Policy on Passport Production Assets

Effective Date

May 23, 2014

Application

Employment and Social Development Canada’s (ESDC) Policy on Passport Production Assets applies to all ESDC employees involved in the management of Citizenship and Immigration Canada’s (CIC) passport production assets.

ESDC’s Policy on Passport Production Assets incorporates the role of ESDC employees into current CIC procedures regarding the lifecycle management of passport production assets (see Annex B – References for a list of CIC procedures regarding passport production assets that apply to ESDC).

ESDC’s Policy on Passport Production Assets makes every effort to address only the aspects of CIC procedures that will have an impact on ESDC employees or ESDC sites.

ESDC’s Policy on Passport Production Assets excludes regular assets belonging to ESDC which are to be managed in accordance with ESDC’s Materiel Management Policy.

The Treasury Board Secretariat (TBS) develops the guiding principles to support sound governance and management practices.

At ESDC, the materiel management policy suite, including this policy, outlines the interpretation and application of TBS principles.

ESDC employees include employees who are responsible to provide passport delivery services for the Passport Program.

Unless Service Canada needs to be explicitly stated, the reference to “ESDC” in this policy will include Service Canada (SC).

Approval Authority

This policy is issued under the authority of the Director General, Investment, Procurement and Project Management .

Enquiries

Asset Management Policy and Procurement
NC-PURCHASING_PORTAL-PORTAIL_D'ACHATS

Document Control

Version: 4.0
Issue date: May 23, 2014
Revised by: Andrés Casimiri

Table of Contents

1.0 Introduction

• 1.1 Background
• 1.2 Policy Objective

2.0 Interdepartmental Accountabilities

• 2.1 CIC Accountabilities
  • 2.1.1 Asset Management
  • 2.1.2 Accommodations
  • 2.1.3 Security
  • 2.1.4 Labour Relations
  • 2.1.5 Information Technology
• 2.2 ESDC Accountabilities
  • 2.2.1 Asset Management
  • 2.2.2 Accommodations
  • 2.2.3 Security
  • 2.2.4 Labour Relations
  • 2.2.5 Information Technology

3.0 Lifecycle Management

• 3.1 Planning
• 3.2 Acquisition
• 3.3 Operation, Use & Maintenance
  • 3.3.1 Monthly Cycle Counting
  • 3.3.2 Order Replenishment
  • 3.3.3 Receiving Shipment of Passport Materiel
  • 3.3.4 Handling Passport Materiel Throughout the Day
• 3.4 Disposal
  • 3.4.1 Final Disposition of Passport Materiel
  • 3.4.2 Physical Reconciliation of Unique Items
  • 3.4.3 National Shredding Procedures

Annex A: Definitions

Annex B: References

• i.  CIC Policies and Procedures
• ii. ESDC Policies and Procedures

Annex C: Organizations & Acronyms

1.0 Introduction

1.1 Background

1. CIC is accountable for the entirety of the Passport Program while ESDC through Service Canada (SC) is the primary provider of passport service delivery.
2. To ensure ESDC is able to provide successful passport service delivery of the Passport Program to Canadian citizens, a variety of passport production assets are required and need to be onsite at passport sites.
3. All passport production assets belong to CIC; however both CIC and ESDC play a role in the lifecycle management of these assets.
4. The lifecycle management of all other regular assets located at passport sites are under the sole responsibility and control of ESDC.

1.2 Policy Objective

1. The objective of this policy is to explicitly address the appropriate management of passport production assets belonging to CIC and which are located at passport sites and used by ESDC employees to support the Passport Program. To achieve this, the policy addresses:
   
   i.   Interdepartmental accountabilities for CIC and ESDC on passport production assets.
   ii.  Departmental accountabilities for branches of ESDC & SC implicated in passport production assets.
   iii. Lifecycle management procedures concerning passport production assets that largely impact ESDC employees at passport sites.

2.0 Interdepartmental Accountabilities

1. Passport production assets are assets that belong to CIC.
2. There are a variety of passport production assets managed by CIC and used by ESDC that are essential in the delivery of the Passport Program.
3. These CIC passport production assets are located at passport sites managed by ESDC.
4. ESDC employees at these passport sites are required to handle these assets on a regular basis in order to deliver passport services to Canadian citizens.
5. Accountabilities for both departments need to be clearly established to address the complexity presented in which a passport production asset belonging to CIC is being used by ESDC employees at ESDC sites.

2.1 CIC Accountabilities

1. CIC has primary responsibility of the Passport Program and retains overall accountability for the management of its passport production assets.

