. The service standards date from March 2011 and are due to be updated now. Although a general relocation survey is undertaken each year following the relocation season, there is no formal client service feedback mechanism in place for other services. Additional feedback would assist the program in recognizing successes and any deficiencies in service delivery.

5.1.6 As noted under Mission Management, an MOU governs the hub-and-spoke relationship between Lima and La Paz, but it is out of date. It is recommended that the missions review and update the document to ensure that the support and oversight provided by Lima is appropriate.

Procurement and Contracting

Evaluation of Procurement and Contracting
Key Procurement and Contracting CriteriaMeetsNeeds ImprovementDoes 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  
A plan is in place for major acquisitions and is approved by CMM annually.X  

5.1.7 In general, contracting and procurement processes are effective. Staff involved in the procurement and contracting processes are aware of their roles and operate under the guidance of the MCO. The mission has an active Contract Review Board (CRB), but only a limited number of contracts have been reviewed over the past two years.

5.1.8 The contracting files that were reviewed were in good order and well documented. The CRB uses a managerial checklist to ensure all aspects of the review takes place. While this is recognized as a good practice, the mission could also include contract approval signatures directly on the checklist.

5.1.9 The program has developed a four year capital acquisition plan that is updated and tabled at the CMM for approval on an annual basis.

Recommendations

Recommendations to the Mission

5.1.10 Policies and procedures should be consolidated in one area (as per recommendation 1.8.2) and updated annually.

5.1.11 The MCO should schedule regular meetings that include all section heads.

5.1.12 The program should develop a formal client feedback mechanism.

Mission Actions and Timeframes

(Please note: The management actions below reflect the initial responses upon receiving the recommendations. They do not reflect the current status of implementation.)

5.1.10 See 1.8.2. Key policies and procedures have been updated with future revisions are to take place annually or as required. All key mission policies and procedures are now available on the wiki. The wiki will be reorganized to improve clarity and access for employees. In progress for October 2013.

5.1.11 In addition to bi-weekly section meetings, and monthly meetings with all program staff, a monthly meeting with all section heads now takes place. Implemented August 2013.

5.1.12 A client service survey to receive feedback will be implemented to measure client satisfaction and improve service where required. In progress for November 2013.

5.2 Human Resources

5.2.1 The human resources (HR) functions at the mission are the responsibility of the AS-06 MCO, but routine tasks are divided among various members of the common services team. There have been 13 staffing and 9 classification actions in the last two years.

5.2.2 The mission cites the lack of a dedicated HR resource as a challenge for the provision of a consistent level of HR services. The LES also indicated that a dedicated HR position would provide a centralized point of contact on LES matters related to pay, medical and HR issues.

Management

Evaluation of HR Management
Key HR Management CriteriaMeetsNeeds ImprovementDoes Not Meet
A mission HR plan has been developed and submitted to headquarters.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 

5.2.3 Overall, the HR functions at the mission are *** managed by the MCO despite the lack of a dedicated resource, and most of the inspection criteria have been met. HR planning within the Common Services Business Plan is well defined.

5.2.4 The MCO receives assistance from the LE-05 Administrative Assistant and the LE-07 Accountant or other staff members as required. The division of these HR tasks is not currently documented, which may lead to some overlap or confusion as to whom staff should address their requests. While a business case for an HR resource has been prepared and submitted to the Client Relations and Mission Operations Bureau (AFD), in the interim, and pending any regionalization of HR services, the mission must continue to ensure that key HR activities/tasks are undertaken. Clarifying the roles and responsibilities or identifying a central HR resource in the mission would assist the MCO and ensure consistency of service.

5.2.5 Job descriptions exist for most positions, and PMPs are in place for the consular and common services staff. However, there is no systematic review of job descriptions and, until recently, no systematic PMP monitoring for all other programs.

5.2.6 As a result of the increased workload due to frequent incoming visits and other high priorities, the staffing of vacant positions has been delayed in some cases. Under normal circumstances, the MCO works closely with each program manager throughout the staffing action. However, no staffing procedures exist to help guide program managers.

5.2.7 Good orientation documents are available for new CBS and LES. Arrival and departure checklists have been created for CBS to ensure that staff are informed of procedures and that all steps are followed. Similar checklists have not yet been developed for LES.

5.2.8 The DMCO is designated as the mission training coordinator, and there is an active learning committee. In addition to identifying learning needs in PMPs, a survey of LES was undertaken and a needs analysis conducted. A comprehensive Organizational Learning Plan was developed and submitted to Headquarters for funding approval, and a number of mission-wide and individual training/learning sessions were provided.

