ARCHIVED - 2008-2009 DPRs - Internal Audits and Evaluations

This page has been archived.

• Agriculture and Agri-Food Canada
• Assisted Human Reproduction Canada
• Atlantic Canada Opportunities Agency
• Canada Border Services Agency
• Canada Industrial Relations Board
• Canada Revenue Agency
• Canada School of Public Service
• Canadian Centre for Occupational Health and Safety
• Canadian Environmental Assessment Agency
• Canadian Food Inspection Agency
• Canadian Forces Grievance Board
• Canadian Grain Commission
• Canadian Heritage
• Canadian Human Rights Commission
• Canadian Human Rights Tribunal
• Canadian Institutes of Health Research
• Canadian Intergovernmental Conference Secretariat
• Canadian International Development Agency
• Canadian Nuclear Safety Commission
• Canadian Space Agency
• Canadian Transportation Agency
• Citizenship and Immigration Canada
• Correctional Service Canada
• Department of Finance Canada
• Department of Foreign Affairs and International Trade
• Department of Justice Canada
• Economic Development Agency of Canada for the Regions of Quebec
• Environment Canada
• Financial Transactions and Reports Analysis Centre of Canada
• Fisheries and Oceans Canada
• Health Canada
• Human Resources and Skills Development Canada
• Immigration and Refugee Board of Canada
• Indian and Northern Affairs Canada and Canadian Polar Commission
• Industry Canada
• Infrastructure Canada
• Library and Archives Canada
• National Defence
• National Energy Board
• National Research Council Canada
• Natural Resources Canada
• Natural Sciences and Engineering Research Council of Canada
• Office of the Auditor General of Canada
• Office of the Chief Electoral Officer
• Office of the Superintendent of Financial Institutions Canada
• Parks Canada
• Privy Council Office
• Public Health Agency of Canada
• Public Safety Canada
• Public Service Commission of Canada
• Public Works and Government Services Canada
• RCMP External Review Committee
• Royal Canadian Mounted Police
• Social Sciences and Humanities Research Council
• Statistics Canada
• Status of Women Canada
• Supreme Court of Canada
• The National Battlefields Commission
• Transport Canada
• Transportation Safety Board of Canada
• Treasury Board of Canada Secretariat
• Veterans Affairs
• Western Economic Diversification Canada

---

Agriculture and Agri-Food Canada

Internal Audits and Evaluations

Internal Audits

Following is a list of key internal audits that pertain to the department's work during the reporting period, including electronic links to completed internal audits, where available.

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Canadian Agricultural Income Stabilization Program (CAIS)	Transfer Payment	Completed	April 2008	http://www4.agr.gc.ca/AAFC-AAC/display-afficher.do?id=1234816387758&lang=eng
National Land & Water Information Service (NLWIS) System Under Development	System Under Development	Completed	October 2008	http://www4.agr.gc.ca/AAFC-AAC/display-afficher.do?id=1233606529174&lang=eng
Greencover Canada Program	Control Framework	Completed	June 2008	http://www4.agr.gc.ca/AAFC-AAC/display-afficher.do?id=1234817744362&lang=eng
Management of Federal/Provincial Agreements for the Delivery of Bovine Spongiform Encephalopathy (BSE)	Transfer Payment	Completed	June 2008	http://www4.agr.gc.ca/AAFC-AAC/display-afficher.do?id=1234818543627&lang=eng
Farm Income Payment Program (FIPP) Direct Payment	Transfer Payment	Completed	October 2008	http://www4.agr.gc.ca/AAFC-AAC/display-afficher.do?id=1234381558869&lang=eng
Farm Income Payment Program (FIPP) General Payment	Transfer Payment	Completed	October 2008	http://www4.agr.gc.ca/AAFC-AAC/display-afficher.do?id=1234380698498&lang=eng
Grains & Oilseeds Payment Program (GOPP)	Transfer Payment	Completed	October 2008	http://www4.agr.gc.ca/AAFC-AAC/display-afficher.do?id=1234381202793&lang=eng
Community Pasture Program (CPP)	Management Control Framework	In progress	FY 2009-10	Not available yet
Privacy Act	Compliance	In progress	FY 2010-11	Not available yet
Integrated Services Function at Research Centres	Compliance	In progress	FY 2009-10	Not available yet

Note: Some audits originally planned for 2008-09 were cancelled because they had not been identified through a risk-based planning process, and a risk-based planning process completed in spring 2008 did not identify as them as priorities. Audit work then focused on projects identified in the Risk Base Audit Plan 2008-09 to 2010-11. The discontinued audit projects were the following: Follow-up Audit of Information Security; Official Languages Follow-up Assessment; Temporary Help Services; Follow-up audit of Pay and Benefits; Promotional Activities; Compliance to Network Wireless Access Policy; Section 33 Financial Administration Act Processes and Control; and Management of Capital Assets.