2.1.1 Asset Management

1. CIC owns passport production assets and as such, CIC will provide ESDC with guidance in the form of assistance in the interpretation, application and case specific advice of procedures relative to the management of passport production assets.
2. CIC will manage the entire lifecycle of passport production assets when advised by ESDC of issues or concerns.
3. CIC is responsible for the development and revisions of procedures that relate to passport production assets.
4. CIC will consult with ESDC, on CIC proposals on the development and revisions of policies and procedures related to passport production assets.

2.1.2 Accommodations

1. CIC is responsible for providing the Chief Financial Officer Branch (CFOB) with the functional direction necessary for the design requirements to ensure the safeguard of passport production assets.

2.1.3 Security

1. CIC will provide Integrity Services Branch (ISB) with early notification on any new or evolving program and security parameters that will have an impact on passport production assets.
2. CIC will manage information sharing regarding lost and stolen passports with law enforcement partners, using, in part, data received from ESDC and from other sources.

2.1.4 Labour Relations

1. CIC will provide advice and guidance on labour relations matters to Human Resources Services Branch (HRSB) upon request and when required in relation to passport production assets.

2.1.5 Information Technology

1. CIC is the custodian of information related to passport production assets and is responsible to maintain information technology systems concerning these assets and to provide access to those systems to ESDC, subject to applicable laws, as required to allow ESDC to its responsibility with regards to passport delivery services.
2. CIC is responsible for the lifecycle management related to passport production assets for ESDC employees and includes maintenance of specialized and/or electronic equipment and security issues that arise which need to be available 24 hours a day, 7 days a week.

2.2 ESDC Accountabilities

1. ESDC, through SC, serves as the primary provider of passport service delivery of the Passport Program.
2. ESDC employees will be the primary user of passport production assets located at passport sites.
3. ESDC employees at passport sites will follow this policy and CIC procedures (see Annex B – References for a complete list of procedures) concerning passport production assets that are prepared by CIC in consultation with ESDC including CFOB.

2.2.1 Asset Management

1. CFOB is responsible for ESDC’s Policy on Passport Production Assets and other asset management policy instruments and ensuring that this policy is in conformance to CIC’s requirements with respect to passport production assets.
2. ESDC is required to assess the impact of CIC proposals on the development and revisions of policies and procedures related to passport production assets to ensure it does not adversely impact financial or human resources or programs and services provided by ESDC.
3. In the event that CIC proposals on the development and revisions of policies and procedures related to passport production assets have a significant impact, CIC and ESDC will work together to come up with alternative solutions in a timely manner for the benefit of the Passport Program while still meeting their respective mandates.
4. Instance where CIC proposals on the development and revisions of policies and procedures related to passport production assets are mandated by contractual, security, mandatory or regulatory changes, best efforts to meet these changes will be made by both organizations.
5. CFOB will ensure that any future revisions of this policy will be done in consultation with CIC and ESDC’s branches implicated by passport production assets to give them the opportunity to review and comment.
6. CFOB is responsible for the provision of functional direction and guidance as it relates to this policy and all other ESDC asset management policies.
7. In the matter of contract management, ESDC employees must advise CIC of all issues related to the defects in passport production assets.

2.2.2 Accommodations

1. CFOB is responsible for ensuring that all fit ups and refits of all passport sites take into account safeguards required for passport production assets and equipment classified at the SECRET level, if applicable, in compliance with standards set out by ISB, CIC and the Policy on Government Security.
2. Facilities management for passport sites will be the responsibility of CFOB.
3. CFOB will work in close collaboration with CIC and ISB to ensure the requirements to safeguard passport production assets are met through the implementation of CIC’s standard fit up and refit model.
4. The safeguard of passport production assets in transit during passport site relocation is to be done in accordance to ISB procedures.

2.2.3 Security

1. ISB undertakes to ensure timely and ongoing communication with CIC in all areas relating to security including malfeasance.
2. ISB will respond and report on security incidents involving passport production assets in accordance with the Policy on Government Security and the Memorandums of Understanding between CIC and ESDC.
3. In addition to responding and reporting on security incidents, ISB will inform CIC of suspected malfeasance activity or security incidents including the loss, theft, or other potential compromise of passport production assets or potential compromise of the Integrated Retrieval Information System (IRIS), the passport issuance system.
4. ESDC employees will ensure that all individuals, including contractors, who are involved in the delivery of passport services and with the access of passport sites and passport production assets have appropriate security clearance.
5. ESDC local manager will inform ISB further to allegations of ESDC employee malfeasance concerning passport production assets in accordance with ESDC’s security protocols and in consultation with HRSB.
6. ESDC local manager will also advise ISB of any security issues related to passport production assets including the provision of a completed incident report according to ISB’s security procedures.

