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ARCHIVED - 2011-2012 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

All upcoming Internal Audits over the next three fiscal years

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Agri-Opportunities Transfer Payment In Progress Sep 2011
Audit of Information Technology (IT) Governance Information Technology In Progress Oct 2011
Audit of Payroll Corporate In Progress Dec 2011
AgriStability Transfer Payment Follow-up In Progress Dec 2011
Audit of AgriInsurance Transfer Payment Planned Mar 2012
Grants and Contribution Horizontal Audit II Transfer Payment Planned Mar 2012
Audit of Risk Management Corporate Planned Mar 2012
Audit of Human Resources Planning Corporate Planned Mar 2012
Audit of Business Continuity Planning Corporate Planned Mar 2012
Horizontal Audit of Management of MOUs (Program Delivery) Corporate Planned Mar 2012
Audit of AgriInvest Transfer Payment Planned Mar 2012
Audit of Growing Forward (the Agriculture and Agri-Food Policy Framework) - Cost Shared Transfer Payment Planned Mar 2012
Official Languages (Service to the Public) Corporate Follow-up Audit Planned Mar 2012
Audit of AgriFlexibility II Transfer Payment Planned Mar 2013
Audit of Initiatives under the Agricultural Marketing Programs Act Transfer Payment Planned Mar 2013
Audit of Agriculture Disaster Relief Program Transfer Payment Planned Mar 2013
Audit of Growing Forward - Federally Funded Programs Transfer Payment Planned Mar 2013
Horizontal Audit of Grants and Contributions III Transfer Payment Planned Mar 2013
Audit of Staffing and Classification Corporate Planned Mar 2013
Audit of Investment Planning Corporate Planned Mar 2013
Audit of IT Security Information Management/ Information Technology Planned Mar 2013
Audit of Information Management/IT Shared Services (Management of MOUs) Information Management/ Information Technology Planned Mar 2013
Audit of Enabling IT Systems Information Management/ Information Technology Planned Mar 2013
Grants and Contributions Delivery System - Phase III Transfer Payment Planned Mar 2013

Note: The planned audits included in this table for 2011-12 and 2012-13 are based on the Department's existing 3-4 year Risk Based Audit Plan (RBAP). However, the RBAP is being updated to include the 2013-14 year and may also be revised following a review by the Departmental Audit Committee prior to the beginning of 2011-12.

Electronic Link to Internal Audit Plan:

Not available

All upcoming Evaluations over the next three fiscal years

Name of Evaluation and Link to Report Program Activity Status Expected Completion Date
2011-12
Evaluation of Income Stability Tools (AgriStability and AgriInvest) (carry-over from 2010-11) Business Risk Management In Progress Mar 2012
Evaluation of Production Insurance (AgriInsurance and Private Sector Risk Management Partnership) (carry-over from 2010-11) Business Risk Management In Progress Mar 2012
Evaluation of Food Safety and Science Food Safety and BioSecurity Risk Management Systems Planned Mar 2012
Evaluation of Market Growth Trade and Market Development Planned Mar 2012
Evaluation of Support to Rural Communities and the Development of Co-operatives Rural and Co-operatives Development Planned Mar 2012
Evaluation of Health Claims, Novel Foods and Ingredients Regulatory Efficiency Facilitation Planned Mar 2012
Evaluation of Environmental Performance Measurement and Reporting Programs Environmental Knowledge, Technology, Information and Measurement Planned Mar 2012
Evaluation of Community Pastures Program On-Farm Action Planned Mar 2012
Evaluation of Water Infrastructure On-Farm Action Planned Mar 2012
Evaluation of Human Resources Internal Services Planned Mar 2012
Evaluation of Agri-Innovation and Commercialization Science, Innovation and Adoption Planned June 2012
Meta-Evaluation of Cost-Shared Programming (Growing Forward, the Agricuture and Agri-Food Policy Framework) On-Farm Action; Food Safety and Biosecurity Risk Management Systems; Science, Innovation and Adoption; Agri-Business Development Planned Oct 2012
2012-13
Evaluation of International Marketing Programs Trade and Market Development Planned Mar 2013
Evaluation of Agri-Environmental Science Programs Environmental Knowledge, Technology, Information and Measurement Planned Mar 2013
Evaluation of Innovative Approaches for Technical Assistance Environmental Knowledge, Technology, Information and Measurement Planned Mar 2013
Evaluation of Regional Innovation (federal component) Science, Innovation and Adoption Planned Mar 2013
Evaluation of Hog-related Programs Food Safety and Biosecurity Risk Management Systems Planned Mar 2013
Evaluation of Canadian Agricultural Loans (Act) Business Risk Management Planned June 2013
Evaluation of Farm Debt Mediation Service Agri-Business Development Planned June 2013
Evaluation of Food Safety System Programs Food Safety and Biosecurity Risk Management Systems Planned June 2013
Traceability Evaluation Food Safety and Biosecurity Risk Management Systems Planned June 2013
2013-14
Evaluation of Knowledge and Information Tools Environmental Knowledge, Technology, Information and Measurement Planned Mar 2014
Evaluation of Matching Investment Initiative Science, Innovation and Adoption Planned Mar 2014
Evaluation of Canadian Agricultural Adaptation Program Science, Innovation and Adoption Planned Mar 2014
Evaluation of Science and Technology Support for Agricultural Innovation Science, Innovation and Adoption Planned Mar 2014
Evaluation of the Over Thirty Months Payment Program Agri-Business Development Planned Mar 2014
Evaluation of Business Development Agri-Business Development Planned Mar 2014
Evaluation of Sector Competitiveness Trade and Market Development Planned Mar 2014
Evaluation of Trade Negotiations and Market Access Trade and Market Development Planned Mar 2014
Evaluation of the Sand Plains Program Rural and Co-operatives Development Planned June 2014
Evaluation of Slaughter Improvement Program Agri-Business Development Planned June 2014

Note: The planned evaluations included in this table for 2011-12 and the following two fiscal years are based on the Department's existing 5-year evaluation plan. However, the evaluation plan may be revised following a review by the Departmental Evaluation Committee prior to the beginning of 2011-12.

Electronic Link to Evaluation Plan:

Not available

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Atlantic Canada Opportunities Agency

Internal Audits and Evaluations Over Three Fiscal Years

(2011-2012, 2012-2013, 2013-2014)


Name of Internal Audit Internal Audit Type Status Expected Completion Date
2011-2012
Financial Management Control – Monitoring in Program Delivery Assurance Planned 2011-2012
Policy and Programs – Quality of Analysis Assurance Planned 2011-2012
Due Diligence – Atlantic Innovation Fund Assurance In progress 2011-2012
Financial Management Control – Non-Commercial Projects Assurance Planned 2011-2012
Governance – Corporate Business Planning Assurance Planned 2011-2012
Governance – Organizational Alignment and Accountability Assurance Planned 2011-2012
Financial Management Control – Compliance with the Financial Administration Act in Operations Assurance Planned 2011-2012
Governance – Effectiveness of Project Management Assurance Planned 2011-2012
Financial Management Control – Stewardship of Receivables Assurance Planned 2011-2012
Portfolio Coordination – External Portfolio Management Assurance Planned 2011-2012
Financial Management Control – Adequacy of Financial Reporting Assurance Planned 2011-2012
2012-2013
People Management – Performance and Productivity Assurance Planned 2012-2013
People Management – Occupational Health and Safety Assurance Planned 2012-2013
People Management – Diversity Assurance Planned 2012-2013
Citizen-Focused Service – Communications and Marketing Assurance Planned 2012-2013
Citizen-Focused Service – Meeting Service Standards Assurance Planned 2012-2013
Change Planning – Learning and Change Management Assurance Planned 2012-2013
Governance – Stewardship in Procurement Assurance Planned 2012-2013
Security Program – Adequacy of Security and Business Continuity Management Assurance Planned 2012-2013

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 updated audit plan for 2011-2014 will be available following the President’s approval.

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
2011-2012
Business Skills Development Evaluation - Horizontal evaluation linked to both Enterprise Development and Community Development
- Components of the Business Development Program
Ongoing April 2011
Policy, Advocacy and Coordination Evaluation  - Policy, Advocacy and Coordination

- Components of the Business Development Program
Ongoing June 2011
Service Delivery Model Efficiency and Economy Evaluation - Internal Services Planned TBD
Repayable Contribution Management Evaluation - Internal Services Planned TBD
2012-2013
Evaluation of the Community Investment Program Sub-activity - Community Development
- Components of the Business Development Program and the Innovative Communities Fund
Planned TBD
Evaluation of the Community-based Business Development Program Sub-activity  - Components of the Business Development Program and the Community Futures Program Planned TBD
Evaluation of the Community Mobilization Program Sub-activity - Community Development
- Components of the Business Development Program
Planned TBD
2013-2014
Evaluation of the Innovation Program Sub-activity - Enterprise Development
- Components of the Business Development Program, the Atlantic Innovation Fund and the Productivity and Business Skills Initiative
Planned TBD
Evaluation of the Financing Continuum Program Sub-activity - Enterprise Development
- Components of the Business Development Program
Planned TBD

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Canada Border Services Agency

Upcoming Internal Audits and Evaluations

A. All upcoming internal audits


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Training and learning Assurance In progress May 2011
Accounts receivable / Temporary Accounts Receivable System Assurance In progress May 2011
Process Monitoring Framework Assurance In progress September 2011
Management of overtime Assurance In progress September 2011
Currency seizures Assurance In progress September 2011
Year-end cash cut-off procedures 2010–11 Assurance Planned September 2011
Processes to share intelligence information internally Assurance In progress December 2011
Human resources staffing Assurance Planned December 2011
Courier programs Assurance Planned December 2011
Arming Initiative (Change Management Strategy) Assurance Planned* 2010–11
Security Management Framework Assurance Planned* 2011–12
Policy on management of government information holdings Assurance Planned* 2011–12
Migration integrity officers Assurance Planned* 2011–12
Air cargo targeting Assurance Planned* 2011–12
Marine container – At-the-border processing Assurance Planned* 2011–12
Trusted travellers Assurance Planned* 2011–12
Rail commercial Assurance Planned* 2011–12
Valuation Program Assurance Planned* 2011–12
Compliance verification Assurance Planned* 2011–12
Risk management – Progress on Integrated Risk Management Assurance Planned* 2011–12
Project management Assurance Planned* 2011–12
Customs Commercial Systems Assurance Planned* 2011–12
eManifest Phase III Assurance Planned* 2011–12
Information technology – Prerequisites Assurance Planned* 2011–12
Lookout procedures Assurance Planned 2012–13
Marine commercial targeting Assurance Planned 2012–13
Marine mode: People Assurance Planned 2012–13
Air mode: People Assurance Planned 2012–13
Control and disposal of seized goods under the Customs Act Follow-up audit Planned 2012–13
Immigration enforcement – Hearings Assurance Planned 2012–13
Criminal investigations Assurance Planned 2012–13
Biometrics Assurance Planned 2012–13
Traveller telephone reporting Assurance Planned 2012–13
Code of conduct, values and ethics Assurance Planned 2012–13
Financial budgeting, forecasting and resource allocation Assurance Planned 2012–13
Accounts payable and accrued liabilities Assurance Planned 2012–13
Protection and privacy of personal information Assurance Planned 2012–13
Application/database development and maintenance Assurance Planned 2012–13

*The completion dates of these audits will be determined in late 2010–11.

Note: At present, the CBSA's Internal Audit Plan is only available internally.

B. All upcoming evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Enforcement Teams Risk Assessment In progress December 2011
Counter Terrorism Program Risk Assessment In progress December 2011
eManifest Risk Assessment In progress March 2012
Port of Entry Recruit Training Internal Services In progress March 2012
Recourse Program Recourse Planned March 2012

Notes:

  1. Due to the significant changes within the CBSA over the past two fiscal years (e.g. the launch and implementation of the Change Agenda, which included: the reorganization of CBSA headquarters; revisions to the CBSA's Program Activity Architecture; and Strategic Review), the Executive Evaluation Committee decided to only approve a one-year Evaluation Plan. However, a five-year Plan is being developed in 2010–11, based on the CBSA's new 2011–12 Program Activity Architecture and the completed financial crosswalk.
  2. The CBSA's Risk-Based Multi-Year Evaluation Plan (2010–11) is available only for internal distribution.
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Canada Industrial Relations Board

Upcoming Internal Audits over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Departmental Core Control Audit in Small Departments and Agencies (SDAs) (Comptroller General) Financial management, contracting, travel and hospitality, and human resources Ongoing 31 March 2011
Horizontal Audit of Information Management (Comptroller General) Information Management Plan to start early Feb 2011 / Ongoing 31 March 2011

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Canada Revenue Agency

Internal Audit

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

All completed audit reports

Name of Internal Audit
Audit Type
Status
Expected Completion Date
Authorized Third Party Access to Taxpayer/Registrants Accounts
Assurance
In Progress
2011-2012
Disability Tax Credit
Assurance
In Progress
2011-2012
Office Audit Program
Assurance
Planning
2011-2012
MOU with respect to the exchange of information relating to Ontario Corporations in Support of the Administration of Corporate Taxes
Assurance
In Progress
2011-2012
MOU with respect to Mutual Cooperation and Joint Initiatives Between the Canada Revenue Agency and the Workplace Health, Safety and Compensation Commission of New Brunswick
Assurance
In Progress
2011-2012
Financial Administration Act Accountabilities – Agency Activities
Assurance
In Progress
2011-2012
2010-2011 Selected Fiscal Year-End Procedures
Assurance
Planning
2011-2012
Leave Management
Assurance
In Progress
2011-2012
ITB Work Order Process
Assurance
In Progress
2011-2012
Management of Publishing
Assurance
In Progress
2011-2012
Management of Aged Inventory
Assurance
Planning
2011-2012
Delivery of National Security Awareness and Training Program
Assurance
In Progress
2011-2012
Cyclical IT Security
Assurance
In Progress
2011-2012
Payments Processing
Assurance
Planned
2011-2013
Electronic Commerce Audit
Assurance
Planned
2011-2013
MOU with Respect to the Régime Québecois d'assurance parentale
Assurance
Planned
2011-2013
Audit of Supplier Contract(s)
Assurance
Planned
2011-2013
Enterprise Risk Management
Assurance
Planned
2011-2013
CRA Costing and Cost Recovery Audit
Assurance
Planned
2011-2013
Management of Discipline
Assurance
Planned
2011-2013
IT Capacity to Meet New Benefit Programs
Assurance
Planned
2011-2013
System Change Management
Assurance
Planned
2011-2013
Privileged User Risk Management Project Review
Assurance
Planned
2011-2013
MOU with respect to the Société de l'assurance automobile du Québec
Assurance
Planned
2011-2013
CPP/EI Base Year Administrative Costs Audit
Assurance
Planned
2011-2013 
Audit of Financial Management – Budgeting
Assurance
Planned
2011-2013
General Ledger Account Postings
Assurance
Planned
2011-2013
Personal Security Screening Program
Assurance
Planned
2011-2013
Official Languages Training Contracts – Supplier Compliance
Assurance
Planned
2011-2013
Compensation National Enquiry Services Audit
Assurance
Planned
2011-2013
Agency Workforce Strategy (HR Planning)
Assurance
Planned
2011-2013
Management of Conflict Resolution
Assurance
Planned
2011-2013
Management of Agency Intranet and Internet
Assurance
Planned
2011-2013
Outreach Program
Assurance
Planned
2011-2013
Audit Selection – Compliance Research and Risk Assessment
Assurance
Planned
2011-2013
Technical Applications and Valuations 
Assurance
Planned
2011-2013
Audit Selection – Core Audit Program
Assurance
Planned
2011-2013
Audit Selection – Workload Development
Assurance
Planned
2011-2013
Compliance System Redesign
Assurance
Planned
2011-2013
Compliance Research
Assurance
Planned
2011-2013
Voluntary Disclosures Program
Assurance
Planned
2011-2013
Excise Tax and Other Levies
Assurance
Planned
2011-2013
Registered Plans
Assurance
Planned
2011-2013
Tobacco Compliance Strategy
Assurance
Planned
2011-2013
Speciality Audit
Assurance
Planned
2011-2013
Management of Taxpayer Bankruptcy
Assurance
Planned
2011-2013
National Collections Pools
Assurance
Planned
2011-2013
Integrated Revenue Collections Phase One Post-Implementation Audit
Assurance
Planned
2011-2013
Community Volunteer Income Tax Program
Assurance
Planned
2011-2013
Trust Accounts Program
Assurance
Planned
2011-2013
Post Implementation of the Corporate Administrative System
Assurance
Planned
2011-2013
Business Information Technology Requirements
Assurance
Planned
2011-2013
Administration of Tax-Free Savings Account
Assurance
Planned
2011-2013
TC Functional Monitoring Framework
Assurance
Planned
2011-2013
Service Complaints Redress Process
Assurance
Planned
2011-2013
Litigation Program
Assurance
Planned
2011-2013
Statistical & Information Management Directorate Data Integrity
Assurance
Planned
2011-2013
Consistency and Accountability of Business Planning
Assurance
Planned
2011-2013
Acceptance Testing
Assurance
Planned
2011-2013
Follow-Up of the 2008-2009 Internal Audit Reports
Follow-up
Planned
2011-2013
Follow-Up of the 2009-2010 Internal Audit Reports
Follow-up
Planned
2011-2013
Follow-Up of the 2010-2011 Internal Audit Reports
Follow-up
Planned
2011-2013

Electronic Link to Internal Audit Plan

Evaluations

1. Name of Evaluation and Link to Report
2. Program Activity (at the PA level)
3. Status
4. Expected Completion Date
Charities Partnership and Outreach Program
Taxpayer and Business Assistance
In Progress
2011-2012
Administration of the Canada-Unites States Softwood Lumber Products Exports Charges Act, 2006
Taxpayer and Business Assistance
In Progress
2011-2012
Business Registration
Assessment of Returns Payment Processing
In Progress
2011-2012
Tax and Charities Appeals
Appeals
In Progress
2011-2013
Canada Child Tax Benefit
Benefit Programs
Planned
2011-2013
Employer Compliance 
Accounts Receivable and Returns Compliance
Planned
2011-2013
International Tax
Reporting Compliance
Planned
2011-2013
Scientific Research and Experimental Development
Reporting Compliance
Planned
2011-2013
Follow-Up of 2008-2009 Evaluation Reports
 
Planned
2011-2013
Follow-Up of 2009-2010 Evaluation Reports
 
Planned
2011-2013
Follow-Up of 2010-2011 Evaluation Reports
 
Planned
2011-2013

Electronic link to evaluation plan

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Canada School of Public Service

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
Horizontal Internal Audit of the Common Services Policy Assurance - Financial & Compliance - Internal Services In- progress Third Quarter of 2011-12
Audit of Revenue Management Assurance - Financial & Compliance - Internal Services In hold Fourth Quarter of 2011-12
Audit of the Language Retention Services Program Assurance - Performance - Program Not started 2012-13
Governance Audit (Formerly called 'Corporate Information Decision-Making Framework Audit') Assurance - Information Management - Management & Oversight Not started 2012-13
Follow-up Audit of the Audit of Compensation for Non-indeterminate Employees (Completed in October 2010) Assurance - Financial & Compliance - Internal Services Not started 2012-13
Audit of the Professional Communities Program Assurance - Performance - Program Not started 2013-14
Audit of Risk Management (Formerly called 'Corporate Risk Profile Audit') Assurance - Risk Management - Internal Services Not started 2013-14
Audit of the Advanced Leadership Program Assurance - Performance - Program Not started 2014-15
Compensation and Benefits Audit Assurance - Financial & Compliance - Internal Services Not started 2014-15
Horizontal Internal Audit of Performance Management Assurance - Management & Oversight Not started 2014-15

B. All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Leadership Across Boarders: A Four Country Program Organizational Leadership Development In-progress May 2011
Advanced Leadership Program Organizational Leadership Development Planned January 2012
New Official Languages Learning Model Foundational Learning Planned TBD
Broadening Access to Canadian Universities Foundational Learning Planned March 2013
Information Management Functional Community Foundational Learning Planned March 2014 (subject to change)
Organizational Leadership Development: Focus on Senior Leaders Organizational Leadership Development Planned March 2014 (subject to change)
Leadership Development Courses Organizational Leadership Development Planned March 2014 (subject to change)

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Canadian Centre for Occupational Health and Safety

Evaluations
1. Name of Evaluation 2. Program Type 3. Status 4. Expected Completion Date
CCOHS Program Evaluation Ongoing Program Completed July 2009

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Canadian Environmental Assessment Agency

Canadian Environmental Assessment Agency:
Internal Audits and Evaluations over the Next Three Fiscal Years

 

All Upcoming Internal Audits over the Next Three Fiscal Years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
No internal audits are planned over the next three fiscal years. The Agency works closely with the Office of the Comptroller General of the Treasury Board Secretariat of Canada in the conduct of horizontal audits.

