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ARCHIVED - 2010-2011 RPPs - Upcoming Internal Audits and Evaluations over the next three fiscal years

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Agriculture and Agri-Food Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

The following table provides a list of all upcoming internal audits pertaining to the department's work over the next three fiscal years.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Agricultural Flexibility Transfer Payment In progress April 2010
Slaughter Improvement Transfer Payment In progress April 2010
Hog Farm Transition Transfer Payment In progress April 2010
Hog Industry Loan Loss Reserve Program Audit Transfer Payment In progress April 2010
Grants and Contributions Horizontal Audit Transfer Payment In progress June 2010
Information Privacy Information Management In progress June 2010
Grants and Contributions Delivery System System Under Development In progress June 2010
AgriInsurance Transfer Payment Planned March 2011
AgriStability Transfer Payment Follow-up Planned March 2011
AgriOpportunities Transfer Payment Planned March 2011
Payroll Corporate Planned March 2011
Budgetary Control Process Corporate Planned March 2011
Information Management Information Management Planned March 2011
Procurement and Contracting Transactions Corporate Planned March 2011
AgriMarketing Transfer Payment Planned March 2012
ecoAgriculture Biofuels Capital Initiative Transfer Payment Planned March 2012
Grants and Contributions Horizontal Audit Transfer Payment In progress March 2012
Risk Management Corporate Planned March 2012
Values and Ethics Framework Corporate Planned March 2012
Human Resources Planning Corporate Planned March 2012
Sampling and Gating (FAA, s. 33) Corporate Planned March 2012
Business Continuity Planning Corporate Planned March 2012
IT Asset Management Information Management Planned March 2012
Management of MOUs Horizontal Audit Corporate Planned March 2012

5. Electronic Link to Internal Audit and Evaluation Plan: Not Available

Upcoming Evaluations (Next three fiscal years)

The following table provides a list of all upcoming evaluations pertaining to the department's work over the next three fiscal years.


Name of Evaluation Program Type Status Expected Completion Date
2010-11
Disaster Response Transfer Payment Planned March 2011
Private Sector Risk Management Partnership Transfer Payment Planned March 2011
Advance Payments Program / Price Pooling Program Transfer Payment Planned March 2011
Disease Responses
• Plum Pox Eradication
• Control of Disease in Hogs
• Specified Risk Materials
Transfer Payment Planned March 2011
Community Pastures Operating Expenditure Planned March 2011
Collaborative Research and Development Transfer Payment Planned March 2011
Innovative and Sustainable Agricultural Production and Products Transfer Payment Planned March 2011
2011-12
Income Stability Tools Transfer Payment Planned March 2012
AgriInsurance Transfer Payment Planned March 2012
Insolvency Dispute Resolution Statutory Planned March 2012
Food Safety Continuum
  • Food Safety Systems Development
  • Traceability Government Infrastructure
Operating Expenditure /Transfer Payment Planned March 2012
Science and Technology Activities in Support of the Food System Operating Expenditure Planned March 2012
Agri-Innovation and Commercialization (Growing Forward Initiatives in Support of Science) Operating Expenditure Planned March 2012
Supporting Rural Communities and the Development of Co-operatives Transfer Payment Planned March 2012
2012-13
Supporting Adaptation within the Agricultural Sector (Canadian Agricultural Adaptation Program) Transfer Payment Planned March 2013
Trade Negotiations and Market Access Transfer Payment Planned March 2013
Market Growth Operating Expenditure /Transfer Payment Planned March 2013
Sector Competitiveness Operating Expenditure /Transfer Payment Planned March 2013
Agri-Environmental Applications Operating Expenditure Planned March 2013
Agri-Environmental Sustainability Assessment Operating Expenditure Planned March 2013
Agri-Environmental Science Operating Expenditure Planned March 2013
Meta-Evaluation of Cost-Shared Programming in support of Competitiveness and Innovation Transfer Payment Planned March 2013
Meta-Evaluation of Cost-Shared Programming in support of On Farm Action (Society's Priorities) Transfer Payment Planned March 2013
Meta-Evaluation of Cost-Shared Programming in support of Proactively Managed Risk Transfer Payment Planned March 2013

Note: Planned evaluations are subject to change as a result of the annual review of the Departmental Evaluation Plan. The department is committed to implementing the Evaluation Policy requirement to evaluate 100 per cent of direct spending over a five-year period.

Electronic link to evaluation plan: Not available.


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Atlantic Canada Opportunities Agency

Upcoming Internal Audits (Next three fiscal years)


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Risk Management Framework – Effectiveness of Corporate Risk Management Assurance Planned 2010-2011
People Management – Employment and Workplace Practices and Labour Relations Assurance Planned 2010-2011
Ethical Leadership – Agency-wide Integrity and Ethics Assurance Planned 2010-2011
Financial Management Control – Monitoring Assurance Planned 2010-2011
Information Technology – Leadership and Accountability for Organizational Outcomes Assurance Planned 2010-2011
Policy and Programs – Quality of Analysis Assurance Planned 2010-2011
Information Technology – Integration into Organizational Governance Assurance Planned 2010-2011
Corporate Performance Framework Assurance Planned 2010-2011
Due Diligence – Atlantic Innovation Fund Assurance Planned 2010-2011
Follow-up Audits – BDP and CED – Community Investment Follow-up Planned 2010-2011
Financial Management Control – Non-Commercial Projects Assurance Planned 2010-2012
Information Technology – Planning and Added Value Assurance Planned 2010-2012
Planning – Effectiveness of Asset Management Assurance Planned 2010-2012
Governance – Corporate Business Planning Assurance Planned 2010-2012
Governance – Organizational Alignment and Accountability Assurance Planned 2010-2012
Financial Management Control – Compliance with the FAA in Operations Assurance Planned 2010-2012
Governance – Effectiveness of Project Management Assurance Planned 2010-2012
Financial Management Control – Stewardship of Receivables Assurance Planned 2010-2012
Portfolio Coordination – External Portfolio Management Assurance Planned 2010-2012
Financial Management Control – Adequacy of Financial Reporting Assurance Planned 2010-2013
People Management – Performance and Productivity Assurance Planned 2010-2013
People Management – Occupational Health and Safety Assurance Planned 2010-2013
People Management – Diversity Assurance Planned 2010-2013
Citizen-focused Service – Communications and Marketing Assurance Planned 2010-2013
Citizen-focused Service – Meeting Service Standards Assurance Planned 2010-2013
Change Planning – Learning and Change Management Assurance Planned 2010-2013
Governance – Effectiveness of Procurement Assurance Planned 2010-2013
Security Program – Adequacy of Security and Business Continuity Management Assurance Planned 2010-2013

Electronic Link to Internal Audit Plan: The electronic link to the internal audit plan is not available at this time. The annual audit planning process is completed during the fourth quarter, and the audit plan for 2010-2013 will be available following the President's approval.

Upcoming Evaluations (Next three fiscal years)


Name of Evaluation Program Type Status Expected Completion Date
FY 2010-2011
Financing Continuum Evaluation Program sub-activity including components of the Business Development Program and Tourism commercial Ongoing June 2010
Trade and Investment Evaluation Program sub-activity including components of the Business Development Program, Atlantic Trade and Investment Partnership, and the International Business Development Program Ongoing June 2010
Entrepreneurship and Business Skills Development Evaluation Program sub-activity including components of the Business Development Program, the Women in Business Initiative and the Young Entrepreneur Development Initiative Ongoing June 2010
Policy, Advocacy and Coordination Evaluation Program sub-activity including components of the Business Development Program Planned June 2011
Public Service Renewal Initiative Evaluation Internal services Planned March 2011
FY 2011-2012
Business Skills Development Meta Evaluation Components of the Business Development Program Planned TBD
Tourism Meta Evaluation Components of the Business Development Program Planned TBD
FY 2012-2013
Community Investment and Community Mobilization Evaluation Program sub-activity including components of the Business Development Program and the Innovation Community Fund Planned TBD
Community-based Business Development Evaluation Program sub-activity including components of the Business Development Program and the Community Futures Program Planned TBD

Electronic link to evaluation plan:

http://www.acoa-apeca.gc.ca/English/Accountability/AuditsAndEvaluations/Pages/5YearEvaluationPlan.aspx?ProgramID

 


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Canada Border Services Agency

Upcoming Internal Audits and Evaluations


Table 3.1: Upcoming Internal Audits (next two fiscal years*)
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Financial Management Control Framework Assurance In progress 2010
Free and Secure Trade program Pre-audit Survey In progress 2010
CBSA / Citizenship and Immigration Canada Memorandum of Understanding Assurance In progress 2010
Form K84 (Process and Accounting) Assurance In progress 2010
Postal Operations Pre-audit Survey In progress 2010
Economic Action Plan Pre-audit Survey In progress 2010
Tax revenues source transactions – Phase I Pre-audit Survey Planned 2010
Duties relief programs – Drawback refunds Assurance Planned 2010
Harmonized Risk Scoring / Advance Trade Data Assurance Planned 2010
Advance Passenger Information / Passenger Name Record data from airlines Assurance Planned 2010
eManifest – Phase II Assurance Planned 2010
Accelerated Commercial Release Operations Support System Controls Pre-audit Survey Planned 2010
Management of Information Technology Security Assurance Planned 2010
Laboratory services Assurance Planned 2010
Controls on seized identity documents (Immigration and Refugee Protection Act) Pre-audit Survey Planned 2010
Arming Initiative (change management strategy) Assurance Planned 2011
Compliance verification programs Assurance Planned 2011
Management of Government Information Holdings Assurance Planned 2011
Process monitoring framework Assurance Planned 2011
Tax revenues source transactions – Phase II Assurance Planned 2011
IT systems – Biometrics Assurance Planned 2011
Management of overtime Assurance Planned 2011
Process to share intelligence information internally Assurance Planned 2011
Training and development Assurance Planned 2011
Year-end cash cut-off procedures 2009-10 Assurance Planned 2011
Accounts receivable Assurance Planned 2011
Container Security Initiative Assurance Planned 2011
Procurement service standards Assurance Planned 2011
Security Management Framework Assurance Planned 2011

*The Canada Border Services Agency has established timelines for audit report delivery up until the first quarter of 2011-12. Timelines for audit report delivery beyond that date will be established in 2010-11.

Table 3.2: Upcoming Evaluations (next three fiscal years)
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Sufferance and bonded warehouse programs Program In progress 2010
Security Certificates initiative (CBSA is participating in this evaluation, which is led by Public Safety Canada) Initiative In progress 2010
Investigations Program (under the Immigration and Refugee Protection Act) Program In progress 2010
Anti-Money Laundering and Anti-Terrorist Financing (CBSA is participating in this evaluation, which is led by the Department of Finance) Program In progress 2010
Container Security Initiative Initiative In progress 2010
Integrated Proceeds of Crime (CBSA is participating in this evaluation, which is led by the Royal Canadian Mounted Police) Program Planned 2010
Detentions and removals Program In progress 2010
Information Technology infrastructure – Shared services (including applications and end-user environment) Service In progress 2010
People processing (marine mode) Program In progress 2010
Temporary Foreign Worker Program (CBSA is participating in this evaluation, which is led by Human Resources and Skills Development Canada and Citizenship and Immigration Canada) Program In progress 2011
Partners in Protection Program Planned 2011
Western Hemisphere Travel Initiative Initiative Planned 2011
eManifest Program Planned 2011
2010 Olympics (CBSA is participating in this evaluation, which is led by the Royal Canadian Mounted Police) Program Planned 2011
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Canada Industrial Relations Board

Upcoming Internal Audits and Evaluations over the next three fiscal years

A. All upcoming Internal Audits over the next three fiscal years


1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
IT Asset Management
Horizontal Audit Conducted by the Office of the Comptroller General in Small Departments and Agencies
Assurance on measures to manage IT asset inventories, including software licences In progress, examination completed in December 2009 Final Report due April 2010

Electronic Link to Internal Audit and Evaluation Plan: http://www.tbs-sct.gc.ca/ia-vi/docs/plans-eng.asp


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Canada Revenue Agency

Internal Audit

An annual review and update on planned audit engagements may result in modifications to audits to be conducted in 2010-2011, 2011-2012 and 2012-2013.

All completed audit reports are posted at the following link:
http://www.cra-arc.gc.ca/gncy/ntrnl/menu-eng.html


Name of Internal Audit
Audit Type
Status
Expected Completion Date
Memorandum of Understanding (MOU) Statistics Canada
Assurance
In progress
2009-2010
Follow-up of 2006-2007 Internal Audit Reports
Follow-up
In progress
2009-2010
Taxpayer Services - Telephone Enquiries
Assurance
In progress
2009-2010
MOU Service Nova Scotia
Assurance
In progress
2009-2010
Follow-up of 2007-2008 Internal Audit Reports
Assurance
Planned
2010-2011
Debt Management Call Centre
Assurance
In progress
2010-2011
Management of Mail Operations
Assurance
In progress
2010-2011
Universal Child Care Benefit
Assurance
In progress
2010-2011
Provincial Compliance
Assurance
In progress
2010-2011
Financial Monitoring Controls - Agency Activities (Operating Expenses)
Assurance
In progress
2010-2011
CPP/EI Base Year (2008-2009) Administrative Costs
Assurance
In progress
2010-2011
Aggressive International Tax Planning
Assurance
In progress
2010-2011
Competent Authority
Assurance
In progress
2010-2011
Management of Audit Trails for Taxpayer Information
Assurance
In progress
2010-2011
Authorized Third Party Access to Taxpayer Accounts
Assurance
In progress
2010-2011
Post Implementation Audit of the GST System Redesign
Follow-up
In progress
2010-2011
Information Technology Continuity Follow-up
Follow-up
In progress
2010-2011
ITB Work Order Process Review
Assurance
In progress
2010-2011
Publishing Renewal
Assurance
In progress
2010-2011
GST/HST Rulings
Assurance
In progress
2010-2011
Memorandum of Understanding with Workplace Health, Safety and Compensation Board of New Brunswick
Assurance
Planned
2010-2011
Leave Management
Assurance
In progress
2010-2011
Financial Monitoring Controls - Agency Asset
Assurance
Planned
2010-2011
2009-2010 Selected Fiscal Year End Procedures
Assurance
In progress
2010-2011
Trust Accounts Examination
Assurance
In progress
2010-2011
Supporting Canada Border Services Agency (CBSA)
Assurance
Planned
2010-2011
Financial Administration Act (FAA) Accountabilities - Agency Activities
Assurance
Planned
2010-2011
Office Audit
Assurance
Planned
2010-2011
Disability Tax Credit
Assurance
In progress
2010-2011
MOU with CBSA
Assurance
Planned
2010-2011
MOU with La société de l'assurance automobile du Québec
Assurance
Planned
2010-2011
MOU - Exchange of Information relating to Ontario Corporations in support of the Administration of Corporate Taxes
Assurance
Planned
2010-2011
National Collection Pools
Assurance
Planned
2011-2012
Income Tax Rulings
Assurance
Planned
2011-2012
Protection of Information
Assurance
Planned
2011-2012
Electronic Commerce
Assurance
Planned
2011-2012
Appeals Workload Management
Assurance
Planned
2011-2012
Payment Processing
Assurance
Planned
2011-2012
Privileged User Risk Management
Assurance
Planned
2011-2012
Strategic Bankruptcies
Assurance
Planned
2011-2012
HR Service Delivery
Assurance
Planned
2011-2012
IT Responsiveness
Assurance
Planned
2011-2012

Electronic Link to Internal Audit Plan: http://www.cra-arc.gc.ca/gncy/ntrnl/menu-eng.html

Evaluations


1. Name of Evaluation
2. Program Activity (at the PA level)
3. Evaluation Type
4. Status
5. Completion Date
GST/HST Delinquent Filing and Remitting
Accounts Receivable and Returns Compliance
Summative
Complete
2009-2010
Headquarters-Region Managers Exchange Pilot Program
Internal Services
Summative
Complete
2009-2010
Charities Public Security and Anti-terrorism
Taxpayer and Business Assistance
Formative
Complete
2009-2010
Debt Management Collections Call Centre
Accounts Receivable and Returns Compliance
Summative
WIP
2010-2011
Enforcement and Disclosures
Reporting Compliance
Summative
WIP
2010-2011
Softwood Lumber
Taxpayer and Business Assistance
Formative
WIP
2010-2011
Charities Partnership & Outreach Program
Taxpayer and Business Assistance
Summative
Planned
2010-2011
Compliance Communications
Reporting Compliance
Summative
Planned
2011-2012
Appeals Program
Appeals
Summative
Planned
2011-2012
Scientific Research & Development Program
Reporting Compliance
Summative
Planned
2011-2012
Business Registration
Assessment of Returns & Payment Processing
Summative
Planned
2011-2012

Electronic link to evaluation plan: http://www.cra-arc.gc.ca/gncy/ntrnl/menu-eng.html


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Canada School of Public Service

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years

The list that follows represent the audit engagements which have begun during fiscal year 2009-10 and will be completed during 2010-11 and the audit engagements which are planned to be performed over the next three fiscal years. These audit engagements are part of the most recent Canada School of Public Service Multi-year Risk-Based Audit Plan 2009-2010 to 2011-2012 (approved in June 2009 by the President of the Canada School on recommendation by the Canada School's Departmental Audit Committee). The next review and update of the Canada School of Public Service Multi-year Risk-Based Audit Plan 2010-2011 to 2012-2013 is planned to be performed during the first quarter of 2010-11 which may result in modifications to the audit engagements to be conducted over the next three fiscal years as listed below.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
System Under Development Audit of the Integrated Learner Management System (ILMS) System Under Development — Financial & Information Technology — Internal Services In progress First Quarter of
2010–11
Audit of Compensation for Certain Non–Indeterminate Employees Assurance — Financial — Compliance — Internal Services In progress First Quarter of
2010–11
Audit of Revenue Management* Assurance — Financial — Compliance — Internal Services Planned To be determined
Leave and Overtime Audit Assurance –  Financial & Compliance – Internal Services Planned Last Quarter of
2010–11
Audit of Computer Controls over Financial Reporting Assurance — Financial — Information Technology — Internal Services Planned Last Quarter of
2010–11
Travel and Hospitality Audit Assurance — Financial — Compliance — Internal Services Planned Last Quarter of
2010–11
Corporate Risk Profile Audit Assurance — Risk Management — Internal Services Planned Last Quarter of
2010–11
Audit of the Orientation to the Public Service Program Assurance — Performance — Program Planned Last Quarter of
2010–11
Human Resources Audit Assurance — Human Resources & Compliance Planned Last Quarter of
2011–12
Marketing and Promotional Activities Audit Assurance — Human Resources & Compliance Planned Last Quarter of
2011–12
Corporate Information Decision–Making Framework Audit Assurance — Information Management Planned Last Quarter of
2011–12
Audit of the Advanced Leadership Program Assurance — Program Planned Last Quarter of
2011–12

*This audit engagement had been planned to be performed during fiscal year 2009–10 however, we have indications that it might be deferred to a subsequent year which will be approved by the Canada School's Departmental Audit Committee.

All upcoming Evaluations over the next three fiscal years

Below is a list of evaluations that may be conducted by the Canada School of Public Service's Evaluation Division over the next three years 1


Name of Evaluation Program Type Status Expected Completion
Date
Orientation to Level (ADM, DM) Authority Delegation (Supervisor, EX 1,2,3) – Formative Evaluation of the Authority Delegation Training Courses Other In Progress October 2009
Online Collaborative Technology Program (Communities of Practice) Other In Progress April 2010
Procurement, Material Management and Real Property Functional Community  Other In Progress June 2010
Innovative Public Management Research Fund Transfer
Payment
Planned March 2011
Advanced Leadership Program Other Planned March 2011
Leadership Across Borders: A Four Country Program Other Planned March 2011
Direxion Other Planned March 2011
Living Leadership: The Executive Excellence Program Other Planned March 2012
Change Management Services Other Planned March 2012
Broadening Access to Canadian Universities Transfer
Payment
Planned March 2013
iLeadership Other Planned March 2013
New Official Languages Delivery Model Other Planned March 2013




1 Please note that consultation on the Canada School Evaluation Plan occurs on a yearly basis. Therefore the list of evaluations appearing herein is subject to change.

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Canadian Centre for Occupational Health and Safety


Source of Respendable Revenue
($ Thousands) Forecast
Revenue
2009-10
Planned
Revenue
2010-11
Planned
Revenue
2011-12
Planned
Revenue
2012-13
Occupational health and safety information development, delivery services and tripartite collaboration 3,770 4,300 4,300 4,300
Total Credited to the Vote 3,770 4,300 4,300 4,300

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Canadian Environmental Assessment Agency

Upcoming Internal Audits and Evaluations over the Next Three Fiscal Years

 

Upcoming Internal Audits over the Next Three Fiscal Years

No internal audits are planned over the next three fiscal years. The Agency works closely with the Office of the Comptroller General (OCG) of the Treasury Board Secretariat of Canada in the conduct of horizontal audits.

 

All Upcoming Evaluations over the Next Three Fiscal Years

No evaluations are planned over the next three fiscal years.