2.2.4 Labour Relations

1. HRSB will provide advice and guidance concerning labour relation matters to management where there are allegations of misconduct or internal malfeasance of passport production assets involving an ESDC employee.

2.2.5 Information Technology

1. Innovation, Information and Technology Branch (IITB) is responsible for providing IT services to ESDC employees and for the integrity and security of its network and IT assets.

3.0 Lifecycle Management

1. Key stages in the lifecycle management of passport production assets include planning, acquisition, operation, use & maintenance and disposal.
2. CIC is implicated in all stages of its passport production assets, with ESDC being mainly implicated with the operation, use & maintenance and disposal stages (as a result of having to physically manage passport production assets on a daily basis at passport sites).

3.1 Planning

1. ESDC has no significant role in the planning of passport production assets.
2. ESDC employees indirectly support the planning process for passport blanks by maintaining inventory of these assets in CIC’s SAP and this information is monitored by CIC for planning purposes.

3.2 Acquisition

1. CIC is solely responsible for the procurement of all passport production assets.

3.3 Operation, Use & Maintenance

1. ESDC has a significant role in the operation use and maintenance of passport production assets.
2. ESDC employees at passport sites will inform CIC of the need for repair or maintenance of any passport production assets and will allow CIC contractors access to passport sites and to passport production assets as required to repair, maintain or deliver new assets.

3.3.1 Monthly Cycle Counting

1. ESDC employees at their respective passport sites will complete a cycle count, an inventory auditing procedure that counts inventory on a monthly basis.
2. The cycle count requires the passport production site to reconcile the physical count against the system count in CIC’s SAP in a timely manner.
3. The passport site will submit the completed cycle count to CIC Materiel Management for verification.
4. CIC Materiel Management will review the report to ensure that the physical count balances with the system count, and verify that all discrepancies are accounted for.
5. If the report is free of errors and balances, CIC Materiel Management will notify the passport site and will require signed documentation of the reconciliation.
6. If the report has errors or does not balance, CIC Materiel Management will advise of the areas in the report to be reviewed and corrected by the passport site.
7. The passport site will submit the corrections to CIC Materiel Management within 48 hours.
8. ESDC employees will report any issues with regard to its access to CIC’s SAP to CIC Materiel Management and CIC Finance and will support their activities with regard to restoring such access.

3.3.2 Order Replenishment

1. CIC Materiel Management will monitor stock levels and plan orders for the passport site.
2. CIC Materiel Management will review orders generated and will communicate with the passport site to confirm storage capacity is available.
3. The passport site will notify CIC Materiel Management if for any reason it is unable to store the full quantities of a planned order.

3.3.3 Receiving Shipment of Passport Materiel

1. CIC Materiel Management will send a copy of the packing slip by email to the passport site, when an order is placed for new passport materiel.
2. The passport site will notify CIC Materiel Management if the provider releases shipment without first confirming copy of packing slip.
3. Once the shipment is received, the passport site will send the original packing slip and a transfer delivery sheet to CIC Materiel Management by internal mail.
4. For discrepancies in the physical count of boxes and / or if the boxes appear to be unsealed, opened or tampered, the passport site will complete an incident report and send it immediately to CIC Materiel Management, CIC Security, ISB and the Director for the passport site.
5. For any other types of damage, the passport site will notify CIC Materiel Management and ISB.
6. Shipments with discrepancies will be quarantined and CIC Materiel Management will authorize or not authorize the use of passports / consumables and will provide necessary instructions to the passport site.
7. The passport site is to notify CIC Materiel Management immediately for investigation when receiving a delivery in SAP and the quantity shipped does not match the quantity shown in SAP.

3.3.4 Handling Passport Materiel Throughout the Day

1. ISB’s security procedures are to be followed concerning the lock down of a passport site and includes co-located passport sites with Service Canada Centres (SCC) when passport production assets are reported missing.
2. An incident needs to be immediately reported to CIC Materiel Management, CIC Security, ISB and the Director for the passport site and an incident report is to be completed according to ISB security procedures.
3. CIC Materiel Management will review the incident, escalate to CIC Passport Integrity if needed and provide the passport site with instruction on how to proceed.
4. The passport site will notify CIC Materiel Management and ISB in the event that a noticeable pattern of passport materiel quality or performance issues occur.
5. The passport site will notify CIC Materiel Management and ISB in the event that CIC Passport Integrity needs to investigate passport materiel with a potential faulty chip.
6. The passport site will prepare an SAP-generated packing slip for any physical movement of passport materiel from one office or location to another. The PPTC300 is to be used in the event an SAP packing slip is not available.

