Audit of the Immigration Program at the Canadian Mission in Port-au-Prince

Appendix C –Detailed Criteria for the Audit

Objective 1 - Governance Framework

The adequacy of the governance framework will be assessed against the following criteria:

• Governance structures are in place to ensure that accountabilities are adequately discharged.
• Values and ethics are promoted and reinforced.
• The office is managed in a way that ensures an effective workplace for staff to successfully contribute to the work objectives.
• The services delivered by the office reflect its clients’ requirements.
• Relevant information on results is gathered, used to make decisions and reported.
• Learning and development activities are used to promote innovation and change management.

Objective 2 – Risk Management

The adequacy of risk management process and practices will be assessed against the following criteria:

• Processes are in place to identify, assess, mitigate and monitor risks.
• Management appropriately communicates risk and risk management strategies to key stakeholders.
• Planning and resource allocation take risk information into account.

Objective 3 - Internal Controls

The internal controls in place to support financial, administrative and operational activities will be assessed under the following lines of enquiry against the following criteria:

• Application processing:
  • Decisions are adequately documented, and required supporting documentation is maintained.
  • Designated and delegated authorities for decisions are appropriate and comply with departmental policy.
  • Appropriate controls are in place to ensure that admissibility requirements are met.
• CAIPS Management:
  • Appropriate controls are in place for the management and use of CAIPS user accounts at the mission.
  • Appropriate controls are in place to safeguard CAIPS assets at the mission.
• Controlled Documents:
  • Roles and responsibilities are appropriate for the custodianship, safeguarding and handling of controlled documents.
  • Adequate controls are in place for the custodianship, safeguarding and handling of controlled documents.
• Cost Recovery
  • Roles and responsibilities assigned and procedures performed comply with departmental policies on cost recovery.
  • Adequate controls are in place in the physical environment to safeguard the cost-recovery system.
  • An adequate monitoring regime is in place to ensure that controls are working properly and that funds collected are properly accounted for and safeguarded.
• Travel and hospitality:
  • Internal controls should be in place to ensure that travel and hospitality transactions comply with policies and regulations to protect against fraud, financial negligence and other violations of rules and principles.

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