5.2.9 The mission maintains separate position, employee and competition files. Although the Locally Engaged Staff Services Bureau (ALD) file checklists are used, a review of files found that some files were well maintained but many others had incomplete and inconsistent documentation.

Internal Controls

Evaluation of HR Internal Control
Key HR Internal Control CriteriaMeetsNeeds ImprovementDoes Not Meet
Staffing actions are conducted in line with the Locally Engaged Staff Services Bureau (ALD) guidelines. Written records supporting the process are maintained and contain required documents and approvals. X 
Letters of offer are signed by the appropriate authority and include the appropriate clauses (e.g. values and ethics, etc.).X  
LES accrued leave and deductions are recorded and the related liabilities are monitored.X  

5.2.10 Overall, HR processes and internal controls are in place. Competitions are conducted in accordance with ALD guidelines on staffing, and Letters of Offer are signed by the HOM. As mentioned above, while certain key documents are maintained, not all required documents are on file. Examples include missing job advertisements and notification to candidates of hiring board results.

5.2.11 LES leave is tracked and managed through the use of an electronic spreadsheet developed by the LE-05 Administrative Assistant. Leave balances are provided to managers on a quarterly basis and updates are sent to employees.

Recommendations

Recommendations to the Mission

5.2.12 The mission should reorganize HR duties within the program to either centralize responsibility or clarify who is responsible for which HR tasks/activities. These new roles and responsibilities should be defined and communicated to all staff.

5.2.13 A systematic review of job descriptions should be conducted every five years or whenever significant changes occur.

5.2.14 The mission should develop arrival/departure checklists for LES.

5.2.15 Staffing procedures should be developed to assist with staffing actions and guide program managers through the process.

5.2.16 The mission should use the ALD file checklists to ensure employee, position and staffing files contain all the necessary information.

Mission Actions and Timeframes

(Please note: The management actions below reflect the initial responses upon receiving the recommendations. They do not reflect the current status of implementation.)

5.2.12 The mission submitted a business case ***. As a result, HR functions are shared amongst common services staff to meet operational requirements. Implemented 2013.

5.2.13 A checklist has been developed to ensure a systematic review of job descriptions. Implemented July 2013.

5.2.14 The arrival/departure checklists for CBS will be modified accordingly and provided to LES to supplement the existing LES orientation program. In progress October 2013.

5.2.15 The mission now refers managers to the existing ALD "Manager's Guide for Staffing of LES" with particular attention to Appendices 1-13. Implemented April 2013.

5.2.16 As noted in paragraph 5.2.9, the mission currently uses ALD file checklists. The staffing files were reviewed in 2011, and all of the available information was added to files at that time. It is noted that some information is missing, but does not exist, for a number of older staffing files. Implemented February 2013.

5.3 Physical Resources

5.3.1 The physical resources functions at the mission are the responsibility of the MCO. He is assisted by an LE-08 Property Officer, an LE-06 Facilities Manager, an LE-05 Property and Materiel Assistant and two general service handymen. General administrative services and transportation duties are assumed by an LE-05 Administrative Assistant and an LE-03 Messenger. There are three drivers who provide services to all programs, as well as a driver dedicated for use by the HOM.

5.3.2 The section is responsible for the maintenance and upkeep of a Crown-owned chancery and compound, a Crown-owned official residence (OR), seven Crown-owned and 11 Crown-leased staff quarters (SQ). The section also maintains a fleet of *** official vehicles, ***.

Management

Evaluation of Physical Resources Management
Key Physical Resources Management CriteriaMeetsNeeds ImprovementDoes Not Meet
Mission property and maintenance plans are up-to-date.X  
The chancery and official residence (OR) are well maintained and maintenance schedules are in place.X  
An efficient process in place for receiving, processing and monitoring work orders. X 
Annual inspections are conducted to assess the state of staff quarters (SQs) and input into maintenance and acquisition planning. X 

5.3.3 The section is functioning well. Staff are knowledgeable, dedicated and performing at a high level. Property maintenance plans are up to date and maintenance schedules are in place for all properties. General maintenance contracts with local companies have been arranged for servicing all major equipment required for the chancery, OR and SQs. The two handymen are able to address routine repairs and maintenance issues while contractors are used for larger projects. The section has a four day service standard for routine maintenance and a 14 day service standard when general contractors are required.

5.3.4 The chancery is a purpose-built facility that was constructed in 2007. It is well maintained. The property section uses a building management system (BMS) to monitor and control plant systems such as heating and air conditioning, lighting, electrical, etc. The property manager and the facilities manager access the system on a daily basis to ensure equipment is functioning properly.