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Canadian Food Inspection Agency

3.1.3 Upcoming Internal Audits and Evaluations over the next three fiscal years

3.1.3.1 All upcoming Internal Audits over the next three fiscal years21

1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Animal health Performance Audit In progress June 2010
Plant protection Performance Audit In progress September 2010
Financial control framework Financial Audit In progress June 2010
Export certification - Food Performance Audit In progress June 2010
Capital planning and asset management Financial Audit In progress March 2010
Revenue management Financial Audit In progress June 2010
Enforcement and Investigation Services Performance Audit In progress March 2010
Inspection – Meat Performance Audit In progress September 2010
Acquisition cards Financial Audit In Progress March 2010
Inspection – Fish Performance Audit Planned 2010-11 Undetermined
Inspection - Non- registered Performance Audit Planned 2010-11 Undetermined
Enhanced BSE programming Performance Audit Planned 2010-11 Undetermined
Plant protection emergency response Performance Audit Planned 2010-11 Undetermined
Seed program and plant breeders rights Performance Audit Planned 2010-11 Undetermined
Export certification – Animal Performance Audit Planned 2010-11 Undetermined
Access to Information Privacy Performance Audit Planned 2010-11 Undetermined
Accounts payable Financial Audit Planned 2010-11 Undetermined
Business continuity plan (BCP) Performance Audit Planned 2010-11 Undetermined
Salaries and employee benefits Performance Audit Planned 2010-11 Undetermined
Laboratory management Performance Audit Planned 2010-11 Undetermined
Inspection – Canadian agricultural products Performance Audit Planned 2011-12 Undetermined
Animal health – Zoonotics Performance Audit Planned 2011-12 Undetermined
Food safety recalls and emergency response Performance Audit Planned 2011-12 Undetermined
Animal health emergency response Performance Audit Planned 2011-12 Undetermined
Aquatic animal health Performance Audit Planned 2011-12 Undetermined
Animal feed Performance Audit Planned 2011-12 Undetermined
Enhanced surveillance and early detection Performance Audit Planned 2011-12 Undetermined
Export certification – Plant Performance Audit Planned 2011-12 Undetermined
Contracting and procurement Financial Audit Planned 2011-12 Undetermined
Expenditure management Financial Audit Planned 2011-12 Undetermined
Financial management system Financial Audit Planned 2011-12 Undetermined
Transfer payments Financial Audit Planned 2011-12 Undetermined
IM/IT IM/IT Audit Planned 2011-12 Undetermined
Travel and hospitality Financial Audit Planned 2011-12 Undetermined
Human resources Financial Audit Planned 2011-12 Undetermined

21This planned work may change based on possible/pending revisions to planned work based on the annual planning process.

Electronic link to audit plan: Not available
Link to audit reports: http://www.inspection.gc.ca/english/agen/eval/evale.shtml

3.1.3.2 All upcoming evaluations over the next three fiscal years

1. Name of Evaluation 2. Program Type 3. Status 4. Expected Completion Date
Evaluation of CFIA's Food Labelling Activities Program initiative Planned December 2010
Evaluation of the Food Vulnerability Assessment Capacity-Building Project (FVACBP) of the Security and Prosperity Partnership (SPP) of the North America Initiative Program initiative Planned October 2010
Evaluation of the Vancouver 2010 Olympic and Paralympic Winter Games (CFIA component) Program initiative Planned September 2010
Interdepartmental Evaluation of the Vancouver 2010 Olympic and Paralympic Winter Games (Department of Canadian Heritage lead) Horizontal initiative Planned October 2010
Evaluation of CFIA's Imported Food Activities Program initiative Planned December 2010
Evaluation of the Continuing a Comprehensive Strategy for Managing BSE in Canada, 5-Year Funding (mid-term) Program initiative Planned March 2011
Evaluation of the Continuing a Comprehensive Strategy for Managing BSE in Canada, 5-Year Funding Program initiative Planned 2012-2013
Evaluation of the Food and Consumer Safety Action Plan (CFIA component) Program initiative Planned 2012-2013
Interdepartmental Evaluation of the Food and Consumer Safety Action Plan
(Health Canada lead Department)
Horizontal initiative Planned 2012-2013

Electronic link to evaluation plan: Not available
Link to evaluation reports: http://www.inspection.gc.ca/english/agen/eval/evale.shtml

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Canadian Grain Commission

Upcoming Internal Audits (Next three fiscal years)


Name of Internal Audit Internal Audit Type Status Expected Completion Date
See note TBD See note TBD

Note: The CGC recently appointed a Chief Audit Executive (CAE), whose mandate includes establishing an internal audit function in accordance with Treasury Board's Internal Audit Policy. The CAE is developing a Risk-based Audit Plan to commence activity in fiscal year 2010-2011. Once completed and approved, the Internal Audit Plan will be available on the CGC's website.

Electronic link to internal audit plan: Once completed and approved, the Internal Audit Plan will be available on the CGC's website.

Upcoming Evaluations (Next three fiscal years)


Name of Evaluation Program Type Status Expected Completion Date
See note TBD See note TBD

Note: The CGC recently appointed a Chief Audit Executive (CAE) who, in addition to Internal Audit, will direct the Evaluation activities. The CGC is currently evaluating its requirements and expectations as a result of the revised Evaluation Policy effective April 1, 2009. The CAE will develop a risk-based Evaluation Plan in accordance with the Policy and the needs of the CGC. Once completed, the Plan will be posted on the CGC's website.

Electronic link to evaluation plan: Once completed, the Plan will be posted on the CGC's website.


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Canadian Heritage

Table 5: Upcoming Internal Audits and Evaluations over the next three fiscal years

A. All upcoming Internal Audits over the next three fiscal years

This internal audit list is based on the present May 2009 approved 2009-2010 to 2013-2014 risk-based, rolling multi-year audit plan. The plan is revised annually based on departmental needs and emerging priorities. As such, the content of this list could evolve and be subject to change.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
       

Sport Canada Branch

Internal Audit

In progress

2010

Payroll, Expenses, Leave and Employee Benefits (Stewardship) (Carry over)

Internal Audit

In progress

2010

Official Languages Secretariat

Internal Audit

In progress

2010

Ceremonies and Events, Vancouver 2010

Internal Audit

In Progress

2010

Grants and Contributions / Core Controls Phase II

Horizontal Audit

Planned

2010

IT Security

Internal Audit

Planned

2010

Financial Statements - Major Accounts

Internal Audit

Planned

2010

Cultural Industries Branch

Internal Audit

Planned

2011

Citizen Participation Branch

Internal Audit

Planned

2011

Planning & Intergovernmental Affairs Branch

Internal Audit

Planned

2011

Canada's Participation in 2010 Shanghai Program

Internal Audit: Transfer Payment

Planned

2011

Lieutenant Governors' Program

Internal Audit: Transfer Payment

Planned

2011

Staffing Process

Horizontal Audit

Planned

2011

Safety, Security, and Facilities Management Directorate

Internal Audit

Planned

2011

Performance Management Systems

Horizontal Audit

Planned

2011

Financial Statements - Major Accounts

Internal Audit

Planned

2011

IM/IT Strategic Planning Directorate

Internal Audit

Planned

2011

Arts Policy Branch

Internal Audit

Planned

2012

Heritage Policies and Programs Branch

Internal Audit

Planned

2012

International Affairs Branch

Internal Audit

Planned

2012

E-Services Branch

Internal Audit

Planned

2012

Strategic Policy Planning and Research Branch

Internal Audit

Planned

2012

Recruitment

Horizontal Audit

Planned

2012

Succession Planning Process

Horizontal Audit

Planned

2012

Audited Financial Statements - Major Accounts

Internal Audit

Planned

2012

IM/IT Governance & Accountability Directorate

Internal Audit

Planned

2012

Governance

Follow-up Audit

Planned

2012

Canada Periodical Fund

Internal Audit: Transfer Payment

Planned

2013

Canada Media Fund

Internal Audit: Transfer Payment

Planned

2013

Strategic Policy and Management and Francophone Secretariat Branch

Internal Audit

Planned

2013

Canada Heritage Information Network (CHIN)

Internal Audit

Planned

2013

TV5

Internal Audit: Transfer Payment

Planned

2013

Management, Regional and Correspondence Services Branch

Internal Audit

Planned

2013

Financial Management Branch

Internal Audit

Planned

2013

Business Continuity Planning and Emergency Preparedness

Horizontal Audit

Planned

2013

Audited Financial Statements - Major Accounts

Internal Audit

Planned

2013

Records Management

Horizontal Audit

Planned

2013


B. All upcoming Evaluations over the next three fiscal years

This evaluation list is based on the present July 2009 approved 2009-2010 to 2013-2014 risk-based, rolling multi-year evaluation plan. The plan is revised annually based on departmental needs and emerging priorities. As such, the content of this list could evolve and be subject to change.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Aboriginal Peoples' Program (incl. Aboriginal Communities; Aboriginal Living Cultures and YES) Summative Evaluation In progress 2010
PCH Communications Function and Communications Policy Summative Evaluation In progress 2010
Canada Travelling Exhibitions Indemnification Program Summative Evaluation In progress 2010
Katimavik Program Summative Evaluation In progress 2010
Exchanges Canada Summative Evaluation In progress 2010
Canadian Studies Program Summative Evaluation In progress 2010
2010 Olympic & Paralympic Winter Games Federal Secretariat Summative Evaluation In progress 2010
Sports Canada (incl. Sport Support Program; Hosting Program; Athlete Assistance Program; and International Sports) Summative Evaluation In progress 2010
Arts, Culture and Diversity Program Summative Evaluation In progress 2010
Human Rights Program Summative Evaluation In progress 2010
Shanghai 2010 Exposition Summative Evaluation In progress 2011
Canadian Feature Film Policy Summative Evaluation In progress 2011
Canadian Conservation Institute Summative Evaluation In progress 2011
Fathers of Confederation Building Trust Summative Evaluation In progress 2012
Broadcasting Policy Summative Evaluation Planned 2012
Copyright Policy Summative Evaluation Planned 2012
UNESCO Convention on the Protection and Promotion of the Diversity of Cultural Expressions Summative Evaluation Planned 2012
Building Communities Through Arts and Heritage Summative Evaluation Planned 2012
Celebrations and Commemoration Program Summative Evaluation Planned 2013
State Ceremonial and Protocol Summative Evaluation Planned 2013
National Arts Training Contribution Program Summative Evaluation Planned 2013
International Expositions Summative Evaluation Planned 2013
TV5 Summative Evaluation Planned 2013
Canadian Film or Video Production Tax Credit Summative Evaluation Planned 2013
Canada Music Fund Summative Evaluation Planned 2013
Book Publishing Industry Development Program Summative Evaluation Planned 2013
Canadian Heritage Information Network Summative Evaluation Planned 2013
Arts Presentation Canada Summative Evaluation Planned 2013/14
Cultural Spaces Canada Summative Evaluation Planned 2013/14
Canadian Arts and Heritage Sustainability Program Summative Evaluation Planned 2013/14
Official Languages Support Programs (incl. Development of O/L Communities Program; Enhancement of O/L Program, and Young Canada Works YES) Summative Evaluation Planned 2013/14
Official Languages Roadmap Summative Evaluation Planned 2013/14

Electronic Link to Internal Audit and Evaluation Plan:


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Canadian Human Rights Commission

Upcoming Evaluations (Next three fiscal years)


1. Name of Evaluation 2. Program Type 3. Status 4. Expected Completion Date
Evaluation of the Alternative Dispute Resolution Services A-base In progress June 2010

Electronic link to evaluation plan: There is no link available to the evaluation plan.

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Canadian Institutes of Health Research

Upcoming Internal Audits (Next three fiscal years)

The audits are contained in the Risk Assessment and Five-Year Internal Audit Plan 2007-2012 approved by the CIHR Governing Council in June 2007. In accordance with Treasury Board policy, the CIHR Chief Audit Executive refreshes the Risk Assessment yearly in order to produce the CIHR Annual Internal Audit Plan. The audits listed below may be modified, replaced, or deleted to reflect the updated risk assessment.

Name of Internal Audit Internal Audit Type Status Expected Completion Date
2010-11
Audit of Adequacy and Effectiveness of IM/IT Security Assurance audit of Operations In approved 5-Year Plan March 31, 2011
Audit of Compliance with Security and Occupational Safety Policy and Standards Assurance audit of Operations In approved 5-Year Plan March 31, 2011
Audit of Compliance with Access to Information and Privacy (ATIP) Acts, Regulations, Policies, and Guidelines Assurance audit of Operations In approved 5-Year Plan March 31, 2011
Follow-Up Audit of Travel and Hospitality Expenses – Staff and Non-Staff Assurance audit of Operations In approved 5-Year Plan March 31, 2011
2011-12
Audit of Effectiveness and Efficiency of the Non-Financial Administration of the Research Related Activity (Research Resources and Collaboration) Program Assurance audit of Operations In approved 5-Year Plan March 31, 2012
Follow-Up Audit of Conflict of Interest - Audit of Compliance with Ethics and Values Policies and Standards Assurance audit of Operations In approved 5-Year Plan March 31, 2012
Follow-Up Audit of Records and Information Management Assurance audit of Operations In approved 5-Year Plan March 31, 2012
Follow-Up Audit of Compliance with Official Languages (OL) Act and Policy Assurance audit of Operations In approved 5-Year Plan March 31, 2012
2012-13
The current 5-Year Internal Audit Plan spans the period 2007-2012. The next 5-Year Internal Audit Plan for the period 2012-2017 will be ready in 2011-2012.

Upcoming Evaluations (Next three fiscal years)

CIHR Evaluation Schedule 2009/10 – 2013/14

Name of Evaluation Program Type Status Expected Completion Date
Open Research Grant Program Grants & Contributions Carried out annually 2009-10
2011-12
2012-13
Randomized Controlled Trials Program Grants & Contributions In progress 2010-11
Team Grant Programs Grants & Contributions In progress 2010-11
Canada Research Chairs Grant Program Grants & Contributions In progress 2010-11
Pandemic Preparedness Research Initiative Grants & Contributions In progress 2009-10
Commercialization Funding Programs Grants & Contributions delayed TBD
Strategic Initiatives Program Grants & Contributions In progress 2010-11
Salary Support Programs Grants & Contributions In planning 2010-11
Expensive Drugs for Rare Diseases Research Initiative Grants & Contributions Not begun 2011-12
Partnership Programs Grants & Contributions Not begun 2011-12
Knowledge Translation Program Grants & Contributions Not begun 2012-13
HIV/AIDS Research Initiative Grants & Contributions Not begun 2011-12
National Anti-Drug Strategy Treatment Research Initiative Grants & Contributions Not begun 2012-13
Training Support Programs Grants & Contributions Not begun 2013-14
Networks of Centres of Excellence Program Grants & Contributions Not begun 2012-13
Institute Support Grants Grants & Contributions Not begun 2013-14
Ethics Programs Grants & Contributions Not begun 2013-14
Canada Graduate Scholarships Program Grants & Contributions Not begun 2012-13

Evaluation plan is not yet available electronically.


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Canadian Intergovernmental Conference Secretariat

Upcoming Internal Audits and Evaluations over the next three fiscal years

A. All upcoming Internal Audits over the next three fiscal years


1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
IT Asset Management Horizontal Ongoing Spring 2010
Information Security Horizontal Planned Fall 2010
Business Planning Horizontal Planned Spring 2011

5. Electronic Link to Internal Audit and Evaluation Plan:

Being a micro-agency, CICS doesn't conduct its own internal audits. CICS is an active member of the Office of the Comptroller General Small Departments and Agencies Advisory Group which provides horizontal internal audits to small agencies.

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Canadian International Trade Tribunal

Upcoming Internal Audits Over the Next Three Fiscal Years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Human Resource Management Assurance Audit ‑ Human Resource Planned March 2011
Audit of Operational Systems and Management of IM/IT Assurance Audit ‑ IM/IT Planned March 2012
Audit of Emergency Preparedness, Continuity Planning and Security Assurance Audit ‑ Emergency Preparedness, Continuity Planning and Security Planned March 2013
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Canadian Northern Economic Development Agency

A. All Upcoming Internal Audits over the Next Three Fiscal Years


The creation of CanNor raises the requirement for a key part of the Agency's internal audit function to be undertaken jointly with the Office of the Comptroller General (OCG) as part of small departments and agencies arrangements under Treasury Board Secretariat's Policy on Internal Audit. Preliminary contacts have commenced with the OCG to expedite this process with a view to implementation in 2010–2011. In parallel, supplementary activities will develop a detailed corporate risk profile for the Agency for assessing where supplementary audit projects should be undertaken by the Agency in-house, outside OCG sector-wide audit activities.

The OCG has yet to finalize its sector-wide audit plans for the next three fiscal years — an essential base for developing the Agency's audit plans. The OCG has indicated that the work in this area will be completed by March 2010, which is when the Agency's corporate risk profile is also scheduled for completion. Once both information sources are in place, the Agency can finalize its detailed internal audit plan for the next three fiscal years.

B. All Upcoming Evaluations over the Next Three Fiscal Years


Name of Evaluation Program Type Status Expected Completion Date
Strategic Investments for Northern Economic Development — Summative Evaluation Transfer Planned December 2010
Community Adjustment Fund — Summative Evaluation Transfer Planned

2011–2012

Recreational Infrastructure Canada Transfer Planned

2011–2012

CanNor Support for Northern Federal Councils — Internal Management Transfer Planned

2012–2013


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Canadian Nuclear Safety Commission

Internal Audits

The following activities are included in the CNSC risk-based Audit Plan for the period 2009-10 to 2011-12. This plan is in the process of being reviewed and updated.

The updated plan will be submitted to the CNSC's Audit Committee in April 2010 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 will outline the projects planned for the upcoming three years. 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 Expected Completion Date
Audit of Compliance Enforcement framework Compliance and management audit In progress (continued from 2009-10) 2010-11
Audit of Revenue Management Financial Audit In progress (continued from 2009-10) 2010-11
Preliminary Survey of Risk Management Survey In progress (continued from 2009-10) 2010-11
Audit of Inspector Qualification and Training Compliance and management audit Planned 2010-11
Audit of Delegated Licensing Authority Compliance and management audit Planned 2010-11
Audit of Regulatory Document Development Compliance and management Planned 2010-11
Audit of Corporate Governance Governance and management audit Planned 2010-11
Monitoring of action plans from past audits Monitoring Ongoing 2010-11
Follow-up on past audits, including Procurement Audit Follow-up Planned 2010-11

Evaluations

In past years, the CNSC oversight focus has been on the internal audit function; however, we are now positioned to undertake the same improvement to the evaluation function. The CNSC began strengthening its evaluation function in Fiscal Year 2009-10, to ensure that it aligns with the new Treasury Board Secretariat Policy on Evaluation, effective April 1, 2009.

Building on work undertaken in 2009-10 (e.g., development of a policy, terms of reference for the evaluation advisory committee, development of the evaluation universe, etc.), the CNSC will continue with the next phase of implementation. This includes staffing, as well as assessing programs to determine the needs and priorities for the development of a three-year evaluation plan.

Additional information on CNSC Evaluations is available on the CNSC Web site.

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Canadian Space Agency

Annexe 2 - Internal Audits and Evaluations


Audits
Name of Internal Audit Type Status Completion Date Electronic Link to Report
Audit of the Values and Ethics Framework Management Framework In progress 2010-03-31 N/A
Audit of the IT Dependency Management Framework In progress 2010-03-31 N/A
Audit of the IT Planning and Development Management Framework In progress 2010-03-31 N/A
Audit of the Data and Systems Security Management Framework In progress 2010-03-31 N/A
Audit of the Monitoring of access to controlled goods pursuant to ITAR enforcement Management Framework Projected 2010-03-31 N/A
Audit of the Proactive Disclosure process Management Framework In progress 2010-03-31 N/A
Audit of the Management Framework of the Official Languages practices Management Framework Projected 2010-03-31 N/A
Audit of the Test Facilities Management Management Framework Projected 2010-03-31 N/A
Audit of Records Management Management Framework Projected 2011-03-31 N/A
Audit of Contracting and acquisitions practices Management Framework Projected 2011-03-31 N/A
Audit of Skills Management Management Framework Projected 2011-03-31 N/A
Audit of Personnel Retention Programs Management Framework Projected 2011-03-31 N/A
Audit of Business Case for Major Investments Horizontal Audit Projected 2011-03-31 N/A
Audit of Real Property Life Cycle Management Horizontal Audit Projected 2011-03-31 N/A
Audit of Strategic Planning, Business Plans, Monitoring and Review of Priorities Management Framework Projected 2011-03-31 N/A



Evaluations
Name of Evaluation Program Activity Type Status Completion Date Electronic Link to Report
Evaluation of the RADARSAT-2 Major Crown Project EO Summative Completed 2009-09-30 http://www.asc-csa.gc.ca/pdf/mcp-5702-7823.pdf
Evaluation of the 2000-2009 Canada/ESA Cooperation Agreement EO, SE, SC and GTA Summative In Progress 2010-03-31 N/A
Evaluation of the Space Technology Development Program (STDP) GTA Summative In Progress 2010-03-31 N/A

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Canadian Transportation Agency

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


1. Name of Internal Audit

2. Internal Audit Type

3. Status

4. Expected Completion Date

IT Asset Maintenance Life Cycle

Assurance

Planned

June 2010

Information Security

Assurance

Planned

Sept 2010

Western Grain Railway Revenue Cap.

Assurance

Planned

Dec 2010

Physical Security Access

Assurance

Planned

April 2011


5. Electronic Link to Internal Audit Plan

In progress, the Agency Internal Audit plan is not yet formally approved, as of November 30, 2009.

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Citizenship and Immigration Canada

Internal Audits

The mission, vision and values described in the Internal Audit Charter of Citizenship and Immigration Canada (CIC), together with the Treasury Board internal audit policy and directives, provide the fundamental framework for the audit planning process at CIC. CIC's audit strategy is outlined in its risk-based audit plan, which forms the basis for audit activities within the Department.