 

All Upcoming Evaluations over the Next Three Fiscal Yars


Name of Evaluation and Link to Report Program Activity Status Expected Completion Date
Renewal of the James Bay and Northern Quebec Agreement Contribution Program Environmental Assessment Support Planned March 2012

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Canadian Food Inspection Agency

Upcoming Internal Audits and Evaluations over the next three years

A. All upcoming Internal Audits over the next three years

1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Terrestrial Animal health Performance Audit Completed June 2010
Plant Health & Biosecurity Performance Audit Completed December 2010
Financial Management Control Framework (includes Accounts Payable from 2010-2011) Financial Audit Completed June 2010
Export certification - Food Performance Audit Postponed 2011-12
Capital planning and asset management (Real Property) Financial Audit In progress March 2011
Revenue management Financial Audit Completed June 2010
Enforcement and Investigation Services Performance Audit Completed December 2010
Compliance Verification System: Meat Performance Audit Completed December 2010
Acquisition cards Financial Audit Completed June 2010
Financial Statement Overview Advisory Completed June 2010
Food Safety Action Plan Performance Audit Delayed March 2011
Atlantic Area Office Performance Audit In Progress June 2011
Resource Management - Forecasting Financial Audit Deferred TBD
CIO Operational Controls (IM / IT audit 2011-2012) Stewardship Audit In Progress March 2011
Federal Assistance Program (includes Transfer Payments from 2011-2012) Financial Audit In Progress March 2011
Fast Track Staffing Process (Human Resources from 2011-2012) Performance Audit In Progress March 2011
Financial Services – Third Party Arrangements Financial Audit Planned 2011-2012
Assets and Security Management – Moveable Assets Financial Audit Planned 2011-2012
Western Area Office Performance Audit Planned TBD
It Security (MITS) Stewardship Audit Planned TBD
IT Systems Under Development – Preliminary Survey Stewardship Audit Planned TBD
Salaries and employee benefits Financial Audit Planned TBD
IT Systems Under Development – Performance Management Reporting Solution (PMRS) Stewardship Audit Planned TBD
Compensation Payments – All Compensation Payments Financial Audit Planned TBD
Meat and Poultry - CVS Performance Audit Planned TBD
Animal health – Zoonotics Performance Audit Planned TBD
Export Certification – Fish Performance Audit Planned TBD
Financial Statement Overview Advisory Planned 2011-2012
Assets and Security Management – Fleet Financial Audit Planned TBD
Management – Project Management Stewardship Audit Planned TBD
Ontario Area Office Performance Audit Planned TBD
CIO – Information Management Stewardship Audit Planned TBD
IT Systems Under Development – Enterprise and Operational Reporting (EOR) Stewardship Audit Planned TBD
IT Systems Under Development – Compliance Verification System (CVS) Stewardship Audit Planned TBD
IT Systems – SAP/Saturn Stewardship Audit Planned TBD
Human Resources – President's HR Authorities Performance Audit Planned TBD
Fish and Seafood – Shellfish Sanitation Program Performance Audit Planned TBD
Fresh Fruits and Vegetables - Imports Performance Audit Planned TBD
Assert and Security Management – Capital Planning and Assets Management Financial Audit Planned TBD
Financial Statement Overview Advisory Planned 2012-2013
Plant protection emergency response Performance Audit Cancelled due to OAG Emergency Response audit.
Export certification – Animal Performance Audit Deferred due to EU audit
Food safety recalls and emergency response Performance Audit Cancelled due to OAG Emergency Response audit.
Animal health emergency response Performance Audit Cancelled due to OAG Emergency Response audit.
Financial management system Financial Audit Performed in 2009-2010

Note: Changes between this planned work and previous RPP due to changes in Audit Universe and resulting RBAP.

Electronic Link to Internal Audit and Evaluation Plan:
Not available
Link to audit reports: http://www.inspection.gc.ca/english/agen/eval/evale.shtml

B. All upcoming Evaluations over the next three fiscal years

1. Name of Evaluation and Link to Report 2. Program Activity 3. Status 4. Expected Completion Date
Evaluation of CFIA's Food Labelling Activities Not applicable Cancelled  
Evaluation of the Food Vulnerability Assessment Capacity-Building Project (FVACBP) of the Security and Prosperity Partnership (SPP) of the North America Initiative Food Safety Program In progress March 2011
Evaluation of the Vancouver 2010 Olympic and Paralympic Winter Games (CFIA component)
(link not available yet)
Food Safety Program Animal Health and Zoonotics Program Plant Resources Program Completed September 2010
Interdepartmental Evaluation of the Vancouver 2010 Olympic and Paralympic Winter Games (Department of Canadian Heritage lead) Food Safety Program Animal Health and Zoonotics Program Plant Resources Program Planned March 2011
Evaluation of CFIA's Imported Food Activities Food Safety Program Postponed December 2012
Evaluation of the Continuing a Comprehensive Strategy for Managing BSE in Canada, 5-Year Funding (mid-term) Animal Health and Zoonotic Program Planned December 2011
Evaluation of the Continuing a Comprehensive Strategy for Managing BSE in Canada, 5-Year Funding Animal Health and Zoonotic Program Planned 2012-2013
Evaluation of the Food and Consumer Safety Action Plan (CFIA component) Food Safety Program Planned 2012-2013
Interdepartmental Evaluation of the Food and Consumer Safety Action Plan (Health Canada lead Department) Food Safety Program Planned 2012-2013
[additions to previous year…..]      
Evaluation of National Aquatic Animal Health Program Animal Health and Zoonotic Program Completed June 2010
Evaluation of CFIA's Enhanced Feed Ban (BSE) Food Safety Program Animal Health and Zoonotic Program In progress December 2011
Evaluation of Administrative Monetary Penalties (AMPs) Food Safety Program Animal Health and Zoonotics Program Plant Resources Program In progress March 2011
Evaluation of Regulatory Development Process Food Safety Program Animal Health and Zoonotics Program Plant Resources Program Planned March 2012
Interdepartmental BSE I and II Evaluation (Health Canada Lead) Animal Health and Zoonotic Program In progress June 2011
Interdepartmental Building Public Confidence in Pesticides and Improving Access to Pest Management Products (BPC) (Health Canada lead) – CFIA Component Food Safety Program Animal Health and Zoonotics Program Plant Resources Program Completed September 2010
Interdepartmental Evaluation of Health Canada's Food Safety Nutrition Quality Program (FSNQ) Food Safety Program In progress June 2011
Interdepartmental Evaluation of the Plum Pox Eradication Program Plant Resource program In progress March 2011
Listeria/Food Borne Illness Food Safety Program Planned 2012-2013
Evaluation of the CFIA Evaluation Function as per Evaluation Policy Internal Services Planned 2012-2013
Federal Assistance Program
(link not available yet)
Food Safety Program Animal Health and Zoonotics Program Plant Resources Program Completed December 2010

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


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Canadian Grain Commission

Upcoming Internal Audits and Evaluations

All upcoming Internal Audits

The CGC's Internal Audit activity was in its first year of operation in 2010-2011. As development of the internal audit "universe" and the risk assessment process are still in progress, Internal Audit is operating with one-year Audit Plans at present. The following internal audits are currently planned or in progress.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Project Management Assurance In progress First Quarter
2011 – 2012
ISO in Grain Research Laboratory Assurance In progress First Quarter
2011 – 2012
Integrated Risk Management and Corporate Risk Profile Advisory and Assurance In progress Fourth Quarter
2011 – 2012
Performance Development and Achievement Program Assurance Planned Second Quarter
2011 – 2012
Licensing Process Assurance Planned Third Quarter
2011 – 2012
ISO/QMS/National Monitoring in Industry Services Assurance Planned Third Quarter
2011 – 2012
Invoicing Process in Industry Services Assurance Planned Fourth Quarter
2011 – 2012

All upcoming Evaluations

The CGC is in the process of establishing an Evaluation function reporting to the Chief Audit Executive. Within the implementation plan is an evaluation of the CGC’s Evaluation activity needs based on its classification as a “small department” as per Treasury Board’s 2009 Policy on Evaluation. During 2011 – 2012, a risk-based Evaluation Plan will be developed and posted on the CGC website.


Name of Evaluation Program Activity Status Expected Completion Date
TBD TBD N/A N/A

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Canadian Heritage

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 March 2010 approved 2010-11 to 2012-13 risk-based 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. For 2013-14, the audits will be identified through the 2011-12 to 2013-14 risk-based audit planning process.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Canada’s Participation in 2010 Shanghai Exposition Audit Program Audit Planned 2011-12
Cultural Industries Branch Audit Planned 2011-12
Audit of Canadian Heritage Information Network (CHIN) Internal Audit Planned 2011-12
Grants and Contributions – to be determined Internal Audit Planned 2011-12
Financial Statements – Major Accounts Review Internal Audit Planned 2011-12
Information Management/ Information Technology/  On-line Services Internal Audit Planned 2011-12
Retention Strategies and Employee Development Internal Audit Planned 2011-12
Records Management - Horizontal Audit Horizontal Audit Planned 2011-12
Compliance with the Treasury Board Secretariat Policy on Internal Controls Internal Audit Planned 2011-12
Canada Media Fund Program Audit Planned 2012-13
Branch Audits – to be determined Branch Audit Planned 2012-13
Building Communities through Arts and Heritage Program Program Audit Planned 2012-13
Grants and Contributions – to be determined Internal Audit Planned 2012-13
Financial Statements – Major Accounts Review Internal Audit Planned 2012-13
Information Technology Security Internal Audit Planned 2012-13
Business Continuity Planning and Departmental Security Horizontal Audit Horizontal Audit Planned 2012-13
Departmental Entity Level Controls Follow up Audit Planned 2012-13
Departmental Performance Measurement Horizontal Audit Planned 2012-13

B. All upcoming Evaluations (over the next three fiscal years)

This internal evaluation list is based on the present April 2010 approved 2010-11 to 2014-15 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 Evaluation Program Activity Status Expected Completion Date
Canada Arts Presentation Fund PA 1: Arts Planned 2013-14
Canada Cultural Spaces Fund PA 1: Arts Planned 2013-14
Fathers of Confederation Buildings Trust PA 1: Arts In Progress 2011-12
Canada Arts Training Fund PA 1: Arts Planned 2012-13
Canada Cultural Investment Fund PA 1: Arts Planned 2013-14
Broadcasting and Digital Communications Policy PA 2: Cultural Industries Planned 2014-15
New Program Canada Media Fund PA 2: Cultural Industries Planned 2014-15
Film and Video Policy PA 2: Cultural Industries Planned To be confirmed
Film or Video Production Tax Credits PA 2: Cultural Industries Planned 2013-14
Canada Music Fund PA 2: Cultural Industries Planned 2013-14
Canada Book Fund PA 2: Cultural Industries Planned 2013-14
Canada Periodical Fund PA 2: Cultural Industries Planned 2014-15
New Program Canada Interactive Fund PA 2: Cultural Industries Planned 2014-15
Copyright Policy PA 2: Cultural Industries Planned To be confirmed
Cultural Sector Investment Review PA 2: Cultural Industries Planned 2014-15
TV5 PA 2: Cultural Industries Planned 2013-14
UNESCO Convention on the Protection and Promotion of the Diversity of Cultural Expressions PA 2: Cultural Industries Planned 2014-15
Museum Assistance Program (MAP) & Canadian Museum Association Support PA 3: Heritage Planned 2014-15
Canada Travelling Exhibitions Indemnification Program PA 3: Heritage In progress 2011-12
Young Canada Works - Heritage (included in Aboriginal, Official Languages, and MAP) Horizontal Evaluation lead by Human Resources and Skills Development Canada PA 3: Heritage Planned To be confirmed
Canadian Heritage Information Network PA 3: Heritage Planned 2014-15
Canadian Conservation Institute PA 3: Heritage In Progress 2011-12
Canadian Studies Program PA 4: Promotion of and Attachment to Canada Planned 2014-15
Exchanges Canada Program PA 4: Promotion of and Attachment to Canada Planned 2013-14
Katimavik Program PA 4: Promotion of and Attachment to Canada Planned 2014-15
Human Rights Program PA 5: Engagement and Community Participation Planned 2013-14
Building Communities through Arts and Heritage PA 5: Engagement and Community Participation In Progress 2011-12
Aboriginal Peoples' Program PA 5: Engagement and Community Participation Planned 2013-14
Official Languages Support Programs (including Development of Official-Languages Communities Program; Enhancement of Official Languages Program, and Young Canada Works) PA 6: Official Languages Planned 2012-13
Celebration and Commemoration Program PA 4: Promotion of and Attachment to Canada Planned 2012-13
State Ceremonial and Protocol PA 4: Promotion of and Attachment to Canada Planned 2012-13
International Expositions PA 4: Promotion of and Attachment to Canada Planned 2012-13
Shanghai 2010 Exposition PA 4: Promotion of and Attachment to Canada In Progress 2011-12
Official Languages Coordination Program (Roadmap) PA 6: Official Languages Planned 2012-13
2010 Olympic and Paralympic Winter Games Federal Secretariat Summative Evaluation PA 7: Sport In Progress 2010-11
Sport Canada (including Sport Support Program; Hosting Program; Athlete Assistance Program; and International Sport) PA 7: Sport In Progress 2010-11

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Canadian Human Rights Commission

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
Compliance with the Employment Equity Act Compliance Audit In progress March 2011
Information Management Horizontal Audit Planned December 2011
Implementation of Management Accountability Framework (MAF) Action Plan Compliance Audit Planned April 2012
Integrated Business and Human Ressources Planning and Analysis process Horizontal Audit Planned September 2012

Electronic Link to Internal Audit Plan:There is no link available to the evaluation plan.

B. All upcoming Evaluations over the next three fiscal years

1. Name of Evaluation 2. Program Activity 3. Status 4. Expected Completion Date
Alternate Dispute Resolution (ADR) process Human Rights Dispute Resolution In-progress May 2011
Risk Management Capability Internal Services Planned April 2013

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 and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years

The audits are contained in the Risk Assessment and Five-Year Internal Audit Plan 2007-2012 originally 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
2011-12
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
2012-2013 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.

Internal Audits plan is not yet available electronically.

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Open Operating Grant Program 1.1.1. Open Operating Grant Program Carried out annually 2011-12
2013-14
Canada Excellence Research Chairs Program 1.2.1.3. CERC Program Not begun 2013-14
Canada Graduate Scholarships Program 1.2.2.2. CGS Program Not Begun 2012-13
Vanier Canada Graduate Scholarships Program 1.2.2.3. Vanier Program Not begun 2012-13
Collaborative Health Research Partnerships
Program (CHRP) &
Proof of Principle Program (POP I and II)
1.3.1. Research Commercialization Programs Not begun 2012-13
Networks of Centres of Excellence Program 1.3.2.1. NCE Program Not begun 2013-14
Business-Led Networks of Centres of Excellence (Review of Relevance and Effectiveness) 1.3.2.2. BL-NCE Program In progress 2011-12
Business-Led Networks of Centres of Excellence (Summative) 1.3.2.2. BL-NCE Program Not begun 2013-14
Centres of Excellence for Commercialization and Research Program 1.3.2.3. CECR Program In planning 2011-12
Strategic Initiatives Programs
Including Regenerative Medicine and Nanomedicine Initiative & Canadian Light Source Program
1.4.1.1. Strategic Initiatives In progress 2011-12
Strategic Initiatives 1.4.1.1. Strategic Initiatives Not begun 2013-14
Institute Support Grants 1.4.1.2. Institute Support Grants Not begun 2013-14
HIV/AIDS Research Initiative 1.4.1.3. HIV/AIDS Not begun 2012-13
Pandemic Preparedness Research Initiative 1.4.1.4. Pandemic Not begun 2013-14
National Anti-Drug Strategy Treatment Research Initiative 1.4.1.5. NADS In planning 2011-12
Drug Safety and Effectiveness Network 1.4.1.7. DSEN Not begun 2012-13
Partnerships for Health System Improvement (PHSI), Meetings, Planning and Dissemination Grants Program, Knowledge to Action Grant Program & Knowledge Synthesis Program 1.4.2. Knowledge Translation Programs In progress 2011-12

For more information, please see CIHR's five-year Evaluation Plan for 2010-11 - 2014-15 at: http://www.cihr-irsc.gc.ca/e/153.html

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Canadian Intergovernmental Conference Secretariat

Upcoming Internal Audits over the next three fiscal years


Upcoming Internal Audits over the next three fiscal years
1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Effectiveness and Efficiency of Information Management Horizontal Internal Audit On-going September 2011
Core-control audit Internal Audit Not started March 2012
Performance Management Horizontal Internal Audit Not started April 2012

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Canadian International Development Agency

Upcoming internal audits


Name of internal audit Type of internal audit Expected completion
Priority setting, financial allocation and results reporting processes Performance audit December 2011
Integrated human resources and business planning Performance audit December 2011
CIDA performance management framework Performance audit December 2011
Corporate governance processes and structures Performance audit March 2012
Change management Performance audit May 2012
Management control framework for country programs Control audit September 2012
Values and ethics, including management of personal information Compliance audit September 2012
Integrated risk management / fiduciary risk strategy Performance audit December 2012
Business continuity planning Performance audit March 2013
Business systems to support field presence Performance audit March 2013
Compliance with contracting policy and regulations Control and compliance audit March 2013

CIDA will post a risk-based audit plan on its web site by April 2011.


Upcoming evaluations


Name of evaluation Program activity Expected completion
Afghanistan country program evaluation Fragile states and crisis-affected communities 2011
Canada Fund for Africa Low-income countries 2011
General Budget Support – joint evaluation with the European Commission: Mali case study Low-income countries 2011
General Budget Support – joint evaluation with the European Commission: Tanzania case study Low-income countries 2012
Bangladesh country program evaluation Low-income countries 2014
Bolivia country program evaluation Low-income countries 2013
Caribbean regional program evaluation Low-income countries 2012
Columbia country program evaluation Low-income countries 2013
Ghana country program evaluation Low-income countries 2013
Honduras country program evaluation Low-income countries 2011
Indonesia country program evaluation Low-income countries 2012
Mali country program evaluation Low-income countries 2012
Pakistan country program evaluation Low-income countries 2013
Peru country program evaluation Low-income countries 2012
Regional inter-American program evaluation Low-income countries 2011
Senegal country program evaluation Low-income countries 2011
Tanzania country program evaluation Low-income countries 2012
Ukraine country program evaluation Middle-income countries 2011
Humanitarian assistance program and organizations Global engagement and strategic policy 2011
Review of the effectiveness of CIDA's grants and contributions Global engagement and strategic policy 2011
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Canadian Northern Economic Development Agency

Upcoming Internal Audits and Evaluations Over the Next Three Fiscal Years

CanNor manages its internal audit and evaluation functions in close collaboration with the Office of the Comptroller General (OCG) and Treasury Board Secretariat. OCG plays the primary role as CanNor’s auditor — as part of the arrangements for small departments and agencies under Treasury Board Secretariat’s Policy on Internal Audit.

In 2011–2012, the Agency participated extensively in a horizontal (OCG-led) audit of Grants and Contributions Management Control Framework in Small Departments and Agencies. In addition, the Agency has developed a comprehensive Performance Measurement Framework covering all of its program activities. Implementation of the supporting data gathering system will be a priority in 2011–2012.

Further, the Agency is developing a detailed corporate risk profile to help guide decisions on where audit projects may be undertaken by the Agency as a supplement to OCG audit activities. At present CanNor’s audit plans for the coming three fiscal years are to participate in OCG-led core control audits and in a planned OCG horizontal audit of human resources planning.

All upcoming evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Community Adjustment Fund — Summative Evaluation (Input to Horizontal Initiative) Transfer Planned

2011–2012

Recreational Infrastructure Canada (Input to Horizontal Initiative)

Transfer Planned

2011–2012

CanNor Support for Northern Federal Councils — Internal Management Operations Planned

2012–2013


Electronic link to evaluation plan: CanNor will be finalizing an Internal Audit Plan for the Agency in fiscal year 2011–2012, which will be posted to the Agency’s website.

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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 2010-11 to 2012-13. 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 2011 for review and recommendation for approval by the CNSC’s President. It is based on the current capacity of the CNSC’s audit function, risk assessments of proposed audit projects, and management responses and action plans for prior audits for follow-up. The revised plan 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 Internal Audits with three members who are external to the government and two members internal to the Commission. The Committee is chaired by an external member.

Additional information on the CNSCis available on the CNSC Web site.

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Compliance Verification Compliance and Management Audit Planned 2011-12
Audit of Inspector Training and Certification Compliance and Management Audit Planned 2011-12
Audit of Action Tracking System Management Audit Planned 2011-12
Audit of Information Technology (CNSC participating in the Office of the Comptroller General’s horizontal Audit of Information Management). Management and Information Technology (IT) Audit Planned 2011-12
Audit of Financial Guarantees and Decommissioning Funds Financial and Management Audit Planned 2011-12
Monitoring of action plans from past audits Monitoring Ongoing 2011-12
Follow-up on past audits Follow-up Planned 2011-12

Evaluations

In 2010-11, the CNSC focused on developing its evaluation function. One full-time employee was hired for the Regulatory Research and Evaluation Division in 2010-11, and an additional full-time employee was being staffed. An Evaluation Advisory Committee has been created, and an evaluation policy has been drafted. Work to develop the evaluation universe and 5-year plan is ongoing.

As a small agency under the current Treasury Board policy, the mandated evaluations of ongoing grants and contributions programs are planned for completion by 2013-14. Specific evaluations appropriate to the needs of the agency are being developed.

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

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Canadian Space Agency

Annexe 2 - Upcoming Internal Audits and Evaluations over the next three fiscal years

Audits

Name of Internal Audit Type Status Completion Date Electronic Link to Report
Official languages Management Framework In progress 2011-03-31 N/A
Monitoring of access to controlled goods (ITAR) Management Framework In progress 2011-03-31 N/A
David Florida Laboratory test facilities management Management Framework In progress 2011-03-31 N/A
Contracting and acquisitions management Management Framework Projected 2012-03-31 N/A
Records management Management Framework Projected 2012-03-31 N/A
Effectiveness and Efficiency of Information Management Horizontal Internal Audit Projected 2012-03-31 N/A
Skills management Management Framework Projected 2012-03-31 N/A
Personnel retention Management Framework Projected 2012-03-31 N/A
Major investments business case analysis Management Framework Projected 2012-03-31 N/A
Real property life cycle management Management Framework Projected 2012-03-31 N/A
Strategic planning, business plans, monitoring and review of priorities Management Framework Projected 2012-03-31 N/A
Budgeting, monitoring and fund reallocation capacity Management Framework Projected 2012-03-31 N/A
Management of grants and contributions programs Management Framework Projected 2012-03-31 N/A
Management of Horizontal Initiatives Horizontal Internal Audit Projected 2012-03-31 N/A

Evaluations

Name of Evaluation Program Activity Status Completion Date Electronic Link to Report
Earth Observation Application Development Programs Space Data, Information and Services In progress 2011-03-31 N/A
Human Space Flight Expertise and Mission Operations Programs Space Exploration In progress 2011-03-31 N/A
The complete list of up-coming evaluations will be released upon approval of the CSA Evaluation Plan by April 1st, 2011.

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Canadian Transportation Agency


Upcoming Internal Audits and Evaluations over the next three fiscal years
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Horizontal Governance Audit Assurance Completed February 2011
Information Security Assurance Planned October 2011
Western Grain Revenue Cap Assurance Planned March 2012
Physical Security Access Assurance Planned December 2012

Other potential audits will be approved by the Canadian Transportation Agency's Internal Audit Advisory Committee.