5.3.5 The *** service request software is not being used to manage maintenance requests. The mission receives requests through email, telephone calls and in person. The property manager and the facilities manager use two separate spreadsheets to track requests and expenditure data. The section is encouraged to reinstate the use of *** and actively seek client feedback following the completion of any repairs or maintenance.

5.3.6 Inspections of the OR and SQs are undertaken on an ad hoc basis, but no formal process is in place to address issues that are identified. The section should arrange for inspections of all properties on an annual basis and use a checklist to guide staff. The results of the inspections should be reflected in the capital acquisition plan and the maintenance workplan.

5.3.7 The OR is a well-maintained house that was built in 1976 and sits on expansive grounds. The city has grown to the point where the OR is not easily accessible due to traffic congestion. In addition, its location and its lack of available parking make it difficult to host events.***.

5.3.8 The Crown-owned house (PR6390009) is situated in a neighbourhood that has seen a substantial change over the last ten years. There are now six-storey apartment buildings on either side of the SQ that have taken away any sense of privacy that the tenants used to enjoy. ***.

Key Processes and Internal Controls

Evaluation of Physical Resources Internal Control
Key Physical Resources Internal Control CriteriaMeetsNeeds ImprovementDoes Not Meet
An inspection is conducted by new SQ occupants and a mission representative within 30 days of occupancy, after which occupancy agreements and distribution accounts are signed.X  
Records of assets located in the chancery, OR and SQs, as well as those in storage, are maintained on an ongoing basis and verified annually. Assets are appropriately safeguarded and controlled.X  
Disposals are appropriately authorized and follow departmental guidelines.X  
Vehicle logs and fuel purchases are verified against consumption (e.g. mileage/usage rates for vehicles and generators).X  

5.3.9 Overall, internal controls were found to be effective. The OR and SQ inventories of crown assets are well documented and maintained. Materiel transfer vouchers are used for any change to the inventories or movement of the equipment. Inventories are prepared within a week of the occupant taking possession.

5.3.10 Inventories have also been prepared for the storage ***. The areas are well maintained and controlled. However, inventories for offices in the chancery are incomplete.

5.3.11 The inventory of works of art is current and is signed off by the HOM. There are *** pieces of art that require reconditioning. The mission has been advised that a local art museum will accept them for repair in February 2013.

5.3.12 The handymen are provided with all the tools and equipment required to undertake electrical, plumbing and general service tasks. An inventory has been developed and signed off by the custodian and the relevant employees.

5.3.13 Disposal of surplus assets is undertaken through an in-house sealed bid process. Auctions are conducted frequently and good value is obtained from these sales. The Information Management-Information Technology section *** . The timely sale of these items would allow the mission to receive the best value possible.

5.3.14 Official vehicle logs are completed for all vehicles on a trip by trip basis, although clients do not sign off once the trip has been completed. A monthly report is prepared by the administrative assistant and is verified by the DMCO. The administrative assistant has established a maintenance schedule for all vehicles.

Recommendations

Recommendations to the Mission

5.3.15 The *** service request software should be reinstated for use by all staff.

5.3.16 A checklist should be used to review the status of all properties on an annual basis.

5.3.17 The chancery inventory of assets should be completed.

5.3.18 Disposal of surplus *** should be undertaken in a timely fashion.

5.3.19 Clients using official vehicle services should be requested to sign the log after each trip.

Recommendations to the Physical Resources Bureau (ARD)

5.3.20 Consideration should be given ***.

5.3.21 *** should be considered.

Mission Actions and Timeframes

(Please note: The management actions below reflect the initial responses upon receiving the recommendations. They do not reflect the current status of implementation.)

5.3.15 The mission opts to use the current tracking system until Development staff are migrated back to the Signet platform. In progress without any firm deadline.

5.3.16 A checklist has been developed to review all properties on an annual basis. Implemented February 2013.

5.3.17 The inventory of chancery assets will be updated. In progress for October 2013.

5.3.18 Disposal of surplus *** and other material assets will be held in the fall following relocation season. In progress for October 2013.

5.3.19 Clients will be requested to sign the log after each trip. In progress October 2013.

ARD Actions and Timeframes

(Please note: The management actions below reflect the initial responses upon receiving the recommendations. They do not reflect the current status of implementation.)

5.3.20 ***. In progress for August 2014.

5.3.21 ***. In progress for August 2014.