Audits that are currently under way or planned for 2010–2011 include the following:


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Integration Program—Administration of Grants and Contributions Program Audit In Progress Quarter 1
2010–2011
Audit of Information System—iCAMS Information Technology Audit In Progress Quarter 1
2010–2011
Audit of Immigration Program in Missions Abroad—Port-au-Prince Mission Audit In Progress Quarter 1
2010–2011
Audit of Immigration Program in Missions Abroad—Kingston (Jamaica) Mission Audit In Progress Quarter 1
2010–2011
Audit of the CIC Memorandum of Understanding with Canada Border Services Agency Audit of Agreement In Progress Quarter 1
2010–2011
Audit of Inland Permanent Residence Applications Program Audit In Progress Quarter 1
2010–2011
Audit of Compliance with Travel and Hospitality Policies and Directives Compliance Audit In Progress Quarter 1
2010–2011
Audit of management control framework in place over Multiculturalism Program Audit of Administrative Process Planned Fiscal Year 2010–2011
Audit of Prairies and Northern Territories Region—Governance and Risk Management Audit of Functional Area Planned Quarter 2
2010–2011
Audit of Atlantic Region—Governance and Risk Management Audit of Functional Area Planned Fiscal Year 2010–2011
Audit of Information Management to Assess the Strength of the Management Control Framework Audit of
Administrative Process
Planned Fiscal Year 2010–2011
Audit of Operational Management and Coordination—Governance Audit of Functional Area Planned Fiscal Year 2010–2011
Audit of International Region—Governance over Visa Application Centres Audit of Functional Area Planned Fiscal Year 2011–2012
Audit of Immigration Program in Regional Processing Centre Abroad Mission Audit Planned Fiscal Year 2010–2011
Audit of Staffing—Management to Assess Compliance with Policies and Legislation and the Management and Accountability Framework Compliance Audit Planned Fiscal Year 2010–2011
Audit of Financial Internal Control Framework Audit of Administrative Process Planned Fiscal Year 2010–2011
Audit of Pre-removal Risk Assessment to Assess Compliance of Processing with Legislation, Regulations and Policy Compliance Audit Planned Fiscal Year 2010–2011
Audit of the Case Processing Centre in Sydney Audit of Functional Area Planned Fiscal Year 2010–2011
Follow-up and Monitoring of Prior Year Audit Recommendations related to:
  • Reports by the Office of the Auditor General of Canada;
  • Reports by the Office of the Comptroller general; and
  • Reports by Internal Audit
Other Audit-related Activities Planned Fiscal Year 2010–2011

Evaluations

Citizenship and Immigration Canada maintains an effective evaluation function to provide the Department with objective, timely and evidence-based information and conclusions on the results of programs, policies and initiatives, including conducting evaluations of the main grants and contributions programs.


Name of Evaluation Program Type Status (as of March 31, 2010) Expected Completion Date
Immigration Programs
Evaluation of Ministerial Instructions Operating Fund In planning 2010–2011
Evaluation of the Provincial Nominee Program Operating Fund In planning 2010–2011
Evaluation of the Business Immigration Program Operating Fund In planning 2010–2011
Evaluation of the Sponsorship Program—Parents and Grandparents Operating Fund Planned 2011–2012
Evaluation of the Sponsorship Program—Spouses, Partners and Children Operating Fund Planned 2011–2012
Evaluation of the Canadian Experience Class Program Operating Fund Planned 2012–2013
Temporary Resident Programs
Evaluation of the Temporary Foreign Worker Program (Joint with Human Resources and Skills Development Canada—HRSDC) Operating Fund In planning 2010–2011
Evaluation of the Biometrics Initiative Operating Fund Planned 2012–2013
Canada's Role in International Migration and Protection
Evaluation of the Migration Policy Development Program Contribution Planned 2012–2013
Refugee Programs
Evaluation of the Government-assisted Refugee Program and the Resettlement Assistance Program Operating Fund/
Contribution
In progress 2010–2011
Evaluation of the Private Sponsorship of Refugees Program Operating Fund Planned 2012–2013
Integration Programs
Evaluation of the Canada–Ontario Immigration Agreement Strategic Plan for Settlement and Language Training Contribution In progress 2010–2011
Evaluation of the Going to Canada Immigration Portal (Joint with HRSDC) Contribution In progress 2010–2011
Evaluation of the Enhanced Language Training Program Contribution In planning 2010–2011
Evaluation of the Recruitment and Integration of French-speaking Immigrants to Francophone Minority Communities Program Contribution Planned 2011–2012
Evaluation of Canadian Orientation Abroad Contribution Planned 2011–2012
Evaluation of the Foreign Credentials Referral Office Contribution Planned 2012–2013
Citizenship and Multiculturalism Programs
Evaluation of Nationally Standardized Data Collection Strategy on Hate-motivated Crime (Initiative under the Canada's Action Plan Against Racism) Operating Fund In progress 2010–2011
Evaluation of Canada's Action Plan Against Racism Operating Fund/ Contribution In progress 2010–2011
Evaluation of Multiculturalism Program Contribution Planned 2011–2012
Evaluation of the Community Historical Recognition Program Operating Fund/ Contribution Planned 2011–2012
Evaluation of Citizenship Grants, Searches and Proofs Operating Fund Planned 2011–2012
Evaluation of Citizenship Education and Promotion Operating Fund Planned 2012–2013
Other Programs
Evaluation of Canada's Visa Policy Operating Fund Planned 2011–2012
Evaluation of the Immigration Medical Examination Operating Fund Planned 2011–2012
Evaluation of the Public Service Health Overseas Program Operating Fund Planned 2011–2012
Evaluation of the Transfer Without Visa Policy Operating Fund Planned 2012–2013
Internal Programs and Services
Evaluation of the Office of Conflict Resolution Operating Fund Planned 2011–2012
Evaluation of Staffing Function Operating Fund Planned 2012–2013
Evaluation of Pay and Benefits Function Operating Fund Planned 2012–2013
Horizontal Initiatives
Evaluation of the 2010 Olympic and Paralympic Winter Games (Canadian Heritage Lead) Operating Fund In planning 2010–2011
Evaluation of Security for the 2010 Olympic and Paralympic Winter Games (Royal Canadian Mounted Police Lead) Operating Fund In planning 2010–2011
Evaluation of the Enhanced Driver's Licence Program (Canada Border Services Agency Lead) Operating Fund In planning 2010–2011
Alberta Temporary Foreign Worker Advisory Office (Canada–Alberta Temporary Worker Working Group Lead) Operating Fund In planning 2010–2011
Evaluation of the Roadmap for Canada's Linguistic Duality 2008–2013 Operating Fund/ Contribution Planned 2012–2013

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Copyright Board of Canada

Table 1 : Internal Audits (for fiscal year 2008-2009)

Name of Internal Audit Audit Type Status Completion Date
Horizontal Internal Audit of Expenditures Controls (Higher Risk Payments) in SDAs. Financial Management Control Completed, awaiting final report Unknown
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Correctional Service Canada

Upcoming Internal Audits over the next three fiscal years (2010/2011 – 2012/2013)*

Below is a list of internal audits identified in the 2009-2012 Risk-based Internal Audit Plan approved by the Departmental Audit Committee in May 2009. Please note that the list of projects planned for 2010/2011 and 2011/2012 may change as a result of the annual update to the risk-based planning process. A list of approved projects and Internal Audit Reports can be found on CSC's web site at:

2009-2010 Internal Audit Planned Projects

Internal Audit Reports



2010-11 Internal Audit Projects
Name of Internal Audit Internal Audit Type Status Expected Completion Date
2009-10 Approved Internal Audit Projects for Completion in 2010-11      
Audit of Regional Psychiatric Centres / Regional Treatment Centres Correctional Operations In Progress April 2010
Audit of Case Management - Supervision Framework Correctional Operations In Progress April 2010
Audit of HR Data Integrity HR Management In Progress April 2010
Audit of Internal Controls over Financial Reporting Financial Management Planned April 2010
Review of CORCAN Construction Contracts Procurement and Financial Management Planned April 2010
Follow-up Review of Employee Leave HR Management Planned April 2010
Pre-release Decision Making within the Case Preparation and Release Planning Framework Correctional Operations Planned June 2010
Audit of Community Supervision Correctional Operations In Progress June 2010
2010-11 Planned Internal Audit Projects      
Audit of Control of Entry and Exits to Institutions - Goods, Vehicles and People Correctional Operations Planned --
Audit of Implementation of Deployment Standards Correctional Operations Planned --
Audit of Mental Health Assessment at Intake Correctional Operations Planned --
Audit of Pandemic Response Readiness Correctional Operations and HR Management Planned --
Audit of Citizen/Partner Engagement Strategy Correctional Operations and Management Practices Planned --
Audit of Strategic Planning / Integrated Risk Management Management Practices Planned --
Audit of Implementation of Aboriginal Strategy Accountability Framework Correctional Operations and Management Practices Planned --
Audit of Staffing Activities HR Management Planned --
Audit of Internal Controls over Financial Reporting Financial Management Planned --
Health Information Management Module Review IM/IT Planned --
2011-12 Planned Internal Audit Projects      
Audit of Offender Population Management Correctional Operations Planned --
Audit of Practices to Prevent/Respond to Deaths in Custody Correctional Operations Planned --
Audit of Administration of Prescription Drug (including Implementation in Regional Pharmacies) Correctional Operations Planned --
Audit of Employability Skills Programs for Offenders Correctional Operations Planned --
Audit of Community Correctional Centres Correctional Operations Planned --
Audit of Investigation Process Correctional Operations and Management Practices Planned --
Audit of Values & Ethics Initiatives Values & Ethics Planned --
Audit of Training Activities HR Management Planned --
Audit of Internal Controls over Financial Reporting Financial Management Planned --
Audit of IT Security - Intrusion Detection IM/IT Planned --
Audit of Accommodation and Infrastructure Planning / Long-term Capital Planning Real Property Planned --

 

All upcoming Evaluations over the next three fiscal years (2010/2011 - 2012/2013)*



1. Name of Evaluation 2. Program Type 3. Status 4. Expected Completion Date
Population Management Initiatives Ongoing To commence in 2011/2012 July 2013
Staff Safety in Institutions Ongoing To commence 2012/2013 February 2015
Staff Safety in the Community Ongoing Commenced in 2009/2010 December 20111
Community Corrections Operations Community Supervision
Ongoing funding
Commenced in 2009/2010 December 2011
Intensive Intervention Strategy for Women Ongoing funding Commenced in 2010/2011 June 2011
Offender Education Ongoing funding To commence in 2011/2012 December 2013
Values and Ethics Ongoing funding To commence in 2010/2011 June 2012
Institutional Mental Health Ongoing To commence in 2011/2012 March 2012
Learning and Development Internal Services
Ongoing funding
To commence in 2011/2012 October 2012
Grants & Contributions Programs Conditional Grants To commence in 2010/2011 March 2011
Correctional Programs and Integrated Program Model Ongoing funding To commence in 2011/2012 February 2014
Exchange of Service Agreements Ongoing funding To commence in 2011/2012 March 2012
Electronic Monitoring Strategic review $$ and MC Commenced in 2008/2009 December 2009
Strategic Plan for Aboriginal Corrections Ongoing Commenced in 2009/2010 March 2011
National Standards for the Deployment of Correctional Officers Ongoing funding To commence in 2011/2012 December 2013
Institutional Security Ongoing funding but includes many smaller evaluations/activities To commence in 2012/2013 October 2015

*Note: Scheduled evaluations and dates subject to change.

1 Portions of this evaluation may be completed prior to this date.


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Department of Finance Canada

Internal Audits and Evaluations


A. All upcoming internal audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of the Supply of Circulating Currency Assurance In Progress 2nd Quarter of 2010–11
Audit of Values and Ethics Assurance In Progress 3rd Quarter of 2010–11
Audit of the Transfer Payment Process Assurance Planned 4th Quarter of 2010–11
Audit of the Federal Debt Management Process Assurance Planned 4th Quarter of 2010–11
Audit of the Human Resources Planning Function Assurance Planned 4th Quarter of 2010–11
Audit of the Federal Budget Process and Framework Assurance Planned 3rd Quarter of 2011–12
Audit of Contracting and Procurement Assurance Planned 3rd Quarter of 2011–12
Audit of the Business Continuity Plan (BCP) Assurance Planned 4th Quarter of 2011–12
Audit of the Department's Governance Framework Assurance Planned 4th Quarter of 2011–12
Audit of IT Security Assurance Planned 1st Quarter of 2012–13
Audit of Environmental and Sustainable Development Assurance Planned 3rd Quarter of 2012–13 
Audit of Development and Training Assurance Planned 3rd Quarter of 2012–13 
Audit of Security of Information Assurance Planned 4th Quarter of 2012–13 
Audit of Shared Services provided by the Treasury Board of Canada Secretariat Assurance Planned 4th Quarter of 2012–13 

Electronic link to Internal Audit Plan: N/A


B. All upcoming evaluations over the next three fiscal years


Name of Evaluation Program Type Status Expected Completion Date
Economic and Fiscal Policy Direct Spending Planned 4th Quarter of 2010–11
Funds Management Governance Framework Treasury Evaluation Program Planned 4th Quarter of 2010–11
Integrated Market Enforcement Teams Initiative (IMETs) Horizontal Initiative In Progress 4th Quarter of 2010–11
Anti-Money Laundering and Terrorist Financing Regime Horizontal Initiative In Progress 4th Quarter of 2010–11
Canada Health and Social Transfers

Major Statutory Spending

Planned 1st Quarter of 2011–12
Payments to International Development Association, including Payments and encashment of notes issued to the European Bank for Reconstruction and Development Direct Spending Planned 2nd Quarter of 2011–12
Buyback Programs Treasury Evaluation Program Planned 3rd Quarter of 2011–12
Economic Forecasting Direct Spending Planned 1st Quarter of 2012–13
Fiscal Equalization Major Statutory Spending Planned 2nd Quarter of 2012–13
Meta-Evaluation of Treasury Evaluations from 1995 to Present Direct Spending Planned 3rd Quarter of 2012–13
International Trade and Finance Direct Spending Planned 4th Quarter of 2012–13
Crown Borrowing Treasury Evaluation Program Planned 4th Quarter of 2012–13

Electronic link to Evaluation Plan: N/A

Changes to the Evaluation Plan do occur from time to time and will be reflected accordingly in future Departmental Performance Reports and Reports on Plans and Priorities.

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Department of Foreign Affairs and International Trade

Table 5: Audits, Evaluations and Inspections

Table 5.1: Internal Audits

The Office of the Chief Audit Executive has a three-year risk-based audit plan, which specifies the internal audits to be carried out over this time frame. The plan is refreshed each year to ensure that it continues to address the areas of highest importance. The following table outlines those audits identified for 2010-2011 and 2011-2012. Identified audits, including those identified in the 2009-2010 plan but not completed, will be prioritized in line with available resources.


1) Name of Internal Audit 2) Internal Audit Type 3) Status 4) Expected Completion Date
(Dependent on Resources)
Strategic Planning Comprehensive Planned 2010-2011
Operational Planning Comprehensive Planned 2010-2011
Environmental Monitoring Comprehensive Planned 2010-2011
Program Development Framework Operational Planned 2010-2011
Management of Transfer Payments Operational Planned 2010-2011
Financial Reporting Controls Financial Planned 2010-2011
Information Management—Life Cycle Operational Planned 2010-2011
Asset Management—Non-IT Operational Planned 2010-2011
HR—Performance Management Operational Planned 2010-2011
HR—Compensation and Benefits Operational Planned 2010-2011
Security (physical) Operational Planned 2010-2011
Procurement (including contracting) Operational Planned 2011-2012
Policy Management Framework Operational Planned 2011-2012
Legal Management (including regulatory obligations) Operational Planned 2011-2012
Stakeholder Relations (managing memorandums of understanding) Operational Planned 2011-2012
Program Management—Performance Management Operational Planned 2011-2012
Platform Management—Management Framework and Capacity Operational Planned 2011-2012
Values and Ethics Comprehensive Planned 2011-2012
Treasury Management (banking and foreign exchange) Financial Planned 2011-2012
Business Continuity—Assessment and Planning Operational Planned 2011-2012
HR—Staffing Operational Planned 2011-2012
HR—Planning Operational Planned 2011-2012
Revenue Controls Financial Planned 2011-2012

5) Contact information: Yves Vaillancourt
Chief Audit Executive
Office of the Chief Audit Executive
Department of Foreign Affairs and International Trade
Tel: 613-943-4743
FAX: 613-944-4357
E-mail: yves.vaillancourt@international.gc.ca



Table 5.2: Evaluations

All upcoming Evaluations over the next three fiscal years


1) Name of Evaluation 2) Program Type 3) Status 4) Expected Completion Date
Fiscal Year 2010/11
Americas Strategy Formative Evaluation Ongoing June 2010
Global Commerce Strategy Formative Evaluation Ongoing June 2010
Policy Development Capacity Summative Evaluation Ongoing June 2010
Transformation Agenda Formative Evaluation Ongoing June 2010
Performance Management Program and Learning Plans for Employees Summative Evaluation Ongoing June 2010
Public Diplomacy (Academic Relations) G&C (Summative Evaluation) Ongoing June 2010
Performance Management Agreement and Learning Plans for Executives (including Talent Management and Succession Planning) Summative Evaluation Ongoing September 2010
Canada Investment Fund for Africa (CIFA) -Mid-Term Review Formative Evaluation Ongoing September 2010
Northern Dimension of Canadian Foreign Policy G&C (Summative Evaluation) Planned September 2010
Softwood Lumber Agreement Summative Evaluation Planned September 2010
Counter-Terrorism Programming (CTCB, PSAT) G&C (Summative Evaluation) Planned December 2010
Global Partnership Program (GPP) G&C (Summative Evaluation) Planned December 2010
Consular Affairs and Emergency Management Branch Evaluation Summative Evaluation Planned March 2011
UNCLOS - Extended Continental Shelf Formative Evaluation Planned March 2011
European Union (EU) Market Plan Summative Evaluation Planned March 2011
Fiscal Year 2011/12
Roll-Out of Integrative Trade Model – Japan IBD Study Summative Evaluation Planned June 2011
Investment Visibility Program Summative Evaluation Planned June 2011
Protocol Visits and Hospitality Programs Summative Evaluation Planned June 2011
Rotational Acting Assignments Summative Evaluation Planned June 2011
Class of Contributions to support International Environmental Programs G&C (Summative Evaluation) Planned TBD
Staffing Operations and Client Effectiveness Summative Evaluation Planned TBD
Global Commerce Support Program (GCSP) G&C (Formative Evaluation) Planned TBD
Impact of the Export and Import Controls Act Formative Evaluation Planned TBD
Francophonie Promotion Fund G&C (Summative Evaluation) Planned TBD
Regional Service Centres Evaluation Formative Evaluation Planned TBD
Activity-Based Management Passport Canada Summative Evaluation Planned TBD
Long-Term Investment Plans Passport Canada Summative Evaluation Planned TBD
Fiscal Year 2012/13
Afghanistan (conducted jointly with CIDA and DND) G&C (Summative Evaluation) Planned TBD
Sector Practice Summative Evaluation Planned TBD
Global Commerce Strategy (GCS) Summative Evaluation Planned TBD
Global Commerce Support Program (GCSP) G&C (Summative Evaluation) Planned TBD
Information Management/Information Technology (IM/IT) Secure Network Formative Evaluation Planned TBD
Property Management Summative Evaluation Planned TBD
Locally Engaged Staff (focus on United States) Summative Evaluation Planned TBD
Administration of Foreign Service Directives Summative Evaluation Planned TBD
International Youth Program Summative Evaluation Planned TBD
Passport Issuance Program Abroad Summative Evaluation Planned TBD
Security Enhancements to the Canadian Passport Summative Evaluation Planned TBD
Assessed Contributions G&C (Summative Evaluation) Planned TBD
Mission Security Phase II Critical Infrastructure Summative Evaluation Planned TBD

Five-Year DFAIT Evaluation Plan (HTML)
Five-Year DFAIT Evaluation Plan (PDF)



Table 5.3: Mission Inspections

The following table of Mission Inspections planned by the Office of the Inspector General has been approved by senior management at the DFAIT Evaluation Committee.

All upcoming Mission Inspections over the next three fiscal years


1) Name of Mission Inspection 2) Inspection Type 3) Status 4) Expected Completion Date
Fiscal Year 2009/10
Rabat Consulting: Mission operations Completed and approved by the Departmental Evaluation Committee (DEC) September 2, 2009 (Not yet posted to Internet)
Belgrade Consulting: Mission operations Completed and approved by DEC September 2, 2009 (Not yet posted to Internet)
Stockholm Consulting: Mission operations Completed and approved by DEC September 2, 2009 (Not yet posted to Internet)
The Vatican Consulting: Mission operations Completed and approved by DEC September 2, 2009 (Not yet posted to Internet)
Khartoum Consulting: Mission operations Completed but not yet approved by DEC December 15, 2009 (Not yet posted to Internet)
Kinshasa Consulting: Mission operations Completed but not yet approved by DEC December 15, 2009 (Not yet posted to Internet)
Bucharest Consulting: Mission operations In Draft March 2010
Helsinki Consulting: Mission operations In Draft March 2010
Dublin Consulting: Mission operations In Draft March 2010
Pretoria (Johannesburg) Consulting: Mission operations In Progress March 2010
Harare Consulting: Mission operations In Progress March 2010
Addis Ababa Consulting: Mission operations In Progress March 2010
Bamako Consulting: Mission operations In Progress March 2010
Maputo Consulting: Mission operations In Progress March 2010
Fiscal Year 2010/11
Los Angeles (San Diego, Phoenix) Consulting: Mission operations Planned June 2010
San Francisco (Palo Alto) Consulting: Mission operations Planned June 2010
San Jose (Managua, Tegucigalpa) Consulting: Mission operations Planned June 2010
Guatemala City Consulting: Mission operations Planned June 2010
San Salvador Consulting: Mission operations Planned June 2010
East Asia Consulting: Mission operations Planned June 2010
Central, South, East Europe Consulting: Mission operations Planned September 2010
North America Consulting: Mission operations Planned December 2010
Middle East and North Africa Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
European Union and West Europe, International Organizations and Economic Policy Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
Middle East and North Africa Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
Asia South and Pacific Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
Latin America and Caribbean Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
Middle East and North Africa Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
Fiscal Year 2011/12
Africa Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
Central, East and South Europe Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
North America and International Organizations Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
European Union and Western Europe Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
North America Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
Latin America and Caribbean Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
Asia South and Pacific Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
Africa Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010
European Union and Western Europe Consulting: Mission operations Proposed Proposed plan to be reviewed by DEC in March 2010

Electronic link to mission inspections plan: The Mission Inspections Plan is not published online as it is under constant review and modification depending upon the risk environment. Reports can be found at
www.international.gc.ca/about-a_propos/oig-big/index.aspx?lang=eng.