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Citizenship and Immigration Canada

01:10:05 PM Thu, Mar 17 2011

Internal Audits[note 1]

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 2011–2012 include the following:

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of the Departmental Planning Process Audit of Administrative Process In Progress Quarter 2 2011–2012
Audit of the Governance Framework over Federal Provincial Agreements Audit of Administrative Process Planned Fiscal Year 2011–2012
Audit of the Adequacy of Departmental Systems Access Controls Audit of IM/IT Planned Fiscal Year 2011–2012
Audit of the Governance Framework over Visa Application Centres (VACs) Audit of Administrative Process Planned Fiscal Year 2011–2012
Audit of Contracting Performance Audit of Functional Area Planned Fiscal Year 2011–2012
Audit of the Internal Control Framework over the Designated Medical Practitioners Network Audit of Functional Area Planned Fiscal Year 2011–2012
Audit of Immigration Missions Abroad (New Delhi) Mission Audit Planned Quarter 3 2011–2012 to Quarter 2 2012–2013
Audit of Immigration Missions Abroad (Manila) Mission Audit Planned Fiscal Year 2011–2012
Audit of Inland Refugee Program Delivery — Intake Program Audit Planned Quarter 3 2011–2012 to Quarter 1 2012–2013
Enhanced Follow-up on Recommendations Made as Part of Multiculturalism Program Review Program Audit Planned Fiscal Year 2011–2012
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 CIC Internal Audit
Other Audit-related Activities Planned Fiscal Year 2011–2012

_______________

1. In accordance with the Policy on Internal Audit and the Evaluation Policy, the department carries out audits and evaluations based on plans approved by the Departmental Audit Committee and the Departmental Evaluation Committee. The lists of planned projects included here are from the 2010–2011 approved multi-year audit and evaluation plan and are therefore subject to change as the 2011–2012 multi-year plans are finalized.

Evaluations[note 1]

Citizenship and Immigration Canada (CIC) 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. This list of planned evaluations is based on CIC’s multi-year departmental evaluation plan and is organized according to the CIC Program Activity Architecture (PAA).

Name of Evaluation Program Activity Status (as of March 31, 2010) Expected Completion Date
Evaluation of the Ministerial Instructions 1.1 – Permanent Economic Residents In planning 2011–2012
Evaluation of the Provincial Nominee Program 1.1 – Permanent Economic Residents In progress 2011–2012
Evaluation of the Canadian Experience Class Program 1.1 – Permanent Economic Residents Planned 2012–2013
Evaluation of the Business Immigration Program 1.1 – Permanent Economic Residents Planned 2012–2013
Evaluation of the Temporary Foreign Worker Program
(joint with Human Resources and Skills Development Canada—HRSDC) (includes Live-in Caregiver Program)
1.2 – Temporary Economic Residents
1.1 – Permanent Economic Residents
In progress 2011–2012
Evaluation of Family Reunification—Spouses, Partners and Children 2.1 – Family and Discretionary Immigration In planning 2011–2012
Evaluation of Family Reunification—Parents and Grandparents 2.1 – Family and Discretionary Immigration In planning 2011–2012
Evaluation of the Private Sponsorship of Refugees Program 2.2 – Refugee Protection Planned 2012–2013
Evaluation of the Foreign Credentials Referral Office 3.1 – Settlement and Integration of Newcomers In planning 2011–2012
Evaluation of Settlement Program 3.1 – Settlement and Integration of Newcomers Planned 2013–2014
Evaluation of Orientation Abroad activities (including Canadian Orientation Abroad [COA]) 3.1 Settlement and Integration of Newcomers In planning 2011–2012
Evaluation of the Recruitment and Integration of French-speaking Immigrants to Francophone Minority Communities 3.1 Settlement and Integration of Newcomers In planning 2011–2012
Evaluation of the Grant to Quebec 3.1 Settlement and Integration of Newcomers Planned 2011–2012
Evaluation of Citizenship Awareness 3.2 Citizenship for Newcomers and All Canadians Planned 2012–2013
Evaluation of Citizenship Acquisition, Confirmation and Revocation 3.2 Citizenship for Newcomers and All Canadians In planning 2011–2012
Evaluation of the Historical Recognition Program 3.3 Multiculturalism for Newcomers and All Canadians In planning 2011–2012
Evaluation of Health Screening 4.1 Health Management Planned 2012–2013
Evaluation of the Interim Federal Health Program 4.1 Health Management Planned 2012–2013
Evaluation of the Permanent Resident Cards Program 4.2 Migration Control and Security Management Planned 2013–2014
Evaluation of Visitors Visa (including Visa Policy) 4.2 Migration Control and Security Management In planning 2011–2012
Evaluation of Transit without Visa 4.2 Migration Control and Security Management Planned 2012–2013
Evaluation of the Biometrics Initiative 4.2 Migration Control and Security Management Planned 2013–2014
Evaluation of Migration Policy Development 4.3 Canadian Influence in International Migration and Integration Agenda Planned 2012–2013
Evaluation of Canada’s Membership in the International Organization for Migration 4.3 Canadian Influence in International Migration and Integration Agenda Planned 2013–2014
Evaluation of the Office of Conflict Resolution 5 Internal Services In planning 2011–2012
Horizontal Initiatives
Evaluation of the Roadmap for Canada’s Linguistic Duality 2008–2013 (Canadian Heritage lead) Operating Fund/ Contribution Planned 2012–2013

___________________

1. In accordance with the Policy on Internal Audit and the Evaluation Policy, the department carries out audits and evaluations based on plans approved by the Departmental Audit Committee and the Departmental Evaluation Committee. The lists of planned projects included here are from the 2010–2011 approved multi-year audit and evaluation plan and are therefore subject to change as the 2011–2012 multi-year plans are finalized.

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Correctional Service Canada

Upcoming Internal Audits and Evaluations

Upcoming Internal Audits

CSC is in the process of updating its three-year audit plan to ensure it is fully aligned with its revised Corporate Risk Profile. That updated plan will be completed in April of 2011; however, it is not ready to present in this Report on Plans and Priorities. The one-year plan for 2011-12 follows below. Expected completion dates are subject to change depending on the final approved plan.

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Practices to Prevent/ Respond to Deaths in Custody Performance Assurance Planned November 2011
Audit of the Administration of Prescription Drugs (including Implementation in Regional Pharmacies) Performance Assurance Planned To be Determined 
Audit of Release/ Detention Process Performance Assurance In Progess September 2011
Audit of Citizen Engagement Strategy Performance Assurance Moved to 2012-2013 To be Determined
Audit of Employability Skills Programs for Offenders Performance Assurance Planned To be Determined
Audit of the Investigation Process Performance Assurance Moved to 2012-2013 December 2012
OCG Horizontal Audit of information Management Horizontal Audit of Large Departments In Progress OCG Audit Committee June 2011
Audit of Training Activities Management and Control Planned December 2011
Continuous Auditing of the Controls over Financial Reporting Financial Management and Control Ongoing July 2011
Audit of IT Security – Intrusion Detection IM/IT Planned To be Determined
Audit of Accommodation and Infrastructure Planning/ Long-term Capital Plan  Management and Control Moved to 2012-2013  December 2012
Audit of Aboriginal Strategic Framework Management and Control In Progress September 2011
Audit of HR Data Integrity Management and Control In Progress April 2011
Audit of Staffing Process Management and Control In Progress June 2011
Audit of implementation of Deployment Standards Performance Assurance In Progress April 2011
Audit of Control of Entry and Exit – Goods, Vehicles and People Performance Assurance In Progress April 2011

Electronic Link to Internal Audit Plan:

http://www.csc-scc.gc.ca/text/pa/iapp-toc-eng.shtml#p2

All upcoming Evaluations over the next three fiscal years

(This list does not include evaluations that will not be completed during the reporting period, even though they are planned to start during that time.)

Name of Evaluation Program Activity Status Expected Completion Date
Strategic Plan for Aboriginal Corrections Correctional Interventions In Progress November 2011
Community Corrections Operations Custody, Correctional Interventions, Community Supervision In Progress December 2011
Grants and Contributions Internal Services In Progress March 2011
Intensive Intervention Strategy for Women Correctional Interventions In Progress June 2011
Institutional Mental Health Initiative Correctional Interventions Planned June 2012
Values and Ethics Internal Services Planned June 2013
Learning and Development Internal Services Planned October 2013
Exchange of Services Agreements Internal Services In Progress June 2012
National Standards: Deployment of Correctional Officers Custody Planned December 2013
Population Management Initiatives Custody Planned July 2013
Institutional Services Custody Planned December 2013
Food Services Custody Planned December 2013
Accommodation Custody Planned July 2013
Offender Case Management Correctional Interventions Planned June 2013
Spiritual Services Correctional Interventions Planned March 2014
Correctional Reintegration Programs Correctional Interventions Planned February 2014
Offender Education Correctional Interventions Planned December 2013

Electronic link to evaluation plan:

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Courts Administration Service

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Horizontal Internal Audit of Information Management OCG Horizontal Audit Planned September 2011
Horizontal Internal Audit of Performance Management OCG Horizontal Audit Planned June 2012

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
N/A      
N/A      

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Department of Finance Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

A. All upcoming Internal Audits over the next two fiscal years[1]


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of the Federal Debt Management Process Assurance In progress 1st Quarter of 2011–12
Audit of the Human Resources Planning Process Assurance In progress 2nd Quarter of 2011–12
Audit of the Federal Budget Process and Framework Assurance Planned 3rd Quarter of 2011–12
Audit of Contracting and Procurement Assurance Planned 4th Quarter of 2011–12
Audit of the Business Continuity Plan 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 Activity Status Expected Completion Date
Economic Studies and Policy Analysis Division Direct Spending In Progress 1st Quarter of 2011–12
Federal-Provincial Relations Division Direct Spending In Progress 2nd Quarter of 2011–12
International Trade Policy Division Direct Spending Planned 4th Quarter of 2011–12
Crown Lending Desk Treasury Evaluation Program Planned 3rd Quarter of 2012–13
Asset Allocation for the Exchange Fund Account Treasury Evaluation Program In Progress 4th Quarter of 2011–12
Meta-Evaluation of Treasury Evaluations from 1995 to Present Direct Spending Planned 4th Quarter of 2012–13
International Finance and Development Division Direct Spending Planned 4th Quarter of 2012–13
Funding of Special Transactions Treasury Evaluation Program Planned 3rd Quarter of 2013–14
Economic Development Policy Direct Spending Planned 4th Quarter of 2013–14
Toronto Waterfront Revitalization Grants and Contributions Planned 4th Quarter of 2013–14
Research and Policy Initiatives Assistance Grants and Contributions Planned 4th Quarter of 2013–14

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.


[1]. The table presents upcoming audits for 2011–12 and 2012–13 only. The audits planned for 2013–14 will be available once the risk-based audit plan is updated in 2011.

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Department of Justice 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
RDIMS (Livelink) System Planned 31 March 2012
Official Languages (HR) Functional Planned 31 March 2012
Business & Regulatory Law (BC RO) Organizational Planned 31 March 2012
Contracting (HQ) Functional Planned 31 March 2012
Professional Development Functional Planned 31 March 2012
Ministerial Correspondence Unit System Planned 31 March 2012
Business Continuity Planning Functional Planned 31 March 2012
Legislative Services (Drafting Services & Legislative Revision Services) Organizational Planned 31 March 2012
iCase/Timekeeping Compliance System Planned 31 March 2012
Values & Ethics Functional Planned 31 March 2013
Aboriginal Affairs Portfolio Organizational Planned 31 March 2013
Communications Branch Organizational Planned 31 March 2013
Criminal Law Policy Organizational Planned 31 March 2013
Cost Recovery (Transactions) Transactional Planned 31 March 2013
Security (HQ) Functional Planned 31 March 2013
Canadian Heritage/Parks
Canada LSU
Organizational
Organizational
Planned 31 March 2013
Canadian Food Inspection
Agency LSU
Organizational
Organizational
Planned 31 March 2013
LIMS System Planned 31 March 2014
Management of Electronic Information Functional Planned 31 March 2014
Law Practice Model Functional Planned 31 March 2014
Compensation & Labour Relations Organizational Planned 31 March 2014
Classification Functional Planned 31 March 2014
Travel & Hospitality Compliance Planned 31 March 2014
Acquisition Cards Compliance Planned 31 March 2014
Litigation Branch Organizational Planned 31 March 2014
Section 33 Compliance Compliance Planned 31 March 2014

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

1. Name of Evaluation and Link to Report 2. Program Activity 3. Status 4. Expected Completion Date
National Anti-Drug Strategy A1.1 Criminal Justice

A1.1.4 Drug Treatment Courts
In-progress 2011-12
Family Justice A1.2 Family Justice Not started 2012-13
Legal Aid A1.3.1 Legal Aid

A1.3.2 Legal Aid-PSAT

A1.3.4 Court-Ordered Counsel in Federal Prosecutions
In-progress 2011-12
Justice Partnership and Innovation Fund A.1.3.5 In-progress 2011-12
Family Violence Initiative A1.3 In-progress 2011-12
Access to Justice in Both Official Languages A1.3.6 Not started 2011-12
Access to Justice Services - the Territories A1.3.8 Not started 2011-12
Aboriginal Justice Strategy (Summative) A1.4.1 In-progress 2011-12
Aboriginal Courtwork Program A1.4.2 Not started 2012-13
Legislative Services B1.1 Not started 2012-13
Public Law B1.1 Not started 2012-13
Tax Law B1.6 Not started 2011-12
War Crimes and Crimes Against Humanity B1.5 Not started 2013-14

Electronic link to evaluation plan: http://www.justice.gc.ca/eng/pi/eval/plan/07/index.html

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Economic Development Agency of Canada for the Regions of Quebec

Upcoming Internal Audits and Evaluations (next three fiscal years)

Upcoming Internal Audits1

Name of internal audit Internal audit type Status Expected completion date
2011-12
Audit of collection and recovery mechanisms Audit of management mechanisms Planned 1st quarter
Audit of follow-up on action plans from earlier audits Audit of management mechanisms Planned 2nd quarter
Audit of values and ethics processes Audit of management mechanisms Planned 3rd quarter
Audit of the integrated planning process Audit of management mechanisms Planned 3rd quarter
Study of the level of preparedness for certification of financial statements Audit of management mechanisms Planned 3rd quarter
Annual audit of the Infrastructure Canada Program Audit of management mechanisms Planned 3rd quarter
Annual audit of the Municipal Rural Infrastructure Fund Audit of management mechanisms Planned 3rd quarter
Audit of the information technology management framework Audit of management mechanisms Planned 3rd quarter
Audit of liaison and representation activities with Central Agencies and other departments Audit of management mechanisms Planned 4th quarter
Audit of management of information available to Agency staff and communications Audit of management mechanisms Planned 4th quarter
Audit of management of information available to the public and communications Audit of management mechanisms Planned 4th quarter
2012-13
Audit of eligibility analysis of applications for regular programs Audit of management mechanisms Planned To be determined
Information management audit Audit of management mechanisms Planned To be determined
Annual internal audit of the Municipal Rural Infrastructure Fund Audit of management mechanisms Planned To be determined
Periodic audit of the Building Canada Fund Communities Component Audit of management mechanisms Planned To be determined
Audit of follow-up on action plans from earlier audits Audit of management mechanisms Planned To be determined
2013-14
To be determined

 

Upcoming Evaluations

Name of evaluation Program activity Status Expected completion date
2011-12
Evaluation of the Community Diversification grants and contributions program Community development In progress Fiscal year 2011-12
Evaluation of the Business and Regional Growth grants and contributions program

Enterprise competitiveness

Competitive positioning of sectors and regions

In progress Fiscal year 2011-12
Evaluation of the Community Adjustment Fund for the portion of program expenditures made in Quebec by the Agency Special intervention measures Planned Fiscal year 2011-12
Evaluation of the Regional Development Research grants and contributions program Policies, programs and initiatives Planned Fiscal year 2012-13
Summative evaluation of the Support Initiative for International Cruise Development Along the St. Lawrence and Saguenay Rivers Community development Planned Fiscal year 2012-13
Evaluation of the Canada-wide Community Futures grants and contributions program for program expenditures made in Quebec Community development Planned Fiscal year 2013-14

Notes:

  • 1 - The Agency’s senior director of audit regularly reviews the priorities leading to selection of the internal audit mandates to be performed, and could thus make changes to this list.
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Environment Canada

Upcoming internal audits and evaluations over the next three fiscal years

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

Environment Canada is in the process of developing the Three-Year Risk-Based Audit Plan for 2011–2012 to 2013–2014 therefore, the projects included below may change.

1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Risk Management Assurance In progress Sept. 2011
Life-cycle Management of Assets Assurance In progress July 2011
Greenhouse Gas (GHG) Data Collection, Management and Reporting Assurance In progress 2011–2012
Transportation Sector Emissions (Vehicles and Engines) Assurance Planned 2011–2012
Peoplesoft Assurance Planned 2011–2012
Compliance Promotion and Enforcement Assurance Planned 2011–2012
Biodiversity Policy and Priorities Assurance Planned 2011–2012
Governance Framework/ Operational Planning and Reporting Assurance Planned 2011–2012
Grants and Contributions Processes Assurance Planned 2011–2012
Oracle Upgrade Assurance Planned 2012–2013
Protected Areas Management Assurance Planned 2012–2013
Change Control and Configuration Management – IM/IT Project Assurance Planned 2012–2013
Ecosystem Assessment and Approaches Assurance Planned 2012–2013
Greening Initiatives/ Sustainability Assurance Planned 2012–2013
Financial Audit (tbd) Assurance Planned 2012–2013

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

B. All upcoming evaluations over the next three fiscal years

Environment Canada is in the process of developing the Five-Year Risk-Based Evaluation Plan for 2011–2012 to 2015–2016; therefore, the projects included below may change.

1. Name of Evaluation and Link to Report 2. Program Activity 3. Status 4. Expected Completion Date
Species at Risk Species at Risk (1.1.2) In progress Q1 2011–2012
Freshwater Initiatives (Action Plan on Clean Water –  Lake Simcoe, Lake Winnipeg, Great Lakes Sediment Remediation) Great Lakes (1.3.4.1);
Lake Simcoe (1.3.4.3);
Lake Winnipeg (1.3.4.4)
In progress Q2 2011–2012
Waste Reduction and Management Waste Reduction and
Management (3.1.2.1)
In progress Q2 2011–2012
Regulatory Improvements for Major Resource Projects (Natural Resources Canada lead) N/A In progress Q3 2011
Northwest Territories Protected Areas Strategy Protected Areas (1.1.4.3)
Planned 2011–2012
Biodiversity Policy and Priorities Biodiversity Policy and
Priorities (1.1.1)
Planned 2011–2012
Regulation of Renewable Fuels Content in Gasoline, Diesel and Home Heating Fuel Transportation Sector
Emissions (3.2.1.2)
Planned 2011–2012
Commission for Environmental Cooperation International Climate
Change and Clean Air
Partnerships (3.2.2.2)
Planned 2011–2012
Multilateral Fund of the Montreal Protocol International Climate
Change and Clean Air
Partnerships (3.2.2.2)
Planned 2011–2012
Policy on Green Procurement (Public Works and Government Services Canada lead) N/A Planned 2011–2012
Migratory Birds Migratory Birds (1.1.3) Planned 2012–2013
Inuit Impact and Benefits Agreement Protected Areas (1.1.4.3) Planned 2012–2013
Water Management Water Quality and Aquatic Ecosystems Health (1.2.1) Planned 2012–2013
Sustainability and Reporting Indicators Sustainability and Reporting Indicators (1.3.1) Planned 2012–2013
Ecosystem Assessment and Approaches Ecosystem Assessment and
Approaches (1.3.2)
Planned 2012–2013
Environmental Damages Fund Environmental Damages
Fund (1.3.3.2)
Planned 2012–2013
Community Ecosystem Partnerships Community Ecosystem
Partnerships (1.3.4.5)
Planned 2012–2013
Habitat Conservation Partnerships Habitat Conservation
Partnerships (1.1.4.1)
Planned 2013–2014
EcoAction Community Funding EcoAction Community
Funding (1.3.3.1)
Planned 2013–2014
Environmental Youth Employment (Human Resources and Skills Development Canada Lead) Environmental Youth
Employment (1.3.3.3)
Planned 2013–2014
Compliance Promotion and Enforcement – Wildlife Compliance Promotion and Enforcement - Wildlife (1.4) Planned 2013–2014
Contaminated Sites Contaminated Sites (3.1.4) Planned 2013–2014
Sustainable Development Technologies Sustainable Development
Technologies (3.2.3.1)
Planned 2013–2014
Compliance Promotion and Enforcement – Pollution Compliance Promotion and Enforcement – Pollution (3.3) Planned 2013–2014

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

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Federal Economic Development Agency for Southern Ontario

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Work Force Planning and Staffing Internal Services Planned 2011-2012
Community Futures Program Transfer Payment Program Planned 2011-2012
Corporate Governance and Accountability Processes Governance and Accountability Planned 2011-2012

Southern Ontario Development Program – Intake and Selection Process

(Phase I)
Transfer Payment Program Planned 2011-2012

Southern Ontario Development Program – Monitoring and Reporting Process

(Phase I)
Transfer Payment Program Planned 2011-2012
Facility Planning and Operations Internal Services Planned 2011-2012
Recreational Infrastructure Canada (RINC) Transfer Payment Program Planned 2011-2012

Southern Ontario Development Program – Intake and Selection Process

(Phase II)
Transfer Payment Program Planned 2012-2013

Southern Ontario Development Program – Monitoring and Reporting Process

(Phase II)
Transfer Payment Program Planned 2012-2013
Performance Management and External Reporting Governance and Accountability Planned 2012-2013
Financial Reporting and Forecasting Processes Internal Services Planned 2012-2013
Access to Information Internal Services Planned 2012-2013
Workplace Health and Safety Internal Services Planned 2012-2013
Acquisition Cards Internal Services Planned 2012-2013
Values and Ethics Governance and Accountability Planned 2012-2013
Economic Development Initiative (EDI) Transfer Payment Program Planned 2013-2014
Eastern Ontario Development Program (EODP) Transfer Payment Program Planned 2013-2014
IT Governance Governance and Accountability Planned 2013-2014
Business Continuity and Emergency Management Internal Services Planned 2013-2014
Training and Development Internal Services Planned 2013-2014
Effectiveness of Corporate Risk Management Governance and Accountability Planned 2013-2014

**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.

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Community Adjustment Fund (CAF)  South – Final Evaluation Business and Innovation Development Planned 2011-2012
Southern Ontario Development Program (SODP) – Implementation Review Business and Innovation Development Planned 2011-2012
Recreational Infrastructure Canada (RINC) – Implementation Review Economic Regional Development and Infrastructure Planned 2011-2012
Economic Development Initiative (EDI) – Final Evaluation Business and Innovation Development Planned 2011-2012
Brantford Greenwich-Mohawk Remediation Project – Final Evaluation Business and Innovation Development Planned 2011-2012
Community Futures Program – Implementation Review Business and Innovation Development Planned 2011-2012
Eastern Ontario Development Program (EODP) – Final Evaluation Business and Innovation Development Planned 2012-2013
Community Futures Program – Final Evaluation Business and Innovation Development Planned 2013-2014
Infrastructure Canada Program – Final Evaluation Economic Regional Development and Infrastructure Planned 2013-2014
Southern Ontario Development Program (SODP) – Final Evaluation Community and Business Development Planned 2014

**The electronic link to the evaluation plan is not available at this time. The annual evaluation planning process is completed during the fourth quarter, and the evaluation plan for 2010-2013 will be available following the President's approval.