5.4 Finance

5.4.1 Under the general direction of the MCO, the LE-07 Senior Accountant manages the day-to-day operations of the section with the assistance of the LE-05 Junior Accountant. The MCO uses IMS to view reports, provides a challenge function when required, and is active in budget preparation and forecasting.

Management

Evaluation of Finance Management
Key Finance Management CriteriaMeetsNeeds ImprovementDoes Not Meet
Roles and responsibilities ensure adequate segregation of duties. X 
The section employs methods to minimize disruption (e.g. setting of "quiet hours" and controlling access to the Finance section).X  
The section has explored alternate methods to minimize transactions and reduce reliance on cash (i.e. acquisition cards, electronic fund transfers). X 
Payment runs are kept to a minimum, but are sufficient to provide good client service.X  

5.4.2 The section functions well and is providing timely service to its clients. The senior accountant *** and provides consistently *** service. The junior accountant is also considered to be *** and assumes many of the senior accountant duties in her absence.

5.4.3 The segregation of duties between the two accountants is generally maintained, and there is good segregation of duties in place for the cheque distribution process. However, *** and also undertakes the document entry into IMS. These duties should not be undertaken by the same officer.

5.4.4 Quiet hours are posted for the Finance section and, for the most part, they are fairly well respected by clients. One source of concern though is that the work station of the property and materiel assistant is also located within the Finance section. This causes some disruption and can make it difficult for the accountants to concentrate on their work. The mission is considering options to remedy the situation.

5.4.5 The mission does not use electronic funds transfers (EFTs) as a form of payment, although hard copy funds transfers are used for payments such as salaries and pensions among others.

Key Processes and Internal Controls

Evaluation of Finance Internal Control
Key Finance Internal Control CriteriaMeetsNeeds ImprovementDoes Not Meet
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  
A CBS receives the original monthly bank statement directly from the bank and reviews it prior to giving it to the accountant.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  
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  
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  
Reimbursement of HonCon operational expenses is based on an established agreement.N/AN/AN/A
A percentage of costs for personal use of OR supplies is determined and regular reimbursements are made to the mission.X  
A process is in place to ensure that, where applicable, CBS reimburse the mission for any services of a personal nature received at their staff quarters (e.g. television, internet, telephone, etc.).X  

5.4.6 Overall, internal controls are effective. As well, a reporting calendar is being developed by the MCO and the finance staff to guide financial operations ***.

5.4.7 ***.

5.4.8 ***.

5.4.9 ***.

Recommendations

Recommendations to the Mission

5.4.10 The mission should ensure that a proper segregation of duties is maintained for all financial activities and processes.

5.4.11 The mission should consider relocating the property and materiel assistant's work station or reconfiguring the Finance section to eliminate any disruptions to its work flow.

5.4.12 ***.

5.4.13 ***.

5.4.14 Official receipts should be issued whenever cash is transferred. They should be written in the name of the person transferring the funds.

5.4.15 The EXT 2027 Petty Cash Voucher (Missions) form should be used for each petty cash transaction. A signature should be obtained for any issuance of petty cash.

5.4.16 ***.

Mission Actions and Timeframes

(Please note: The management actions below reflect the initial responses upon receiving the recommendations. They do not reflect the current status of implementation.)

5.4.10 The segregation of duties for financial activities and processes was reviewed *** and issues official receipts and the Assistant Accountant makes all IMS entries. Implemented February 2013.

5.4.11 The mission will evaluate options taking into account space availability and cost considerations. In progress for November 2014.

5.4.12 ***. In progress for November 2014.

5.4.13 ***. Implemented February 2013.

5.4.14 The mission provides official receipts with the transfer of cash. The receipts have been updated to include the name of the person transferring the funds. Implemented February 2013.

5.4.15 The EXT 2027 Petty Cash Voucher (Missions) form is now in use. Implemented August 2013.

5.4.16 ***. Implemented February 2013.

5.5 Information Management - Information Technology (IM-IT)

5.5.1 The IM-IT section is led by a CS-02 Foreign Service Information Technology Professional (FSITP) who is supported by a LE-07 Locally Engaged ITP (LEITP). The team provides support to 67 clients throughout the mission. In addition, regional support is provided to the missions in La Paz, Bolivia, and Quito, Ecuador.

Management

Evaluation of IM-IT Management
Key IM-IT Management CriteriaMeetsNeeds ImprovementDoes Not Meet
An Information Management - Information Technology (IM-IT) plan exists and includes regional activities.X  
The liaison between the mission, HQ and the regional manager is effective.X  
The mission uses the required IM-IT service request system and maintains relevant data.X  

5.5.2 Overall, the IM-IT section is functioning well and provides good service to its clients. The section has an IM-IT plan in place that includes regional activities. The plan identifies key priorities for the year and ensures that opportunities for cost savings, efficiencies and information management issues are addressed.