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Department of Justice Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

Upcoming Internal Audits and Evaluations

A. All upcoming internal audits over the next two fiscal years



Name of Internal Audit Status Expected Completion
National Defence Legal Services Unit In progress 2010-11
Natural Resources Canada  Legal Services Unit In progress 2010-11
Treasury Board  Legal Services Unit In progress 2010-11
Regulatory Law Ontario Office In progress 2010-11
Budgetary Forecasting & Allocation In progress 2010-11
PeopleSoft In progress 2010-11
Portfolio Offices In progress 2010-11
Contracting (Regional Offices) In progress 2010-11
Canada Border Services Legal Services Unit Tentative  * 2011-12
Industry Canada Legal Services Unit Tentative 2011-12
Legal Account Verification Process (Civil) Tentative 2011-12
Tax Law Services (Ottawa) Tentative 2011-12
Tax Law Services (Prairie Region) Tentative 2011-12
Resourcing / Staffing Tentative 2011-12
Business Continuity Planning Tentative 2011-12
Information Holdings – Paper Files Tentative 2011-12


* Please note that the term tentative is used to denote proposed audits that require Departmental Audit Committee review and Deputy Minister Approval.

Electronic Link to Internal Audit Plan:

http://www.justice.gc.ca/eng/dept-min/pub/aud-ver/index.html


B. All upcoming evaluations over the next three fiscal years



Name of Evaluation Program Type Status Expected Completion Date
Youth Justice Initiative Transfer payment In progress 2010-11
Informal Conflict Management System Internal service In progress 2010-11
Aboriginal Justice Strategy Transfer payment In progress 2010-11
Family Violence Initiative Transfer payment Planned 2010-11
Contraventions Act Legislative Planned 2010-11
Contraventions Act Fund Transfer payment In progress 2010-11
Federal Victims Strategy Transfer payment In progress 2010-11
Legal Aid Program Transfer payment Planned 2011-12
Justice Partnership and Innovation Fund Transfer payment Planned 2011-12
Access to Justice in Both Official Languages Support Fund Transfer payment Planned 2011-12
National Anti-Drug Strategy Horizontal Justice-led Planned 2011-12
Aboriginal Court work Program Transfer payment Planned 2012-13

Electronic link to evaluation plan:

Current plan has not yet been posted.

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Economic Development Agency of Canada for the Regions of Quebec

Internal audits and upcoming evaluations (next three fiscal years)

Internal audits

Name of internal audit Internal audit type Status Expected completion date
2010-2011
Audit of the Recreational Infrastructure Canada program and the Community Adjustment Fund (from CEAP – agreement monitoring) Audit of controls Planned 3rd quarter
Audit of program design Audit of controls Planned 3rd quarter
Audit of follow-up on action plans from earlier audits Audit of controls Planned 2nd quarter
Audit of the Financial Management Control Framework, regular programming Audit of controls Planned 4th quarter
Annual audit of the Infrastructure Canada Program and the Municipal Rural Infrastructure Fund Audit of controls Planned 3rd quarter
Annual audit of the Building Canada Fund Communities Component Audit of controls Planned 4th quarter
Audit of integration of risk management concepts in operations Audit of controls Planned 4th quarter
Audit of collection and recovery mechanisms Audit of controls Planned 3rd quarter
Audit of level of preparedness for certification of financial statements Audit of controls Planned 4th quarter
2011-2012
Audit of management of information available to the public and communications Audit of controls Planned 3rd quarter
Audit of eligibility analysis of applications for regular programs Audit of controls Planned 3rd quarter
Audit of the Management Control Framework for cybersecurity and information Audit of controls Planned 4th quarter
Audit of human resources management (staffing) Audit of controls Planned 3rd quarter
Annual audit of the Infrastructure Canada Program and the Municipal Rural Infrastructure Fund Audit of controls Planned 3rd quarter
Annual audit of the Building Canada Fund Communities Component Audit of controls Planned 3rd quarter
Audit of the planning and priority-setting process Audit of controls Planned 3rd quarter
Compliance audit of wording of agreements on the basis of the Transfer Payment Policy Audit of controls Planned 4th quarter
2012-2013
Audit of liaison and representation activities Audit of controls Planned To be determined
Annual audit of the Infrastructure Canada Program and the Municipal Rural Infrastructure Fund Audit of controls Planned To be determined
Annual audit of the Building Canada Fund Communities Component Audit of controls Planned To be determined
Other audits to be determined, as required

Upcoming evaluations

Name of evaluation Program type Status Expected completion date
Summative evaluation of the Community Diversification program Grants and contributions (G&C) In preparation December 2010
Summative evaluation of the Business and Regional Growth program G&C In preparation December 2010
Implementation evaluation of the Regional Development Research program G&C Planned December 2011
Summative evaluation of the Agency's communication strategy Internal services In progress June 2010
Summative evaluation of the Official Languages Act (OLA) G&C Planned March 2012
Summative evaluation of the Recreational Infrastructure Canada (RInC) program G&C Planned March 2011
Evaluation of the Agency's 4th Sustainable Development Strategy Regulatory Planned March 2012
Implementation evaluation of the Cruise initiative G&C In progress September 2010
Summative evaluation of the Cruise initiative G&C Planned March 2013
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Environment Canada

Upcoming Internal Audits (Next three fiscal years)

Environment Canada is in the process of developing a Three-Year Risk-Based Audit Plan for 2010/11–2012/13 therefore, projects included below may change.

1. Name of Internal Audit

2. Internal Audit Type

3. Status

4. Expected Completion Date

Life-Cycle Management (LCM) of Assets

Assurance

In Progress

Q3 2010-11

Management of Additional Funding Received through Canada Economic Plan

Assurance

In Progress

Q1 2010-11

Professional Contracts

Assurance

In Progress

Q3 2010-11

Governance of Information Management

Assurance

Planned

Q2 2010-11

Classification

Assurance

Planned

2010-11

Values and Ethics

Assurance

Planned

2010-11

Governance Framework-Operational Planning and Reporting

Assurance

Planned

2010-11

Assets and Inventory

Assurance

Planned

2010-11

Business Continuity

Assurance

Planned

2010-11

Greening Initiatives-Sustainability

Assurance

Planned

2010-11

IM-IT Project (TBD)

Assurance

Planned

2010-11

Official Languages Policy

Assurance

Planned

2010-11

Water Management (joint audit/evaluation collaborative approach)

Assurance

Planned

2010-11

Stakeholders and Partnership Management (joint audit/evaluation collaborative approach)

Assurance

Planned

2010-11

Management of Additional Funding Received – Mackenzie Gas Pipeline (MGP) Project

Assurance

Planned

2010-11

Performance Information in Strategic Planning and Reporting Documents (joint audit/evaluation collaborative approach)

Assurance

Planned

2010-11

Greenhouse Gas Data Collection, Management and Reporting (joint audit/evaluation collaborative approach)

Assurance

Planned

2010-11

Departmental Resources and Capacity

Assurance

Planned

2011-12

Vehicle Scrappage (joint audit/evaluation collaborative approach)

Assurance

Planned

2011-12

Migratory Birds

Assurance

Planned

2011-12

Vehicles and Engines

Assurance

Planned

2011-12

Protected Areas Management

Assurance

Planned

2011-12

International Environmental Interests

Assurance

Planned

2011-12

5. Electronic Link to Internal Audit Plan: http://www.ec.gc.ca/ae-ve/


Upcoming Evaluations (Next three fiscal years)

Environment Canada is in the process of developing a Five-Year Risk-Based Evaluation Plan for 2010/11–2014/15 therefore, projects included below may change.

1. Name of Evaluation

2. Program Type

3. Status

4. Expected Completion Date

Great Lakes Action Plan (to be approved in 2010-11)

Direct Program Spending

In Progress

Q1 2010-11

Wildlife Habitat Foundation

Transfer Payment

In Progress

Q2 2010-11

Improved Climate Change Scenarios

Direct Program Spending

In Progress

Q1 2010-11

International Actions – Thematic Evaluation

Direct Program Spending

In Progress

Q1 2010-11

CARA – Thematic Evaluation

Direct Program Spending

In Progress

Q1 2010-11

CAA – Management & Accountability

Direct Program Spending

In Progress

Q1 2010-11

Weather Predictions Program

Direct Program Spending

In Progress

Q1 2010-11

2010 Olympics Games

Direct Program Spending

In Progress

Q4 2010-11

Chemicals Management Plan

Direct Program Spending

In Progress

Q4 2010-11

Adaptation Thematic Roll – up

Direct Program Spending

Planned

2010-11

Clean Air Agenda (CAA) Horizontal Roll – up

Direct Program Spending

Planned

2010-11

Federal Species at Risk Program (Interdepartmental led by EC)

Direct Program Spending

Planned

2010-11

Evaluation of Freshwater Programs: Lake Simcoe Freshwater Initiative

Direct Program Spending-Transfer Payment

Planned

2010-11

Evaluation of Freshwater Programs: Lake Winnipeg Freshwater Initiative

Direct Program Spending-Transfer Payment

Planned

2010-11

Evaluation of Freshwater Programs: Great Lakes Sediment Remediation Program

Direct Program Spending-Transfer Payment

Planned

2010-11

Northwest Territories Protected Areas Strategy Program

Direct Program Spending

Planned

2010-11

Policy on Green Procurement (Interdepartmental led by PWGSC)

Direct Program Spending

Planned

2010-11

Regulatory Improvements for Major Resource Projects (Interdepartmental led by Natural Resource Projects)

Direct Program Spending

Planned

2010-11

Ice Program

Direct Program Spending

Planned

2010-11

Stakeholders and Partnership Management (joint audit/evaluation collaborative approach)

Direct Program Spending

Planned

2010-11

Water Management (joint audit/evaluation collaborative approach)

Direct Program Spending

Planned

2010-11

Weather Prediction Program – Dissemination Systems and Service Delivery

Direct Program Spending

Planned

2010-11

Greening Initiatives-Sustainability

Direct Program Spending

Planned

2010-11

Performance Information in Strategic Planning and Reporting Documents (joint audit/evaluation collaborative approach)

Direct Program Spending

Planned

2010-11

Greenhouse Gas Data Collection, Management and Reporting (joint audit/evaluation collaborative approach)

Direct Program Spending

Planned

2010-11

Renewable Fuels

Direct Program Spending

Planned

2011-12

Industrial Sector Emissions Program

Direct Program Spending

Planned

2011-12

Water Science and Technology Laboratory Network and Technology (Services and Knowledge Transfer)

Direct Program Spending

Planned

2011-12

National Aboriginal Strategy

Policy

Planned

2011-12

Vehicle Scrappage (joint audit/evaluation collaborative approach)

Transfer Payment

Planned

2011-12

5. Electronic link to evaluation plan: http://www.ec.gc.ca/ae-ve/



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Federal Economic Development Agency for Southern Ontario

Evaluations


Notes:

  1. These evaluations are based on the requirements identified in Treasury Board Submissions and/or Performance Management documents. The evaluations currently planned for 2010–2011 may be subject to rescheduling
Name of Evaluation Program Type Status Expected Completion Date
(2010–2011)
Eastern Ontario Development Program Contribution Program   Q3
Community Adjustment Fund Contribution Program   Q4
Economic Development Initiative Contribution Program   Q4

An evaluation plan is to be developed.

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Financial Transactions and Reports Analysis Centre of Canada

Upcoming Internal Audits



There are currently no scheduled internal audits planned by FINTRAC. Instead of having an independent audit committee, FINTRAC accesses the Small Department and Agencies (SDA) Audit Committee established by the Office of the Comptroller General. FINTRAC will continue to participate in horizontal audits conducted by the Office of the Comptroller General Small Department and Agencies Audit Committee.


All Upcoming Evaluations Over the Next Three Fiscal Years



1. Name of Evaluation

2. Program Type

3. Status

4. Expected Completion Date

Summative evaluation of Canada's Anti-Money Laundering and Anti-Terrorist Financing Initiative

On-going Horizontal Initiative

In Progress

2010-11

Office of the Privacy Commissioner of Canada Audit

FINTRAC's Management of Information Holdings

Planned

2012-13


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Fisheries and Oceans Canada

Internal Audits and Evaluations
over the next three fiscal years

 

Internal Audits over the next three fiscal years

The following table lists all planned upcoming audits for the reporting period 2010-11 that pertain to the Department's work.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
2009-10
Marine Communications and Tracking System Performance Audit Planning Stage 2010-11
Supporting Statistical Information on the Fisheries Info Systems Audit Planning Stage 2010-11
Classification Compliance Audit Planning Stage 2010-11
Business Continuity Planning Compliance Audit Planned 2010-11
Management of IT Security Compliance Audit Planned 2010-11
2010-11
Aquaculture Management Performance Audit Planned 2010-11
Legal Risk Governance Compliance Audit Planned 2010-11
Account Verification Process Performance Audit Planned 2010-11
Oceans Management Performance Audit Planned 2010-11
Search and Rescue Performance Audit Planned 2010-11
Coast Guard College Performance Audit Planned 2010-11
Real Property Performance Audit Planned 2010-11
2011-12
Life-Cycle Management Asset Services Compliance Audit Planned 2011-12
Aids to Navigation2 Performance Audit Planned 2011-12
Implementation of International Affairs Directorate2   Planned 2011-12
Aboriginal Policy and Governance Performance Audit Planned 2011-12
Fisheries Resource Management2 Performance Audit Planned 2011-12
Federal Contaminated Sites Action Plan Performance Audit Planned 2011-12
Department's Readiness for Financial Statements Special Audit Planned 2011-12
Diversity Employment Equity, Planning and Recruitment Strategy Performance Audit Planned 2011-12
Habitat Program Services Performance Audit Planned 2011-12
Small Craft Harbours1 Compliance Audit Planned 2011-12
2012-13
Support for Marine Security Compliance Audit Planned 2012-13
Fleet Operational Readiness2 Performance Audit Planned 2012-13
Learning2 Performance Audit Planned 2012-13
Information Management2 Compliance Audit Planned 2012-13
Communications2 Performance Audit Planned 2012-13
Travel2 Compliance Audit Planned 2012-13
Aquatic Invasive Species2 Performance Audit Planned 2012-13
Species at Risk Management Performance Audit Planned 2012-13
Material Management Performance Audit Planned 2012-13

1TBS Mandated Audit

2Validation by DMC required

 

Evaluations over the next three fiscal years

The following table lists all planned upcoming evaluations for the reporting period 2010-11 that pertain to the Department's work.


Name of Evaluation Program Type Status Expected
Completion Date
Aids to Navigation Direct Program Spending In Progress 2010-11
Aboriginal Inland Habitat Program Contribution Transfer Payment Program Planned 2010-11
Federal Contaminted Sites Action Plan Direct Program Spending Planned 2010-11
Species at Risk Management Direct Program Spending Planned 2010-11
Species at Risk Act Policy In Progress 2010-11
Conservation and Protection Direct Program Spending Planned 2010-11
Canada's Submission to the Commission on the limits of the Continental Shelf under the United Nations Convention on the Law of the Sea Policy Planned 2010-11
Regulatory Improvement for Major Resource Projects Direct Program Spending Planned 2010-11
2010 Olympics/Paralympics Games Direct Program Spending In Progress 2010-11
Small Craft Harbour Divestiture Class Grant Program Transfer Payment Program Planned 2010-11
Small Craft Harbours Divestiture Non-Core Harbour Program Direct Program Spending Planned 2010-11
Fisheries Resources Direct Program Spending In Progress 2010-11
Oceans Management Direct Program Spending Planned 2010-11
Waterways Management Direct Program Spending In Progress 2010-11
Genomics Research and Development Initiative Direct Program Spending In Progress 2010-11

DFO's Evaluation Plan can be accessed electronically at http://www.dfo-mpo.gc.ca/ae-ve/evaluations-eng.htm

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Health Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

 


A. All upcoming Internal Audits over the next three fiscal years
1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion date
Financial Reporting Controls Risk-Based Controls In Progress 2010 -11
Audit of IT Security Program Planned 2010- 11
Audit of Grants and Contributions, Eligibility Risk-Based Controls Planned 2010 -11
Audit of Grant to the Canadian Agency for Drugs and Technologies in Health Transfer Payment Planned 2010 -11
Audits of Human Drugs - Post-Market Compliance and Enforcement Program Planned 2010 -11
Audit of Emergency Preparedness Risk-Based Controls Planned 2010 -11
Audit of Non-Insured Health Benefits-Pharmacy Program Planned 2010 -11
Audit of Performance Management Risk-Based Controls Planned 2010 -11
Audit of External Communications Risk-Based Controls Planned 2010 -11
Audit of Business Cases for Major Investments Initiative Planned 2010 -11
Audit of Payroll Program Planned 2010 -11
Audit of IT Shared Services Program Planned 2010 -11
Audit of Business Continuity Planning Program Planned 2010 -11
Audit of Contributions Program to Improve Access to Health Services for Official Language Minority Communities Transfer Payment Planned 2011 - 12
Audit of Grants & Contributions: Program Monitoring Program Planned 2011 - 12
Audit of Grants for the Canadian Partnership Against Cancer Corporation Transfer Payment Planned 2011 - 12
Audit of Grant to Support the Mental Health Commission of Canada Transfer Payment Planned 2011 - 12
Audit of Natural Products: Post Market Compliance and Enforcement Program Planned 2011 - 12
Audit of Business Planning Risk-Based Controls Planned 2011 - 12
Audit of Governance (Phase II) Risk-Based Controls Planned 2011 - 12
Audit of Key Financial Controls Risk-Based Controls Planned 2011 - 12
Audit of Purchasing, Payables & Payment Cycles Risk-Based Controls Planned 2011 - 12
Audit of IT Client Service Support Program Planned 2011 - 12
Audit of SAP General Computer Controls Risk-Based Controls Planned 2011 - 12
Audit of HC's Science Plan Risk-Based Controls Planned 2011 - 12

 


B. All upcoming Evaluations over the next three fiscal years (2010-2011-2012-2013)
1. Name of Evaluation 2. Program Type 3. Status 4. Expected Completion Date
Fiscal Year 2010 - 2011
Implementation of a Patient Wait Time Guarantee (PWTG) Pilot Project Fund - Summative Evaluation G&C's Ongoing October 2010
Canadian Partnership Against Cancer - Summative Evaluation G&C's Ongoing March 2011
Augmenting Health Canada's Response to Bovine Spongiform Encephalopathy (BSE) - BSE 1, Phase II of Health Canada's and the Public Health Agency of Canada's response to BSE in the Areas of Rist Assessment and Targeted Research - BSE II - Summative Evaluation Program Funding Ongoing March 2011
Human Drugs - Strategic Evaluation Program Funding Ongoing March 2011
Medical Devices - Strategic Evaluation Program Funding Ongoing March 2011
Nutrition Promotion - Strategic Evaluation Program Funding Ongoing October 2010
Canada's Clean Air Agenda - Adaptation Theme
(Environment Canada Lead) - Thematic Evaluation
Program Funding Ongoing March 2011
Air Quality Health Index and Forecast Program - Evaluation Program Funding Ongoing October 2010
Canada's Clean Air Agenda - Indoor Air Quality Theme - Thematic Evaluation Program Funding Ongoing March 2011
Canada's Clear Air Agenda - Clean Air Regulatory Agenda - Thematic Evaluation
(Environment Canada Lead)
Program Funding Ongoing March 2011
Protecting Canadians and the Environment from Toxic Substances through a Chemical Management Plan - Summative Evaluation Program Funding Ongoing March 2011
Mental Health and Addictions (Cluster) - Strategic Evaluation Program & G&C's Ongoing March 2011
Chronic Disease and Injury Prevention (Cluster) - Strategic Evaluation Program & G&C's Ongoing November 2010
Environmental Health and Research (Cluster) - Strategic Evaluation Program & G&C's Ongoing March 2011
Fiscal Year 2011 - 2012
Biologics - Strategic Evaluation Program Funding Planned March 2012
Veterinary Drugs - Strategic Evaluation Program Funding Planned March 2012
Preparedness for avian and pandemic influenza - Summative Evaluation (PHAC Lead) Program Funding Ongoing March 2012
Strengthening and Modernizing Canada's Safety System for Health, Consumer and Food Products - Consumer Products - Component Evaluation Program Funding Planned March 2012
Federal Tobacco Control Strategy - Summative Evaluation Program & G&C's Ongoing June 2011
National Anti-Drug Strategy - Horizontal Summative Evaluation
(Justice Canada Lead)
Program & G&C's Planned March 2012
Strengthening and Modernizing Canada's Safety System for Health, Consumer and Food Products - Pesticide Products Program Funding Planned March 2012
Primary Care (Cluster) - Strategic Evaluation Program & G&C's Planned March 2012
Health Governance and Infrastructure Support (Cluster including Transfer) - Strategic Evaluation Transfer Payment Planned March 2012
Horizontal Evaluation of the Genomics Research and Development Initiative - Summative Evaluation (NRC Lead) Program Funding Planned March 2012
Fiscal Year 2012 - 2013
Official Languages Health Contribution Program - Summative Evaluation Program & G&C's Planned June 2012
Health Care Policy Contribution Program - Summative Evaluation Program & G&C's Planned June 2012
Health Information Program - Evaluation Program Funding Planned March 2013
International Health Grants Program - Summative Evaluation Program & G&C's Planned March 2013
Organ and Tissue Donation and Transplantation Program - Summative Evaluation G&C's Planned October 2012
Evaluation on Water Quality Program Funding Planned March 2013
Environmental Health Guide - Program Evaluation Program Funding Planned March 2013
Implementation of an action plan to protect human health from environmental contaminants - Summative Evaluation Program Funding Planned March 2013
Radiation Evaluation to also include Nuclear Emergency Preparedness and Dosimetry Services Program Funding Planned March 2013
Strengthening and Modernizing Canada's Safety System for Health, Consumer and Food Products - Consumer Products - Summative Evaluation Program Funding Planned March 2013
Workplace Hazardous Materials Information System - Evaluation Program Funding Planned March 2013
Drug Treatment Funding Program of the National Anti-Drug Strategy - Summative Evaluation Program & G&C's Planned March 2013
Canadian Regulatory System for Biotechnology - Summative Evaluation Program Funding Planned March 2013
Independent/Third Party Evaluations
Fiscal Year 2010 - 2011
Providing Funding to the Canadian Institute for Health Information through the Health Information Initiative Up-Front Multi-Year Funding Ongoing March 2011
Named Grant to the Canadian Centre on Substance Abuse Grant Planned March 2011
Fiscal Year 2011 - 2012
Named Grant to the Canadian Agency for Drugs and Technologies in Health Grant Planned March 2012
Named Grant  to the Canadian Patient Safety Institute Grant Planned March 2012
Named Grant for the Mental Health Commission of Canada Grant Planned March 2012
Conditional Grant to the Rick Hansen man in Motion Foundation, specifically to support the activities of the Spinal Cord Injury Transnational Research Network Up-Front Multi-Year Funding Planned March 2012
Grant to Canadian Blood Services - Blood Safety and Effectiveness Grant Planned March 2012
Fiscal Year 2012 - 2013
       