Evaluations

Following is a list of all evaluations that pertain to the department’s work during the reporting period, including the program activity, if applicable, the program activity to which the evaluation was applied. Electronic links are only provided where an evaluation report has been approved by the departmental Evaluation Committee.

Name of Internal Audit/Evaluation	Program Activity	Evaluation Type	Status	Completion Date	Electronic Link to Report
Advancing Canadian Agriculture and Agri-Food Canada	Innovation and Renewal	Transfer Payment	Reporting	June 2009
Canadian Agricultural and Food International (CAFI) Program	Markets and International	Transfer Payment	Cancelled1	n/a
Office of Conflict Resolution	Internal Service	Senior management request	Completed	June 2009
Interdepartmental APF Memorandum of Understanding with Health Canada	Food Safety and Food Quality, and Environment	Transfer Payment	Led by  Health Canada2	tbd
Canadian Agriculture Skill Service (CASS)	Innovation and Renewal	Transfer Payment	Cancelled3	n/a
Value Chain Round Table	Markets and International	Senior Mgt. Request	Postponed4	n/a
Renewal Programs Undertaken by National Organizations	Innovation and Renewal	Transfer Payment	In progress	March 2010
National Agri-Environmental Standards Initiative (NAESI)	Environment	Transfer Payment	Led by Environment Canada5	July 2009
Business Risk Management (BRM) Ad Hoc Assistance Program	Business Risk Management	Transfer Payment	Cancelled6	n/a
Science Program	Food Safety and Food Quality, Environment, and Innovation and Renewal	Governance	In progress	March 2010

¹As CAFI was replaced by a program in support of Market Information and Export Capacity Building, plans for its evaluation were discontinued. The replacement program, part of the Growing Forward initiative, will be evaluated in 2012-13.

²Health Canada has taken the lead for this evaluation as the department responsible for its delivery (AAFC funding is provided by Memorandum of Understanding).

³Plans for this evaluation were discontinued when the program expired.

⁴This evaluation was re-scheduled for 2012-13; it will be covered in a cluster evaluation of sector competitiveness programs.

⁵Environment Canada has taken responsibility for this evaluation.

⁶Plans for this evaluation were discontinued when BRM Ad Hoc programs expired.

Assisted Human Reproduction Canada

Internal Audits and Evaluations

Internal Audits (current reporting period)

Office of the Comptroller General, Horizontal Audit of Expenditure Controls in Small Departments and Agencies. No recommendations were received in 2008-2009.

Evaluations (current reporting period)

No evaluations were undertaken in 2008-2009.

Atlantic Canada Opportunities Agency

Internal Audits and Evaluations

Evaluations (in 2008-2009)
 

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date	Electronic Link to Report
Strategic Communities Investment Fund	Community Development	Summative	Completed	March 2008	http://www.acoa-apeca.gc.ca/English/ Accountability/ AuditsAndEvaluations/ Pages/ Evaluations.aspx

Internal Audits (in 2008-2009)
 

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Tourism	Transfer Payment	Completed	March 2009	http://www.acoa-apeca.gc.ca/ English/Accountability/ AuditsAndEvaluations/ Pages/Audits.aspx
Trade	Transfer Payment	Completed	June 2009	To be be posted Fall 2009 http://www.acoa-apeca.gc.ca/ English/Accountability/ AuditsAndEvaluations/ Pages/Audits.aspx
Investment	Transfer Payment	Completed	June 2009	To be be posted Fall 2009 http://www.acoa-apeca.gc.ca/ English/Accountability/ AuditsAndEvaluations/ Pages/Audits.aspx
Expense management tool controls	Financial Management Controls	Completed	December 2008	http://www.acoa-apeca.gc.ca/ English/Accountability/ AuditsAndEvaluations/ Pages/Audits.aspx
Municipal Rural Infrastructure Fund	Transfer Payment	Completed	March 2009	http://www.acoa-apeca.gc.ca/ English/Accountability/ AuditsAndEvaluations/ Pages/Audits.aspx
Infrastructure Canada Program	Transfer Payment	Completed	March 2009	http://www.acoa-apeca.gc.ca/ English/Accountability/ AuditsAndEvaluations/ Pages/Audits.aspx/p>
Grants and contributions payment system	Transfer Payment	Ongoing	December 2009
Venture capital	Program Activity	Ongoing	September 2009
Community Futures Program	Program Activity	Ongoing	December 2009