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Financial Transactions and Reports Analysis Centre 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

Horizontal Internal Audit of the Effectiveness and Efficiency of Information Management in SDAs.

Compliance and Management Audit

In Progress

2011-12



B. All upcoming Evaluations over the next three fiscal years

Name of Evaluation

Program Activity

Status

Expected Completion Date

Office of the Privacy Commissioner of Canada Audit

Detection and Deterrence of Money Laundering and Terrorist Financing

Planned

Unknown

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Fisheries and Oceans Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

Internal Audits over the next three fiscal years

The following table lists all planned audits for the reporting period 2011-12 that pertain to the Department's work.

Name of Internal Audit Internal Audit Type Status Expected
Completion Date
2011-12
Aquaculture Management Assurance Audit In progress 2011-12
Fleet Operational Readiness Assurance Audit In progress 2011-12
Accounts Verification Assurance Audit In progress 2011-12
Real Property Assurance Audit In progress 2011-12
Coast Guard College Assurance Audit Planned 2011-12
Life-Cycle Asset Management Services Assurance Audit Planned 2011-12
Small Craft Harbours Assurance Audit Planned 2011-12
Information Management Assurance Audit Planned 2011-12
Integrated Oceans Management Assurance Audit Planned 2011-12
The Aboriginal Policy and Governance (APG) Organization Assurance Audit Planned 2011-12
Inventory Management Assurance Audit Planned 2011-12
Species at Risk Management (all aspects) Assurance Audit Planned 2011-12
Aids to Navigation Assurance Audit Planned 2011-12
Legal Risk Governance Assurance Audit Planned 2011-12
2012-13
Search and Rescue (SAR) Services Assurance Audit Planned 2012-13
Diversity Employment Equity, Planning and Recruitment Strategy Assurance Audit Planned 2012-13
Travel and Hospitality Assurance Audit Planned 2012-13
Pacific Salmon Treaty Program Assurance Audit Planned 2012-13
Support for Marine Security Assurance Audit Planned 2012-13
Learning Assurance Audit Planned 2012-13
Aquatic Invasive Species Assurance Audit Planned 2012-13
Atlantic Lobster Sustainability Measures Assurance Audit Planned 2012-13
Federal Contaminated Sites Action Plan Assurance Audit Planned 2012-13
2013-14
The Departmental Audit Committee will approve the 2013-14 audit plan in March 2011.

Evaluations over the next three fiscal years

The following table lists all planned evaluations for the reporting period 2011-12 that pertain to the Department's work.

Name of Evaluation Program Type Status Expected
Completion Date
Planned Evaluations 2011-12
Species at Risk Management (led by EC) Policy In progress 2011-12
Vancouver 2010 Olympic and Paralympic Games (led by PCH) Direct Program Spending In progress 2011-12
Vancouver 2010 Olympic and Paralympic Games - Games Security & Public Safety (led by RCMP) Direct Program Spending In progress 2011-12
Aboriginal Inland Habitat Program Transfer Payment Program In progress 2011-12
Genomics R&D Initiative (led by NRC) Direct Program Spending In Progress 2011-12
Canada’s Submission to the Commission on the limits of the Continental Shelf (CLCS) under the United Nations Convention on the Law of the Sea (UNCLOS) (led by DFAIT) Policy Planned 2011-12
Commercial and Recreational Fisheries Direct Program Spending Planned 2011-12
Atlantic Salmon Endowment Fund Transfer Payment Program Planned 2011-12
Fraser Basin Initiative and Pacific Salmon Endowment Fund Transfer Payment Program Planned 2011-12
Federal Contaminated Sites Action Plan (Interdepartmental led by Environment Canada) Direct Program Spending Planned 2011-12
Integrated Oceans Management: Marine Conservation Tools and Ecosystem Assessments, as well as an Interdepartmental evaluation of Health of the Oceans (led by DFO) Direct Program Spending In Progress 2011-12
Search & Rescue Services: Search & Rescue Coordination and Response and Canadian Coast Guard Auxiliary Direct Program Spending/Transfer Payment Program Planned 2011-12
Marine Communications & Traffic Services Direct Program Spending Planned 2011-12
Canadian Coast Guard College Direct Program Spending Planned 2011-12
Asset Management Services: Real Property, Material, Acquisition Internal Services Planned 2011-12
Planned Evaluations 2012-13
Small Craft Harbours including Pangnirtung Small Craft Harbour Direct Program Spending Planned 2012-13
Atlantic Integrated Commercial Fisheries Initiative Transfer Payment Program Planned 2012-13
Pacific Integrated Commercial Fisheries Initiative Transfer Payment Program Planned 2012-13
Aboriginal Funds for Species at Risk Direct Program Spending Planned 2012-13
Tsawwassen First Nation Agreement Transfer Payment Program Planned 2012-13
Aquaculture Regulatory Reform; Aquaculture Certification and Sustainability Reporting Direct Program Spending Planned 2012-13
Aquaculture Environmental and Biological Science Program, Aquaculture Collaborative Research & Development Program, and Program for Aquaculture Regulatory Research Direct Program Spending Planned 2012-13
Aquaculture Innovation and Market Access Program Transfer Payment Program Planned 2012-13
Habitat Management Direct Program Spending Planned 2012-13
Hydrographic Products and Services and Oceans Forecasting Direct Program Spending Planned 2012-13
Maritime Security Operation Centre - Great Lakes (Implementation Evaluation, led by RCMP) Direct Program Spending Planned 2012-13
Maritime Security Operation Centre - Coastal (Led by DND) Direct Program Spending Planned 2012-13
Human Resource Management Internal Services Planned 2012-13
Planned Evaluations 2013-14
Atlantic Lobster Sustainability Measures Program Transfer Payment Program Planned 2013-14
Aboriginal Fisheries Strategy Transfer Payment Program Planned 2013-14
Aboriginal Aquatic Resource & Oceans Management Transfer Payment Program Planned 2013-14
Academic Research Contribution Program Transfer Payment Program Planned 2013-14
Fleet Operational Capability; Fleet Maintenance; Fleet Procurement Direct Program Spending Planned 2013-14

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

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Foreign Affairs and International Trade Canada

Table 5: Audits, Evaluations and Inspections


Table 5.1: All upcoming Internal Audits over the next three fiscal years

The Office of the Chief Audit Executive has a three-year Risk-based Audit Plan that 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 those areas of highest importance. The 2011-2014 plan, which will be approved in April 2011, will confirm planned audits for 2012-2013. The table below outlines the audits planned for 2011-2012. These, along with audits identified in the 2010-2011 plan but not completed in 2010-2011, will be prioritized in line with available resources.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Legal Management Comprehensive Planned 2011-2012
Procurement and Contracting Comprehensive Planned 2011-2012
Platform Management Operational Planned 2011-2012
Human Resource Planning Operational Planned 2011-2012
Management of Transfer Payments Operational Planned 2011-2012
Revenue Controls Financial Planned 2011-2012

Table 5.2: All upcoming Evaluations over the next three fiscal year

Name of Evaluation Program Activity Status Expected Completion Date
FY 2012-2013
Offices of Liaison with International Financial Institutions 2.3 In progress April 2011
Canada Investment Fund for Africa 3.2.1 In progress April 2011
Protocol Visits and Hospitality Programs 2.1.1 In progress April 2011
International Trade E-Tools: Services to Canadians 3.1.1 In progress April 2011
Transformation Agenda 6.1; 6.2; 7.1; 7.2 In progress June 2011
Northern Dimension of Canadian Foreign Policy 1.2.4; 1.2.5 In progress June 2011
Counter-Terrorism Programming 2.3.5 In progress June 2011
Consular Affairs and Emergency Management Branch Evaluation 4.1; 4.1.3; 4.2 In progress June 2011
Canadian Police Arrangement and International Peacekeeping Operations 2.3.3 In progress June 2011
United Nations Convention on the Law of the Sea—Extended Continental Shelf 1.2.5 Planned TBD
International Trade Regional Market Plans: European Union Market Plan 3.2.1 Planned TBD
Global Commerce Support Program 3.1.1 Planned TBD
Rollout of Integrative Trade
Model—Japan International Business Development Study
3.1.1 Planned TBD
Regional Service Centres 6.2 Planned TBD
Performance Management Program and Learning Plans for Employees 8.0 Planned TBD
Rotational Acting
Assignments
8.0 Planned TBD
Passport Canada Activity-Based Management 5.0 Planned TBD
Passport Canada Long-Term Investment Plans 5.0 Planned TBD
Anti-Crime Capacity Building Program 1.1; 2.3 Planned TBD
Investment Cooperation Program (DFAIT Inc) 3.2 Planned TBD
Mission Security (Critical Infrastructure) Personal Safety and Security at Missions 1.1; 6.2; 7.2 Planned TBD
FY 2012-2013
Global Partnership Program 2.3.4 Planned TBD
Afghanistan (conducted jointly with CIDA and DND) 1.1 Planned TBD
Assessed Contributions 8.0 Planned TBD
Sector Practice 3.2 Planned TBD
Passport Issuance Program Abroad 5.0 Planned TBD
Information Management/ Information Technology (IM/IT) Secure Network 6.2; 7.2 Planned TBD
Property Management 7.2.2 Planned TBD
Management of Locally Engaged Staff 8.0; 6.1; 6.2; 7.1 Planned TBD
Administration of Foreign Service Directives 8.0; 6.1; 6.2; 7.1; 7.2 Planned TBD
Performance Management Agreements and Learning Plans for Executives 8.0 Planned TBD
FY 2013-2014
Treaty Policy Evaluation 8.0; 1.2 Planned TBD
Rights & Democracy 1 Planned TBD
Policy Development Capacity 1.1; 1.2 Planned TBD
Softwood Lumber Agreement 2.2.3 Planned TBD
Trade Regional Offices 3.1; 3.2 Planned TBD
Corporate Social Responsibility 3.1; 3.2 Planned TBD
Passport Canada Service Delivery Model 5.0 Planned TBD
Anti-Crime and Counter Terrorism Capacity Building Programs 1.1; 2.3 Planned TBD
Canada Foreign Service Institute 8.0 Planned TBD
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Hazardous Materials Information Review Commission

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
Performance Measurement OCG Internal Horizontal Audit for SDAs Planned April 2012

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Health Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Evaluation Internal Audit Type Status Expected Completion Date
Audit of Non-Insured Health Benefits-Pharmacy Program In progress 2011 -12
Audit of Business Cases for Major Investments Governance In progress 2011 -12
Audit of Contributions to Improve Access to Health Services for Official Language Minority Communities Transfer Payment Planned 2011 - 12
Audit of Grants and Contributions: Program Monitoring Transfer Payment 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 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 IT Planned 2011 - 12
Audit of SAP General Computer Controls IT Planned 2011 - 12
Audit of HC's Science Plan Risk-Based Controls Planned 2011 - 12
Audit of Horizontal Initiatives: Public Service Renewal Horizontal Planned 2011 - 12

Electronic Link to Internal Audit Plan: N/A

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Fiscal Year 2011 - 2012
Preparedness for avian and pandemic influenza - Impact Evaluation (PHAC Lead) 1.2.2. Emergency Management
2.1.2 Biologics & Radiopharmaceuticals
Ongoing March 2012
Human Drugs Program - Cluster Evaluation 2.1.1 Pharmaceutical Drugs Planned March 2012
Augmenting Health Canada's Response to Bovine Spongiform Encephalopathy (BSE) - BSE I, Phase II of Health Canada's and the Public Health Agency of Canada's response to BSE in the Areas of Risk Assessment and Targeted Research - BSE II - Impact Evaluation 2.1.1 Pharmaceutical Drugs
2.1.2 Biologics & Radiopharmaceuticals
2.1.4 Natural Health Products
2.2.1 Food Safety
Ongoing March 2012
Veterinary Drugs Program - Cluster Evaluation 2.1.1 Pharmaceutical Drugs
2.2.1 Food Safety
Planned March 2012
Nutrition Promotion Program - Cluster Evaluation 2.2.2 Nutrition and Healthy Eating Ongoing June 2011
Food and Consumer Safety Action Plan (FCSAP) - Component Evaluation of the Consumer Products 2.4 Consumer Products Safety Planned March 2012
Federal Tobacco Control Strategy - Impact Evaluation 2.5.1 Tobacco Ongoing June 2011
National Anti-Drug Strategy - Horizontal Impact Evaluation (Justice Canada Lead) 2.5.2 Controlled Substances Ongoing March 2012
Food and Consumer Safety Action Plan (FCSAP) - Component Evaluation of the Pesticide Products 2.7 Pesticide Safety Planned March 2012
Mental Health and Addictions (Cluster) - Cluster Evaluation 3.1.1.2 First Nations and Inuit Mental Wellness Ongoing September 2011
Environmental Health and Research (Cluster) - Cluster Evaluation 3.1.2.2 First Nations and Inuit Environmental Health Ongoing June 2011
Health Planning and Quality Management - Cluster Evaluation 3.3.1.1 First Nations and Inuit Health Planning and Quality Management Ongoing March 2012
e-Health Infrastructure - Cluster Evaluation 3.3.2.2 First Nations and Inuit e-Health Infostructure Ongoing March 2012
Fiscal Year 2012 - 2013
Health Care Policy Contribution Program - Impact Evaluation 1.1  Canadian Health System Planned September 2012
Health Information Program - Evaluation 1.1.1 Health System Priorities Planned March 2013
International Health Grants Program including the contribution to the Pan-American Health Organization - Impact Evaluation 1.1.4 International Health Partnerships Planned December 2012
Official Languages Health Contribution Program - Impact Evaluation 1.3 Official Language Minority Community Development Planned September 2012
Roadmap for Canada's Linguistic Duality 2008-13:  Acting for the Future - Horizontal Impact Evaluation (Heritage lead) 1.3 Official Language Minority Community Development Planned March 2013
Community of Federal Regulators (CFR) Program - Horizontal Impact Evaluation (HC lead) 2.1 Health Products
2.2 Food Safety and Nutrition
2.3 Environmental Risks to Health
2.4 Consumer Products Safety
2.5 Substance Use and Abuse
2.6 Radiation Protection
2.7 Pesticide Safety
Planned June 2012
Food and Consumer Safety Action Plan (FCSAP) - Horizontal Impact Evaluation (HC Lead) 1.1 Canada Health System
2.1 Health Products
2.2 Food Safety and Nutrition
2.4 Consumer Products Safety
2.6 Radiation Protection
2.7 Pesticide Safety
Planned March 2013
Biologics Program - Cluster Evaluation 2.1.2 Biologics & Radiopharmaceuticals Planned March 2013
Organ and Tissue Donation and Transplantation Program - Impact Evaluation 2.1.2 Biologics & Radiopharmaceuticals Planned December 2012
Medical Devices Program - Cluster Evaluation 2.1.3 Medical Devices Planned March 2013
Environmental Health Guide - Component Evaluation 2.3 1 Climate Change
2.3.2 Air Quality
2.3.4 Health Impacts of Chemicals
3.1.2.2 First Nations and Inuit Environmental Health
Planned March 2013
Drug Treatment Funding Program of the National Anti-Drug Strategy - Impact Evaluation 2.5.2 Controlled Substances Planned March 2013
Clinical and Client Care - Cluster Evaluation 3.1.3.1 First Nations and Inuit Clinical and Client Care Planned March 2013
Home and Community Care - Cluster Evaluation 3.1.3.2 First Nations and Inuit Home and Community Care Planned March 2013
Health Human Resources - Cluster Evaluation 3.3.1.2 First Nations and Inuit Health Human Resources Planned March 2013
Nursing Innovation - Cluster Evaluation 3.3.2.3 First Nations and Inuit Nursing Innovation Planned March 2013
Fiscal Year 2013 - 2014
Sex and Gender-Based Analysis Policy - Horizontal Evaluation (HC lead) 1.1.1 Health System Priorities Planned February 2014
Women's Health Contribution Program - Impact Evaluation 1.1.1 Health System Priorities Planned December 2013
Strategy for Managing BSE in Canada - Impact Evaluation (CFIA lead) 2.1.1 Pharmaceutical Drugs
2.1.2 Biologics & Radiopharmaceuticals
2.1.4 Natural Health Products
2.2.1 Food Safety
Planned March 2014
Implementation of an action plan to protect human health from environmental contaminants - Horizontal Impact Evaluation (Health Canada lead) 2.3 1 Climate Change
2.3.2 Air Quality
2.3.4 Health Impacts of Chemicals
3.1.2.2 First Nations and Inuit Environmental Health
Planned December 2013
Water Quality Program - Impact Evaluation 2.3.3 Water Quality Planned March 2014
Radiation Evaluation to also include Nuclear Emergency Preparedness and Dosimetry Services - Impact Evaluation 2.6 Radiation Protection Planned March 2014
Healthy Child Development - Cluster Evaluation 3.1.1.1 First Nations and Inuit Healthy Child Development Planned March 2014
Mental Wellness - Cluster Evaluation 3.1.1.2 First Nations and Inuit Mental Wellness Planned March 2014
Healthy Living - Cluster Evaluation 3.1.1.3 First Nations and Inuit Healthy Living Planned March 2014
Independent/Third Party Evaluations
Name of Evaluation Program Activity Status Expected Completion Date
Fiscal Year 2011 - 2012
Grant to Canadian Blood Services - Blood Safety and Effectiveness 2.1.2 Biologics & Radiopharmaceuticals Planned March 2012
Fiscal Year 2012 - 2013
Conditional Grant to the Rick Hansen Man in Motion Foundation, specifically to support the activities of the Spinal Cord Injury Transnational Research Network 1.1.1 Health System Priorities Planned March 2013
Named Grant to the Canadian Agency for Drugs and Technologies in Health 1.1.1 Health System Priorities Planned March 2013
Named Grant to the Canadian Patient Safety Institute Grant 1.1.1 Health System Priorities Planned March 2013
Named Grant for the Mental Health Commission of Canada 1.1.1 Health System Priorities Planned March 2013
Fiscal Year 2013 - 2014
       

Electronic link to evaluation plan: N/A

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Human Resources and Skills Development Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

Upcoming Internal Audits over the next three fiscal years

HRSDC’s annual planning cycle is based on risk. At this time, the Risk-Based Internal Audit Plan for 2011–2014 is being developed, with approval anticipated in March 2011.

Below is a listing of internal audit engagements identified in the 2010–2013 Risk-Based Internal Audit Plan. Please note that the list of projects planned for 2011–2014 may change as a result of the risk-based audit planning process for 2011–2014.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
2010-2011
Review of the Departmental Financial Statements for HRSDC for the year ending March 31, 2010 Review Complete August 2010
Audit of the Consolidated Statement of Administrative Costs Charged to the Canada Pension Plan Account by HRSDC and Service Canada, March 31, 2010 Assurance Complete October 2010
Office of the Comptroller General Horizontal Internal Audit of the Management Control Framework for Grants and Contributions – Phase I Assurance Phase I Complete October 2010
Follow-Up Audit of Procurement Practices Follow-up Underway March 2011
Audit of Information Technology Security Assurance Underway December 2011
Audit of Data Access in Corporate Management System Assurance Underway December 2011
Audit of the Management of Call Centres Operations Assurance Underway To be determined
Audit of Overtime Assurance Underway October 2011
Audit of Section 34 of the Financial Administration Act Assurance Underway To be determined
Audit of Information Technology Enterprise Governance Assurance Underway October 2011
Audit of Financial Forecasting Assurance Underway To be determined
Audit of Procurement Practices – Phase II Assurance Planned To be determined
Audit of Internal Controls in Selected Regional Offices Review Planned To be determined
Audit of Departmental Accounts Receivable Assurance Underway To be determined
Audit of IT Asset Management Assurance In-Reserve*  
Audit of Inter/Intra Departmental Agreements Assurance In-Reserve*  
Audit of National Workload System Assurance In-Reserve*  
2011-2012
Audit of Employment Insurance – Management Control Framework Assurance Planned  
Audit of Privacy Assurance Planned  
Audit of Access to Information and Privacy Assurance Planned  
Audit of Identity and Access (EI Systems) Assurance Planned  
Audit of Old Age Security Management Control Framework – Phase II Assurance Planned  
Audit of Web Governance Assurance Planned  
Audit of the Risk Assessment, Management and Mitigation Approach Assurance Planned  
Follow-up Audit of Grants and Contributions Implementation of approved Management Action Plans from past internal audits Follow-up Planned  
Audit of Security Assurance Planned  
Audit of Corporate Data Warehouse Assurance Planned  
Audit of Staffing Assurance Planned  
Audit of the Management of Learning and Training Assurance Planned  
Audit of the Consolidated Statement of Administrative Costs Charged to the Canada Pension Plan Account by HRSDC and Service Canada, March 31, 2011 Assurance Planned  
Review of the Departmental Financial Statements HRSDC for the year ending March 31, 2011 Review Planned  
Follow-up Audit of Risk Management Follow-up Planned  
2012-2013
Audit of Privacy – Phase II Assurance Planned  
Audit of Canada Student Loans Program Assurance Planned  
Audit of Succession Planning Assurance Planned  
Audit of Universal Child Care Benefit Assurance Planned  
Audit of the Canada Pension Plan Management Control Framework Assurance Planned  
Follow-up Audit of Business Continuity Planning Follow-up Planned  
Audit of Aboriginal Skills Employment Training Strategy Assurance Planned  
Audit of Grants and Contributions Centre of Expertise Assurance Planned  
Audit of the Management of Integrity Services Assurance Planned  
Audit of the Service Management Structural Model Assurance Planned  
Audit of the Consolidated Statement of Administrative Costs Charged to the Canada Pension Plan Account by HRSDC and Service Canada, March 31, 2012 Assurance Planned  
Review of the Departmental Financial Statements for HRSDC for the year ending March 31, 2012 Review 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

*In-Reserve audit projects will be conducted if the requisite time and resources become available.


Upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
2011-2012
Adult Learning Literacy and Essential Skills Summative DM Approved Report 2011-2012
Common Experience Payment Evaluation DM Approved Report 2011-2012
ecoAUTO Rebate Program Evaluation DM Approved Report 2011-2012
Going to Canada Immigration Portal1 Summative DM Approved Report 2011-2012
Labour Market Development Agreement (LMDA) Manitoba Summative DM Approved Report 2011-2012
LMDA Nova Scotia Summative DM Approved Report 2011-2012
LMDA Ontario Formative DM Approved Report 2011-2012
LMDA Prince Edward Island Summative DM Approved Report 2011-2012
National Child Benefit Summative DM Approved Report 2011-2012
Old Age Security Pensions (OAS) Summative DM Approved Report 2011-2012
Racism-Free Workplace Strategy Summative DM Approved Report 2011-2012
Social Development Partnerships Program – Understanding Early Years Summative DM Approved Report 2011-2012
Temporary Foreign Worker Program Summative DM Approved Report 2011-2012
Three Pilot Projects – Seasonal Workers Summative DM Approved Report 2011-2012
Universal Child Care Benefit Formative DM Approved Report 2011-2012
Voluntary Sector Strategy Summative DM Approved Report 2011-2012
Wage Earner Protection Program Summative DM Approved Report 2011-2012
Workplace Equity Summative DM Approved Report 2011-2012
Workplace Skills Initiative Summative DM Approved Report 2011-2012
2012-2013
Aboriginal Skills and Employment Partnerships Summative Draft Report 2012-2013
Aboriginal Skills and Training Strategic Investment Fund Summative Draft Report 2012-2013
Apprenticeship Grant (combined Apprenticeship Incentive Grant and Completion Grant Programs) Summative Draft Report 2012-2013
Canada Disability Savings Program Formative Planning 2012-2013
Enabling Fund for Official Language Minority Communities Summative Draft report 2012-2013
Evaluation of Early (2001-2008) and Post (2009-2011) Employment Insurance Automation and Modernization Evaluation In-progress 2012-2013
Homelessness Partnering Strategy Summative Report 2012-2013
Labour Market Information Summative In-progress 2012-2013
Passport Receiving Agent Evaluation Planning 2012-2013
Vital Event Linkages for British Columbia and Ontario Evaluation Planning 2012-2013
2013-2014
Canada Education Savings Program Summative Planning 2013-2014
Canada Pension Plan (CPP) Disability Benefits Summative Planning 2013-2014
Employment Insurance (EI) Career Transition Assistance Summative In-progress 2013-2014
Employment Insurance Regular Benefits for Long Tenured Workers2 Summative In-progress 2013-2014
Extension of Employment Insurance Regular Benefits Initiative3 Summative In-progress 2013-2014
Labour Market Agreements and Strategic Training and Transition Fund Summative In-progress 2013-2014
Labour Market Agreements for Persons with Disabilities (LMAPD) Nova Scotia Summative4 In-progress 2013-2014
Labour Market Development Agreements Summative
(Cycle II)
In-progress 2013-2014
OAS Pensions - Survivor and Spousal Allowances Summative In-progress 2013-2014
Targeted Initiative for Older Workers Summative In-progress 2013-2014
Work Sharing Benefits Summative In-progress 2013-2014

1 Evaluation report to be tabled to HRSDC Departmental Evaluation Committee for information following Citizen and Immigration Canada’s review and approval (February 2011).
2 2010-2011 Report on Plans and Priorities – referred to as Extended Duration for Long Tenured Workers.
3 2010-2011 Report on Plans and Priorities – referred to as EI Extra 5 weeks.
4 This evaluation has two phases.Phase 2 would involve the evaluation work (i.e., the summative). It would occur only if the evaluability assessment (phase 1) determines that the data is of the quality and integrity required for the evaluation to take place.

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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
Case Management and Tribunal Support (IAD and ID) Audit engagement Planned 2011-12
Case Management and Tribunal Support (RPD) Audit engagement Planned 2011-12
IRB Backlog Audit engagement Planned 2011-12
Follow-up audit on IRB Regional Offices Audit Follow-up audit engagement Planned 2011-12
Follow-up audit on PSC Human Resources Audit Follow-up audit engagement Planned 2011-12
Human Resources Operations Audit engagement Planned 2011-12
Information Management & Information Technology Audit engagement Planned 2012-13
Follow-up audit on OCG Contracting Information Systems and Monitoring Audit Follow-up audit engagement Planned 2012-13
Governance and Strategic Direction Audit engagement Planned 2012-13

B. All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Performance measurement of quality decisions Performance measurement Planned April 2013
Three-year horizontal evaluation of reformed asylum system (led by Citizenship and Immigration Canada, to which the IRB will be providing its own independent evaluation) Formative evaluation Planned 2015

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Indian and Northern Affairs Canada and Canadian Polar Commission

Upcoming Internal Audits and Evaluations over the next fiscal years

A. Internal Audit Projects (2010-2013)


Name of Internal Audit Internal Audit Type Program Activity Status Expected Completion Date
2010-2011
Legal Services and Litigation Management Audits – Preliminary Survey Internal Management Internal Services Planned 2010-2011
Audit of System Under Development or Application in Place – Indian Registry System (IRS) Internal Management Managing Individual Affairs (Registration and Membership) Planned  2010-2011
Audit of Family Violence and other Social Services – Preliminary Survey Transfer Payment Social Development (Family Violence Prevention) Planned 2010-2011
Audit of SCIS – System Security (New) IT Audit Managing Individual Affairs (Registration and Membership) In Progress 2010-2011
Audit of Organizational Design and Classification Internal Management Internal Services Planned 2010-2011
Grants and Contributions — Departmental Controls, Horizontal Departmental Audit (Scope TBD) Transfer Payment Internal Services Planned 2010-2011
Audit of the Implementation of the Urban Aboriginal Strategy (UAS) (New) Program Audit Urban Aboriginal Strategy In Progress 2010-2011
Information Management/Information Technology (IM/IT) Policy, Planning and Management Audit (Scope TBD) – Audit of Information Management Internal Management Internal Services In Progress 2010-2011
Audit of Trust Accounts  (New) Internal Management Managing Individual Affairs In Progress 2010-2011
Audit of Security Program (New) Internal Management Internal Services In Progress 2010-2011
Post-Implementation Audit of First Nations and Inuit Transfer Payment System IT Audit Internal Services In Progress 2010-2011
Audit of PeopleSoft Internal Management Internal Services In Progress 2010-2011
Audit of Payroll (New) IT Audit Internal Services In Progress 2010-2011
Audit of Housing 1 (New) Program Audit Community Infrastructure In Progress 2010-2011
Audit of IM/IT Expenditures and Management Control Framework (New) IT Audit Internal Service In Progress 2010-2011
Audit of Infrastructure 1 (New) Program Audit Community Infrastructure In Progress 2010-2011
2011-2012
Audit of Education Information System IT Audit and Program Audit Education Planned 2011-2012
Audit of Band Classification Program Audit Governance and Institutions of Government Planned 2011-2012
Audit of Specific Claims Transfer Payment Co-operative Relationships (Specific Claims) Planned 2011-2012
Audit of Procurement/Contracting Internal Management Internal Services Planned 2011-2012
Audit of Travel and Hospitality Internal Management Internal Services Planned 2011-2012
Audit of Income Assistance Transfer Payment Social Development (Income Assistance) Planned 2011-2012
Audit of Communications  and Consultation (Scope TBD) Internal Management Internal Services Planned 2011-2012
Natural Resources and Environmental Management Transfer Payment Northern Land, Resources and Environmental Management (Environmental Management) Planned 2011-2012
Audit of Emergency Response Capability Internal Management/
Transfer Payment
Northern Land, Resources and Environmental Management (Environmental Management) Planned 2011-2012
Audit of Child and Family Services Transfer Payment Social Development (First Nations Child and Family Services) Planned 2011-2012
Audit of Funding for Implementation and Negotiation Loans Transfer Payment Co-operative Relationships Planned 2011-2012
Grant and Contributions – Implementation of Policy on Transfer Payment Internal Management Internal Services Planned 2011-2012
Audit of Oasis Internal Management Internal Services Planned 2011-2012
Audit of Data Warehouse Internal Management Internal Services Planned 2011-2012
Audit of Financial Planning and Budgeting Internal Management Internal Services Planned 2011-2012
Regional Headquarters Internal Management Internal Services In Progress Various
2012-2013
Audit of Elementary Schools Program Audit Education Planned 2012-2013
Audit of Lands Management Program Audit Aboriginal Economic Development (Activation of Community Assets) Planned 2012-2013
Audit of Economic Development Program Audit Aboriginal Economic Development Planned 2012-2013
Audit of Indian Government Support Program Audit Governance and Institutions of Government (First Nation Governments) Planned 2012-2013
Audit of Natural Resources Program Audit Aboriginal Economic Development (Activation of Community Assets) Planned 2012-2013
Audit of Post-Secondary Education Program Audit Education Planned 2012-2013
Grants and Contributions Horizontal Audit Internal Management Internal Services Planned 2012-2013
Audit of Human Resource Planning Internal Management Internal Services Planned 2012-2013
Audit of Advertised Appointments Internal Management Internal Services Planned 2012-2013
Audit of IT Security (MITS) Internal Management Internal Services Planned 2012-2013
Audit of External Financial Reporting Internal Management Internal Services Planned 2012-2013
Audit of Occupational Health and Safety Internal Management Internal Services Planned 2012-2013
Audit of Learning and Development Internal Management Internal Services Planned 2012-2013
Audit of Integrated Planning Internal Management Internal Services Planned 2012-2013
Audit of Strategic Policy & Planning Internal Management Internal Services Planned 2012-2013

1 CEAP Audit projects that were added to the 2009-2012 Risk-based Audit Plan

 

B- Internal Evaluations to be completed over the next three fiscal years 2011-2014 (and current fiscal year 2010-2011)

Please note that the evaluation projects identified below, as well as their components and timing, are subject to change particularly in the later years of the cycle.  Changes in evaluation requirements can arise from a number of factors including the introduction of new policy and programs, the consolidation of program authorities, and/or the information needs of INAC and the federal government...  

Name of Evaluation Program Activity Status Expected Completion Date
Impact Evaluation of On-Reserve Housing Support Community Infrastructure Pending approval February 2011
Joint Evaluation of the Grant to the Miawpukek First Nation Governance and Institutions of Government In progress February 2011
Summative Evaluation of the Government’s Implementation of Self-Government Agreements Co-operative Relationships In progress February 2011
Summative Evaluation of Assist Northerners in Assessing Key Vulnerabilities and Opportunities Northern Governance and People In progress February 2011
Evaluation of Inuit Relations Secretariat Co-operative Relationships In progress April 2011
Evaluation of the Urban Aboriginal Strategy Urban Aboriginal Strategy In progress April 2011
Evaluation of the Inuit Art Foundation Governance and Institutions of Government In progress April  2011
Implementation Evaluation of the Specific Claims Action Plan Co-operative Relationships In progress April  2011
Evaluation of the Implementation of First Nations Fiscal and Statistical Management Act Governance and Institutions of Government In progress April 2011
Evaluation of Elementary and Secondary Education Education In progress March 2012
Evaluation of Post-Secondary Education Education In progress March 2012
Evaluation of Family Violence Prevention Social Development In Progress March 2012
Evaluation of Child and Family Services Social Development In Progress March 2012
Evaluation of Northern Regulatory Improvement Initiative and of the Land, Resources and Environmental Management Northern Land, Resources and Environmental Management Planned March 2012
Evaluation of Conservation and Land Use Planning Northern Land, Resources and Environmental Management Planned March 2012
Evaluation of Negotiations and Implementation of Self-Government Agreements and Comprehensive Land Claim Agreements Co-operative Relationships
Treaty Management
Planned March 2012
Evaluation of the International Polar Year Northern Science and Technology In progress March 2013
Evaluation of the Specific Claims Action Plan Co-operative Relationships Planned March 2013
Evaluation of Test Case Funding Co-operative Relationships Planned March 2013
Evaluation of Money Management and Disbursement Managing Individual Affairs Planned March 2013
Evaluation of Aboriginal Entrepreneurship Aboriginal Economic Development Planned March 2013
Evaluation of the Federal Interlocutor's Contribution Program and Powley; Reconciliation and Management of Métis Aboriginal Rights Métis and Non-Status Indian Organizational Capacity Development Planned March 2013
Evaluation of First Nations Water and Waste Water Infrastructure Community Infrastructure Planned March 2013
Evaluation of Northern Governance – Political Development and Intergovernmental Relations Northern Governance and People Planned March 2013
Evaluation of the Implementation of Northern Nutrition Contribution Northern Governance and People Planned March 2013
Evaluation of the Northern Contaminates Program Northern Science and Technology Planned March 2014
Evaluation of the Impacts of Comprehensive Land Claims Agreements Treaty Management Planned March 2014
Evaluation of Income Assistance, National Child Benefit Reinvestment, Assisted Living Programs Social Development Planned March 2014
Evaluation of National Aboriginal Achievement Foundation Education Planned March 2014
Evaluation of Child and Family Services Social Development Planned March 2014
Evaluation of Land and Environment Management Federal Administration of Reserve Land /
Northern Land and Resources
Planned March 2014
Evaluation of Investment in Economic Opportunities Aboriginal Economic Development Planned March 2014
Evaluation of Indian Government Support Governance and Institutions of Governance Planned March 2014
Evaluation of Northern Contaminated Sites Northern Land Resource and Environment Management Planned March 2014

 

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Industry Canada

Upcoming Internal Audits and Evaluations in the Next Three Fiscal Years

Internal Audits

Proposed* Internal Audit Projects in 2011–12

Name of Internal Audit Internal Audit Type
Horizontal Departure Process Audit
Regions (Ontario and British Columbia) Audit
Canadian Intellectual Property Office – Financial Management Control Framework Audit
Canadian Intellectual Property Office – Enterprise Business Renewal

Audit / IT Audit

Office of the Superintendent of Bankruptcy – National Framework

Audit

*These projects will be confirmed as part of the annual audit planning process scheduled to take place in Q4 of 2010–11.

Proposed* Internal Audit Projects in 2012–13

Name of Internal Audit Internal Audit Type
Long-Term Capital Planning Audit
Management of Real Property Audit
Program Policy and Management – Collection of Repayments Audit
Pay and Benefits Audit
Human Resources Management System – PeopleSoft Audit
Information Management Audit
Electronic Filing – Office of the Superintendent of Bankruptcy Audit / IT Audit
Bombardier CSeries Audit
Corporations Canada Audit
Computer for Schools Audit
IT Project Management – Spectrum Application Modernization Audit / IT Audit
Canada Small Business Financing Program Preliminary Survey

*These projects will be confirmed as part of the annual audit planning process scheduled to take place in Q4 of 2011–12.

Proposed* Internal Audit Projects in 2013–14

Name of Internal Audit Internal Audit Type
Management of Expenditures Audit
Contribution Management Information System Audit / IT Audit
Risk Management Audit
Business Continuity Management Audit
Resource Management Audit
Delegation of Authorities Audit
Measurement Canada Preliminary Survey
Spectrum Management Audit
Communications Research Centre Audit
Canada Business Network Audit

*These projects will be confirmed as part of the annual audit planning process scheduled to take place in Q4 of 2012–13.

Evaluations

Proposed* Projects in 2011–12

Name of Evaluation Program Type
Marquee Tourism Events Program Contribution program
Economic Development Initiative (Official Language Minority Communities) Contribution program
Strategic Aerospace and Defence Initiative Contribution program
Computers for Schools Contribution program
Office of the Superintendent of Bankruptcy – Outreach Element Program
Knowledge Infrastructure Program Contribution program
Canadian Intellectual Property Office Program

*These evaluations will be confirmed as part of the annual evaluation planning process scheduled to take place in Q4 of 2010–11.

Proposed* Projects in 2012–13

Name of Evaluation Program Type
Automotive Innovation Fund Contribution program
Corporations Canada Program
Canada Business Network Program
Measurement Canada Program
Spectrum Management and Telecommunications Program
Office of the Superintendent of Bankruptcy Program

*These evaluations will be confirmed as part of the annual evaluation planning process scheduled to take place in Q4 of 2011–12.

Proposed* Projects in 2013–14

Name of Evaluation Program Type
Industry-Specific Policy and Analysis Program
Industrial and Regional Benefits Contribution program
Small Business Internship Program Contribution program
Small Business Growth and Prosperity Program
Ivy Centre for Health Innovation Contribution program
Competition Law Enforcement Program
Spectrum Management and Telecommunications Program
Organisation for Economic Co-operation and Development (OECD) Grant Program Grant program

*These evaluations will be confirmed as part of the annual evaluation planning process scheduled to take place in Q4 of 2012–13.

Note: The Evaluation Directorate also completes a number of other activities, including development of the Results-Based Management Accountability Framework (RMAF) and the Performance Measurement Plan, as well as oversight and follow-up reviews of RMAF implementation, Treasury Board submissions and funding agreements.

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Infrastructure Canada

Upcoming Internal Audits and Evaluations Over the Next Three Fiscal Years

All upcoming Internal Audits over the next three fiscal years

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Building Canada Fund-Major Infrastructure Component (BCF-MIC) Program Change Analysis, (Acceleration) - Consulting and Advisory Services Transfer Payment Program In Progress March 2011
Assurance Audit of the Contribution Management Control Framework of the Municipal Rural Infrastructure Fund (MRIF) Transfer Payment Program Planning and Examination Phase Completed.  Starting Examination Phase January 2011
Assurance Audit of the National Recreation Trails Fund Transfer Payment Program (Economic Action Plan) Planning Phase Completed.  Starting Examination Phase January 2011
Assurance Audit of the Infrastructure Stimulus Fund (ISF) Transfer Payment Program (Economic Action Plan) Planned 2011-2012
Review of the Infrastructure Stimulus Fund (ISF) - Consulting and Advisory Services Transfer Payment Program (Economic Action Plan) Planning Phase January 2011
Assurance Audit of the Green Infrastructure Fund (GIF) Transfer Payment Program (Economic Action Plan) Planned 2012-2013
Review of the Green Infrastructure Fund (GIF) - Consulting and Advisory Services Transfer Payment Program (Economic Action Plan) Planned March 2011
Assurance Audit of the Building Canada Fund-Major Infrastructure Component (BCF-MIC) Transfer Payment Program Planned 2011-2012
Assurance Audit of the Building Canada Fund-Communities Component (BCF-CC) Transfer Payment Program Planned 2011-2012
Assurance Audit of the Provincial-Territorial Infrastructure Base Fund (PT Base Fund) Transfer Payment Program Starting Planning Phase March 2011
Assurance Audit of the Corporate Management and Decision-Making Structure Governance and Strategic Direction Planned 2012-2013
Assurance Audit of Human Resources Management Internal Service - Human Resources Starting Planning Phase 2011-2012
Assurance Audit of Information Management Internal Service - Information Management Starting Planning Phase 2011-2012
Readiness Assessment of the Corporate Management and Decision-Making Structure Internal Service - Governance and Strategic Direction Planned 2011-2012
Assurance Audit of Security (Departmental IT, Business Continuity) Internal Service - Security Planned 2011-2012
Assurance Audit of Program Policy, Public Communications Policy Planned 2012-2013
Assurance Audit of Managing Organizational Change Internal Service (Learning, Innovation and Change  Management) Planned 2012-2013
Assurance Audit of Corporate Performance Framework-Information for Decision-Making and Performance Reporting Internal Service - Governance and Strategic Direction (Citizen-Focused Services) Planned 2012-2013
Assurance Audit of Information Technology Internal Service - Information Technology Planned 2012-2013
Assurance Audit of Financial Planning and Reporting Internal Service - Finance Planned 2012-2013

Electronic Link to Internal Audit Plan: N/A.


All upcoming Evaluations over the next three fiscal years

Name of Evaluation Program Activity Status Expected Completion Date
Joint Evaluation of the Infrastructure Stimulus Fund (ISF), the Building Canada Fund – Communities Component – Top Up (BCF-CC Top-UP), and the National Recreational Trails Fund Construction-Ready infrastructure projects are provided with federal funding support In Progress August 2011
Joint Evaluation of the Border Infrastructure Fund (BIF) and the Canada Strategic Infrastructure Fund (CSIF) Funding for quality, cost-effective public infrastructure that meets the needs of Canadians in a competitive economy, a clean environment, and liveable communities is provided Planned 2011-2012
Review of the Building Canada Fund – Communities Component (BCF-CC) Funding for quality, cost-effective public infrastructure that meets the needs of Canadians in a competitive economy, a clean environment, and liveable communities is provided Planned 2012
Joint Evaluation of the Building Canada Fund – Communities Component (BCF-CC) and the Municipal Rural Infrastructure Fund (MRIF) Funding for quality, cost-effective public infrastructure that meets the needs of Canadians in a competitive economy, a clean environment, and liveable communities is provided Planned 2012-2013
Joint Evaluation of the Provincial/Territorial Base Funding (P/TB) and the Gas Fund Tax (GTF) Provinces, territories and municipalities have federal financial support for their infrastructure priorities Planned 2012-2013
Review of the Green Infrastructure Fund Funding for quality, cost-effective public infrastructure that meets the needs of Canadians in a competitive economy, a clean environment, and liveable communities is provided Planned 2012
Review of the Building Canada Fund -Major Infrastructure Component (BCF-MIC) Funding for quality, cost-effective public infrastructure that meets the needs of Canadians in a competitive economy, a clean environment, and liveable communities is provided Planned 2013
Joint Evaluation of the Building Canada Fund-Major Infrastructure Component (BCF-MIC) and the Green Infrastructure Fund (GIF) Funding for quality, cost-effective public infrastructure that meets the needs of Canadians in a competitive economy, a clean environment, and liveable communities is provided Planned 2013-2014
Infrastructure Canada Evaluation Function   Planned 2014-2015
Governance/decision Making at Infrastructure Canada   Planned 2013-2014
Infrastructure Canada Human Resources Function   Planned 2014-2015

Electronic link to evaluation plan: N/A.

