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The following activities were included in the CNSC risk-based Audit Plan for the period 2009-10 to 2011-12. This plan was updated in 2010 and 2011.
The latest updated plan was submitted to the CNSC’s Audit Committee in May 2011 for review and recommendation for approval by the CNSC’s President. It is based on the current capacity of the CNSC’s audit function, risk assessments of proposed audit projects, and management responses and action plans for prior audits for follow-up. The revised plan outlines the projects planned for the upcoming three years 2011-12 to 2013-14. Projects undertaken depend on factors such as resources available to the audit function, the scope and complexity, of projects, and the CNSC’s emerging issues and priorities.
The Commission has an Audit Committee with members who are external to the government and internal to the Commission. The Committee is chaired by an external member.
Additional information on the CNSC Internal Audits is available on the CNSC Web site.
Name of Internal Audit | Internal Audit Type | Status | Completion Date |
---|---|---|---|
Audit of Compliance Enforcement | Compliance and management audit | 2010-11 | Completed |
Audit of Revenue Management | Financial Audit | 2010-11 | Completed |
Preliminary Survey of Risk Management | Survey | 2010-11 | Completed |
Audit of Inspector Qualification and Training | Compliance and management audit | 2010-11 | Postponed |
Audit of Delegated Licensing Authority | Compliance and management audit | 2010-11 | Postponed |
Audit of Regulatory Document Development | Compliance and management | 2010-11 | Completed |
Audit of Corporate Governance | Compliance and management audit | 2010-11 | Postponed |
Monitoring of action plans from past audits | Monitoring | 2010-11 | Ongoing |
Follow-up on past audits, including Procurement Audit | Follow-up | 2010-11 | Ongoing |
The audit conducted is not included in the risk-based audit plan for the period 2010-2011 | |||
Audit of Travel and Hospitality | Compliance and management audit | 2010-11 | Completed |
In recent years, the oversight function at CNSC has been primarily the responsibility of internal audit. The Government of Canada Policy on Evaluation (the Policy) approved April 2009 revitalized evaluation to provide another element to the oversight function by demonstrating to Canadian’s value-for-money of government spending.
The CNSC began strengthening the evaluation function in Fiscal Year 2009-2010 to ensure alignment with the Policy. In 2010-2011 DG of Strategic Planning Directorate was designated as Head of Evaluation, and the Evaluation division was created (Regulatory Research and Evaluation Division). The majority of effort was focused on drafting the evaluation policy as well as the Evaluation Committee Terms of Reference. Further, the evaluation universe was identified and the Evaluation Plan was developed and approved April 2011.
2011-2012 will continue to strengthen the function and increase evaluation capacity through staffing of a Senior Evaluation Officer and an Evaluation Officer positions reporting to the Director of Regulatory Research and Evaluation. There is a commitment to conduct 4 evaluation projects this fiscal, as well as further develop and refine the Evaluation Policy Suite.
Name of Evaluation | Program Activity | Status | Completion Date |
---|---|---|---|
Canadian Safeguards Support Program Evaluation | Regulatory Framework | In-progress | September 15, 2011 |
Labour Management Consultation Committee Evaluation | Internal Services | In-Progress | December 15, 2011 |
Nuclear Standards Program of the Canadian Standards Association Evaluation | Regulatory Framework | In-Progress | December 15, 2011 |
Performance Measurement Evaluation | Internal Serviced | Planning Phase | February 2011 |