Canada Border Services Agency

Internal Audits and Evaluations

Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Asset management — detection technology equipment	Assurance	Completed	May 2008	Audit of Asset Management – Detection Technology Equipment
Staffing management accountability framework	Assurance	Completed	May 2008	Audit of the Staffing Management Accountability Framework
Arming Initiative	Assurance	Completed	October 2008	Audit of the Arming Initiative
Emergency preparedness	Assurance	Completed	October 2008	Audit of Emergency Preparedness
Information technology infrastructure — general controls	Assurance	Completed	October 2008	Audit of Information Technology Infrastructure – General Controls
Year-end cash cut-off procedures for the 2007–08 fiscal year	Assurance	Completed	October 2008	Audit of Fiscal 2007–08 Year-end Cash Cut-off Procedures
Section 34 — Financial Administration Act procedures	Assurance	Completed	December 2008	Audit of Delegated Authority Under Section 34 of the Financial Administration Act
Control and disposal of goods seized under the Customs Act	Assurance	Completed	February 2009	Audit of the Control and Disposal of Goods Seized Under the Customs Act
Customs Self Assessment Program	Assurance	Completed	April 2009	Customs Self Assessment Program
Section 33 — Financial Administration Act procedures	Assurance	Completed	April 2009	Audit of Delegated Authorities Under Section 33 of the Financial Administration Act
Business continuity plans	Assurance	In progress	2009
Canada Border Services Agency (CBSA)/Canadian Food Inspection Agency memorandum of understanding for food, animal and plant inspections	Assurance	In progress	2009
Commercial permit enforcement	Assurance	In progress	2009
Governance and strategic directions	Assurance	In progress	2009
Occupational health and safety	Assurance	In progress	2009
Responsibility for and organization of financial management	Assurance	In progress	2009
System under development — eManifest	Assurance	In progress	2009
Year-end cash cut-off procedures for the 2008–09 fiscal year	Assurance	In progress	2009
Training and development	Assurance	Deferred
Values and ethics program	Assurance	Cancelled

Evaluations (current reporting period)

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date	Electronic Link to Report
Trusted travellers — NEXUS Highway and Free and Secure Trade (FAST) programs	Science- and Technology- based Innovation	Summative	Completed	May 2008	NEXUS Highway and FAST Programs (Trusted Travellers)
War crimes (The CBSA participated in this evaluation that was led by the Department of Justice)	Security	Summative	Completed	October 2008	Crimes Against Humanity and War Crimes Program, Summative Evaluation
Export programs	Security	Summative	Completed	November 2008	CBSA Export Programs Evaluation Study
Commercial examination processes and detection technology	Security	Summative	Completed	May 2009	CBSA Commercial Examination Processes and Detection Technology
Admissibility screening and supporting intelligence activities	Security	Summative	In progress	July 2009
Remote border location programs: CANPASS Remote Area Border Crossing, CANPASS Remote Ports, CANPASS Private Boats Plus and CANPASS Q19	Security	Summative	In progress	July 2009
2010 Olympic and Paralympic Winter Games (The CBSA is participating in this evaluation that is being led by the RCMP)	Security	Implementation	In progress	September 2009
Arming Initiative	Security	Implementation /impact	In progress	October 2009
Fleet management	Internal Services	Summative	In progress	October 2009
National Anti-Drug Strategy (The CBSA is participating in this evaluation that is led by the Department of Justice)	Security	Implementation	In progress	October 2009
Security certificates initiative (The CBSA is participating in this evaluation that is being led by Public Safety Canada)	Security	Implementation /impact	In progress	October 2009
Cross-border currency reporting (The CBSA is participating in this evaluation that is being led by the Department of Finance under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act)	Security	Summative	In progress	November 2009
CBSA licensed warehouses (sufferance warehouses and customs bonded warehouses)	Access	Summative	In progress	December 2009