3.4 Disposal

1. CIC is responsible for arranging contracts for disposal arrangements for all passport production assets.
2. ESDC employees at passport sites will be responsible for the physical disposal of passport production assets.
3. ESDC employees at passport sites will advise CIC Materiel Management of any defective passport production asset that requires replacement and will allow CIC approved contractors access to passport sites to enable the disposal process.
4. ESDC employees at passport sites will advise CIC Materiel Management of any defective passport production asset and CIC Materiel Management will need to determine if the asset will be disposed, repaired or replaced.
5. ESDC employees at passport sites, after being notified by CIC Materiel Management of the disposal of passport production assets will allow CIC approved contractors access to the passport site for the removal of these assets.

3.4.1 Final Disposition of Passport Materiel

1. Physical reconciliation of unique items is a procedure to destroy passports and is initiated by the passport site.

3.4.2 Physical Reconciliation of Unique Items

1. ESDC employees are responsible for preparing passport materiel for final disposition.
   
   
2. Gratis, Spoiled or Missing Passports
   
   i.   The reconciliation for gratis, spoiled or missing passports requires the completion of an inventory adjustment form by the passport site which will be submitted to CIC Materiel Management for review and approval.
   ii.  Once approved by CIC Materiel Management, the passport site will be advised to proceed with shredding and will then have necessary documentation signed and sent to CIC Materiel Management.
   iii. A copy of this documentation will be kept on site at the passport site.
   iv.  CIC Materiel Management will perform the appropriate steps in SAP to dispose the materiel.
   
   
3. Faulty or Defective Passports
   
   i.   For faulty or defective blank passports an inventory adjustment form will be completed by the passport site along with the excel documentation listing serial numbers and will be sent to CIC Materiel Management for review and approval.
   ii.  Once approved by CIC Materiel Management a PDF of the packing slip for shipment will be provided along with instructions for pick-up of materiel.
   iii. Once the shipment is picked up by either Brinks or Fedex, the original packing slip, signed original manifest and signed form will be submitted to CIC Materiel Management.
   
   
4. Cancelled Passports / Print Heads / Ink / Calibration Books / Dry Seals
   
   i.   Cancelled passports and calibration books will be shredded at the passport site in accordance with CIC’s shredding procedures.
   ii.  Print heads and ink cartridges will be disposed with normal office printer cartridges.
   iii. Cancelled dry seals are managed through CIC Materiel Management and the passport site will contact this group for instructions.

3.4.3 National Shredding Procedures

1. Shredding of passport production materiel (cancelled passports, gratis passports, spoiled passports, calibration books and all documents, forms and notes up to protected B) will be done at the passport site.
2. A shredding operator arranged by CIC Materiel Management will come on site on regularly scheduled visits for shredding and the shredding operator is to be supervised at all times by an ESDC employee while at the passport site.
3. ESDC employees are to follow ISB’s security procedures as well as CIC’s shredding procedures when shredding passport production materiel.
4. If an additional visit is required for shredding, the passport site will need to notify CIC Materiel Management indicating proposed date for additional service, the reason and the number of bags to be shredded.
5. CIC Materiel Management will give written authorization for the passport site to contact the shredding operator to organize the additional service.
6. If the regular schedule does not meet the needs of the passport site, CIC Materiel Management needs to be notified in order to change frequency of the visits.
7. Once shredding is completed, the passport site must complete Destruction Certificates (two copies). One copy is for the operator and the other will be sent to CIC Materiel Management.
8. If shredding is compromised (i.e. shred size is too large or equipment malfunction), shredding should cease and the passport site must immediately notify ISB and CIC Materiel Management who will provide the passport site with appropriate guidelines on how to proceed.

Annex A: Definitions

Cancelled Passport: Book returned from the client and cancelled

Defective Passport: Book damaged by the manufacturer, blank (non-personalized)

Faulty Passport: Book damaged by the manufacturer, personalized

Gratis Passport: Book given to the client at no cost

Integrated Retrieval Information System (IRIS): Refers to the passport issuing system, the suite of information technology applications required to issue a passport. It currently resides on the CIC network only, and is accessed by ESDC employees who deliver passports. Applications include: Folder Move; ESRF Transfer; Folder Clean; Box Clean; Damaged Travel Documents; PMP transfer service; ESRF viewer; Call Centre; Data Page Print; MARA reporting Application; MARA viewer; Admin PPT; Department of Justice Interface for Custody Info; Official travel Tracking; Renewals; Address Label; Photo card Manager; Correctional Services Canada parser; PTF reports and Status; System Lookout Extract; CIC extract; System Lookout Alerts; Central Index (Data Integrity) Alerts; Central Index issued books. 

Missing Passport: Lost or stolen book

Passport Production Asset: Assets to personalize a passport book (passport books and documents, ink, laminate observation labels, testing documents and specimens) and include specialized equipment (printers, print heads, laminators, e-readers, scan guns and uninterruptable power supply unit). All passport production assets belong to CIC.

Passport Site: Any facility which includes processing centres and SCCs that produce passports or provide passport services and which belong to ESDC’s real property portfolio. 

Spoiled Passport: Book damaged in production, at our cost

Annex B: References

MEMORANDUM OF UNDERSTANDING between THE DEPARTMENT OF FOREIGN AFFAIRS, TRADE AND DEVELOPMENT (hereinafter referred to as “DFATD”) and THE DEPARTMENT OF CITIZENSHIP AND IMMIGRATION (hereinafter referred to as “CIC”) and THE DEPARTMENT OF HUMAN RESOURCES AND SKILLS DEVELOPMENT (hereinafter referred to as “HRSDC”) (hereinafter collectively referred to as “the Participants”) REGARDING THE TRANSFER OF ACCOUNTABILITY FOR THE PASSPORT PROGRAM TO CIC and THE TRANSFER OF PASSPORT SERVICE DELIVERY EMPLOYEES TO SERVICE CANADA, an initiative operating within HRSDC to provide access to Government of Canada programs and services and THE DELIVERY OF PASSPORT SERVICES BY SERVICE CANADA on behalf of CIC

MEMORANDUM OF UNDERSTANDING [hereinafter referred to as “the MOU”] BETWEEN The DEPARTMENT OF CITIZENSHIP AND IMMIGRATION As represented by the Deputy Minister of CIC (Hereinafter referred to as “CIC”) AND THE DEPARTMENT OF HUMAN RESOURCES AND SKILLS DEVELOPMENT As represented by the Senior Associate Deputy Minister of HRSDC (Hereinafter called “HRSDC”) [Hereinafter collectively referred to as the “Participants”] CONCERNING A PARTNERSHIP AGREEMENT RELATING TO THE DELIVERY OF THE CANADIAN PASSPORT PROGRAM BY SERVICE CANADA, AN INITIATIVE OPERATING WITHIN HRSDC

ANNEX 1: TRANSITIONAL SERVICE DELIVERY ARRANGEMENTS FOR PASSPORT DELIVERY SERVICES AND THE ISSUANCE OF PASSPORTS

i. CIC Policies and Procedures

Overview of Materiel Management

1. Monthly Cycle Counting (PDF, 564 KB)
2. National Shredding Procedure (PDF, 562 KB)
3. Receiving Shipments of Passport Materiel (PDF, 648 KB)
4. Order Replenishment Through Materiel Requirements Planning (MRP) (PDF, 315 KB)
5. Final Disposition of Passport Materiel (PDF, 673 KB)
6. Material Management Transaction Codes in SAP for Regional Offices & Print Centres (PDF, 176 KB)
7. Physical Reconciliation of Unique items (PDF, 643 KB)
8. Handling Passport Materiel Throughout the Day (PDF, 779 KB)

Appendices to the CIC Overview of Materiel Management

• Appendix A – Materiel Management Terminology (PDF, 62 KB)
• Appendix B – Regional Office and Print Centre Plant Numbers (PDF, 61 KB)
• Appendix C – EPPT Materiel Type (MMR) Numbers (PDF, 60 KB)
• Appendix D – Checklist for Cycle Count & Physical Reconciliation (PDF, 80 KB)
• Appendix E – Inventory Adjustment Form (PPTC491) (PDF, 182 KB)
• Appendix F – Packing Slip for Shipment (SAP/PPTC300) (PDF, 98 KB)
• Appendix G – Inventory Control Log (PPTC297) (PDF, 67 KB)
• Appendix H – Reason Codes for Final Disposition of Spoil/Faulty/Defective Passports (PDF, 75 KB)
• Appendix I – Adding/Removing columns permanently to a program in SAP (PDF, 179 KB)

ii. ESDC Policies and Procedures

How to Report Security Incidents – Guide for ESDC Employees

ESDC’s Materiel Management Policy

Annex C: Organizations & Acronyms

Citizenship and Immigration Canada (CIC)

Chief Financial Officer Branch (CFOB) – ESDC

Chief Security Officer (CSO) – ESDC

Employment and Social Development Canada (ESDC)

Human Resources and Services Branch (HRSB) – ESDC

Innovation, Information and Technology Branch (IITB) – ESDC

Integrity Services Branch (ISB) – ESDC

Service Canada (SC)