5. Electronic link to evaluation plan: N/A

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Human Resources and Skills Development Canada

Table 4 - Evaluation Table1
Upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Type Status Expected Completion Date
Skills and Employment
EI long tenured workers Summative Planning 2012-2013
EI extra 5 weeks Summative Planning 2012-2013
EI severance investment for training Summative Planning 2012-2013
New entrants and re-entrants Summative Draft Report 2010-2011
Extended Duration for Long Tenured Workers Summative Planning 2012-2013
Fishing Benefits Summative Planning 2012-2013
Work Sharing Benefits Summative Planning 2011-2012
Parental Benefits Summative Planning 2012-2013
Maternity Benefits Summative Planning 2012-2013
Three Pilot Projects - Seasonal Workers Summative Preliminary Findings 2010-2011
Sickness Benefits Summative Planning 2011-2012
LMDA Manitoba Summative In progress 2010-2011
LMDA Ontario Formative In progress 2010-2011
LMDA Ontario Summative Planning 2011-2012
Aboriginal Skills and Employment Partnerships (ASEP) Summative Planning 2011-2012
ASTSIF Summative Planning 2010-2011
Targeted Initiative for Older Workers Formative In progress 2010-2011
Targeted Initiative for Older Workers Summative Planning 2011-2012
Enabling Accessibility Fund - Phase 12 Summative Planning 2010-2011
Enabling Fund for Official Language Minority Communities (OLMC) Formative In progress 2010-2011
Enabling Fund for OLMC - Phase 1 Summative In progress 2010-2011
Enabling Fund for OLMC - Phase 2 Summative Planning 2012-2013
Labour Market Agreements for Persons with Disabilities (LMAPD) Nova Scotia Summative Planning 2011-2012
Labour Market Agreements and Strategic Training and Transition Fund (STTF) Summative Planning 2012-2013
Canada Summer Jobs Case Study (as part of the YES Summative) Summative Planning 2011-2012
National Child Benefit Summative In progress 2010-2011
Sector Council Program Summative Final Report approval stage 2010-2011
Sector Council Program Summative Not started 2011-2012
Apprenticeship Grant (combined Apprenticeship Incentive Grant and Completion Grant programs) Summative Not started 2011-2012
Literacy and Essential Skills Formative Final Report approval stage 2010-2011
New Horizons for Seniors Program Formative and Summative Final Report approval stage 2010-2011
Foreign Credential Recognition Program Summative Final Report approval stage 2010-2011
Literacy and Essential Skills Summative In Progress 2010-2011
Workplace Skills Initiative Summative Planning 2010-2011
Temporary Foreign Worker Program Summative Planning 2011-2012
Immigration Portal3 Summative In progress 2010-2011
Learning
Canada Student Loans Program Summative Preliminary Findings 2010-2011
Canada Education Savings Program Summative Planning 2011-2012
Labour
Employment Equity Program Summative Final Report approval stage 2010-2011
Labour Management Partnerships Program Summative Final Report approval stage 2010-2011
International Trade and Labour Program Summative Final Report approval stage 2010-2011
Wage Earner Protection Program Formative Planning 2010-2011
Wage Earner Protection Program Summative Not started 2012-2013
Racism Free Workplace Strategy Summative In progress 2010-2011
Income Security
Allowances Summative Terms of Reference Development Phase 2011-2012
Old Age Security Pensions Summative Analysis of Results Phase 2010-2011
Survivor Benefits Summative Terms of Reference Development Phase 2011-2012
Disability Benefits Summative Preliminary Findings 2010-2011
Canada Disability Savings Program Summative Methodology Development Phase 2011-2012
Social Development
Homelessness Partnering Strategy (HPS) Summative Planning 2010-2011
Social Development Partnerships Program - Understanding Early Years (UEY) Summative Data Collection 2010-2011
Voluntary Sector Stategy (VSS) Summative Planning 2010-2011
Universal Child Care Benefit (UCCB) Formative Data Collection 2010-2011
Federal Elder Abuse Initiative Summative Planning 2010-2011
Citizen-Centered Service
Internet Service Channel Evaluation Planning 2011-2012
Passport Receiving Agent Evaluation Planning 2010-2011
In-Person Client Resolution and In-Person Channel Evaluation Planning 2012-2013
Marketing and Branding Evaluation Planning 2012-2013
Integrity and Processing
Identity Management Tools and Practice Evaluation Planning 2012-2013
Vital Events for BC and Ontario Evaluation Planning 2010-2011
Early Impacts of EI Automation Evaluation In progress 2010-2011
EI Service Volumes Evaluation Planning 2011-2012
1Subject to change as the HRSDC 5 year Departmental Evaluation Plan update is finalized in March 2010.
2Phase I evaluation excluding major infrastructure projects that extend into years after 2010-2011.
3Citizenship and Immigration Canada (CIC) is the lead department conducting the evaluation of Immigration Portal.

Table 5 – Upcoming Internal Audits


HRSDC Internal Audit

HRSDC's annual planning cycle is based on risk. At this time, the Risk-Based Internal Audit Plan for 2010-2013 is being developed, with approval anticipated in early 2010-2011.

Below is a listing of internal audit engagements identified in the 2009-2012 Risk-Based Internal Audit Plan. Please note that the list of projects planned for 2010-2013 may change as a result of the risk-based audit planning process for 2010-2013.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
2009-2010
Audit of the Consolidated Statement of Administrative Costs Charged to the Canada Pension Plan Account by HRSDC/Service Canada, March 31, 2009 Attest Approved December 2009
Follow-Up Audit of Compensation Assurance Planned  
Review of the Strategic Training and Transition Fund Review Underway March 2010
Review of the Work-Sharing Agreements Review Underway March 2010
Review of Career Transition Assistance (Long Tenure Workers Pilot Project Management Control Framework) Review Underway March 2010
Audit of Old Age Security Management Control Framework Assurance Planned June 2010
Review of the Aboriginal Skills and Training Strategic Investment Fund Review Underway March 2010
Audit of Program Eligibility Assurance Underway March 2010
Review of Departmental Financial Statements Review Approved October 2009
Risk Assessment and Gap Analysis of the Grants and Contributions Internal Control Framework Review Underway March 2010
Audit of Financial Forecasting Assurance In-Reserve  
Audit of Security Assurance In-Reserve  
Audit of Section 34 of the Financial Administration Act Assurance In-Reserve  
Planning Phase of the Audit of Asset Management Assurance In-Reserve  
Audit of Dispute Resolution Assurance In-Reserve  
Audit of the Management of IT Human Resources Assurance In-Reserve  
2010-2011
Audit of Consolidated Statement of Administrative Costs Charged to the Canada Pension Plan Account by Human Resources and Skills Development Canada/Service Canada, March 31, 2010 Attest Planned  
Audit of Aboriginal Skills and Employment Program Follow-Up Planned  
Departmental Governance Regime Assurance Planned  
Dispute Resolution Assurance Planned  
Departmental Regulatory Framework Assurance Planned  
Departmental Accounts Receivable System Assurance Planned  
Canada Education Savings Grant Assurance Planned  
Grants and Contributions Program Officers and Managers Skills and Training Requirements Assurance Planned  
Classification Assurance Planned  
Business Planning Assurance Planned  
Financial Management Services Assurance Planned  
Values and Ethics Follow-Up Planned  
IT Agility Assurance Planned  
Identity and Access Management
(EI Systems)
Assurance Planned  
Review of the Risk Assessment, Management and Mitigation Approach Review Planned  
2011-2012
Audit of Consolidated Statement of Administrative Costs Charged to the Canada Pension Plan Account by Human Resources and Skills Development Canada/Service Canada, March 31, 2011 Attest Planned  
Management of Budget 2009 Implementation Assurance Planned  
Canada Student Loans Program Assurance Planned  
Labour Market Development Agreements Assurance Planned  
Asset Protection and Management Assurance Planned  
Privacy Assurance Planned  
Youth Employment Strategy Assurance Planned  
Centre of Excellence for Grants and Contributions Assurance Planned  
Information Sharing Agreements Assurance Planned  
Employment Equity Assurance Planned  
Risk Management Follow-Up Planned  
Business Continuity Planning Follow-Up Planned  
IT Investments Assurance Planned  
Infrastructure Capacity & Performance Management Assurance Planned  

Please Note:
Once approved, HRSDC internal audit reports are posted on the website listed below.
http://www.hrsdc.gc.ca/en/publications_resources/audit/index.shtml

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Immigration and Refugee Board of Canada

Upcoming Internal Audits and Evaluations Over the Next Three Fiscal Years

A. All upcoming internal audits over the next three fiscal years

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Follow-up audit on IRB Regional Offices Audit Internal Services activities Planned 2010-11
Follow-up audit on PSC Human Resources Audit Human Resources (public service appointments, activities and processes) Planned 2011-12
Follow-up audit on OCG Contracting Information Systems and Monitoring Audit Procurement Planned 2012-13

B. All upcoming evaluations over the next three fiscal years

Name of Evaluation Program Type Status Expected Completion Date
Departmental evaluation plan Development of the IRB's rolling five-year evaluation plan In Progress End of 2009-10
Performance measurement Follow up
Assist divisions and the Operations Branch to measure the IRB's performance in major areas
In Progress 2010-11
Performance measurement Develop performance indicators for internal services Planned 2010-11
Evaluation of the IRB's Case Scheduling Practices Implementation
Oversight of the implementation of management's action plan in response to this evaluation
Planned 2010-11

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Indian and Northern Affairs Canada and Canadian Polar Commission

Upcoming Internal Audits over the next three fiscal years (and the current fiscal year)


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Review of PeopleSoft Review Completed April 22, 2009
System Under Development Review of CIS-IRS - Remainder of Last Year Assurance Completed April 22, 2009
Management Practices Review - Northern Affairs & North Regions Review Completed April 30, 2009
MPR - Lands & Economic Dev. Sector, Preliminary Survey for the Audit of Economic Dev. (Non-Proposal Driven) & Follow-up Audit of Aboriginal Business Canada Review Completed May 2009
Audit of Capacity Development - Preliminary Survey (Planning, Conduct and Reporting Phases) Assurance Completed June 3, 2009
Audit of Elementary & Secondary Schools and Other Education Assurance Completed June 3, 2009
Audit of Band Support Funding Assurance Completed September 25, 2009
Audit of Expenditure Management Monitoring Assurance Completed September 25, 2009
Audit of Liabilities Assurance Completed September 25, 2009
Audit of Occupational Health and Safety Assurance Completed September 25, 2009
MPR - PSD and Audit of Strategic Policy and Planning Review Completed September 2009
MPR - Education, Social Dev. P & P (ESDPP) and Regional Operations Review Completed October 2009
MPR - Resolution Individual Affairs Review Completed October 2009
MPR - CFO Review Completed November 4, 2009
Preliminary Survey for the Audit of the Reporting Burden Preliminary Survey Completed December 8, 2009
Planning Phase - Horizontal Audit of Grants and Contributions Assurance In Progress January 31, 2010
Audit of Grants and Contributions Assurance Planned March 31, 2010
Audit of the Delegation of Authorities, Organizational Design and Classification Assurance Planned March 31, 2010
Audit of Housing Assurance In Progress March 31, 2010
Due Diligence Review of Infrastructure Initiatives Review Planned March 31, 2010
Audit of Aboriginal Business Canada and Non-Proposal Driven Programming Assurance In Progress March 31, 2010
Audit of Implementation of the Urban Aboriginal Strategy Assurance In Progress March 31, 2010
Review of SCIS - System (1,2,3,4) Review In Progress March 31, 2010
Audit of Trust Accounts Assurance In Progress March 31, 2010
Audit of Payroll Assurance In Progress March 31, 2010
MPR - Adjudication Secretariat Review In Progress March 31, 2010
Case Study & Analysis of MPRs Conducted Between 2006 - 2009 Special Study Planned March 31, 2010
Audit of Information Management - CIDM Assurance In Progress March 31, 2010
Administrative Review - Aboriginal Conference Review Planned March 31, 2010
Review of Wrongdoing Review In Progress March 31, 2010
Audit of Security Program Assurance In Progress March 31, 2010
Financial Review Review In Progress March 31, 2010
Audit of PeopleSoft Assurance In Progress June 1, 2010
System Under Development Audit of CIS-IRS, continued Assurance In Progress July 31, 2010
Audit of Regional IT Expenditures Assurance In Progress November 30, 2010
Post-Implementation Audit of First Nations and Inuit Transfer Payment System Assurance In Progress November 30, 2010
Audit of Family Violence Assurance Planned 2009-2010
Preliminary Survey of Assets and Property Management Preliminary Survey Planned 2009-2010
Audit of Revenue Management Assurance Planned 2009-2010
Preliminary Survey for Audit of Internal and External Communications Preliminary Survey Planned 2009-2010
Preliminary Survey of Litigation Management Preliminary Survey Planned 2009-2010
Audit of Income Assistance Assurance Deferred 2010-2011
Audit of Funding for Implementation and Negotiations Assurance Planned 2010-2011
Audit of Specific Claims Assurance Planned 2010-2011
Audit of Band Classification Assurance Planned 2010-2011
Audit of Indian Government Support Assurance Planned 2010-2011
Audit of Infrastructure Initiatives Assurance Planned 2010-2011
Audit of Natural Resources and Environmental Management (Scope TBD) Assurance Planned 2010-2011
Audit of Child and Family Services (Enhanced Prevention Focus and Follow-up) Assurance & Follow-Up Planned 2010-2011
Audit of Special Education Assurance Planned 2010-2011
Follow-up of Previous Audits of Residential Schools Follow-Up Planned 2010-2011
Audit related to External Reporting (Scope TBD) Assurance Planned 2010-2011
Follow-Up Audit of Travel, Taxis, Hospitality, Conferences and Acquisition Cards Follow-Up Planned 2010-2011
Audit of Assets and Property Management (Scope TBD) Assurance Planned 2010-2011
Audit of Loans and Accounts Receivable Assurance Planned 2010-2011
Audit of Aboriginal Resourcing Assurance Planned 2010-2011
Audit of Training and Development Assurance Planned 2010-2011
Follow-Up Audit of IT Security Follow-Up Planned 2010-2011
Audit of IM/IT Security Assurance Planned 2010-2011
Audit of Systems Under Development or Application in Place - Enterprise Data Warehouse, Specific Claims Data Base Assurance Planned 2010-2011
Preliminary Survey of OASIS Preliminary Survey Planned 2010-2011
Preliminary Survey of GroupWise Preliminary Survey Planned 2010-2011
Audit of Strategic Policy or Planning Assurance Planned 2010-2011
Audit of Governance Structure Assurance Planned 2010-2011
Post Implementation Audit of Forensic Audit Policy and Revised Complaints and Allegation Policy Assurance Planned 2010-2011
Audit of Internal or External Communications (Scope TBD) Assurance Planned 2010-2011
Audit of Lands Management Assurance Planned 2011-2012
Follow-up Audit of Capital Facilities and Maintenance Follow-up Planned 2011-2012
Follow-up Audit of Economic Development Follow-up Planned 2011-2012
Audit of Emergency Assurance Planned 2011-2012
Audit of Other Education Assurance Planned 2011-2012
Follow-Up Audit of Post Secondary Education Follow-up Planned 2011-2012
Audit of Registration and Membership Assurance Planned 2011-2012
Audit of Financial Planning and Budgeting Assurance Planned 2011-2012
Audit of Forecasting Assurance Planned 2011-2012
Audit of Human Resource Planning and Leadership Development Assurance Planned 2011-2012
Audit of Advertised Appointments Assurance Planned 2011-2012
Follow-up Audit of Occupational Health and Safety Follow-up Planned 2011-2012
Audit of Personnel and Physical Security Assurance Planned 2011-2012
Follow-up Audit of Information Management (CIDM focus) Follow-up Planned 2011-2012
Audit of OASIS Assurance Planned 2011-2012
Audit of GroupWise Assurance Planned 2011-2012
Audit of Official Languages Assurance Planned 2011-2012
Audit of Risk Management Assurance Planned 2011-2012
Audit of Continuity of Operations Assurance Planned 2011-2012
Grants and Contributions - Horizontal Departmental Audit - (Scope TBD) Assurance Ongoing 2009-2010,
2010-2011,
2011-2012
Review of Management Practices (Regions TBD) Review Ongoing 2009-2010,
2010-2011,
2011-2012
Review of Management Practices (Sectors TBD) Review Ongoing 2009-2010,
2010-2011,
2011-2012
Fraud Risk and Control Strategies (All Audits) Assurance Ongoing 2009-2010,
2010-2011,
2011-2012

Electronic Link to Internal Audit and Evaluation Plan:

Risk-Based Audit Plan 2009-2010 to 2011-2012

INAC Audit and Evaluation Reports

 

Upcoming Evaluations over the next three fiscal years (and current fiscal year)


Name of Evaluation Program Type Status Expected Completion Date
Impact Evaluation of Healthy Food to Northern Communities Operating expenditure/Internal management Completed April 2009
Summative Evaluation of Community Economic Development and Aboriginal Business Development Programs Transfer Payment Completed April 2009
Evaluation Framework for the Indian Residential Schools Settlement Agreement Transfer Payment Completed June 2009
Formative Evaluation of Reserve Land and Environment Program Transfer Payment Completed June 2009
Impact Evaluation of the National Aboriginal Achievement Foundation Transfer Payment Completed September 2009
Impact Evaluation of Indian Government Support Transfer Payment Completed September 2009
Impact Evaluation of Treaty Related Measures (BC) Transfer Payment Completed September 2009
Formative Evaluation to Assist Northerners in Assessing Key Vulnerabilities and Opportunities for 2009-2010 Transfer Payment Completed December 2009
Impact Evaluation of the Aboriginal Healing Foundation Transfer Payment Completed December 2009
Impact Evaluation of the Labrador-Innu Comprehensive Healing Strategy Transfer Payment Completed December 2009
Impact Evaluation of Treaty Commissions (MB, SK) Transfer Payment In progress March 2010
Impact Evaluation of Registration Administration Transfer Payment In progress March 2010
Summative Evaluation of Capital Facilities and Maintenance Transfer Payment In progress March 2010
Formative Evaluation of First Nations Infrastructure Fund Transfer Payment In progress March 2010
Impact Evaluation of Emergency Management Assistance Transfer Payment In progress March 2010
Formative Evaluation of Elementary and Secondary Education Transfer Payment In progress March 2010
Formative Evaluation of Post-Secondary Education Transfer Payment In progress March 2010
Impact Evaluation of On-Reserve Housing (including Shelter Allowance and Ministerial Loan Guarantees) Transfer Payment In progress March 2010
Formative Evaluation of the Alberta Child and Family Services Model Transfer Payment In progress April 2010
Summative Evaluation of First Nations Oil and Gas Moneys Management Act Implementation Transfer Payment In progress April 2010
Summative Evaluation of Inuit Counseling in the South Transfer Payment In progress April 2010
Summative Evaluation of Indian Bands for Land and Estates Management Transfer Payment In progress June 2010
Impact Evaluation of the Intervention Policy Policy In progress June 2010
Impact Evaluation of Self-Government Agreements Transfer Payment In progress September 2010
Summative Evaluation of Inuit Relations Secretariat Internal management In progress September 2010
Impact Evaluation of the Sustainable Development Strategy Transfer Payment Planned March 2011
Summative Evaluation of the Inuit Art Foundation Transfer Payment Planned March 2011
Formative Evaluation of Specific Claims Tribunal Action Plan Transfer Payment Planned March 2011
Summative Evaluation of Post-Secondary Education Transfer Payment Planned March 2011
Summative Evaluation of Elementary and Secondary Education Transfer Payment Planned March 2011
Impact Evaluation of Family Violence Prevention Transfer Payment Planned March 2011
Impact Evaluation of Child and Family Services Transfer Payment Planned March 2011
Impact Evaluation of INAC's Proposal-Driven Economic Development Programs Transfer Payment Planned March 2011
Impact Evaluation of EcoENERGY for Aboriginal and Northern Communities Transfer Payment Planned March 2011
Impact Evaluation to Assist Northerners in Assessing Key Vulnerabilities and Opportunities for 2009-2010 Transfer Payment Planned March 2011
Impact Evaluation of the Urban Aboriginal Strategy Transfer Payment Planned March 2011
Summative Evaluation of Negotiation and Implementation Transfer Payment Planned March 2012
Formative Evaluation of Northern Regulatory Improvement Initiative Transfer Payment Planned March 2012
Summative Evaluation of International Polar Year Component Transfer Payment Planned March 2012
Impact Evaluation of First Nations Fiscal and Statistical Management Transfer Payment Planned March 2012
Impact Evaluation of the Federal Interlocutor's Contribution Program and Powley; Management of Metis Aboriginal Rights Transfer Payment Planned March 2012
Impact Evaluation of Comprehensive Land Claims Agreements Transfer Payment Planned March 2013
Impact Evaluation of Income Assistance, National Child Benefit Reinvestment, Assisted Living Program Transfer Payment Planned March 2013
Impact Evaluation of First Nations Water Management Transfer Payment Planned March 2013
Evaluation of Community Economic Development Program and Aboriginal Business Development Program Transfer Payment Planned March 2013
Assessment of Procurement Strategy for Aboriginal Business Evaluation Transfer Payment Planned March 2013
Impact Evaluation of First Nations Land Management Transfer Payment Planned March 2013
Impact Evaluation of Healthy Foods to Northern Communities Operating expenditure/Internal management Planned March 2013
Impact Evaluation of INAC's Gender-Based Analysis Policy Operating expenditure/Internal management Planned March 2013

Electronic link to evaluation plan:

Evaluation and Performance Measurement Plan 2009-2010 to 2013-2014


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Industry Canada

Upcoming Internal Audits and Evaluations over the Next Fiscal Years

All Upcoming Internal Audits over the Next 2 Years
Proposed Internal Audits Projects 2010–11


Name of Internal Audit

Internal Audit Type

Expected Completion Date
(2010–11)

Knowledge Infrastructure Program

Transfer Payment  Audit

Q2

Marquee Tourism Events Program

Transfer Payment  Audit

Q2

Rural and Remote Broadband Access

Transfer Payment  Audit

Q3

Corporations Canada

Management Control Framework Audit

Q4

Human Resources

Management Control Framework  Audit

Q2

Resource Management

Management Control Framework  Audit

Q2

Office of the Superintendant of Bankruptcy

Management Control Framework  Audit

Q4

Spectrum Applications Modernization Project

Preliminary Survey

Q3


Note:
This Table represents the internal audit projects tentatively scheduled for 2010–11. These projects will be confirmed as part of the annual audit planning process scheduled to take place in Q4 of 2009–10.