Canada Industrial Relations Board

Internal Audits

Name of Internal Audit	Audit Type	Status	Completion Date
Horizontal Internal Audit: Travel and Hospitality in Small Departments and Agencies http://www.tbs-sct.gc.ca/report/orp/2008/hia-vih-eng.asp	- Governance of travel and hospitality expenditures - Internal controls over travel and hospitality expenditures - Risk management of travel and hospitality expenditures - Good practices	Completed	April 2009

Canada Revenue Agency

Table 11 Internal Audits and Evaluations

Internal Audits

Evaluations

Canada School of Public Service

Table 11a: Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date
Online Learning Program Audit	Assurance - Program Audit	Completed and Approved	February 16, 2009
Contracting Audit	Assurance - Value for Money, Financial Controls and Compliance	Awaiting approval	N/A
Audit of Internal Controls over Financial Management	Assurance - Financial Controls	In progress	Estimated completion date of September 2009

Table 11b: Evaluations (current reporting period)

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date
Evaluation of the Impact of the Pilot Memorandum of Understanding between the Canada School of Public Service and Université Sainte-Anne (2006-2008) (PDF Version, 426 kb)	Public Sector Management Innovation	Formative	Completed	March 2009
Evaluation of Campusdirect Second Language Courses, Products and Tools (2006-2008) ) (PDF Version, 508 kb)	Public Sector Management Innovation	Formative	Completed	March 2009
Evaluation of the Authority Delegation Program	Foundational Learning	Formative	In Progress	Expected Completion date of September 2009

Canadian Centre for Occupational Health and Safety

Table 2a: Internal Audits

1. Name of Internal Audit	2. Audit Type	3. Status	4. Completion Date
Contracting for Professional, Technical and Temporary Help Services	Horizontal Audit for Small Departments	Completed	September, 2009

Table 2b: Evaluations

1. Name of Evaluation	2. Program Activity	3. Evaluation Type	4. Status	5.Completion Date
CCOHS Program Evaluation and Financial Capacity Assessment, 2009	Occupational health and safety information development, delivery services and tripartite collaboration	Summative/impact evaluation	Completed	September, 2009

Canadian Environmental Assessment Agency

Internal Audits and Evaluations

Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date
No internal audits were conducted during the period between April 2008 and March 2009.

Evaluations (current reporting period)

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date
Evaluation of the Participant Funding Program	Environmental Assessment Support Program	Summative/Impact Evaluation	Completed	March 2009

Canadian Food Inspection Agency

3.2.7: Internal Audits and Evaluations

A: Audits

CFIA Audit Committee

As set out in the 2006 Internal Audit Policy, Department and Agency Audit Committees (DAACs) were established to provide deputy heads of federal departments and agencies with objective advice and review of their organization’s spending control and accountability processes. Deputy heads can use this information to reduce risks and improve their organization’s performance. These Committees are essential to the GoC's efforts to ensure the rigorous stewardship and accountability of public funds across its operations. Each DAAC prepares an annual report with an assessment of the organization's internal control and internal audit systems. The CFIA Audit Committee prepared its first annual report in 2007 08. In its 2008 09 report, the CFIA Audit Committee concluded that the CFIA is now operating under a risk-based audit plan. It also concluded that the Agency has an internal audit function that is at a relatively mature stage, focused on being professional and diligent in providing objective oversight and constructive observations, and which has been set up in accordance with the Office of the Comptroller General/Treasury Board policy.

Name of Internal Audit	Audit Type	Status	Completion Date
Animal Health	Program Audit	Ongoing	May 2010
Plant Protection	Program Audit	Ongoing	March 2010
CFIA/CBSA Memorandum of Understanding	Program Audit	Ongoing	June 2009
Management of Third-Party Arrangements	Financial Audit	Ongoing	June 2009
Imported Food Safety	Program Audit	Ongoing	September 2009
IM/IT Governance	IM/IT Audit	Ongoing	September 2009
Food Labelling - Registration and Verification	Program Audit	Completed	December 2008
Compliance Verification System	Program Audit	Completed	December 2008
Fleet Management - http://www.inspection.gc.ca/english/agen/eval/autoe.shtml	Financial Audit	Completed	October 2008
Allocation and Control over Tied Funding - http://www.inspection.gc.ca/ english/agen/eval/tiefone.shtml	Financial Audit	Completed	June 2008

Note: Two additional projects (Audit of Compliance with Delegated Authorities and Mapping of the Corporate Planning and Reporting Process) were included in the 2008/09 RPP. They do not appear in the above list because the Audit of Compliance with Delegated Authorities was completed and tabled with the CFIA Audit Committee in January 2008, which is prior to the 2008-09 fiscal year, and the Mapping of the Corporate Planning and Reporting Process is not considered an audit.