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Library and Archives Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Innovation Management (Change Management) Management Control In progress June 2011
Nitrate Film Preservation Facility Grant Planned June 2011
Strategic Planning and Decision-making Process Management Control Planned September 2011
Amican/TDR Grant / Management Control Planned December 2011
Digitizing of Records for Preservation Program Planned June 2012
IT Replacement and Upgrade Plan Management Control Planned September 2012

Electronic Link to Internal Audit Plan:

Not available yet.

Upcoming evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Modernization - Formative Evaluation Initiative Planned 2011–12
Initiative for Equitable Library Access - Summative Evaluation Initiative Planned 2011–12
MII #11 - Trusted digital repository - Evaluation Framework Initiative Planned 2011–12
MII #2 - Coherent "whole of society" approach to determine the best evidence of Canadian Society - Evaluation Framework Initiative Planned 2011–12
Government Records Branch - Formative Evaluation Program Planned 2012–13
Programs and Services Sector - Formative Evaluation Program Planned 2012–13
Documentary Heritage Sector - Formative Evaluation Program Planned 2012–13

Electronic link to evaluation plan:

Not available yet.

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National Defence

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 1 Internal Audit Type Status 2 Expected Completion Date 3
FMF Cape Breton Shop Consolidation Project Audit - Real Property Management Completed - Pending Approval 4th Quarter
FY 10-11
RMC Kingston Audit - Financial Management In Progress 4th Quarter
FY 10-11
Health Services Recapitalization CFB Greenwood Audit - Major Capital Acquisition In Progress 4th Quarter
FY 10-11
Reconstitution of Material in Afghanistan Audit - CF Readiness & Operations In Progress 4th Quarter
FY 11-12
Defence Sustainable Development Strategy Audit - Environmental Management In Progress 4th Quarter
FY 10-11
Contract Terms of Payment Audit - Procurement & Contracting In Progress 4th Quarter
FY 10-11
CP 140 Aurora Data Management System Contract Audit Follow-Up - Procurement & Contract Management In Progress 4th Quarter
FY 10-11
FELEX Halifax Class Modernization Frigate Life Extension Audit - Major Capital Acquisition In Progress 4th Quarter
FY 10-11
Loaned Equipment Audit - Procurement & Contracting In Progress 4th Quarter
FY 10-11
Industrial Security Audit - Security Management In Progress 4th Quarter
FY 10-11
Travel, Hospitality & Conferences Audit Follow-Up - Financial Management In Progress 4th Quarter
FY 10-11
Joint Support Ship (JSS) Audit - Major Capital Acquisition In Progress 1st Quarter
FY 11-12
Potential Recovery of Costs from Contract Management and Cost Audits Audit - Procurement & Contracting In Progress 1st Quarter
FY 11-12
Construction Projects Risk Analysis - Major Capital Acquisition In Progress 1st Quarter
FY 11-12
CRS IA Perspective Other In Progress 1st Quarter
FY 11-12
Financial Management Practices - CANSOFCOM Audit - Financial Management In Progress 2nd Quarter
FY 11-12
Accuracy and Efficiency of Financial Coding Audit - Financial Management In Progress 2nd Quarter
FY 11-12
IT Security Audit - Security Management In Progress 3rd Quarter
FY 11-12
Imposed Restrictions Audit - People Management In Progress 3rd Quarter
FY 11-12
Accuracy of Defence Civilian Personnel Data Audit - People Management In Progress 3rd Quarter
FY 11-12
Real Property Life Cycle Management Audit - Real Property Management In Progress 4th Quarter
FY 11-12
Efficiency and Effectiveness of SIV/SAV processes Review - Corporate Governance In Progress 4th Quarter
FY 11-12
Internal Audit Tactical Armoured Patrol Vehicle Acquisition Audit - Major Capital Acquisition In Progress 4th Quarter
FY 11-12
Departmental Fuel Expenditures Audit - Financial Management In Progress 4th Quarter
FY 11-12
Unforecasted Operational Requirements Audit - CF Readiness & Operations Planned 1st Quarter
FY 12-13
Control of Classified IT Assets Audit - IM/IT Systems & Management Planned 1st Quarter
FY 12-13
Review of Non-Classified IT Hardware Review Follow-Up - IM/IT Systems & Management Planned TBD
Business Continuity Planning Audit - Security Management Planned
FY 11-12
TBD
Selected ERP System Vulnerability Assessment-System #1 Audit - Security Management Planned
FY 11-12
TBD
Initial Individual Occupation Training Audit - People Management Planned
FY 11-12
TBD
Action Plan Follow-up - Major Capital Acquisition Topic (x2) Audit Follow-Up - Major Capital Acquisition Planned
FY 11-12
TBD
Selected IM Project Audit - IM/IT Systems & Management Planned
FY 11-12
TBD
Commercial Pattern Vehicles Life Cycle Management Audit - Procurement & Contracting Planned
FY 11-12
TBD
Army Weapon Effects Simulation Contract Audit - Procurement & Contracting Planned
FY 11-12
TBD
Operations and Maintenance Contracts Risk Analysis - Procurement & Contracting Planned
FY 11-12
TBD
Procurement Forecasting Audit - Procurement & Contracting Planned
FY 11-12
TBD
Classification Process Audit - People Management Planned
FY 11-12
TBD
Accuracy of Defence Civilian Personnel Data Audit - People Management Planned
FY 11-12
TBD
Accounting for Earmarked Funds (e.g., Op Podium) Audit - Financial Management Planned
FY 11-12
TBD
"Web of Rules" Review - Financial Management Planned
FY 11-12
TBD
CF Pension Plans Administrative Expenses-Phase 2-Processes and Controls Audit - Financial Management Planned
FY 11-12
TBD
IM/IT Systems & Management Topic Audit Follow-Up - IM/IT Systems & Management Planned
FY 11-12
TBD
IM/IT System Capabilities, Functionalities and Benefits Audit - IM/IT Systems & Management Planned
FY 11-12
TBD
Hazardous Materials Management Audit - Environmental Management Planned
FY 11-12
TBD
Security Program Audit - Security Management Planned
FY 12-13
TBD
Selected ERP System Vulnerability Assessment-System #2 Audit - Security Management Planned
FY 12-13
TBD
Procurement & Contracting Topic Audit Follow-Up - Procurement & Contracting Planned
FY 12-13
TBD
Management of Movement of Household Goods and Effects Audit - Procurement & Contracting Planned
FY 12-13
TBD
CP140 Avionics Contract Audit - Procurement & Contracting Planned
FY 12-13
TBD
Review of Civilian Training Review - People Management Planned
FY 12-13
TBD
Civilian Overtime Audit - People Management Planned
FY 12-13
TBD
FMAS Adjusting Entries Audit - Financial Management Planned
FY 12-13
TBD
Financial Management Topic (x 2) Audit Follow-Up - Financial Management Planned
FY 12-13
TBD
Telecommunications Audit - IM/IT Systems & Management Planned
FY 12-13
TBD
Risk Management of CF Activity in Environmentally Sensitive Areas Audit - Environmental Management Planned
FY 12-13
TBD

Electronic Link to Internal Audit Plan: N/A

Notes:

  1. Approved internal audit reports can be found at the following link: http://www.crs-csex.forces.gc.ca/reports-rapports/index-eng.asp
  2. The conduct of projects planned for both FYs 2011-12 and 2012-13 is subject to Departmental Audit Committee recommended approval.
  3. Expected Completion Dates are not available for projects that have not yet been initiated.

B. All upcoming Evaluations over the next three fiscal years


Name of Evaluation and Link to Report Program Activity Status Expected Completion Date
Evaluation of Civil Pensions and Annuities:
Mr. R.P. Thompson
Defence Team Personnel Support In Progress 4th Quarter
FY 2010-11
Evaluation of the Games Security and Public Safety for the Vancouver 2010 Olympic and Paralympic Games (RCMP-led horizontal evaluation) Canadian Peace Stability and Security In Progress FY 2010-11
Evaluation of CF Recruiting and Initial Training Recruiting of Personnel and Initial Training In Progress FY 2011-12
Evaluation of Real Property Acquisition and Disposal (includes real property acquisition and disposal in support of land, maritime, aerospace, and joint activities) Real Property and Informatics Infrastructure Acquisition and Disposal In Progress FY 2011-12
Evaluation of Land Training Land Readiness In Progress FY 2011-12
Evaluation of Situational Awareness Situational Awareness In Progress FY 2011-12
Evaluation of the Chemical, Biological, Radiological-Nuclear and Explosives Technology Research and Technology Initiative (CRTI) Defence Science & Technology In Progress FY 2011-12
Evaluation of Security for the G8/G20 Summit (RCMP-led horizontal evaluation) Canadian Peace Stability and Security In Progress FY 2011-12
Evaluation of Aerospace Initial Occupation Training Aerospace Readiness In Progress FY 2011-12
Evaluation of Equipment Acquisition and Disposal Equipment Acquisition and Disposal In Progress FY 2012-13
Cadet Program including the Class Grant Program to the National Offices of the Cadet Leagues of Canada: Navy, Army and Air Cadets Canadian Identity Planned FY 2012-13
Contribution Program in support of the Remediation of the former Mid-Canada Line Radar Sites In Ontario Environment Protection and Stewardship Planned FY 2013-14

Electronic link to evaluation plan: N/A

Note: Approved evaluation reports can be found at the following link: http://www.crs-csex.forces.gc.ca/reports-rapports/index-eng.asp#evaluation

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National Energy Board

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Horizontal Internal Audit of Governance in Small Departments and Agencies Governance and Management In Progress April 2011

The NEB participates in horizontal audits for small departments and agencies conducted by the Office of the Comptroller General.

All upcoming Evaluations over the next three fiscal years

No evaluations are currently planned over the next three fiscal years.

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National Research Council Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

Internal Audits

The table below outlines all current and planned audit activities for the next three fiscal years.

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Canada Economic Action Plan Funds – 2010-11 Financial Management and Controls Continuous N/A. Findings will be reported and issues resolved if they emerge.
Audit of Occupational Safety and Heath Corporate Governance Completed Posting pending
Audit of Financial Management Control Framework Financial Management and Controls In progress 2010-11
Follow-up to the 2007-08 Audit of the Industrial Research Assistance Program Transfer Payments In progress 2010-11
Follow-up to the 2007-08 Audit of the Management of IT Security Corporate Administrative Practices In progress 2011-12
Audit of Human Resources Management Corporate Administrative Practices In progress 2011-12
Audit of Technology Clusters Scientific & Innovation Activities Planned 2011-12
Follow-Up to the 2009-10 Review of Values and Ethics Management Framework Corporate Governance Planned 2011-12
Follow-up to the 2008-09 Audits of Contracts Financial Management and Controls Planned 2011-12
Audit of Capital Investment and Planning Corporate Governance Planned 2012-13
Audit of Horizontal Initiatives Scientific & Innovation Activities Planned 2012-13
Audit of Research Project Management Scientific & Innovation Activities Planned 2012-13
Audit of Planning and Prioritization Corporate Governance Planned 2013-14
Follow-up to the 2009-10 Audit of Acquisition Cards Financial Management and Controls Planned 2013-14
Follow-up to the 2009-10 Audit of Risk Management Corporate Governance Planned 2013-14
Follow-up to the 2008-09 Audits of Travel and Hospitality Financial Management and Controls Planned 2013-14
Follow-up to the 2009-10 Audit of Facilities Management Financial Management and Controls Planned 2013-14

Electronic Link to Internal Audit Plan and Reports

Evaluations

The table below outlines all current and planned evaluation activities for the next three fiscal years.

Name of Evaluation Program Activity Status Expected Completion Date
NRC Institute for Aerospace Research Manufacturing Technologies In progress 2010-11
Clean Air Initiative – Indoor Air Quality Manufacturing Technologies In progress 2010-11
Genomics R&D Initiative Health and Life Science Technologies In progress 2010-11
NRC's International Telescope Agreements National Science and Technology Infrastructure In progress 2011-12
A Manufacturing Technologies program (Construction Research and Support (NRC-IRC) or Manufacturing and Material Research (NRC-IMI)) Manufacturing Technologies Planned 2011-12
NRC Industrial Research Assistance Program (NRC-IRAP) Industrial Research Assistance Planned 2011-12
Roadmap for Canada's Linguistic Duality 2008-2013: Acting for the Future Internal Services Planned 2011-12
A Manufacturing Technologies program (Construction Research and Support (NRC-IRC) or Manufacturing and Material Research (NRC-IMI)) Manufacturing Technologies Planned 2012-13

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Natural Resources Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

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


2010-2011
1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Account Receivables and Revenue Assurance Reporting March 2011
EcoENERGY for Biofuels Assurance Reporting March 2011
Physical Security Assurance Reporting March 2011
Horizontal Audit of Transfer Payments (G&C Programs) Assurance Reporting March 2011
Pulp and Paper Green Transformation Program (PPGTP) - Black Liquor Production Assurance Reporting December 2010
Clean Energy Fund  Assurance Reporting December 2010
Financial Statement Reporting (Asset) - Investments Assurance Planning June 2011
Payroll and Benefits – Overtime, Vacation and Other Benefits Assurance Fieldwork June 2011
Asset Management – Real Property Assurance Deferred TBD
Asset Management – Fleet Assurance Planning June 2011
Professional Services – Operating Expenditures Assurance Fieldwork June 2011
SAP System (Felix Project Planning & Delivery) Assurance Fieldwork June 2011
Accelerated Infrastructure Program (Phase II - Delivery) Assurance Reporting December 2010


2011-2012
1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Strategic Review Implementation Assurance Planned TBD
Felix / SAP implementation and rollout (Phase II) Assurance Planned TBD
ecoENERGY Technology Initiative Assurance Planned TBD
Information Management and Technology (IMT) Governance Assurance Planned TBD
CANMET - Materials Technology Lab: Relocation Assurance Planned TBD
United Nations Convention on the Law of the Sea (UNCLOS) Assurance Planned TBD
Geo-Mapping for Energy and Minerals (GEM) Assurance Planned TBD
Integrated Business Planning and Reporting Assurance Planned TBD


2012-2013
1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
ecoENERGY Renewable Power Assurance Planned TBD
SAP General Computer Controls Assurance Planned TBD
Budgeting and ARLU Process Assurance Planned TBD
Servers Administration and Security Assurance Planned TBD
PeopleSoft General Computer Controls Assurance Planned TBD
Interest / Transfer Payments (Offshore) Assurance Planned TBD
Polar Continental Shelf Program (PCSP) Assurance Planned TBD
Legislated Environmental Assessment Assurance Planned TBD

Note: Please note, audits listed as "planned" may be subject to changes due to shifting priorities based on annual evaluation of risk elements. The new proposed audit projects for fiscal years 2011-2012 and 2012-2013 will be approved in 2011.

5. Electronic Link to Internal Audit Plan:
http://www.nrcan-rncan.gc.ca/audit/reprap/2010/ann-eng.php

B. All upcoming Evaluations over the next three fiscal years


1. Name of Evaluation 2. Program Activity 3. Status 4. Expected Completion Date
Clean Energy Systems for Industry (PAA 2.1.4.4) Clean Energy Assessment in-progress June 2012
Sustainable Bioenergy (PAA 2.1.4.6) Clean Energy Assessment in-progress June 2012
Energy Efficiency and  Alternative Transportation Fuels (PAA 2.1.5.5) Clean Energy Assessment in-progress June 2012
Securing Forest Product Markets (Economic Market Value and International Influence; Leadership for Environmental Advantage in Forestry; wood demonstration projects) (PAA 1.1.2) Economic Opportunities for Natural Resources Assessment in-progress June 2012
Supporting Energy and Mineral Exploration (PAA 1.1.5) Economic Opportunities for Natural Resources Assessment in-progress June 2012
Minerals and Metals, Markets, Investment, Innovation and Productivity (PAA 1.1.1) Economic Opportunities for Natural Resources Assessment in-progress June 2012
Class Grants and Contributions   Assessment in-progress June 2012
Energy Policy (PAA 1.1.6) Economic Opportunities for Natural Resources Work not begun June 2013
Clean Energy Policy (PAA 2.1.2) Clean Energy Work not begun June 2013
Clean Transportation Energy (PAA 2.1.4.2) Clean Energy Work not begun June 2013
Clean Energy Systems for Buildings and Communities (PAA 2.1.4.3) Clean Energy Work not begun June 2013
Energy-based Sustainability in Pulp and Paper (PAA 2.1.3) Clean Energy Work not begun June 2013
Forest EcoSystems Science and Application (PAA 2.2.2) Ecosystem Risk Management Work not begun June 2013
Public Safety Geoscience (PAA 3.1.4) Adapting to a Changing Climate and Hazard Risk Management Work not begun June 2013
Environmental Geoscience (PAA 2.2.3) Ecosystem Risk Management Work not begun June 2013
Minerals and Metals Knowledge and Information (PAA: 3.2.1) Natural Resources and Landmass Knowledge and Systems Work not begun June 2013
Renewable Energy Programs (PAA 2.1.3) Clean Energy Work not begun June 2014
Energy Efficiency Programs: Industry,  Buildings and Houses, Retrofit (PAA 2.1.5.1 and 2.1.5.3) Clean Energy Work not begun June 2014
Clean Energy Fund (PAA 2.1.4) Clean Energy Work not begun June 2014
Statutory Programs Atlantic Offshore (PAA 1.1.7) Economic Opportunities for Natural Resources Work not begun June 2014
Advancing Forest Product Innovation  (PAA 1.1.3) Economic Opportunities for Natural Resources Work not begun June 2014
Aligning Forest S&T Governance” (PAA 1.1.4) Economic Opportunities for Natural Resources Work not begun June 2014
Essential Geographic Information and Support (PAA 3.2.2) Natural Resources and Landmass Knowledge and Systems Work not begun June 2014
Geomatics Canada Revolving Fund (PAA 3.3) Geomatics Canada Revolving Fund Work not begun June 2014
Green Mining Initiative Ecosystem Risk Management Work not begun June 2014

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
Audit of the Enterprise Management System (EAMS) Project System Under Development Completed 2010-11
Audit of Corporate Information Management Information Management On-going 2011-12
Audit of Human Resource Practices Human Resource Planned 2011-12
Audit of Integrated Business Planning in NSERC Business Planning Planned 2012-13

Electronic link to audit reports: NSERC Internal Audits

Audit of the Enterprise Management System (EAMS) Project

In 2008-09, NSERC and SSHRC completed a merger of their internal audit units, creating the Corporate Internal Audit Division (CIAD).  In 2009, CIAD developed NSERC’s 2009-10 Risk-Based Audit Plan (RBAP).  In late 2010,  CIAD began developing NSERC’s multi-year RBAP based on information gleaned from the recently completed corporate risk profile.  The development of the Council’s RBAP is tentatively slated for completion in March 2011.

Upcoming Evaluations (Next three fiscal years)


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of Undergraduate Student Research Awards in University and in Industry PA 1.2 Support Students and Fellows In progress 2011-12
Evaluation of the Strategic Projects PA 3.1 Fund Research in Strategic Areas In progress 2011-12
Evaluation of the Postdoctoral and Industrial Research and Development Fellowships PA 1.2 Support Students and Fellows; and PA 3.2 Fund University-Industry-Government Partnerships In progress 2011-12
Evaluation of the Collaborative Health Research Projects PA 3.1 Fund Research in Strategic Areas In progress 2011-12
Joint Review of Relevance and Effectiveness for the Strategic Networks and the Tri-Agency Business-Led Networks of Centres of Excellence PA 3.1 Fund Research in Strategic Areas; and PA 3.2 Fund University-Industry-Government Partnerships In progress 2011-12
Tri-Agency Evaluation of the Centres of Excellence for Commercialization and Research PA 3.3 Support Commercialization In progress 2011-12
Evaluation of PromoScience PA 1.1 Promote Science and Engineering Planned 2011-12
Evaluation of NSERC Prizes PA 1.1 Promote Science and Engineering Deferred 2011-12
Evaluation of Chairs programs PA 1.3 Attract and Retain Faculty; and PA 3.2 Fund University-Industry-Government Parnterhips Planned 2012-13
Evaluation of the Idea to Innovation Program PA 3.3 Support Commercialization Planned 2012-13
Tri-Agency Evaluation of the Canada Excellence Research Chairs PA 1.3 Attract and Retain Faculty Planned 2012-13
Tri-Agency Evaluation of the Industrial R&D Internship Program PA 3.2 Fund University-Industry-Government Partnerships Planned 2012-13
Tri-Agency Evaluation of the College and Community Innovation Program PA 3.3 Support Commercialization Planned 2012-13
Tri-Agency Evaluation of the Vanier Canada Graduate Scholarships Program PA 1.2 Support Students and Fellows Planned 2012-13
Tri-Agency Evaluation of the Canada Graduate Scholarships Program PA 1.2 Support Students and Fellows Planned 2012-13
Evaluation of NSERC Industrial Postgraduate Scholarships Program and the NSERC Postgraduate Scholarships Program PA 1.2 Support Students and Fellows Planned 2013-14
International Review of Discovery Grants PA 2.1 Fund Basic Research Planned 2013-14
Joint Evaluation of Major Resources Support (MRS) PA 2.2 Support for Research Equipment and Major Resources Planned 2013-14
Evaluation of Research Tools and Instruments (RTI) PA 2.2 Support for Research Equipment and Major Resources Planned 2013-14
Joint Evaluation of the Tri-Agency Business-Led Networks of Centres of Excellence and Networks of Centres of Excellence PA 3.2 Fund University-Industry-Government Partnerships Planned 2013-14

Electronic link to evaluation reports: NSERC Program Evaluations

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Office of the Auditor General of Canada

Internal audits planned for 2011–12 to 2013–14


Name Type Status Expected completion date
Internal audits1
Follow-up on the status of implementation of previous internal audit recommendations Financial controls Planned To be determined
Contracting and procurement, including IT purchases Financial controls Planned In 2011–12, date to be determined
Management performance information Management controls Planned In 2012–13, date to be determined
Practice reviews—recurring and periodic
Periodic reviews1
Follow-up on the status of implementation of previous practice review recommendations Follow-up Planned To be determined
The role of the information technology team in assisting annual audit teams Review focusing on annual audit practice Planned In 2012–13, date to be determined
Review of the design of the new Quality Management System Compliance—Audit practices Planned In 2012–13, date 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 Spring 2011
Report on the review of the performance audit practice of the Office of the Auditor General of Canada Compliance—performance audit practice Summer 2011
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 2010–11 to 2012–13 can be found on the Office of the Auditor General website.

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Office of the Chief Electoral Officer

Internal Audits Planned for the Next Three Fiscal Years


2010-2011
Internal Audit Name Internal Audit Type Status Expected Completion Date
Management of Human Resources Information System Assurance Audit Completed 2010-2011
Procurement and Contracting Assurance Audit In Progress 2010-2011

2011-2012
Internal Audit Name Internal Audit Type Status Expected Completion Date
Asset Management Assurance Audit Planned 2011-2012
Security Management Assurance Audit Planned 2011-2012
Returning Officer Management Practices, Phase 2 Assurance Audit Planned 2011-2012

2012-2013
Internal Audit Name Internal Audit Type Status Expected Completion Date
Information Technology Planning and Prioritization Assurance Audit Planned 2012-2013
Human Resources Services Delivery Model Assurance Audit Planned 2012-2013
Performance Management Assurance Audit Planned 2012-2013
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Office of the Commissioner of Lobbying of Canada

Upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Internal controls over financial reporting and selected expenditures Financial Planned March 2012
Registration and client services/Lobbyists Registration System Operational Planned March 2012
Reviews and investigations/Case management system Operational Planned September 2012
Financial management Financial Planned March 2014
Procurement and contracting Compliance Planned March 2014

Office of the Commissioner of Lobbying's Internal Audit Plan.

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Office of the Superintendent of Financial Institutions

Upcoming Internal Audits over the next three fiscal years (2011-2012 to 2013-2014)

Upcoming Internal Audits
1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Superintendent’s Office: Risk Management Risk Management In Progress June 2011
Supervision Sector: Life Insurance Group - Conglomerates Risk Assessment & Intervention In Progress Sept 2011
Supervision Sector: Deposit Taking Institutions – Conglomerates Risk Assessment & Intervention 2011-2012 Planned TBD
Corporate Services: Finance Travel & Hospitality 2011-2012 Planned TBD
Corporate Services: Human Resources Training & Development 2011-2012 Planned TBD
Corporate Services: Information Management / Information Technology Governance 2011-2012 Planned TBD
Superintendent’s Office: Internal Audit Quality Assurance 2012-2013 Planned TBD
Supervision Sector:  Property & Casualty Group Risk Assessment and Intervention 2012-2013 Planned TBD
Supervision Sector: Supervision Support Group, Capital Markets Division Risk Assessment and Intervention 2012-2013 Planned TBD
Regulation Sector: Capital Division Rule-Making and Approvals 2012-2013 Planned TBD
Regulation Sector: Private Pension Plans Division Risk Assessment and Intervention (Supervision) 2012-2013 Planned TBD
Corporate Services: Finance Governance 2012-2013 Planned TBD
Corporate Services: Security Services Unit Governance 2012-2013 Planned TBD
Supervision Sector: Deposit-Taking Group – Non-Conglomerates Risk Assessment & Intervention 2013-2014 Planned TBD
Supervision Sector: Life-Insurance Group – Non-Conglomerates Risk Assessment & Intervention 2013-2014 Planned TBD
Supervision Sector: Deposit-Taking Group – Risk Measurement Analytics and Assessment Risk Assessment & Intervention 2013-2014 Planned TBD

The Audit Committee approves OSFI’s Annual Audit Plan two years ahead. The most recent Audit Plan and Audit Reports are available on OSFI’s website: (http://www.osfi-bsif.gc.ca/osfi/index_e.aspx?DetailID=894)

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Parks Canada

Upcoming Internal Audits and Evaluations

Upcoming Internal Audits


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Law Enforcement Program Assurance On-going May 2011
Revenue Management (leases and concessions & other revenue) Assurance On-going May 2011
Revenue Management (canals) Assurance Planned December 2011
Geographical Information System (GIS) – system under development Assurance Planned June 2011
Management and Administration of HR controls  – Newfoundland West and Labrador Field Unit Assurance Planned May 2011
Management and Administration of HR controls – Eastern Ontario Field Unit Assurance Planned May 2011
Management and Administration of HR controls – Southwest NWT Field Unit Assurance Planned June 2011
Management and Administration of HR controls – Newfoundland East Field Unit Assurance Planned March 2012
Trans-Canada Highway Twinning Assurance Planned March 2012
Sustainable HR policies and HR Planning Description and survey Planned March 2012
Collaborative arrangements and managing with others Description and survey Planned March 2012
Management and Administration of HR controls – Central Ontario Assurance Planned March 2012
Management and Administration of HR controls – Gwaii Haanas Assurance Planned March 2012
Management and Administration of HR controls – Saskatchewan South Field Unit Assurance Planned March 2012
Management and Administration of HR controls – Hot Springs Enterprise Assurance Planned March 2012
Cultural Resources and Artifacts Information Assurance Planned March 2012
Transfer Payments Assurance Planned March 2012
Management and Administration of HR controls – Cape Breton Field Unit Assurance Planned March 2013
Management and Administration of HR controls – New Brunswick North Field Unit Assurance Planned March 2013
Management and Administration of HR controls – Gaspésie Field Unit Assurance Planned March 2013
Management and Administration of HR controls – Ontario Service Centre Assurance Planned March 2013
Management and Administration of HR controls – Office of DG Eastern Canada Assurance Planned March 2013

Electronic Link to Internal Audit Plan: http://www.pc.gc.ca/docs/pc/rpts/rve-par/iap-2010-2011_e.asp

Upcoming Evaluations


Name of Evaluation and Link to Report Program Activity Status Expected Completion Date
Through Waterways Management PA 5 Townsite and Throughway Infrastructure In progress May 2011
National Park Establishment and Expansion PA 1 Heritage Places Establishment Planned September 2011
National Parks Conservation PA 2 Heritage Resources Conservation Planned March 2012
National Historic Sites Cost-Sharing PA 2 Heritage Resources Conservation Planned March 2012
Visitor Experience: Interpretation Programming PA 4 Visitor Experience Planned March 2013
Public Safety PA 4 Visitor Experience Planned March 2013
Law Enforcement Horizontal program covering more than one program activity Planned March 2014
Public Appreciation and Understanding PA 3 Public Appreciation and Understanding Planned March 2014
Trans-Canada Highway Twinning Project PA 5 Townsite and Throughway Infrastructure Planned March 2014
National Marine Conservation Area Establishment PA 1 Heritage Places Establishment Planned March 2015
National Marine Conservation Area Sustainability PA 2 Heritage Resources Conservation Planned March 2015
National Historic Sites Conservation PA 2 Heritage Resources Conservation Planned September 2015
Prevention Horizontal program covering more than one program activity Planned September 2015

Electronic link to evaluation plan: http://www.pc.gc.ca/docs/pc/rpts/rve-par/ep-2010-2011_e.asp

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Parole Board of Canada

Upcoming Internal Audits[1] and Evaluations


Subject Status Expected Completion Date Electronic Link to Report
Evaluation of the initiative in the Prairies in the use of electronic case files Planned March 31, 2013 will be provided when available
Horizontal Audit of Integrated Business and HR Planning and Analysis Planned June 30, 2012 will be provided when available


[1] The Parole Board of Canada (PBC) as a small department is covered by the Small Departments and Agencies (SDAs) Initiative of the Office of the Comptroller General. The Treasury Board Policy on Internal Audit requires the Comptroller General to lead horizontal audits in SDAs. Horizontal audits are designed to address risks that transcend individual departments in order to report on the state of governance, controls and risk management across the Government of Canada.

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Patented Medicine Prices Review Board

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Evaluations over the next three fiscal years


Name of Evaluation and Link to Report Program Activity Status Expected Completion Date
Evaluation of the Compliance and Enforcement Program and the Pharmaceutical Trends Analysis Program Program Activity 1: Compliance and enforcement of non-excessive prices for patented drug products

Program Activity 2: Pharmaceutical trends analysis
Planned for 2011-2012. Data is currently being collected. March 31, 2012, with final report completed by June 30, 2012.
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Privy Council Office

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Cabinet Papers and Confidences Assurance – Program/Activity Planned 2011/12
Audit of Corporate Governance and Accounting Officer Responsibilities Assurance - Internal Service Planned 2011/12
Audit of Risk Management Assurance - Internal Service Planned 2011/12
Audit of Security Assurance - Internal Service Planned 2012/13
Audit of Financial Planning and Forecasting Assurance - Internal Service Planned 2012/13
Audit of Accommodation Management and Building Services Assurance - Internal Service Planned 2012/13
Audit of IT Management and Service Delivery Assurance - Internal Service Planned 2012/13

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity 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. 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. Upcoming Internal Audits Over the Next Three Fiscal Years

The following audits were included in the Risk Based Audit Plan 2010-2015 approved in March 2010. The plan is reviewed annually. The annual review and update on planned audits may result in modification to audits conducted.

Internal Audit Type Status Expected Completion Date
Audit of International Activities Program In progress June 2011*
Audit of Immunization Programs Program Planned September 2011
Audit of Laboratory Health and Safety Program Planned September 2011
Audit of Financial Resource Allocation Process Internal Services Planned December 2011**
Audit of Risk Management Framework Internal Services Planned December 2011
Audit of the Management and Control of IM/IT Systems Development Internal Services Planned March 2012
Audit of Human Resources Management Internal Services Planned March 2012
Audit of Pandemic Preparedness Program Planned June 2012
Audit of HR System Information Internal Services Planned September 2012
Audit of the Observatory of Best Practices Program Planned December 2012
Audit of Regional Operations Program Planned December 2012
Audit of Values and Ethics and Conflict of Interest Internal Services Planned March 2013
Audit of Injury Prevention Program Planned March 2013
Audit of Business Continuity Planning Internal Services Planned June 2013
Audit of Science and Scientific Research Program Planned September 2013
Audit of Training and Learning Internal Services Planned December 2013
Audit of Knowledge Information and Data Systems Activities Internal Services Planned March 2014
Audit of Public Health Workforce Program Planned March 2014
Audit of Mental Health Program Planned March 2014

* The expected completion date of the Audit of International Activities has been revised from March 2011 to June 2011.

** The expected completion date of the Audit of Financial Resource Allocation Process has been revised from June 2011 to December 2011.

Electronic Link to Internal Audit Plan: N/A

B. All Upcoming Evaluations Over the Next Three Fiscal Years

Additional evaluations may be conducted within the three-year horizon pending approval of the update to the rolling PHAC Evaluation Plan. Similarly, timelines may be revised.

Evaluation Type Status Expected Completion Date
Evaluation of the Avian and Pandemic  Influenza Preparedness Program Grants and Contributions PAA – SSA 1.3.2.1
Horizontal – PHAC-led
In Progress March 2012
Evaluation of the National Emergency Stockpile System PAA – SA 1.6.3 In Progress March 2012
Evaluation of Aging and Seniors Program PAA – SA 1.4.4 Planned March 2012
Evaluation of the Food-Borne Disease Prevention and Control Program (including Listeriosis) Cross cutting Planned March 2012
Evaluation of Avian Influenza and Pandemic Influenza Preparedness Program PAA – SSA 1.3.2.1
Horizontal – PHAC-led
Planned March 2012
Evaluation of the Field Services Program PAA – SSA 1.2.1.3, SA 1.3.1, SSA 1.3.2.2, SSA 1.5.3.1, SSA 1.6.1.1, SSA 1.6.2.3 Planned March 2012
Evaluation of Public Health Surveillance PAA – SA 1.2.1 Planned March 2012
Evaluation of the Family Violence Initiative PAA – SSA 1.4.1.2
Horizontal – PHAC-led
Planned March 2012
Evaluation of the Aboriginal Head Start in Urban and Northern Communities Program PAA – SSA 1.4.3.3 Planned March 2013
Evaluation of the Community Associated Infections (including Hepatitis C Prevention, Support and Research Programs Gs & Cs and Canadian HIV Vaccine Initiative Gs & Cs; excluding the Federal Initiative to Address HIV/AIDS in Canada) PAA – SSA 1.5.3.3 Planned March 2013
Evaluation of the Immunization and Respiratory Infections Programs (including the National Immunization Strategy) PAA – SSA 1.5.3.1, SSA 1.5.3.2 Planned March 2014
Evaluation of Public Health Tools (including National Collaborating Centres for Public Health and the Public Health Scholarships Capacity Building Gs & Cs programs) PAA – SSA 1.3.1.2 Planned March 2014
Evaluation of the Federal Initiative to address HIV/AIDS PAA – SSA 1.5.3.3 Planned March 2014
Evaluation of the Healthy Living Program (including the Integrated Strategy on Healthy Living and Chronic Disease Gs & Cs) PAA – SSA 1.4.1.1 Planned March 2014
Evaluation of the Fetal Alcohol Spectrum Disorder Initiative PAA – SSA 1.4.3.4 Planned March 2014
Evaluation of the Gs & Cs component of Chronic Disease Prevention and Mitigation (including the Integrated Strategy on Healthy Living and Chronic Disease Gs & Cs, the Targeted and Immediate Action for Lung and Neurological Diseases Gs & Cs and the Canadian Cancer Society Research Institute for the Canadian Breast Cancer Research Alliance Gs & Cs) PAA – SA 1.5.1 Planned March 2014
Evaluation of the Pathogens and Toxins Program PAA – SSA 1.6.1.3 Planned March 2014

Electronic Link to Evaluation Plan: N/A

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Public Safety Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Expenditure Controls over Grants and Contribution Programs Assurance In progress April 2011
Talent Management Assurance In progress May 2011
National Crime Prevention Strategy Program Assurance In progress June 2011
Financial Planning, Forecasting, and Monitoring Assurance Planned September 2011
Critical Infrastructure Initiative – Project Management Controls Assurance Planned October 2011

Exercises and Lessons Learned

Assurance Planned December 2011
Audit of Government-wide Business Continuity Planning Guidance and Oversight Assurance Planned November 2012
Lessons Learned from the RCMP Contract Negotiations Process Consulting Planned March 2013
Regional Relationship Management Assurance Planned August 2013

 

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Grants Program to National Voluntary Organizations Grants Program – Countering Crime Ongoing September 30, 2011
Policy Development Contribution Program Contribution Program – All PAs Ongoing September 30, 2011
International Association of Firefighters – Canada Contribution Program – Emergency Management Planned March 31, 2012
Disaster Financial Assistance Arrangements Program Contribution Program – Emergency Management Planned March 31, 2012
Critical Infrastructure Protection / Emergency Preparedness Emergency Management Planned March 31, 2012
Emergency Management – Core I / Core II Emergency Management Planned March 31, 2012
National Flagging System Countering Crime Planned March 31, 2012
Federal Policy for Emergency Management Policy – Emergency Management Planned March 31, 2013
Chemical, Biological, Radiological, Nuclear Training Emergency Management Planned March 31, 2013
Initiative to Combat Contraband Tobacco Countering Crime Planned March 31, 2013
Security Cost Framework Policy Policy – Countering Crime Planned March 31, 2013
National Crime Prevention Strategy Strategy – Countering Crime Planned March 31, 2013
Joint Emergency Preparedness Program Contribution Program – Emergency Management Planned March 31, 2014
National Strategy for the Protection of Children from Sexual Exploitation on the Internet Strategy – Countering Crime Planned March 31, 2014
Lawful Access National Security Planned March 31, 2014

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Public Service Commission of Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

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 http://www.psc-cfp.gc.ca/abt-aps/inta-veri/index-eng.htm.

The table below gives the status of audits planned for 2011-2012 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.

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Management of Audit and Data Services Branch Fundamental controls Planned Q1 – 2011-2012
Human Resources Planning Fundamental controls Planned Q1 – 2011-2012
Delegated Appointment Authorities Program management Planned Q3 – 2011-2012
Integration and Coordination Program management Planned Q4 – 2011-2012
Horizontal audits (various, led by the Office of the Comptroller General (OCG)) Fundamental controls TBD As directed by the OCG, which will identify participating organizations.
Access to Information and Privacy Fundamental controls Outlook Q3 – 2011-2012
Information Management Fundamental controls Outlook Q4 – 2011-2012
General Recruitment Program management Outlook Q2 – 2011-2012
Oversight Coordination Program management Outlook Q3 – 2011-2012
Appointment Priority Administration Program management Outlook Q4 – 2011-2012

Electronic Link to Internal Audit Plan: http://www.psc-cfp.gc.ca/abt-aps/inta-veri/index-eng.htm.

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Central Recruitment:
Federal Student Work Experience Program (FSWEP), Research Affiliate Program (RAP), and Cooperative Education and Internship Program (Evaluation)
Direct Program Spending Framework under development 2011-2012
EX Resourcing (Evaluation) Direct Program Spending Framework under development 2011-2012
Political Activities (Framework) Direct Program Spending Planned 2011-2012
Information Management
Records, Documents and Information Management System (RDIMS) Project and Strategy (Evaluation)
Direct Program Spending Planned 2011-2012
Delegated Authorities and Strategic Staffing (Framework) Direct Program Spending Planned 2011-2012
Assessment (facilitate Peer Review Personnel Psychology Center (PPC)) Direct Program Spending Planned 2011-2012
Corporate Management Practices Evaluation – Program Evaluation (Peer Review) Direct Program Spending Planned 2011-2012
Staffing Services (monitoring – Departmental Staffing Accountability Report [DSAR] and Staffing Management Accountability Framework [SMAF]; Framework) Direct Program Spending Planned 2012-2013
General Recruitment (Sector Framework) Direct Program Spending Planned 2012-2013
Library (Framework) Direct Program Spending Planned 2012-2013
Delegated Authorities and Strategic Staffing (Evaluation) Direct Program Spending Planned 2012-2013
Commission and Corporate Secretariat: Access to Information and Privacy (ATIP), Ombudsman, Value and Corporate Secretariat (Framework) Direct Program Spending Planned 2012-2013
Data Management Services (Framework) Direct Program Spending Planned 2012-2013
Human Resources Management (Framework) Direct Program Spending Planned 2012-2013
Staffing Services (Evaluation) Direct Program Spending Planned 2013-2014
General Recruitment (Evaluation) Direct Program Spending Planned 2013-2014
Human Resources Management (Evaluation) Direct Program Spending Planned 2013-2014
Review of the Oversight function Direct Program Spending Planned 2013-2014
Review the state of Performance Measurement at the PSC and reporting to the Executive Management Committee (EMC) Direct Program Spending Planned Recurrent

Electronic link to evaluation plan: http://www.psc-cfp.gc.ca/abt-aps/inev-evin/plan-eng.htm.

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Public Works and Government Services Canada

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years

Name of Internal Audit Internal Audit Type Status Expected Completion Date
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
Attest Audit of the Financial Statements for the Translation Bureau Revolving Fund for Fiscal Year ended March 31, 2013 Financial Planned September 2013
Attest Audit of the Financial Statements for the Real Property Disposition Revolving Fund for Fiscal Year ended March 31, 2013 Financial Planned September 2013
Attest Audit of the Financial Statements for Consulting and Audit Canada Revolving Fund for Fiscal Year ended March 31, 2013 Financial Planned September 2013
Attest Audit of the Financial Statements for the Telecommunications and Informatics Common Services Revolving Fund for Fiscal Year ended March 31, 2013 Financial Planned September 2013
Attest Audit of the Financial Statements for the Optional Services Revolving Fund for Fiscal Year ended March 31, 2013 Financial Planned September 2013
Attest Audit of the Financial Statements for the Real Property Services Revolving Fund for Fiscal Year ended March 31, 2013 Financial Planned September 2013
Annual Attest Audit of the Financial Report of Administrative Costs Chargeable to the Canada Pension Plan for Fiscal Year ended March 31, 2013 Financial Planned December 2013

All upcoming Evaluations over the next three fiscal years

Name of Evaluation Program Type Status Expected Completion Date
       
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RCMP External Review Committee

Upcoming Internal Audits and Evaluation over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
1. The Office of the Comptroller General is conducting a horizontal internal audit of Information Management in Small Departments and Agencies including the RCMP External Review Committee. audit ongoing April 2011
2. The Office of the Comptroller General is conducting a horizontal internal audit of performance management in Small Departments and Agencies including the RCMP External Review Committee. audit ongoing April 2012
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Royal Canadian Mounted Police

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Directed Audit of Investment Plan Operational - Assurance Engagement In progress March 2011
Pension Administration Outsourcing Project Operational - Assurance Engagement In progress March 2011
Major Events Audit Financial Assurance Engagement Delayed TBD
Personnel Security Operational - Assurance Engagement In progress June 2011
Quality of Human Resources Personnel Data Operational - Assurance Engagement In progress June 2011
Technological Crime Program Operational - Assurance Engagement In progress September 2011
Business Continuity Planning Operational - Assurance Engagement Planned September 2011
Annual Audit of Sensitive Expenditures 2010-2011 Operational - Assurance Engagement Planned Fall 2011
Financial Allocation and SEC Prioritization Processes and Controls Financial Assurance Engagement Planned Winter 2012
Preliminary Assessment of IM/IT Data Quality Controls Operational - Assurance Engagement Planned Winter 2012
Adequacy and Effectiveness of the Integrated Risk Management Framework Operational - Assurance Engagement Planned Spring 2012
HR Planning Framework Operational - Assurance Engagement Planned Spring 2012
Preliminary Assessment of Internal Controls for Financial Reporting Financial Assurance Engagement Planned Spring 2012
Small Border Declaration Activities Operational - Assurance Engagement Planned Summer 2012
Reliability and Data Integrity of CPIC Information Operational - Assurance Engagement Planned Fall 2012
Annual Audit of Sensitive Expenditures 2011-2012 Operational - Assurance Engagement Planned Fall 2012
Performance of Professional Standards and Public Complaints Investigations Operational - Assurance Engagement Planned Winter 2013
Information to Support Aboriginal Contracting Operational - Assurance Engagement Planned Winter 2013
Effectiveness and Efficiency of the Executive Officer Development and Resourcing Program Operational - Assurance Engagement Planned Winter 2013
Efficiency and Effectiveness of Intelligence Coordination and Sharing Operational - Assurance Engagement Planned Winter 2013
IT Security follow-up – Management Action Plans Operational - Assurance Engagement Planned Spring 2013
Internal Controls for Financial Reporting – Follow-up to the preliminary assessment Financial Assurance Engagement Planned Spring 2013

Electronic Link to Internal Audit Plan: N/A

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Alberta Health Care – Members Benefits Pilot 4.1.2.1 Human Resource Management In progress June 2011
Border Integrity Pilot 1.1.2.2 Border Integrity In progress June 2011
Marine Security Emergency Response Teams 1.1.2.2 Border Integrity Not yet started October 2011
Great Lakes Marine Security Operations Centre 1.1.2.2 Border Integrity In progress June 2011
Coastal Marine Security Operations Centres 1.1.2.2 Border Integrity In progress November 2011
National Counterfiet Enforcement Strategy 1.1.2.3 Financial Crime Not yet started June 2011
Managing Immigration Pressures in North America 1.1.2.4 Federal Crime Enforcement Not yet started March 2012
Aboriginal Shield 1.1.2.1 Drugs and Organized Crime In progress September 2011
Witness Protection Program 1.1.2.1 Drugs and Organized Crime Not yet started October 2011
Field Coaching Program 4.1.2.1 Human Resource Management Not yet started October 2011
Harassment Policy 4.1.2.1 Human Resource Management Not yet started August 2012
Youth Officer Program 1.1.1.1 Provincial/Territorial Policing Not yet started August 2011
Deal.Org 1.1.2.1 Drugs and Organized Crime Not yet started September 2011
Change Management 4.1.1.1 Management and Oversight Not yet started October 2011
Fiscal Year 2012-2013
Name of Evaluation Program Activity Status Expected Completion Date
Initiative to Combat Contraband Tobacco 1.1.2.4 Federal Crime Enforcement Not yet started March 2013
National Security 1.1.2.5 National Security Not yet started March 2013
Disclosure and Major Case Management 1.1.3.4 Disclosure and Major Case Management Not yet started March 2013
Operational Readiness and Response 1.1.3.6 Operational Readiness and Response Not yet started March 2013
Criminal Intelligence 1.2.1.6 Criminal Intelligence Not yet started March 2013
International Stability and Development 2.1.1 International Stability and Development Not yet started March 2013
Management and Oversight 4.1.1.1 Management and Oversight Not yet started March 2013
Communication 4.1.1.2 Communication Not yet started March 2013
Fiscal Year 2013-2014
Name of Evaluation Program Activity Status Expected Completion Date
Aboriginal Policing 1.1.1.3 Aboriginal Policing Not yet started March 2014
Flight Operations 1.1.3.3 Flight Operations Not yet started March 2014
Airport Policing 1.1.1.4 Airport Policing Not yet started March 2014
Drugs and Organized Crime 1.1.2.1 Drugs and Organized Crime Not yet started March 2014
Refugee Reform 1.1.2.2 Border Integrity Not yet started March 2014
Financial Crime 1.1.2.3 Financial Crime Not yet started March 2014
National Strategy for the Protection of Children from Sexual Exploitation on the Internet 1.2.1.8 Canadian Police Centre for Missing and Exploited Children Not yet started March 2014
Lawful Access 1.1.3.1 Technical Investigations Not yet started March 2014
Covert Operations 1.1.3.7 Covert Operations Not yet started March 2014
Americas Strategy 2.1.1.1 International Police Operations Not yet started March 2014
Information Management 4.1.2.3 Information Management Not yet started March 2014
War Crimes 1.1.2.4 Federal Crime Enforcement Not yet started March 2014

Electronic link to evaluation plan: Not yet available

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Social Sciences and Humanities Research Council

Upcoming Internal Audits and Evaluations over the Next Three Fiscal Years

SSHRC Internal Audits

All upcoming internal audits over the next three fiscal years.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Corporate Information Management Information Management In progress April 2011
Audit of Corporate Governance in SSHRC Governance Planned June 2011
Audit of Integrated Business Planning in SSHRC Business Planning Planned September 2011

In 2008-09, the Natural Sciences and Engineering Research Council and the Social Sciences and Humanities Research Council (SSHRC) completed a merger of their internal audit units, creating a shared Corporate Internal Audit Division (CIAD). In 2009, CIAD developed SSHRC’s 2009-10 Risk-Based Audit Plan (RBAP). The audits mentioned above reflect the current planned audits. In late 2010, CIAD began developing SSHRC’s multiyear RBAP based on information gleaned from the recently completed corporate risk profile. This RBAP is tentatively slated for completion in March 2011, covering fiscal years 2011-12 to 2014-15. Since the RBAP is still in its developmental stage, audit plans for 2012 and beyond will be updated in the 2012-13 Report on Plans and Priorities.

Electronic Link to Internal Audit Plan

SSHRC internal audits
Audit of the Enterprise Management System (EAMS) Project

SSHRC Evaluations

All upcoming evaluations over the next three fiscal years.


Name of Evaluation and Link to Report Program Activity Status Expected Completion Date
Evaluation of Prizes and Special Fellowships 1.1 Fellowships, Scholarships and Prizes In progress July 2011-12
Evaluation of the Postdoctoral Fellowships Program 1.1 Fellowships, Scholarships and Prizes In progress January 2011-12
Evaluation of Strategic Knowledge Clusters 3.2 Research Networking Pending April 2012
Evaluation of the Canada Graduate Scholarships Program 1.1 Fellowships, Scholarships and Prizes Pending December 2012
Evaluation of the Georges Philias Vanier Canada Graduate Scholarships Program 1.1 Fellowships, Scholarships and Prizes Pending December 2012
Evaluation of the Centres of Excellence for Commercialization and Research 3.2 Research Networking Pending March 2012
Evaluation of Canada Excellence Research Chairs 1.2 Research Chairs Pending April 2013
Evaluation of Business-Led Networks of Centres of Excellence 3.2 Research Networking Pending March 2014
Evaluation of Networks of Centres of Excellence 3.2 Research Networking Pending March 2014
Evaluation of Indirect Costs Program 4.1 Indirect Costs of Research Pending January 2014
Evaluation of College and Community Innovation 3.2 Research Networking Pending March 2013

All evaluation reports are or will be posted in the Publications section of SSHRC's website.

Electronic Link to Evaluation Plan

SSHRC’s Evaluation Plan is posted on SSHRC's website.

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Statistics Canada

Upcoming internal audits and evaluations over the next three fiscal years

Internal Audits over the next three fiscal years


Name of internal audit Type of internal audit Status Expected completion date
Audit of infrastructure services tax data Program audit Planned 2011/2012
Audit of quality assurance practices Horizontal program audit Planned 2011/2012
Audit of management of change Office of the Comptroller General horizontal audit Planned 2011/2012
Audit of overtime and leave Financial audit Planned 2011/2012
Audit of census, including census of agriculture Program audit Planned 2012/2013
Audit of regional operations-collection services, including response burden Program audit Planned 2012/2013
Information technology optimization (including corporate business architecture) Program audit Planned 2012/2013

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. The biennial program report updates the quadrennial program reviews at mid-cycle.

The following table provides a list of planned program evaluations over the next three fiscal years.

Name of Evaluation Expected completion date
2011/2012 2012/2013 2013/2014
1 Economic Statistics
1.1.1 Income and Expenditure Accounts ... ...
1.1.2 Environment Accounts and Statistics ... ...
1.1.3 Balance of Payments ...
1.1.4 Public Institutions Statistics ...
1.1.5 Industry Accounts ... ...
1.2.0 Analytical Studies ... ...
1.3.1 Manufacturing, Construction and Energy Statistics ...
1.3.2 Distributive Trades Statistics ...
1.3.3 Service Industries Statistics ...
1.4.1 Prices Statistics ...
1.4.2 International Trade Statistics ...
1.4.3 Investment and Capital Stock Statistics ... ...
1.4.4 Industrial Organization and Finance Statistics ... ...
1.5.1 Agriculture Statistics ... ...
1.5.2 Small Business and Special Surveys ... ...
1.5.3 Science, Innovation and Electronic Information Statistics ... ...
1.5.4 Transportation Statistics ... ...
2 Social Statistics
2.1.1 Justice Statistics ...
2.1.2 Culture Statistics ...
2.1.3 Tourism Statistics ... ...
2.1.4 Education Statistics ... ...
2.2.0 Health Statistics ... ...
2.3.0 General Social Characteristics Statistics ...
2.4.1 Special Surveys ...
2.4.2 Income Statistics ...
2.4.3 Labour and Household Surveys Analysis ...
2.4.4 Labour Statistics ...
2.5.0 Socioeconomic Analysis ... ...
3 Census, Demography and Aboriginal Statistics
3.1.0 Census of Agriculture ... ...
3.2.0 Demography ...
3.3.0 Aboriginal Statistics ...
3.4.0 Census of Population ... ...
4 Internal Services
4.1.1 Management and Oversight Services ...
4.1.2 Communications Services
4.2.1 Human Resources Management Services ... ...
4.2.2 Financial Management Services ...
4.2.3 Information Management Services
4.3.1 Materiel Services ...
4.3.2 Acquisition Services ...
5 Corporate Infrastructure Services1
Methodology ...
Standards ... ...
Geography ... ...
Collection and Regional Services ... ...
Collection Systems and Infrastructure ...
Systems Development ...
Information Technology Systems ... ...
Operations and Integration ...
Tax Data ... ...
Business Register ... ...
Enterprise Statistics ...
Microdata Access ... ...
International Relations ... ...
… not applicable
√ program evaluation is planned
1. Corporate Infrastructure Services are defined as costs that cannot be linked to a specific program subactivity.

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Status of Women 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
Core control audits Assurance Planned 2011–2012

B. All upcoming evaluations over the next three fiscal years


1.
Name of evaluation
2.
Program activity
3.
Status
4.
Expected completion date
Summative evaluation Women’s participation in Canadian society In progress 2011–2012

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Transport Canada

Internal Audits and Evaluations

All upcoming Internal Audits over the next three fiscal years

Audit and Advisory Services has developed an audit plan for 2010-2011 to 2012-2013, which was approved by the Audit Committee in June 2010. The audit plan is reviewed yearly, which may result in revisions, updates or changes as required or requested by the Audit Committee. 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, and the Public Service Commission. Internal audits examine issues related to governance, risk management and controls in support of the Department’s strategic outcomes, programs, activities and management processes. As per the Policy on Internal Audit, audit reports are posted on Transport Canada’s website, subject to the provisions of the Access to Information Act and the Privacy Act.

Internal Audit 2010-2011
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Aviation Security Regulatory Oversight Assurance In progress January 2011
Marine Safety Delegation of Authority Assurance In progress March 2011
Financial Controls - Procurement Assurance In progress March 2011
Information Management and Information Technology Project Management Lifecycle Assurance In progress June 2011

Internal Audit 2011-2012
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Follow-up Audit of Vehicle Fleet Management Within Transport Canada Assurance Planned April 2011
Financial Controls – Capital Assets Assurance Planned October 2011
Financial Controls - Payrolls Assurance Planned To be confirmed
Post-Implementation Audit of the Program Centre of Excellence Assurance Planned To be confirmed
Values and Ethics Assurance Planned To be confirmed

Internal Audit 2012-2013
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Financial Management Governance Assurance Planned To be confirmed
Management Control Framework Aviation Safety Oversight Assurance Planned To be confirmed
Management Control Framework of Marine Security Assurance Planned To be confirmed

Future internal audit activities for 2011-2012 and 2012-2013 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.

All upcoming Evaluations over the next three fiscal years


Evaluations 2010-2011
Name of Evaluation Program Activity Status Expected Completion Date
Marine Safety Regulations Framework and Oversight Cluster evaluation - A-base funding In Progress November 2010
Rail Passenger Services Stewardship Cluster evaluation - A-base funding and a contribution program In Progress November 2010
Civil Business Aviation Association Continuing Program Contribution program In Progress November 2010
Horizontal Evaluation of Clean Transportation Theme Cluster evaluation - A-base funding In Progress November 2010
Transportation of Dangerous Goods Cluster evaluation - A-base funding In Progress March 2011
Airport Infrastructure Programs Cluster evaluation - A-base funding and a contribution program In Progress March 2011
Road Safety – Regulatory Framework, Oversight and Outreach Cluster evaluation - A-base funding In Progress March 2011
Air Cargo Security – Economic Action Plan Funding Major crown project In Progress March 2011
Case Studies of Railway Stimulus Funding Projects Contribution program In Progress March 2011
Environmental Stewardship Program Activity Cluster evaluation - A-base funding In Progress March 2011
Grant to the Province of British Columbia for the Provision of Ferry Services Grant Planned March 2011
Rail Safety Regulatory Framework and Oversight Cluster evaluation - A-base funding Planned March 2012

Evaluations 2011-2012
Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of the Transportation Association of Canada Multi-Year Transfer Payment Program Contribution program Planned March 2012
Evaluation of Transportation Innovation Program Activity Cluster evaluation - A-base funding 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 Fisheries and Oceans Canada A-base funding Planned March 2012
Evaluation of Moving on Sustainable Transportation Program Contribution program Planned March 2012
Blue Sky International Air Transportation Policy Policy evaluation Planned March 2012
Marine Security Coordination, Regulation and Oversight Cluster evaluation - A-base funding Planned March 2012
Surface and Intermodal Security Cluster evaluation - A-base funding Planned March 2012
Evaluation of the Gateways and Border Crossings Fund Contribution program Planned March 2013
Evaluation of Marine Infrastructure Programs Cluster evaluation - A-base funding Planned March 2013
Evaluation of Port Operations Contribution program Planned March 2013
Evaluation of Aviation Safety Regulatory Framework and Oversight A-base funding Planned March 2013
Evaluation of Aviation Security Program Activity Cluster evaluation - A-base funding and a contribution program Planned March 2013

Evaluations 2012-2013
Name of Evaluation Program Activity 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 funding Planned March 2013
Contribution in Support of 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
Navigable Waters Protection A-base funding Planned March 2014
Aviation Security – Regulatory Framework and Oversight Cluster evaluation - A-base funding Planned March 2014
Airports Capital Assistance Program Contribution program Planned March 2014
Airport Policing Assistance Contribution program Planned March 2014
Outaouais Roads Agreement Contribution program Planned March 2014
Gateways and Border Crossings Fund Contribution program Planned March 2014

Electronic link to evaluation plan: Evaluation and Advisory Services’ five-year Departmental Evaluation Plan from 2009-2010 to 2013-2014 is available on the Department’s website.

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Treasury Board of Canada Secretariat

Upcoming Internal Audits and Evaluations Over the Next Three Fiscal Years

Internal Audits

The following audits were included in the Secretariat's Risk-Based Audit Plan for
2010–13, which was approved in May 2010. Periodic updates to the Risk-Based Audit Plan may result in modifications to planned audit engagements.  

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Governance of the Public Service Pension Plan Assurance Planning June 2011
Audit of Business Continuity and Emergency Preparedness Assurance Planning September 2011
Audit of Contracting Assurance Planned March 2012
Audit of HR Planning, Recruitment and Staffing Assurance Planned March 2012
Audit of IM/IT Governance Assurance Planned March 2012
Audit of Travel Expense Policy Compliance Assurance Planned March 2012
Audit of IT Security Assurance Planned March 2013
Audit of Disaster Recovery Assurance Planned March 2013
Audit of Management of the Public Service Health Care Plan Assurance Planned March 2013
Audit of Integrated Risk Management Assurance Planned March 2013

Evaluations

The following evaluations are included in the Secretariat's 2009–10 multi-year evaluation plan, which is currently under review.

Name of Evaluation Program Activity Status Expected Completion Date
Policy Monitoring Framework Management Frameworks Under review February 2012
Compensation Management People Management – Comprehensive Management of Compensation In progress March 2012
Cabinet Directive on Streamlining Regulation (summative evaluation) Management Frameworks – Regulatory Management Planned March 2013
Accrual Budgeting and Appropriations Financial Management – Financial Management, Oversight and Reporting Planned March 2013
Management of Central Funds Government-Wide Funds and Public Service Employer Payments Under review March 2013
Management of Government Security Management Frameworks – Government Security Planned March 2013
Leadership Development Framework People Management – Direction Setting Planned March 2014
Research and Policy Initiatives Assistance Internal Services – Resource Management Services Planned March 2014

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Veterans Affairs Canada

Internal Audits

Internal Audit commitments April 1, 2011 to March 31, 2013*


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Corporate Risk Review Internal Audit Report Writing April 2011
Ex-Gratia Payments Audit Internal Audit Report Writing April 2011
FHCPS Provider Audit Program Audit Report Writing April 2011
Responsibility Centre Audit II Internal Audit Report Writing April 2011
Information Management Internal Audit In progress June 2011
Long Term Care Community Facilities Program Audit To begin in 2011-2012 October 2011
IT Continuity Internal Audit To begin in 2011-2012 July 2011
Ste Anne's Hospital (Financial Systems) Internal Audit To begin in 2011-2012 July 2011
Canada Remembers- Private Sector Partnerships Program Audit To begin in 2011-2012 July 2011
Earning Loss Program Audit To begin in 2011-2012 Feb 2012
HR Acting Assignments Internal Audit To begin in 2011-2012 February 2012
CSDN System Audit Internal Audit To begin in 2012-2013 May 2012
Medications at Ste. Anne`s Hospital Program Audit To begin in 2012-2013 June 2012
Disability Awards Program Audit To begin in 2012-2013 March 2013
Governance-Planning and Decision-Making Structure Internal Audit To begin in 2012-2013 March 2013
Health Care Treatment Benefits (POC) Program Audit To begin in 2012-2013 March 2013
Conflict of Interest Internal Audit To begin in 2012-2013 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

* Internal Audits based on approved Veterans Affairs Canada Multi-Year Risk-Based Internal Audit Plan FY`s 2010-2013.

Evaluations

Evaluation commitments April 1, 2011 to March 31, 2014*


Name of Evaluation Program Type Status Expected Completion Date
Evaluation of the Veterans Independence Program Grants and Contributions Fieldwork April 2011
Evaluation of the Office of Veterans Ombudsman Direct Program Spending Oversight Role March 2012
Evaluation of Case Management Direct Program Spending To begin April 2011 December 2011
Evaluation of the Mental Health Strategy Strategic Policy Development To begin July 2011 December 2011
Evaluation of the Management of Performance Measurement at VAC Direct Program Spending To begin April 2011 September 2011
Evaluation of Remembrance Outreach Partnerships Grants and Contributions To begin April 2011 September 2011
Evaluation of Remembrance Outreach Information Products and learning Initiatives Direct Program Spending To begin April 2011 September 2011
Evaluation of Remembrance Outreach Ceremonies and Events Direct Program Spending To begin April 2011 September 2011
Evaluation of the Human Resources Function: Departmental Integrated HR Planning Direct Spending To begin April 2011 September 2011
Evaluation of Bureau of Pensions Advocates Direct Program Spending To begin October 2011 March 2012
Health Care (Treatment) Benefits and Services Evaluation Grants and Contributions To begin April 2012 March 2013
Long Term Care Evaluation Grants and Contributions To begin April 2012 December 2012
Evaluation of Ste. Anne’s Hospital Direct Program Spending To begin April 2012 March 2013
Memorials and Cemetery/Grave Maintenance Evaluation Grants and Contributions To begin July 2012 December 2012
Data Collection & Data Analysis Evaluation Direct Program Spending To begin April 2012 December 2012
War Veterans Allowance & Veterans Financial Assistance Evaluation Grants and Contributions To begin April 2013 September 2013
Evaluation of Veterans Affairs Canada European Operations Direct Program Spending To begin April 2013 March 2014
Disability and Death Allowances and Compensation Evaluation Grants and Contributions To begin July 2013 December 2013
Evaluation of the Funeral and Burial Program Grants and Contributions To begin July 2013 December 2013
Evaluation of VAC Policy Development and Support Direct Program Spending To begin July 2013 March 2014
Evaluation of Rehabilitation Program in comparison with Care in Provinces Grants and Contributions To begin July 2013 March 2014
Evaluation of Disability Pension Program Grants and Contributions To begin July 2013 March 2014

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

* Evaluations based on approved Veterans Affairs Canada Multi-Year Risk-Based Evaluation Plan FY's 2010-2015.

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Western Economic Diversification Canada

Upcoming Internal Audits and Evaluations (2011-12 to 2013-14)

All Upcoming Internal Audits over the next three fiscal years

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Regional Operations -
Ottawa Liaison Office
Management Audit Planned September 2011
Staff Development Strategies
and Processes
Management Audit Planned September 2011
Grants and Contributions -
Performance Information
Program Audit Planned December 2011
Follow-up Audit -
Financial Readiness Assessment
Management Audit Planned December 2011
Canada Business Service Centres Management Audit Planned December 2011
Departmental Performance Measurement Management Audit Planned March 2012
Grants and Contributions -
Due Diligence Approval Process
Program Audit Planned September 2012
Communications Management Audit Planned September 2012
Conditional Grants Program Audit Planned December 2012
Resource Planning and Allocation Management Audit Planned December 2012
Follow-up Audit -
Infrastructure Programs
Program Audit Planned March 2013
Year-End Procedures Management Audit Planned March 2013

Electronic Link to Internal Audit Plan: http://www.wd.gc.ca/eng/11324.asp

Note: WD’s Risk Based Audit Plan is a rolling three-year plan. The above list of audits was based on the 2010-13 Plan. The 2011-14 Plan will be approved in March 2011.

All Upcoming Evaluations over the next three fiscal years

Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of the Western Economic Partnership Agreements
  • Business Development
  • Innovation
  • Community Economic Development
Planned March 2012
Evaluation of WD Investments in Innovation
  • Innovation
Planned March 2012
Impact Assessment of the Community Adjustment Fund and the Recreational Infrastructure Canada program
  • Community Economic Development
Planned March 2012
Evaluation of the Women’s Enterprise Initiative
  • Business Development
Planned March 2013
Evaluation of WD Investments in Community Economic Development
  • Community Economic Development
Planned March 2013
Evaluation of WD Investments in Business Development
  • Business Development
Planned March 2013
Evaluation of Francophone Economic Development Organization
  • Community Economic Development
  • Business Development
Planned March 2014
Evaluation of Policy, Advocacy and Coordination
  • Policy, Advocacy and Coordination
Planned March 2014
Evaluation of Western Diversification Program (roll-up)
  • Business Development
  • Innovation
  • Community Economic Development
Planned March 2014

Electronic link to evaluation plan: http://www.wd.gc.ca/eng/12205.asp