Proposed Internal Audits Projects 2011–12


Name of Internal Audit

Internal Audit Type

Expected Completion Date
(2011–12)

Canada Small Business Financing

Management Control Framework Audit

Q2

Materiel Management

Assurance Audit

Q4

Canadian Intellectual Property Office

Preliminary Survey

Q2

Measurement Canada

Preliminary Survey

Q2

Regions

Assurance Audit

Q4

SITT Delivery

Management Control Framework Audit

Q1

Communications Research Centre

Preliminary Survey

Q3

Internal Control Gap Analysis

Assurance Audit

Q2


All Upcoming Evaluations over the Next 3 Fiscal Years
Proposed Projects 2010–11


Name of Evaluation

Evaluation Type

Expected Completion Date
(2010–11)

Internal Trade Secretariat

Grant program

Q2

Northern Ontario Development Program

Contribution program

Q3

2000 Policy on Title to Intellectual Property (Crown Procurement Contracts)

Policy

Q3

Structured Financing Facility

Contribution program

Q4

Marquee Tourism Events Program

Contribution program

Q4

Community Adjustment Fund (Northern Ontario)

Contribution program

Q4

Economic Development Initiative (OLMCs)

Contribution program

Q4


Notes:

  1. The above represents the evaluation projects tentatively scheduled for 2010–11. These evaluations will be confirmed as part of the annual evaluation planning process scheduled to take place in Q4 of the 2009–10 fiscal year.
  2. The Evaluation Directorate also completes a number of other activities, such as Results-Based Management Accountability Framework Implementation Reviews, Treasury Board Submissions/Funding Agreements and RMAF/Performance Measurement Plan Development, as well as other oversight activities including follow-up reviews.

Proposed Projects 2011–12


Name of Evaluation

Evaluation Type

Expected Completion Date
(2011–12)

Radio Advisory Board of Canada

Contribution program

Q3

Strategic Aerospace and Defence Initiative

Contribution program

Q4

Technology Partnerships Canada

Contribution program

Q4

Small Business Internship Program

Contribution program

Q4


Proposed Projects 2012–13


Name of Evaluation

Evaluation Type

Expected Completion Date
(2012–13)

Computers for Schools

Contribution program

Q2

Strategic Activities Program

Contribution program

Q3

OECD Grant Program

Grant program

Q3

Knowledge Infrastructure Program

Contribution program

Q3

Canada Business Networks

Program

Q4

Paperwork Burden Reduction Initiative

Program

Q4

Automotive Innovation Fund

Contribution program

Q4


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Infrastructure Canada

Upcoming Internal Audits and Evaluations Over the Next Three Fiscal Years

Table A: All Upcoming Internal Audits Over the Next Three Fiscal Years

1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Building Canada Fund-Communities Component (BCF-CC) Program, (Top-Up and Acceleration) Consulting and Advisory Services Economic Action Plan In Progress June 2010-2011
Provincial-Territorial Infrastructure Base Fund, (Acceleration) Consulting and Advisory Services Economic Action Plan In Progress June 2010-2011
Building Canada Fund-Major Infrastructure Component (BCF-MIC), (Acceleration) Consulting and Advisory Services Transfer Payment Program In Progress June 2010-2011
Assurance Audit of Contribution Management Control Framework of the Municipal Rural Infrastructure Fund (MRIF) Transfer Payment Program Planning Phase Completed. Starting Examination Phase June 2010-2011
Assurance Audit of National Recreation Trails Fund Economic Action Plan Planned 2010-2011
Assurance Audit of Infrastructure Stimulus Fund (ISF) Economic Action Plan Planned 2010-2011
Assurance Audit of Green Infrastructure Fund (GIF) Economic Action Plan Planned 2010-2011
Assurance Audit of Building Canada Fund-Major Infrastructure Component (BCF-MIC) Transfer Payment Program Planned 2010-2011
Assurance Audit of Building Canada Fund-Communities Component (BCF-CC) Transfer Payment Program Planned 2010-2011
Assurance Audit of Provincial-Territorial Infrastructure Base Fund (PT Base Fund) Transfer Payment Program Planned 2010-2011
Assurance Audit of Corporate Management and Decision-Making Structure Management Planned 2010-2011
Assurance Audit of Human Resources Management Human Resources Planned 2011-2012
Assurance Audit of Information Management Information Management Planned 2011-2012
Assurance Audit of Program Policy, Knowledge and Research Policy Planned 2011-2012
Assurance Audit of Program Policy, Public Communications Policy Planned 2011-2012
Assurance Audit of Managing Organizational Change Management Planned 2011-2012
Assurance Audit of Corporate Performance Framework-Information for Decision-Making and Performance Reporting Management Planned 2011-2012

B. All Upcoming Evaluations Over the Next Three Fiscal Years

1. Name of Evaluation 2. Program Type 3. Status 4. Expected Completion Date
Research, Knowledge and Outreach Transfer Payment Program In Progress June 2010
National Recreational Trails Fund Transfer Payment Program Planned June 2010
Provincial-Territorial Base Funding Transfer Payment Program Planned September 2010
Cluster Evaluation Transfer Payment Program Planned March 2012
Building Canada Fund-Major Infrastructure Component (BCF-MIC) Transfer Payment Program Planned September 2012
Infrastructure Stimulus Fund (ISF) Transfer Payment Program Planned December 2012
Building Canada Fund-Communities Component (BCF-CC) Transfer Payment Program Planned December 2012
Municipal Rural Infrastructure Fund (MRIF) Transfer Payment Program Planned 2011-2012
Management and Oversight Function at Infrastructure Canada Transfer Payment Program Planned 2011-2012
Human Resources Management Human Resources Planned 2011-2012
Green Infrastructure Fund (GIF) Transfer Payment Program Planned 2012-2013
Border Infrastructure Fund (BIF) Transfer Payment Program Planned 2012-2013
Canadian Strategic Infrastructure Fund (CSIF) Transfer Payment Program Planned 2012-2013
Wastewater Projects Project-Based Funding at PAA Sub-Activity Level Planned 2012-2013
Evaluation Function Evaluation - Treasury Board Requirement Planned 2012-2013
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Library and Archives Canada

Upcoming Internal Audits (Next three fiscal years)


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Strategic Planning Management control Planned June 2010
Change Management Management control Planned Dec. 2010
Nitrate Preservation Facility Grant Planned March 2011
Archival records kept at departments and agencies Program Planned Sept. 2011
Digitizing of records for preservation Program Planned Dec. 2011
IT replacement and upgrade plan Management control Planned March 2012

Upcoming Evaluations (Next three fiscal years)


Name of Evaluation Program Type Status Expected Completion Date
National Archival Development Program - Summative Evaluation Grants and Contributions Planned 2010-11
Government Records Branch - Formative Evaluation Program Planned 2011-12
Programs and Services Sector - Formative Evaluation Program and Service Planned 2011-12
Documentary Heritage Sector - Formative Evaluation Program Planned 2012-13
Modernization - Formative Evaluation Initiative Planned 2011-12

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National Defence

Table 3: Internal Audits and Evaluations projects to be completed or initiated in fiscal year 2010-11


The following table lists the internal audit and evaluation work to be completed during fiscal year 2010-11 as well as provides an indication of the internal audit and evaluation work tentatively planned for initiation in fiscal year 2010-11. Completed audit and evaluation reports, which include management action plans to address audit and evaluation recommendations, are posted at the following link: http://www.crs-csex.forces.gc.ca/reports-rapports/index-eng.asp


Name

Project Type
(see note 1)

Audit or Program Type

Status

Expected Completion Date

Civilian Leave Administration

Audit

Assurance

In Progress

1st Quarter 2010-11

Subcontract Visibility

Audit

Assurance

In Progress

1st Quarter 2010-11

Halifax Class Modernization/Frigate Life Extension (HCM/FELEX)

Audit

Assurance

In Progress

1st Quarter 2010-11

FMF Cape Breton Consolidation Project

Audit

Assurance

In Progress

1st Quarter 2010-11

CP140 Data Management System Contract

Audit

Management Action Plan Follow-up

Planned

1st Quarter 2010-11

Industrial Security

Audit

Assurance

In Progress

2nd Quarter 2010-11

Defence Sustainable Development Strategy

Audit

Assurance

In Progress

2nd Quarter 2010-11

RMC Kingston

Audit

Assurance

In Progress

2nd Quarter 2010-11

Canadian Forces Pension Plan

Audit

Assurance

Planned

2nd Quarter 2010-11

Loaned Equipment

Audit

Assurance

Planned

2nd Quarter 2010-11

Military Moves

Audit

Management Action Plan Follow-up

Planned

2nd Quarter 2010-11

CF Recruitment and Retention

Evaluation

PAA

In Progress

2nd Quarter 2010-11

Security and Defence Forum

Evaluation

Grant

In Progress

2nd Quarter 2010-11

COSPAS-SARSAT

Evaluation

Contribution Program

In Progress

2nd Quarter 2010-11

Health Services Recapitalization CFB Greenwood

Audit

Assurance

Planned

3rd Quarter 2010-11

Security Program Management

Audit

Assurance

Planned

4th Quarter 2010-11

CRS Audit Perspective

Audit

Other

Planned

4th Quarter 2010-11

Peace and Security Vancouver 2010 Olympics

Evaluation

PAA

In Progress

4th Quarter 2010-11

Land Training

Evaluation

PAA

In Progress

4th Quarter 2010-11

Real Property

Evaluation

PAA

In Progress

4th Quarter 2010-11

Situational Awareness

Evaluation

PAA

In Progress

4th Quarter 2010-11

NATO Contributions

Evaluation

Contribution Program

In Progress

2011-12

HR (Human Resources) Classification Process

Audit

Assurance

Planned
(see note 2)

2011-12

Contract Terms of Payment

Audit

Assurance

Planned
(see note 2)

2011-12

Realty Asset Governance

Audit

Assurance

Planned
(see note 2)

2011-12

CRS Audit Perspective

Audit

Other

Planned
(see note 2)

2011-12

Software Acquisition and Maintenance

Audit

Management Action Plan Follow-up

Planned
(see note 2)

2011-12

Selected Enterprise Resource Planning (ERP) System Vulnerability Assessment

Audit

Assurance

Planned
(see note 2)

2011-12

Departmental Fuel Expenditures

Audit

Assurance

Planned (see note 2)

2011-12

Travel, Hospitality and Conferences

Audit

Management Action Plan Follow-up

Planned
(see note 2)

2011-12

Business Continuity Planning

Audit

Assurance

Planned
(see note 2)

2011-12

Capital Equipment Projects

Audit

Risk Analysis

Planned
(see note 2)

2011-12

Construction in Support of Capital Equipment (CISOE) Projects

Audit

Management Action Plan Follow-up

Planned
(see note 2)

2011-12

Joint Support Ship

Audit

Assurance

Planned
(see note 2)

2011-12

Unforecasted Operational Requirements

Audit

Assurance

Planned
(see note 2)

2011-12

FMAS Adjusting Entries (SAs)

Audit

Assurance

Planned
(see note 2)

2011-12

Conference of Defence Associations

Evaluation

Grant Program

Planned

2011-12

Civil Pension

Evaluation

Grant Program

Planned

2011-12


Source: Chief Review Services

Notes:

  1. For Evaluation Projects: PAA = Program Activity Architecture.  Apart from Grants and Contributions which are evaluated independently, the evaluations planned are based on activities identified on the Departmental PAA.
  2. Audits planned for initiation in fiscal year 2010-11 are subject to re-assessment as part of the annual audit planning process.
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National Parole Board

Upcoming Internal Audits and Evaluations



Subject Status Expected Completion Date Electronic Link to Report
Evaluation of NPB initiatives related to the unique needs and circumstances of Aboriginal offenders, women offenders and ethno-cultural groups of offenders in the context of conditional release Planned March 31, 2012 will be provided when available
Evaluation of measures to provide victims with a more effective voice in criminal justice Planned March 31, 2011 will be provided when available
Review to assess the impact of processes to improve the pardon application process Planned March 31, 2011 will be provided when available
Evaluation of the impacts and effects of the strategic framework for citizen engagement, including expansion of the framework for citizen engagement to include rural, Aboriginal and culturally diverse communities Planned March 31, 2013 will be provided when available
Evaluation of departmental learning strategy Planned March 31, 2013 will be provided when available

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National Research Council Canada

Upcoming Internal Audits (Next three fiscal years)

The table below outlines all current and planned audit activities for the next three fiscal years to 2013-14. For any of the recently completed or ongoing audits, electronic links are not yet available, due to status of the report (i.e., currently under review, undergoing translation, etc.).


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Review of Values and Ethics Management Framework Corporate Governance Completed 2009-10
Audit of Acquisition Cards – 2008-09 Financial Management and Controls In progress 2009-10
Audit of Facilities Management and Related Equipment Corporate Governance In progress 2009-10
Audit of Integrated Risk Management Corporate Governance In progress 2009-10
Audit of Occupational Safety and Health Corporate Governance In progress 2009-10
Audit of Financial Management Financial Management and Controls In progress 2010-11
Audit of NRC's Industrial Research Assistance Program (NRC-IRAP) Transfer payments Planned 2010-11
Audit of Human Resources Corporate Governance Planned 2010-11
Audit of Capital Investment and Planning Financial Management and Controls Planned 2011-12
Audit of Horizontal Initiatives Financial Management and Controls Planned 2011-12
Audit of Industry Partnership Facilities Financial Management and Controls Planned 2011-12
Follow-up to 2006-07 Audit of Management of IT Security Corporate Governance Planned 2011-12
Audit of Research Management Financial Management and Controls Planned 2012-13
Audit of Contracts Financial Management and Controls Planned 2012-13
Review of Values and Ethics Management Framework Corporate Governance Planned 2012-13
Follow-up to 2008-09 Audit of Construction Contracts Financial Management and Controls Planned 2012-13
Follow-up to 2009-10 Audit of Integrated Risk Management Corporate Governance Planned 2012-13
Audit of Planning and Prioritization Corporate Governance Planned 2013-14
Audit of Hospitality – 2012-13 Financial Management and Controls Planned 2013-14
Audit of Travel – 2012-13 Financial Management and Controls Planned 2013-14
Audit of Acquisition Cards – 2012-13 Financial Management and Controls Planned 2013-14
Follow-up to 2009-10 Audit of Occupational Safety and Health Corporate Governance Planned 2013-14
Follow-up to 2010-11 Audit of Financial Management Financial Management and Controls Planned 2013-14

Electronic Link to Internal Audit Plan and Reports

Upcoming Evaluations (Next three fiscal years)

The table below outlines all current and planned evaluation activities for the next three fiscal years to 2013-14. For any of the recently completed or ongoing evaluations, electronic links are not yet available, due to status of the report (i.e., currently under review, undergoing translation, etc.).


Name of Evaluation Program Type Status Expected Completion Date
Class Grant to International Affiliations Transfer Payment In progress 2009-10
Evaluation of the NRC Institute for Aerospace Research Ongoing A-base In progress 2010-11
Review of Evaluation Requirements Related to International Telescopes Transfer Payment In progress 2009-10
Evaluation of Clean Air Initiative – Indoor Air Quality Sunsetter Funding In progress 2010-11
Genomics Research and Development (R&D) Initiative Sunsetter Funding In planning stage 2010-11
Roadmap for Canada's Linguistic Duality 2008-2013: Acting for the Future Ongoing A-base Planned 2011-12
NRC's Industrial Research Assistance Program Transfer Payment Planned 2011-12
Evaluation of the NRC Health and Related Life Sciences Technologies Ongoing A-base In planning stage 2012-13
Evaluation of the Grant Program to Enhance Canadian S&T Capacity (Graduate Student Scholarship Supplement Program (GSSSP) and Herzberg Memorial Prize and Fellowship) Transfer Payment Planned 2012-13
Evaluation of Information and Communications Technologies and Emerging Technologies Programs
  • Semiconductor Based Technology Research
  • Information Technology Research
  • Molecular Sciences Research
Ongoing A-base Planned 2013-14
Facility for Sub-Atomic Research (TRIUMF) Transfer Payment Planned 2013-14

Three Year Transfer Payment Program

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Natural Resources Canada

Internal Audits


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Accounts Receivable and Revenue Management Assurance Ongoing Q1 10/11
IT Security (System Development Life Cycle) Assurance Planned Q1 10/11
Major Project Management Office (MPMO) Assurance Planned Q1 10/11
Nuclear Legacy Liability Program Assurance Ongoing Q1 10/11
Physical security [*] Assurance Ongoing Q1 10/11
ecoENERGY for Biofuels Program Assurance Planned Q2 10/11
Accelerated Infrastructure Program – Follow-up Audit Assurance Planned Fiscal Year 10/11
Accounting of capital assets Assurance Planned Fiscal Year 10/11
ecoENERGY Retrofit – Home Owners – Follow-up Audit Assurance Planned Fiscal Year 10/11
Felix System Under Development Audit Assurance Planned Fiscal Year 10/11
HR Renewal Assurance Planned Fiscal Year 10/11
Identity Management and Privacy Act Assurance Planned Fiscal Year 11/12
Disaster Recovery for Mission Critical Applications and IT Infrastructure Assurance Planned Fiscal Year 11/12
CANMET – Materials Technology Laboratory (MTL) Relocation Assurance Planned TBD
ecoENERGY Technology Initiative Program Assurance Planned TBD
Delineation of Canada's Continental Shelf (UNCLOS) initiative Assurance Planned TBD
Legislative and Regulatory Compliance for Information Holdings Assurance Planned TBD
Program Policy – Planning & Development Processes Assurance Planned TBD
Pulp and Paper Green Transformation Program (Black Liquor) Assurance Planned TBD
Purchases, Payables and Payments Assurance Planned TBD
Strategic Planning Assurance Planned TBD
Asset management – real property Assurance Planned TBD
Climate Change – Technology and Initiatives (T&I) Assurance Planned TBD
Efficiency and Alternative Energy Program Assurance Planned TBD
Federal Response – Mountain Pine Beetle Assurance Planned TBD
Financial System Renewal Initiative Assurance Planned TBD
First Nations Forestry Program Assurance Planned TBD
Geo-mapping (GEM) Assurance Planned TBD
NRCan's CESD Sustainable Development Strategy Commitments Assurance Planned TBD
Clean Energy Fund Assurance Planned TBD
Financial Statement Preparation and Reporting Assurance Planned TBD
Portfolio Review of Corporate Assets Assurance Planned TBD
Strengthening Canada's Nuclear Advantage Assurance Planned TBD

Electronic Link to Internal Audit and Evaluation Plan: http://nrcan.gc.ca/audit/reprap/reprap-eng.php.

[*] Departmental In-Reserve Audits – Audit Committee Consultation Required Prior to Implementation.

NB: Please note, audits listed as "planned" may be subject to changes due to shifting priorities based on annual evaluation of risk elements.


Internal Evaluations


Name of Evaluation Program Activity Architecture Link Evaluation Type Status Target Completion Date
Port Hope Area Initiative Phase II 2.2.4.2 Formative Planning June 2011
Clean Energy Thematic Evaluation Report 2.1 Summative Planning March 2011
Forest-based Communities 1.2.2 Summative Planning March 2011
Forest Products 1.1.3 Summative Planning March 2011
Enhancing Resilience to Climate Change 3.1.3.1 Summative Planning March 2011
Major Projects Management Office 3.2.5 Summative Planning March 2011

Electronic Link to Evaluation Reports: http://nrcan.gc.ca/evaluation/reprap/reprap-eng.php

Electronic Link to Evaluation Plan: http://nrcan.gc.ca/evaluation/plans-eng.php


 


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Natural Sciences and Engineering Research Council of Canada

Upcoming Internal Audits (Next three fiscal years)


Name of Internal Audit Internal Audit Type Status Expected Completion Date
EAMS – New System Under Development (SUD) Audit SUD Planned 2009-10
Audit of Corporate Information Management Practices Compliance Planned 2009-10
Electronic link to audit reports: NSERC Internal Audits

In 2008-09, NSERC and SSHRC completed a merger of their internal audit units. The Internal Audit Team is currently developing a multi-year audit plan.

Upcoming Evaluations (Next three fiscal years)


Name of Evaluation Program Type Status Expected Completion Date
Tri-Agency (NSERC, SSHRC, CIHR) Evaluation of the Canada Research Chairs Transfer Payment Program In progress 2010-11
Evaluation of Undergraduate Student Research Awards in University and in Industry Transfer Payment Program In progress 2010-11
Evaluation of the Strategic Projects Transfer Payment Program In progress 2010-11
Evaluation of NSERC Prizes Transfer Payment Program In progress 2010-11
Evaluation of the Postdoctoral and Industrial Research and Development Fellowships Transfer Payment Program Planned 2010-11
Evaluation of the Collaborative Health Research Projects Transfer Payment Program Planned 2010-11
Formative Tri-Agency Evaluation of the Canada Excellence Research Chairs Transfer Payment Program Planned 2010-11
Evaluation of PromoScience Transfer Payment Program Planned 2011-12
Joint Review of Relevance and Effectiveness for the Strategic Networks and the Tri-Agency Business-Led Networks of Centres of Excellence Transfer Payment Program Planned 2011-12
Evaluation of the Idea to Innovation Program Transfer Payment Program Planned 2011-12
Evaluation of the Chairs in Targeted Areas of Research Transfer Payment Program Planned 2011-12
Tri-Agency Evaluation of the Industrial R&D Internship Program Transfer Payment Program Planned 2011-12
Tri-Agency Evaluation of the Centres of Excellence for Commercialization and Research Transfer Payment Program Planned 2011-12
Tri-Agency Evaluation of the Canada Graduate Scholarships Program Transfer Payment Program Planned 2012-13
Tri-Agency Evaluation of the Vanier Canada Graduate Scholarships Program Transfer Payment Program Planned 2012-13
Evaluation of NSERC Industrial Postgraduate Scholarships Program and the NSERC Postgraduate Scholarships Program Transfer Payment Program Planned 2012-13
Tri-Agency Evaluation of the College and Community Innovation Program Transfer Payment Program Planned 2012-13
Evaluation of the Industrial Research Chairs Transfer Payment Program Planned 2012-13
International Review of Discovery Grants Transfer Payment Program Planned 2012-13
Evaluation of Research Partnership Agreements Transfer Payment Program Planned 2012-13

Electronic link to evaluation plan: NSERC Program Evaluations

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Office of the Auditor General of Canada

Internal audits planned for 2010–11 to 2012–13


Name Type Status Expected completion date
Internal audits1
Follow-up on the 2005 audit of hospitality expenses Financial controls In progress May 2010
Practice reviews—recurring and periodic
Periodic reviews1
Follow-up on the status of implementation of previous practice review recommendations Follow-up In progress February 2010
The role of the information technology team in assisting annual audit teams Review focusing on annual audit practice Planned To be determined
Report on senior management involvement in the planning and conduct of audits Review of all audit practices Planned To be determined
Annual reviews
Report on the review of the annual audit practice of the Office of the Auditor General of Canada Compliance—annual audit practice Summer 2010
Report on the review of the performance audit practice of the Office of the Auditor General of Canada Compliance—performance audit practice
Report on the review of the special examination practice of the Office of the Auditor General of Canada Compliance—special examination practice

1 The Office has a rolling three-year Practice Review and Internal Audit Plan. Specific audits for 2011 and 2012 have not yet been approved by the Auditor General. They will be posted on our website after they are approved.


The Practice Review and Internal Audit Plan can be found on the Office of the Auditor General website.

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Office of the Privacy Commissioner of Canada

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Office of the Superintendent of Financial Institutions

Upcoming Internal Audits


1. Name of Internal Audit 2. Internal Audit Type (subject area) 3. Status 4. Expected Completion Date
Supervision Sector: Supervision Operational Planning Operational Planning In-Progress 2009-10
Corporate Services: Finance Revenue Business Cycle In-Progress 2010-11
Corporate Services: Finance Human Resources Payrol In-Progress 2010-11
Corporate Services: Information Management & Information Technology Security Access In-Progress 2009-10
Corporate Services: Human Resources Performance Management 2009-10 Planned 2010-11
Regulation Sector: Private Pensions Plans Division Approvals In-Progress 2010-11
Superintendent's Office: Risk Management Risk Management 2010-11 Planned 2010-11
Supervision Sector: Life Insurance Group - Conglomerates Risk Assessment & Intervention 2010-11 Planned 2010-11
Supervision Sector: Supervision Support Group, Credit Risk Division Risk Assessment & Intervention 2010-11 Planned 2010-11
Corporate Services: Finance Contracting 2010-11 Planned 2010-11
Regulation Sector: Actuarial Supervision Support 2010-11 Planned 2010-11
Supervision Sector: Deposit Taking Institutions – Conglomerates Risk Assessment & Intervention 2011-12 Planned TBD
Corporate Services: Finance Travel & Hospitality 2011-12 Planned TBD
Corporate Services: Human Resources Training & Development 2011-12 Planned TBD
Corporate Services: Information Management & Information Technology Portfolio Management 2011-12 Planned TBD
Regulation Sector: Private Pension Plans Division Risk Assessment & Intervention 2011-12 Planned TBD
Regulation Sector: Capital Approvals 2011-12 Planned TBD

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Parks Canada

Upcoming Internal Audits


Name of Internal Audit Internal Audit Type Status Expected Completion Date

Financial and Administrative Audit

Prince Edward Island Field Unit
Assurance Planned March 2011

Financial and Administrative Audit

Northern Ontario Field Unit
Assurance Planned March 2011

Financial and Administrative Audit

Western Arctic Field Unit
Assurance Planned March 2011

Financial and Administrative Audit

Waterton Lakes Field Unit
Assurance Planned March 2011

Financial and Administrative Audit

Atlantic Service Centre
Assurance Planned March 2011

Financial and Administrative Audit

Office of the CEO
Assurance Planned March 2011
Audit of the Campground Reservation System and Point of Sale System Assurance Planned March 2011
Audits of construction projects under the Economic Action Plan Assurance In-progress March 2011
Audit of the Quebec 400th Anniversary Assurance Planned September 2011
Audit of Twinning of Trans-Canada Highway Assurance Planned March 2011
Audit of the Business Continuity Plan Assurance Planned December 2011
Audit of Revenue Management (rentals and concessions) Assurance Planned March 2011
Audit of the Law Enforcement Program Assurance Planned March 2011

Financial and Administrative Audit

National Historic Sites Directorate
Assurance Planned March 2012

Financial and Administrative Audit

Kooteney-Yoho-Lake Louise Field Unit
Assurance Planned March 2012

Financial and Administrative Audit

Riding Mountain Field Unit
Assurance Planned March 2012

Financial and Administrative Audit

Yukon Field Unit
Assurance Planned March 2012

Financial and Administrative Audit

Southwestern Ontario Field Unit
Assurance Planned March 2012

Financial and Administrative Audit

Saguenay- St-Laurent Field Unit
Assurance Planned March 2012

Audit of Revenue Management
(Townsite)

Assurance Planned March 2012
Audit of the Information Centre on Ecosystems (ICE) Assurance Planned March 2012

Financial and Administrative Audit

New Brunswick South Field Unit
Assurance Planned March 2013

Financial and Administrative Audit

Western Quebec Field Unit
Assurance Planned March 2013

Financial and Administrative Audit

Nunavut Field Unit
Assurance Planned March 2013

Financial and Administrative Audit

Manitoba Field Unit
Assurance Planned March 2013

Financial and Administrative Audit

Banff Field Unit
Assurance Planned March 2013

Financial and Administrative Audit

Human Resources Directorate
Assurance Planned March 2013

Electronic Link to Internal Audit Plan:
http://www.pc.gc.ca/docs/pc/rpts/rve-par/iap-2009-2010_e.asp

Upcoming Evaluations


Name of Evaluation Program Type Status Expected
Completion Date

Visitor Experience: Visitor Service Offer

Program sub-activities In progress December 2010
National Parks Conservation (including Species at Risk) Program sub-activity Planned September 2011
General Class Contribution Program Horizontal funding mechanism: transfer payment Planned March 2011
National Park Establishment and Expansion Program sub-activity Planned March 2012
National Historic Sites Cost Sharing Program sub-sub-activity: contribution program Planned March 2012
National Historic Sites Conservation Program sub-activity Planned September 2012
Public Appreciation and Understanding Program activity Planned March 2013
Visitor Experience: Interpretation Programming Program sub-activities Planned March 2013
National Marine Conservation Area Establishment Program sub-activity Planned March 2014
Evaluation of Law Enforcement Horizontal program covering more than one sub-activity Planned March 2014
National Marine Conservation Area Sustainability Program sub-activity Planned March 2014
Trans-Canada Highway Twinning Project Sub-element of Through Highway Management sub-activity Planned March 2014

Electronic link to evaluation plan:
http://www.pc.gc.ca/docs/pc/rpts/rve-par/ep-2009-2010_e.asp

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Patented Medicine Prices Review Board Canada

Upcoming Evaluations (Next three fiscal years)



Name of Evaluation Program Type Status Expected Completion Date
Evaluation of the Compliance and Enforcement Program Regulation of the prices of patented drug products (core program) Planned March 31, 2012

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Privy Council Office

Table 3: Upcoming Internal Audits over the Next Three Fiscal years


(completion dates subject to change)
Name of Internal Audit Program Type Status Expected Completion Date
Compensation - Pay and Benefits Assurance engagement In progress 2010-11
Business Continuity and Emergency Preparedness Assurance engagement Planned 2010-11
Corporate Governance and Performance Management Assurance engagement Planned 2010-11
Strategic HR Plan - Recruitment Assurance engagement Planned 2010-11
Travel and Hospitality Assurance engagement Planned 2010-11
Risk Management Assurance engagement Planned 2011-12
Security Assurance engagement Planned 2011-12
Financial Planning and Forecasting Assurance engagement Planned 2011-12

Table 2: Upcoming Evaluations over the Next Three Fiscal Years


(see note below)
Name of Evaluation Program Type Status Expected Completion Date
There are no evaluations planned. n/a n/a n/a

Note: PCO is classified as a Small Department or Agency (SDA) under the Treasury Board Policy on Evaluation PCO. Application of the Policy to SDAs is deferred until otherwise directed by the President of the Treasury Board, with the exception of section 6.2. PCO will ensure the requirements identified in section 6.2 of the Policy on Evaluation are met; however no evaluations are planned at this time.

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Public Health Agency of Canada

Upcoming Internal Audits and Evaluations for the next three fiscal years

A. All upcoming Internal Audits over the next three fiscal years*

*As the Agency's Internal Audit Plan is being updated, only internal audits planned for 2010-11 are shown below.

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Laboratory Management Performance Audit Planned June 2010
Follow-up Audit of Delegation of Financial Authorities Follow-up Audit Planned June 2010
Follow-up Audit of Office of Public Health Practice Follow-up Audit Planned June 2010
Follow-up Audit of Human Resources Management Follow-up Audit Planned June 2010
Audit of Information Technology Security Compliance Audit Planned September 2010
Follow-up Audit of IM/IT Governance Follow-up Audit Planned September 2010
Audit of Diabetes Programs Performance Audit Planned December 2010
Audit of Healthy Living Performance Audit Planned December 2010
Follow-up Audit of Real Property Management Follow-up Audit Planned December 2010
Follow-up Audit of Payroll, Leave and Overtime Administration Follow-up Audit Planned December 2010
Follow-up Audit of Management of Interchange Program Follow-up Audit Planned December 2010
Audit of Science and Scientific Research Performance Audit Planned March 2011

5. Electronic Link to Internal Audit Plan: N/A

B. All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Type Status Expected Completion Date
Public Health Scholarship and CapacityBuilding Program Transfer payment In progress September 2010
Canadian HIV Vaccine Initiative   Transfer payment In progress 2010-11
Avian Influenza and Pandemic Influenza Preparedness including Mock Vaccine and Regulatory Capacity Transfer payment Planned December 2011
Integrated Strategy on Healthy Living and Chronic Disease Transfer payment Planned To be determined
Federal Initiative to Address HIV/AIDS in Canada Transfer payment Planned To be determined
Hepatitis C Prevention, Support & Research Program Transfer payment Planned To be determined
National Collaborating Centres for Public Health Transfer payment Planned To be determined
National Immunization Strategy Transfer payment Planned To be determined

Electronic link to evaluation plan: link http://www.phac-aspc.gc.ca/about_apropos/evaluation-eng.php


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Public Safety Canada

Upcoming Internal Audits (Next three fiscal years)


A: All upcoming Internal Audits over the next three fiscal years1
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Acquisition Card Program Assurance Completed Completed2
Contracting and Procurement Assurance Completed Completed2
Travel Assurance Planned August 2010
National Crime Prevention Strategy Assurance Initiated September 2010
Audit of the Expenditures related to Grants and Contributions Programs Assurance Initiated August 2010
Advisory Services on the Control Framework for the Policing Infrastructure Fund in support of the Economic Action Plan Advisory Ongoing Ongoing

Electronic Link to Internal Audit and Evaluation Plan:

Upcoming Evaluations (Next three fiscal years)


B: All upcoming Evaluations over the next three fiscal years
Name of Evaluation Program Type Status Expected Completion Date
2009-10 Interim Evaluation of the Youth Gang Prevention Fund National Crime Prevention Strategy Ongoing March 2010
2009-10 Formative Evaluation of the Security Infrastructure Program National Crime Prevention Strategy Ongoing March 2010
2009-10 Evaluation of the Securities Certificates Initiative Multi-year funding Ongoing August 2010
2009-10 Evaluation of the First Nations Policing Program First Nations Policing Program Ongoing July 2010
2009-10 Evaluation of the Integrated Market Enforcement Teams Multi-year funding Ongoing July 2010
2009-10 Evaluation of the Effective Corrections Initiative Multi-year funding Initiated August 2010
2009-10 Evaluation of the Investments to Combat the Criminal Use of Firearms Multi-year funding Initiated October 2010
2010-11 Evaluation of the Workers Compensation Program Joint Emergency Preparedness Program Planned March 2011
2010-11 Evaluation of the Youth Gang Prevention Fund National Crime Prevention Strategy Planned March 2011
2010-11 Evaluation of the Great Lakes/St. Lawrence Marine Security Operations Multi-year funding Planned March 2011
2011-12 Evaluation of the Disaster Financial Assistance Program Disaster Financial Assistance Arrangements Planned March 2012

Electronic link to evaluation plan:

1Internal Audit has posted a Request for Proposal for the provision of risk-based audit consultants to research, develop and produce a Risk-based Audit Plan that will cover the next three fiscal years.

2To be approved by the Departmental Audit Committee.

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Public Service Commission of Canada

Internal Audits

The PSC has an established internal audit function, working within an environment bounded by professional standards and TBS policies. The function also receives guidance and input from its independent Internal Audit Committee. The PSC posts all completed audits on its Web site at www.psc-cfp.gc.ca/abt-aps/inta-veri/index-eng.htm. The table below gives the status of audits planned for 2009-2010 and those not yet complete. It also shows the outlook for audits to be completed over the next three years. We reassess risks annually as part of our audit planning process. Consequently, the outlook may be revised to reflect changes to overall risks, controls and commitments over this time frame.


Name of Internal Audit Type of internal audit Status Expected Completion Date
Implementation of Service Transformation – Staffing and Assessment Services Branch Program management under way Q4 – 2009-2010
HR Special Projects – PeopleSoft Project management under way Q1 – 2010-2011
Access to Information and Privacy Fundamental controls planned Q3 – 2010-2011
Financial Statement – Cyclical 3 Financial reporting planned Q2 – 2010-2011
Appointment Priority Administration Program management outlook Q4 – 2010-2011
Audit and Data Services Branch Management Fundamental controls outlook Q1 – 2011-2012
Financial Statement – Cyclical 4 Financial reporting outlook Q2 – 2011-2012
Cost Recovery Fundamental controls outlook Q4 – 2011-2012
Test Services Program management outlook Q1 – 2012-2013
Financial Statement – Cyclical 5 Financial reporting outlook Q2 – 2012-2013
Horizontal audits (various, led by the Office of the Comptroller General) Fundamental controls TBD As directed by the OCG, who will identify organizations to be included in audits at the start of each audit

Electronic link to internal audit plan:
www.psc-cfp.gc.ca/abt-aps/inta-veri/index-eng.htm


Evaluation

The PSC's Policy on Evaluation, 2009 was approved in June 2009 and reflects the priorities of the PSC and changes made to the TBS Policy on Evaluation, 2009 as it pertains to the PSC.
The rolling Risk-based PSC 5-Year Evaluation Plan 2009-2014 was recently updated to take into consideration emerging issues and priorities and to show progress towards increased evaluation coverage. The approved Plan is strategically integrated into the PSC's overall management activities and supports decision-making with the generation of strategically focused, objective and evidence-based information about the performance of the policies, programs and initiatives of the PSC as an organization. We assess risk regularly as part of our annual planning process.

The PSC posts all completed evaluations on its Web site at www.psc-cfp.gc.ca/index-eng.htm.
The table below shows the outlook for evaluations to be completed over the next three years.


Name of evaluation PAA link Status Expected Completion Date
Central Recruitment Programs - RAP/Coop/FSWEP Staffing Services and Assessment planned 2010-2011
Assessment methods - Reference Checks Appointment Integrity and Political Neutrality planned 2010-2011
EX-Resourcing Staffing Services and Assessment planned 2010-2011
IM Project and Strategy Internal Services planned 2011-2012

Political Activities

Appointment Integrity and Political Neutrality planned 2011-2012

General Recruitment

(Sector Framework)
Staffing Services and Assessment planned 2012-2013
Delegated Authorities and Strategic Staffing Appointment Integrity and Political Neutrality planned 2012-2013

Electronic link to the PSC's Five-year Evaluation Plan 2009-2014:
www.psc-cfp.gc.ca/index-eng.htm

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Public Works and Government Services Canada

Upcoming Internal Audits and Evaluations(Next three fiscal years)


A. All upcoming Internal Audits over the next three fiscal years
1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Attest Audit of the Financial Statements for the Translation Bureau Revolving Fund for Fiscal Year ended March 31, 2010 Financial Planned September 2010
Attest Audit of the Financial Statements for the Real Property Disposition Revolving Fund for Fiscal Year ended March 31, 2010 Financial Planned September 2010
Attest Audit of the Financial Statements for Consulting and Audit Canada Revolving Fund for Fiscal Year ended March 31, 2010 Financial Planned September 2010
Attest Audit of the Financial Statements for the Telecommunications and Informatics Common Services Revolving Fund for Fiscal Year ended March 31, 2010 Financial Planned September 2010
Attest Audit of the Financial Statements for the Optional Services Revolving Fund for Fiscal Year ended March 31, 2010 Financial Planned September 2010
Attest Audit of the Financial Statements for the Real Property Services Revolving Fund for Fiscal Year ended March 31, 2010 Financial Planned September 2010
Annual Attest Audit of the Financial Report of Administrative Costs Chargeable to the Canada Pension Plan for Fiscal Year ended March 31, 2010 Financial Planned December 2010
Attest Audit of the Financial Statements for the Translation Bureau Revolving Fund for Fiscal Year ended March 31, 2011 Financial Planned September 2011
Attest Audit of the Financial Statements for the Real Property Disposition Revolving Fund for Fiscal Year ended March 31, 2011 Financial Planned September 2011
Attest Audit of the Financial Statements for Consulting and Audit Canada Revolving Fund for Fiscal Year ended March 31, 2011 Financial Planned September 2011
Attest Audit of the Financial Statements for the Telecommunications and Informatics Common Services Revolving Fund for Fiscal Year ended March 31, 2011 Financial Planned September 2011
Attest Audit of the Financial Statements for the Optional Services Revolving Fund for Fiscal Year ended March 31, 2011 Financial Planned September 2011
Attest Audit of the Financial Statements for the Real Property Services Revolving Fund for Fiscal Year ended March 31, 2011 Financial Planned September 2011
Annual Attest Audit of the Financial Report of Administrative Costs Chargeable to the Canada Pension Plan for Fiscal Year ended March 31, 2011 Financial Planned December 2011
Attest Audit of the Financial Statements for the Translation Bureau Revolving Fund for Fiscal Year ended March 31, 2012 Financial Planned September 2012
Attest Audit of the Financial Statements for the Real Property Disposition Revolving Fund for Fiscal Year ended March 31, 2012 Financial Planned September 2012
Attest Audit of the Financial Statements for Consulting and Audit Canada Revolving Fund for Fiscal Year ended March 31, 2012 Financial Planned September 2012
Attest Audit of the Financial Statements for the Telecommunications and Informatics Common Services Revolving Fund for Fiscal Year ended March 31, 2012 Financial Planned September 2012
Attest Audit of the Financial Statements for the Optional Services Revolving Fund for Fiscal Year ended March 31, 2012 Financial Planned September 2012
Attest Audit of the Financial Statements for the Real Property Services Revolving Fund for Fiscal Year ended March 31, 2012 Financial Planned September 2012
Annual Attest Audit of the Financial Report of Administrative Costs Chargeable to the Canada Pension Plan for Fiscal Year ended March 31, 2012 Financial Planned December 2012

5. Electronic Link to Internal Audit Plan:

The PWGSC Risk-based Multi-year Audit and Evaluation Plan will be tabled at the Audit and Evaluation Committee in 2009-2010 and approved by the Deputy Minister. Approved audit reports will be posted on the following PWGSC internet site: www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html for the English page and www.tpsgc-pwgsc.gc.ca/bve-oae/index-fra.html for the French page.

Upcoming Evaluations (Next three fiscal years)


B. All upcoming Evaluations over the next three fiscal years
1. Name of Evaluation 2. Program Type 3. Status 4. Expected Completion Date
       
       

5. Electronic link to evaluation plan:

The PWGSC Risk-based Multi-year Audit and Evaluation Plan will be tabled at the Audit and Evaluation Committee in 2009-2010 and approved by the Deputy Minister. Approved evaluation reports will be posted on the following PWGSC internet site: www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html for the English page and www.tpsgc-pwgsc.gc.ca/bve-oae/index-fra.html for the French page.


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Royal Canadian Mounted Police

Upcoming Internal Audits (Next three fiscal years)

Name of Internal Audit Internal Audit Type Status Expected Completion Date

Canada Firearm Centre – Management Control Framework

Operational Assurance Engagement In progress February 2010

International Peace Operations

Operational Assurance Engagement In progress April 2010

Communications

Operational Assurance Engagement In progress April 2010

Directed Audit of the Sensitive Expenditures – Fiscal Year 2008-2009

Operational Assurance Engagement In progress September 2010

Capital Assets

Operational Assurance Engagement In progress November 2010

Directed Audit of the Sensitive Expenditures– Fiscal Year 2009-2010

Operational Assurance Engagement Planning December 2010

2010 Olympic Games Operational Security Financial Expenditures

Financial
Assurance Engagement
Planning December 2010

Business Continuity Planning (BCP)

Operational Assurance Engagement Planning 2011
Directed Investment Plan Goods & Services Contracts Audit Operational Assurance Engagement Planning 2011
Personnel Security Operational Assurance Engagement Planning 2011
Quality of Human Resources Personnel Data Operational Assurance Engagement Planning 2011
Technological Crime Program Operational Assurance Engagement Planning 2011

Electronic Link to Internal Audit and Evaluation Plan:

N/A

Upcoming Evaluations (Next three fiscal years)


Name of Evaluation Program Type Status Expected Completion Date
Vancouver 2010 Olympics Games Security and Public Saftey – Impact Evaluation Major Event Planning Stage March 31, 2011
G8/G20 Security Impact Evaluation Major Event Planning Stage March 31, 2011

Note: As per the TBS Policy on Evaluation (April 2009), the RCMP is currently in the process of developing a five-year rolling plan designed to cover 100% of direct spending. It is anticipated that this plan will be presented to the Commissioner's Evaluation Committee (CEC) for approval in June 2010 and subsequently to the TBS Centre for Excellence in Evaluation (CEE). An update on the development of this plan will be provided in the 2010-2011 Departmental Performance Report.

Electronic link to evaluation plan:

N/A

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Social Sciences and Humanities Research Council

SSHRC Internal Audits

All upcoming internal audits over the next three fiscal years.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Grant and Fellowship Budget Process Review Advisory Completed September 2009
Audit of Information Management Assurance In progress June 2010
Audit of the Enterprise Awards Management System Assurance In progress February 2010
Audit of Management of Human Resources Assurance Planned September 2010

SSHRC Evaluations

All upcoming evaluations over the next three fiscal years.


Name of Evaluation Program Type
Status Expected Completion Date
Summative Evaluation of the Canada Graduate Scholarships Program Transfer payment Planned 2012-13
Summative Evaluation of the Vanier Canada Graduate Scholarships Program Transfer payment Planned 2012-13
Summative Evaluation of the Postdoctoral Fellowships Program Transfer payment In progress 2010-11
Summative Evaluation of the Prizes and Special Fellowships Programs Transfer payment Planned 2010-11
Summative Evaluation of the Canada Research Chairs Program Transfer payment In progress 2010-11
Evaluation of the Canada Excellence Research Chairs Program Transfer payment Planned 2012-13
Summative Evaluation of the Major Collaborative Research Initiatives Program Transfer payment Planned 2011-12
Summative Evaluation of Strategic Research Grants Programs Transfer payment Planned 2011-12
Summative Evaluation of the Social Economy Suite Transfer payment Planned 2010-11
Summative Evaluation of the Community-University Research Alliances Program Transfer payment Planned 2011-12
Summative Evaluation of the SSHRC Institutional Grants Program Transfer payment In progress 2010-11
Summative Evaluation of the Aid to Small Universities Program Transfer payment In progress 2010-11
Summative Evaluation of the Other Strategic Research Development Programs Transfer payment Planned 2010-11
Summative Evaluation of the Research Publishing Programs Transfer payment Planned 2010-11
Summative Evaluation of the International Opportunities Fund Program Transfer payment In progress 2010-11
Summative Evaluation of the Knowledge Translation Programs Transfer payment Planned 2011-12
Summative Evaluation of the Research Events Programs Transfer payment Planned 2010-11
Review of the Business-Led Networks of Centres of Excellence Program Transfer payment In progress 2011-12
Review of the Centres of Excellence for Commercialization and Research Program Transfer payment Planned 2011-12
Summative Evaluation of the Industrial Research and Development Internship Transfer payment Planned 2011-12
Summative Evaluation of the College and Community Innovation Program Transfer payment Planned 2012-13
Summative Evaluation of the Strategic Knowledge Clusters Program Transfer payment Planned 2011-12
Summative Evaluation of Funding in the Theme Area of Management, Business and Finance Transfer payment Planned 2011-12
Summative Evaluation of Funding in the Theme Area of Canadian Environmental Issues Transfer payment Planned 2012-13
Summative Evaluation of Funding in the Theme Area of Northern Communities: Towards Social and Economic Prosperity Transfer payment Planned 2012-13

The information provided above is drawn from SSHRC's evaluation plan, available online. The plan is subject to change.

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Statistics Canada

Internal audits



Table 11  All upcoming internal audits over the next three fiscal years
Name of internal audit Internal audit type Status Expected completion date
Confidentiality of Sensitive Statistical Information Program Completed Tabled at DAC September 2009
Asset Protection and Life Cycle Mangement Financial Completed Tabled at DAC September 2009
Data Sharing Agreement Program In progress May 2010
IT Framework and Contracting Expenditures Management Accountability Framework In progress May 2010
Research Data Centre Program In progress September 2010
Notes:
DAC is the Departmental Audit Committee.
The updated multiyear (2010/2011 to 2012/2013) risk-based audit plan is currently being developed. Several audits are proposed and will receive final approval in April 2010 at the DAC.

Evaluations

Statistics Canada has a unique system of ongoing evaluation of all its statistical and corporate services programs. Each group at Statistics Canada prepares a thorough quadrennial program review that identifies accomplishments, challenges and future priorities along with users' satisfaction of services provided. Biennial program reports update the quadrennial program reviews at midcycle. The following table provides a list of the program evaluations over the next three fiscal years.



Table 12  Statistics Canada schedule of quadrennial program reviews (QPRs) and biennial program reports (BPRs), 2010/2011 to 2012/2013
Program Expected completion date
2010/2011 2011/2012 2012/2013
Evaluation type
1Economic Statistics
1.1.1 Income and Expenditure Accounts BPR ... QPR
1.1.2 Environment Accounts and Statistics QPR ... BPR
1.1.3 Balance of Payments ... QPR ...
1.1.4 Public Institutions Statistics ... QPR ...
1.1.5 Industry Accounts BPR ... QPR
1.2.0 Analytical Studies BPR ... QPR
1.3.1 Manufacturing, Construction and Energy Statistics QPR ... BPR
1.3.2 Distributive Trades Statistics ... QPR ...
1.3.3 Service Industries Statistics BPR ... QPR
1.4.1 Prices Statistics ... BPR ...
1.4.2 International Trade Statistics ... BPR ...
1.4.3 Investment and Capital Stock Statistics ... QPR ...
1.4.4 Industrial Organization and Finance Statistics BPR ... QPR
1.5.1 Agriculture Statistics ... BPR ...
1.5.2 Small Business and Special Surveys QPR ... BPR
1.5.3  Science, Innovation and Electronic Information Statistics ... BPR ...
1.5.4 Transportation Statistics BPR ... QPR
2 Social Statistics
2.1.1 Justice Statistics ... QPR ...
2.1.2 Culture Statistics QPR ... BPR
2.1.3 Tourism Statistics QPR ... BPR
2.1.4 Education Statistics QPR ... BPR
2.2.0 Health Statistics QPR ... BPR
2.3.0 General Social Characteristics Statistics ... BPR ...
2.4.1 Special Surveys ... QPR ...
2.4.2 Income Statistics ... BPR ...
2.4.3 Labour and Household Surveys Analysis QPR ... BPR
2.4.4 Labour Statistics ... QPR ...
2.5.0 Socioeconomic Analysis ... QPR ...
3 Census, Demography and Aboriginal Statistics
3.2.0 Demography ... BPR ...
3.3.0 Aboriginal Statistics ... BPR ...
4 Internal Services
4.1.1 Management and Oversight Services BPR ... QPR
4.1.2 Communications Services QPR ... BPR
4.2.1 Human Resources Management Services ... BPR ...
4.2.2 Financial Management Services ... QPR ...
4.2.3 Information Management Services QPR ... BPR
4.3.1 Materiel Services QPR ... BPR
4.3.2 Acquisition Services BPR ... QPR
5 Corporate Infrastructure Services1
Methodology ... BPR ...
Standards QPR ... BPR
Geography ... QPR ...
Collection and Regional Services BPR ... QPR
Collection Systems and Infrastructure BPR ... QPR
Systems Development BPR ... QPR
Information Technology Systems QPR ... BPR
Operations and Integration ... BPR ...
Tax Data QPR ... BPR
Business Register BPR ... QPR
Enterprise Statistics ... QPR ...
1. Corporate Infrastructure Services are defined as costs that cannot be linked to a specific program subactivity.
… not applicable
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Status of Women Canada

Upcoming Internal Audits and Evaluations
 

A. All upcoming internal audits over the next three fiscal years
 
1.
Name of internal audit
2.
Internal audit type
3.
Status
4.
Expected completion date
Review of the Women's Program files A sampling of the Women's Program files to ensure due diligence and the availability of complete, accurate and up-to-date information on project implementation and results. Planned Fall 2010
 
B. All upcoming evaluations over the next three fiscal years
 
1.
Name of evaluation
2.
Program type
3.
Status
4.
Expected completion date
Summative evaluation of the Women's Program Transfer payments Planned January 2011
 
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Transport Canada

Internal Audits and Evaluations

Upcoming Internal Audits

All upcoming Internal Audits over the next three fiscal years

Audit and Advisory Services has developed an audit plan for 2009-2010 to 2011-2012, which was approved by the Departmental Audit Committee (DAC) in June 2009. The audit plan is reviewed yearly, which may result in revisions, updates or changes as required or requested by the DAC. Potential internal audits are identified based on a detailed assessment of risks and controls and take into account external audits conducted by the Office of the Auditor General, the Office of the Comptroller General, the Public Service Commission, etc. Internal audits examine issues related to governance, risk management and controls in support of the department's strategic objectives, programs, activities and management processes. As per government policy, audit reports are posted on Transport Canada's web-site, subject to the provisions of the Access to Information Act and the Privacy Act.


Name of Internal Audit Internal Audit Type Status Expected Completion Date

Marine Security Contribution Program

Assurance Near completion January 2010
Financial Controls- Grants and Contributions Assurance Near completion January 2010
Horizontal Review of Grants and Contributions Audits Advisory Near completion January 2010
Environmental Contribution Programs- Freight Sustainability Demonstration Program (FSDP), Urban Transportation Showcase Program (UTSP) Assurance Near completion January 2010
Economic Action Plan – Audit Readiness and Governance Review Advisory and Assurance In progress April 2010
Financial Controls – Revenue Assurance In progress April 2010
Financial Controls - Procurement Assurance Planned January 2011
Marine Safety Delegation of Authority Assurance Planned January 2011
Aviation Security Regulatory Oversight Assurance Planned January 2011

Future internal audit activities for 2010/11 and 2011/12 including specific audit activities, objectives, scope and issues will be identified in consultation with program and senior management, as well as through a reassessment of risk factors.

Electronic Link to Internal Audit and Evaluation Plan: Audit and Advisory Services' three-year risk-based audit plan covering the period for 2009/10 to 2011/12 is available on the department's website at the following link:
http://www.tc.gc.ca/eng/corporate-services/aas-audit-62.htm

Upcoming Evaluations

Departmental Evaluation Services will conduct the following evaluations in 2010-2011:


Name of Evaluation Program Type Status Expected Completion Date
Evaluation of Airport Infrastructure programs Cluster evaluation: A-base and a contribution program In Progress 2010-2011
Horizontal Evaluation of the Asia-Pacific Gateway and Corridor Initiative (APGCI) Horizontal evaluation: A-base and four contribution programs Planned March 2011
Evaluation of TC's Grant to the province of British Columbia for the provision of ferry services Grant Planned March 2011
Evaluation of Moving on Sustainable Transportation Program Contribution program Planned March 2011
Evaluation of the Divestiture of Marine Training Assets Program Contribution program Planned March 2011
Evaluation of Rail Safety Program Activity A-base Planned March 2012
Summative evaluation of the Security and Public Safety at the Vancouver 2010 Winter Games (led by RCMP) Horizontal evaluation: A-base and a contribution program Planned March 2011
Evaluation of Marine Security Program Activity Cluster evaluation: A-base and a contribution program Planned March 2012
Horizontal evaluation of the clean air agenda transportation theme Cluster evaluation: A-base and a contribution program Planned March 2012

Electronic Link to Internal Evaluation Reports:
http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm

Departmental Evaluation Services plans to conduct the following evaluations in 2011-2012:


Name of Evaluation Program Type Status Expected Completion Date
Evaluation of the Gateways and Border Crossings Fund Contribution program Planned March 2013
Evaluation of Marine Infrastructure programs Cluster evaluation:A-base and a contribution program Planned March 2013
Evaluation of Port Operations Contribution program Planned March 2013
Evaluation of the Transportation Association of Canada (TAC) multi-year Transfer Payment Program Contribution program Planned March 2012
Evaluation of Transportation Innovation Program Activity Cluster evaluation: A-base and a contribution program Planned March 2012
Evaluation of Clean Water from Transportation as part of the Evaluation of the Health of Oceans – led by DFO A-base Planned March 2012
Evaluation of Aviation Safety Program Activity A-base Planned March 2013
Evaluation of Aviation Security Program Activity Cluster evaluation : A-base and a contribution program Planned March 2013

Electronic Link to Internal Evaluation Reports:
http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm

Departmental Evaluation Services plans to conduct the following evaluations in 2012-2013:


Name of Evaluation Program Type Status Expected Completion Date
Evaluation of the Labrador Coast Airstrips Contribution Program Planned March 2013
Evaluation of Federal Bridge Stewardship Contribution Program Planned March 2013
Evaluation of the administrative aspect of delivering Infrastructure projects A-base Planned March 2013
Evaluation of Recreational Boating Safety Contribution program Planned March 2013
Evaluation of Rail Safety Outreach Cluster evaluation: 3 contribution programs Planned March 2013
Evaluation of Motor Carrier Safety Program Cluster evaluation: 2 contribution programs Planned March 2013

Electronic Link to Internal Evaluation Reports:
http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm

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Treasury Board of Canada Secretariat

Internal Audits

The following audits were included in the Risk-Based Audit Plan 2009–12 approved in June 2009. An annual review and update on planned audit engagements may result in modification to audit engagements conducted.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Operational Effectiveness Testing of High-Risk Financial Reporting Controls Assurance Planned December 2010
Audit of Management of Public Sector Pension Plans Assurance Planned March 2011
Audit of Budget Office Systems Renewal Assurance Planned March 2011
Audit of Security of Information and Information Technology Assurance Planned March 2011
Audit of Business Continuity Planning and Emergency Preparedness Assurance Planned March 2012
Audit of Management of Contracting Assurance Planned March 2012
Audit of Risk Management Framework Assurance Planned March 2012

Internal Evaluations

Listed below are all upcoming evaluations over the next three fiscal years. The following evaluations were included in the 2008–13 TBS 5-year Evaluation Plan. An annual review and update on planned evaluations may result in modification for evaluations to be conducted.


Name of Internal Evaluation Program Type Status Expected Completion Date
Strategic Investment Framework Initiative In progress May 2010
Policy on Internal Audit Policy Planned October 2010
Joint Learning Program Initiative Planned March 2011
Policy Monitoring Ongoing Planned July 2011
International Public Sector Standards Accounting Board Contributions Planned March 2011
Management of Pensions and Employee Benefits Ongoing Planned March 2012
Compensation Management Ongoing Planned March 2012
Accrual Budgeting and Appropriations Initiative Planned March 2013
Results-Based Management and Evaluation Ongoing Planned March 2013
Management of Government Security Ongoing Planned March 2013
Management of Central Funds Ongoing Planned March 2013

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Veterans Affairs Canada

Upcoming Internal Audits

Internal Audit commitments April 1, 2010 to March 31, 2013*


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Core Management Controls Review To begin in 2010 Spring 2010
Veterans Health Related Travel Program Audit Draft Completed January 2010
Employee Compensation Internal Audit Draft Completed January 2010
Veterans Independence Program Program Audit Report being drafted January 2010
Responsibility Centre Internal Audit Planning begun July 2010
FHCPS Cash Management Internal Audit To begin in 2010 2010
Vocational Rehabilitation Program Audit To begin in 2010 2010
Federal Health Care Partnership Internal Audit To begin in 2010 2010
Resource Management Internal Audit To begin in 2010 2010
Ste. Anne's Hospital Medications Program Audit To begin in 2010 2010
Information Quality Internal Audit To begin in 2010 2010 - 2011
Travel and Hospitality Expenditures and Pro-Active Disclosure Internal Audit To begin in 2010 2010 - 2011
Program Policies, Benefits and Authorities Internal Audit To begin in 2011- 2012 2011 - 2012
Residential Care - Community Facilities Program Audit To begin in 2011- 2012 2011 - 2012
Canada Remembers - Partnering with the Private Sector Program Audit To begin in 2011- 2012 2011 - 2012
Disability Awards Program Audit To begin in 2011- 2012 2011 - 2012
Earnings Loss Program Audit To begin in 2011- 2012 2011 - 2012
Third-Party Administered Accounts Internal Audit To begin in 2011- 2012 2011 - 2012
Governance - Planning and Decision-Making Structure Internal Audit To begin in 2011- 2012 2011 - 2012
Ex-Gratia Payments Internal Audit To begin in 2011- 2012 2011 - 2012

Electronic Link to Report - Audit and Evaluation Reports are posted on the Veterans Affairs Canada Web site when completed: www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep

* Internal Audits based on approved Audit and Evaluation Division Audit Plan 2009-2013

Upcoming Evaluations

Audit and Evaluation Division Evaluation commitments April 1, 2010 to March 31, 2013.


Name of Evaluation Program Type Status Expected Completion Date
Evaluation of the Human Resources Function: Departmetnal Integrated HR Planning Direct Spending To begin March 2010 June 2010
Evaluation of the New Veterans Charter Programs - Phase 2 Grants and Contributions In Progress September 2010
Evaluation of the New Veterans Charter Programs - Phase 3 Grants and Contributions Planned December 2010
Evaluation of the Mental Health Strategy Strategic Policy Development To begin April 2010 December 2010
Evaluation of Case Management Grants and Contributions To begin April 2010 December 2010
Evaluation of the Veterans Independence Program Grants and Contributions To begin in 2010 January 2011
Long Term Care Evaluation Grants and Contributions To begin April 2011 December 2011
Evaluation of Departmental Performance Management Direct Program Spending To begin April 2011 December 2011
Evaluation of Partnership Contribution Program Grants and Contributions April 2011 December 2011
Evaluation of Federal Health Partnerships Quasi Statutory July 2011 March 2012
Treatment Benefits and Services Evaluation Quasi Statutory July 2011 March 2012
Evaluation of Canada Remembers - Remembrance Outreach Direct Program Spending July 2011 March 2012
Evaluation of Bureau of Pensions Advocates Direct Program Spending April 2012 December 2012
Assistance Services and Health Insurance and Health Related Services Evaluation Quasi Statutory April 2012 December 2012
Forecasting and Data Analysis Evaluation Direct Program Spending April 2012 December 2012
Cemetery and Grave Maintenance and Memorials Evaluation Grants and Contributions July 2012 March 2013
Evaluation of VAC Policy Development and Support Direct Program Spending July 2012 March 2013
Evaluation of the Office of Veterans Ombudsman Direct Program Spending July 2012 March 2013
Evaluation Consulting and Assistance Services Direct Program Spending April 2012 March 2013

Electronic Link to Report - Audit and Evaluation Reports are posted on the Veterans Affairs Canada Web site when completed: www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep

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Western Economic Diversification Canada

Upcoming Internal Audits and Evaluations

A. Upcoming Departmental Audit Committee approved internal audits over the next three years

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Governance Management Audit Planned December 2010
Grants and Contributions - Monitoring and Payments Management Audit Planned December 2010
Grants and Contributions - Performance Information Management Audit Planned December 2010
Mountain Pine Beetle Program Audit Planned December 2010
Canada Business Service Centres Program Audit Planned March 2011
Information Management and Technology Governance Management Audit Planned March 2011
Infrastructure Programs Program Audit Planned March 2011
Follow-up on past recommendations Follow-up Planned September 2010
March 2011
Grants and Contributions - Budget 2009 Initiatives Program Audit Planned March 2012
Grants and Contributions - Due Diligence Approval Process Management Audit Planned December 2011
Conditional Grants Program Audit Planned December 2011
Urban Development Agreements Program Audit Planned March 2012
Financial Analysis and Reporting Management Audit Planned December 2011
Performance Accountability Management Audit Planned March 2012
Learning and Change Management Management Audit Planned December 2011
Follow-up on past recommendations Follow-up Planned September 2011
March 2012

Electronic Link to Audit and Evaluation Plan: http://www.wd-deo.gc.ca/eng/59.asp

B. Upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Type Status Expected Completion Date
Mountain Pine Beetle Initiative Impact Evaluation Planned March 2011
Entrepreneurs with Disability Initiative Impact Evaluation Planned March 2011
Community Adjustment Fund and Recreational Infrastructure Impact Evaluation Planned March 2012
Western Economic Partnership Agreement Impact Evaluation Planned March 2012
Western Diversification Program: Community Economic Development, Entrepreneurship and Innovation Impact Evaluation Planned March 2013
Women's Entreprise Initiative Impact Evaluation Planned March 2013
Francophone Economic Development Organizations Impact Evaluation Planned March 2013

Electronic Link to Audit and Evaluation Plan: http://www.wd-deo.gc.ca/eng/59.asp