5.5.3 The FSITP is in regular contact with the regional manager at Headquarters. A good relationship has been established and support is provided when needed. The FSITP visits the missions in La Paz and Quito each quarter. Both the FSITP and the LEITP are in communication with the two missions on a regular basis.

5.5.4 The team is *** is able to respond to evolving demands. The LEITP visits colleagues at their work stations to gather information on client needs and assist with any immediate technical concerns.

Key Processes and Internal Controls

Evaluation of IM-IT Internal Control
Key IM-IT Internal Control CriteriaMeetsNeeds ImprovementDoes Not Meet
Back-ups are performed routinely and tapes are stored appropriately in a secure location away from the primary use area.X  
Employees formally sign out IT assets (mobility tools) and are advised of their accountabilities. X 
Surplus IT assets are disposed with the appropriate approvals per departmental policy. X 

5.5.5 IM-IT processes and controls are effective. System back-ups are completed daily, ***.

5.5.6 There is a formal process in place for employees to sign out IT assets, such as mobility tools. The sign out sheet, however, does not appropriately explain the employee's accountability with respect to the IT assets.

5.5.7 As mentioned in the Physical Resources section of the report, the mission has***.

Recommendations

Recommendations to the Mission

5.5.8 The sign-out sheet for IT assets should identify who is accountable for those assets.

5.5.9 ***.

Mission Actions and Timeframes

(Please note: The management actions below reflect the initial responses upon receiving the recommendations. They do not reflect the current status of implementation.)

5.5.8 A sign-out sheet that identifies accountability is now in use for IT assets. Implemented February 2013

5.5.9 ***. In progress for October 2013.

Appendix A: Mission Resources Fact Sheet

Physical Resources
AssetsCrown-OwnedCrown-LeasedPrivate-Lease
Chancery1  
Official Residence1  
Staff Quarters712 
Vehicles*  
Financial Information 2012/2013
BudgetProgramCommon Services
Operating$56,700$703,716
Capital 152,800
CBS Salaries 289,823
CBS Overtime  
LES Salaries740,7151,624,974
LES Overtime  
Total$797,415$2,771,313
Human Resources (FTEs)
ProgramTotalCBSLES
Head of Mission725
FPDS523
CE624
Consular312
Common Services17215
Security330
CIC918
CIDA1459
CBSA110
EDC211
Total672047

Appendix B: Frequently Used Acronyms

CBS
Canada-based staff
CE
Commercial Economic
CMM
Committee on Mission Management
COMIP
Consular Management Information Program
CONPLAN
Contingency Plan
CRB
Contract Review Board
CSF
Client Service Fund
EFT
Electronic Funds Transfer
DMCO
Deputy Management Consular Officer
FPDS
Foreign Policy and Diplomacy Service
FSITP
Foreign Service Information Technology Professional
FTE
Full Time Equivalent
FY
Fiscal Year
GCS
Global Commerce Strategy
GVC
Global Value Chains
HOM
Head of Mission
HONCON
Honorary Consul
HQ
Headquarters
HR
Human Resources
HSZ
High Security Zone
ICT
Information Communication Technologies
IM-IT
Information Management - Information Technology
IMS
Integrated Management System
LEITP
Locally Engaged Information Technology Professional
LES
Locally engaged staff
LESMCB
LES Management Consultation Board
MCO
Management Consular Officer
MEP
Mission Emergency Plan
MFO
Mission Financial Officer
MM Module
Materiel Management Module of IMS
MMWP
Mission Maintenance Work Plan
MOU
Memorandum of Understanding
MSO
Mission Security Officer
MPMP
Mission Property Management Plan
NAAP
North American Platform Program
OR
Official residence
OZ
Operations Zone
PIF
Post Initiative Fund
PM
Program Manager
PMA
Performance Management Agreement
PMP
Human Resources - Performance Management Program
PMP
Consular - Passport Management Program
PRIME
Physical Resources Information - Mission Environment
ROCA
Registration of Canadians Abroad
S&T
Science and Technology
STC
Senior Trade Commissioner
SQ
Staff Quarter
SZ
Security Zone
TC
Trade Commissioner
TCA
Trade Commissioner Assistant
TCS
Trade Commissioner Service
TRIO
The TCS' Client Relationship Management System
ZID
Office of the Inspector General
ZIV
Missions Inspection Division
Date Modified: