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Table 11: Internal Audits and Evaluations

Table 11a: Internal Audits (Current Reporting Period)

1. Name of Internal Audit	2. Audit Type	3. Status	4. Completion Date
Assurance Audit of Human Resources Staffing and Classification. http://www.infc.gc.ca/pd-dp/ia-vi/staffing-personnel-2008-eng.html	Human Resources	Completed	June 19, 2008
Audit of the Financial Management Accountability Framework, with regard to: "Financial Coding", "Monitoring of the Operating Budget", and "Implementation of Action Plan for Delegation of Signing Authority (DOA) Policy and Procedures". http://www.infc.gc.ca/pd-dp/ia-vi/fma-gf-2008-eng.html	Finance	Completed	June 19, 2008
Assurance Audit of Contracting and Procurement.	Finance	Consulting Engagement was completed instead	February 2009
Review of the File Management and Documentation Requirements for the Building Canada Fund (BCF) project files. http://www.infc.gc.ca/pd-dp/ia-vi/index-eng.html	Transfer Payment	Completed	March 10, 2009
Assurance Audit of selected components of Infrastructure Canada�s Financial Management and Accountability Framework.	Finance	Follow-up Engagement was completed with respect to recommendations made under the Audit of the Financial Management Accountability Framework	April 2009
Assurance Audit of the SIMSI (Shared Information Management System for Infrastructure) Management Control Framework. http://www.infc.gc.ca/pd-dp/ia-vi/index-eng.html	Information Management	Completed	Approved by Departmental Audit Committee June 11, 2009
Assurance Audit of the Gas Tax Fund (GTF) Management Control Framework. http://www.infc.gc.ca/pd-dp/ia-vi/index-eng.html	Transfer Payment	Completed	Approved by Departmental Audit Committee June 11, 2009
Assurance Audit of the Public Transit Fund (PTF) Management Control Framework. http://www.infc.gc.ca/pd-dp/ia-vi/index-eng.html	Transfer Payment	Completed	Approved by Departmental Audit Committee June 11, 2009
Assurance Audit of the contribution management control framework of Infrastructure Canada Program (ICP).	Transfer Payment	Cancelled as per Legal Services. Infrastructure Canada has no authority to audit the Infrastructure Canada Program (ICP).	Not Applicable
Assurance Audit of contribution management control framework of the Municipal Rural Infrastructure Fund (MRIF).	Transfer Payment	Planning phase completed and ready to start examination phase. Engagement delayed due to Economic Action Plan.	Expected December 2009
Follow-up Assurance Audit of Travel, Hospitality and Acquisition Cards.	Finance	In progress	Expected September 2009
Assurance Audit of the Contribution Management Control Framework of the Research, Knowledge and Outreach (RKO) Program.	Transfer Payment	Audit Engagement re-focused under the approved 2009-2010 Risk-Based Audit Plan^{1, 2}	Not Applicable
Assurance Audit of IT Security.	Information Technology	Audit Engagement refocused under the approved 2009-10 Risk-Based Audit Plan^{1, 2}	Not Applicable
Assurance Audit of the controls in place over Human Resources data.	Human Resources	Audit Engagement refocused under the approved 2009-10 Risk-Based Audit Plan^{1, 2}	Not Applicable
Assurance Audit of Contracting and Procurement.	Finance	Consulting Engagement was completed instead	February 2009
Assurance Audit of Infrastructure Canada�s governance and organizational structure.	Governance	Audit Engagement refocused under the approved 2009-10 Risk-Based Audit Plan^{1, 2}	Not Applicable
Assurance Audit of Infrastructure Canada�s strategic and operational planning process and practices.	Management	Audit Engagement refocused under the approved 2009-10 Risk-Based Audit Plan^{1, 2}	Not Applicable
Assurance Audit of the Infrastructure Policy Framework and strategic policy capacity.	Policy	Planned 2	2011-2012
Assurance Audit of the Information Management (IM) function.	Information Management	Planned 2	2011-2012

Table 11b: Evaluations (Current Reporting Period)

1. Name of Evaluation	2. Program Activity	3. Evaluation Type	4. Status	5. Completion Date
Formative Evaluation of the Municipal Rural Infrastructure Fund (MRIF). Formative Evaluation of the Municipal Rural Infrastructure Fund (MRIF)	Targeted Project-Based Infrastructure Funding	Formative	Completed	March 5, 2008
Implementation Evaluation of the Gas Tax Fund (GTF). Process Evaluation of the Gas Tax Fund (GTF)	Targeted Project-Based Infrastructure Funding	Implementation	Completed	March 17, 2008
Formative Evaluation of the Canada Strategic Infrastructure Fund (CSIF). Formative Evaluation of the Canada Strategic Infrastructure Fund (CSIF)	Targeted Project-Based Infrastructure Funding	Formative	Completed	February 5, 2009
Formative Evaluation of the Border Infrastructure Fund (BIF). Formative Evaluation of the Border Infrastructure Fund (BIF)	Targeted Project-Based Infrastructure Funding	Formative	Completed	February 5, 2009
Summative Evaluation of the Infrastructure Canada Program (ICP) First Nations.	Targeted Project-Based Infrastructure Funding	Summative	Completed	To be approved by Departmental Evaluation Committee on June 17, 2009
Summative Evaluation of the Gas Tax Fund (GTF) and Public Transit Fund (PTF).	Targeted Project-Based Infrastructure Funding	Summative	Completed	To be approved by Departmental Evaluation Committee on June 17, 2009
Summative Evaluation of the Infrastructure Canada Program (ICP).	Targeted Project-Based Infrastructure Funding	Summative	Ongoing	October 2009
Formal Evaluations of all infrastructure programs under Infrastructure Canada�s responsibility: Infrastructure Canada Program (ICP), Municipal Rural Infrastructure Fund (MRIF), Canada Strategic Infrastructure Fund (CSIF), Border Infrastructure Fund (BIF), Gas Tax Fund (GTF) and the Public Transit Fund (PTF).	Knowledge and Research	Water Cluster Evaluation	Ongoing	March 2010
Summative Evaluation of the Research Knowledge and Outreach (RKO) Program.	Knowledge and Research	Summative	Ongoing	March 2010
Formative Evaluation of the Provincial-Territorial Base Funding Program (PT Base).	Provincial-Territorial Infrastructure Base Fund	Formative	Planned	September 2011

2008-2009 Report on Plans and Priorities was prepared under the assumption that there would be a full internal audit team as of April 1, 2008. As a result of staffing delays, however, the full internal audit team was not in place until November 2008, at which time 5 internal audits were initiated.
Infrastructure Canada�s Internal Audit division undertook a complete review and assessment of the department�s audit universe during the period of January 2009 to March 31, 2009 as part of its work to develop the department�s three year Risk-Based Audit Plan. The audit universe represents all aspects of the department as defined major auditable entities (MAEs) that may be subjected to audits and provides an analytical framework for risk assessment. Internal Audit worked with INFC Finance to ensure the audit universe is comprehensive. It resulted in having a universe based on (1) the budget structure of fund centers; (2) the MAF elements and (3) the PAA. MAEs were chosen with the objective of ensuring that each one would be of manageable size, nature and scope, and if audited, would produce significant and meaningful information for management. When selecting audit engagements for the April 2009 to March 2012 period the objective was to ensure sufficient coverage of the high risk and priority areas within the Department, as well as contributing to the preparation of a comprehensive overall (holistic) opinion on risk management, internal controls and governance processes.