B: Evaluations

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date
Public Security and Anti-Terrorism Initiative	Food Safety and Nutrition Risks	Formative/Implementation	Completed	February 2009
Hazard Analysis Critical Control Point Program45	Food Safety and Nutrition Risks	Formative/Implementation	Discontinued	N/A
On-Farm Food Safety Recognition Program	Food Safety and Nutrition Risks and Domestic and International Market Access	Summative/Impact	Ongoing	2009–10
Evaluation of Imported Food Activities	Food Safety and Nutrition Risks	Formative/Implementation	Ongoing	2009–10
Evaluation of the Food Labelling Activities46	Food Safety and Nutrition Risks and Domestic and International Market Access	Summative/Impact	Postponed	To be determined
Evaluation of the Enhanced Bovine Spongiform Encephalopathy (BSE) Programming – Enhanced Programming	Zoonotic Risks	Summative/Impact	Completed	March 2009
Evaluation of the Enhanced Bovine Spongiform Encephalopathy (BSE) Programming - Enhanced Feed Ban	Animal Health Risks and Production Systems	Formative/Implementation	Ongoing	2009–10
Evaluation of the Invasive Alien Species Program	Plant Health Risks and Production Systems	Formative/Implementation	Completed	February 2009
Evaluation of the Food Sampling & Testing Program	Food Safety and Nutrition Risks	Formative/Implementation	Ongoing	2009–10
Evaluation of the Food and Drugs Act – Compliance and Enforcement47	Food Safety and Nutrition Risks	Formative/Implementation	Cancelled	N/A
Evaluation of the Food Recall and Emergency Response System	Food Safety and Nutrition Risks	Formative/Implementation	Ongoing	2009–10
Evaluation of the National Aquatic Animal Health Program	Animal Health Risks and Production Systems	Summative/Impact	Ongoing	2009–10
Evaluation of Building Public Confidence in Pesticides and Improving Access to Pest Management Products Initiative (BPC) (Interdepartmental [Pest Management Risk Agency lead])	Food Safety and Nutrition Risks	Summative/Impact	Ongoing	2009–10
Health Canada’s Food Safety Nutrition Quality Program (Interdepartmental [Health Canada lead])	Food Safety and Nutrition Risks	Summative/Impact	Ongoing	2009–10
Evaluation of the Avian and Pandemic Influenza Preparedness Initiative	Zoonotic Risks	Formative/Implementation	Ongoing	2009–10

Notes:

For supplementary information on the Agency’s Internal Audits and Evaluations, please visit: http://www.inspection.gc.ca/english/agen/eval/evale.shtml

Canadian Forces Grievance Board

Table 11: Internal Audits and Evaluations

Name of Internal Audit	Audit Type	Status	Completion Date
OCG – SDA Horizontal Audit of Expenditure Controls	Higher risk payments	In-progress	Fall 2009

Canadian Grain Commission

Table 11: Internal Audits and Evaluations

Table 11a: Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Harvest Survey Review	Program Delivery / Risk Assessment	Complete	2006	http://www.grainscanada.gc.ca/cgc-ccg/cr-rm/audits-verifications/hspr-erer/hspr-erer-eng.htm
CIPRS Program Review	Program Delivery / Risk Assessment	Complete	2007	http://www.grainscanada.gc.ca/cgc-ccg/cr-rm/audits-verifications/ciprsr-escrs/ciprsr-escrs-eng.htm
Review of testing at the Grain Research Laboratory	Program Delivery / Risk Assessment	Complete	2007	http://www.grainscanada.gc.ca/cgc-ccg/cr-rm/audits-verifications/rtgrl-esalrg/rtgrl-esalrg-eng.htm

Note:  During 2008-09, the Canadian Grain Commission neared completion of the hiring process for a Chief Audit Executive (CAE) who will be responsible for planning and conducting internal audits. It is anticipated that the CAE will be appointed early in fiscal year 2009-10. The Canadian Grain Commission’s internal audit plan will be established at such time as the CAE is in place.

Table 11b: Evaluations (current reporting period)

Name of Evaluation	Program Activity	Program Type	Status	Completion Date	Electronic Link to Report
N/A	N/A	N/A	N/A	N/A	N/A

Note: During 2008-09, the Canadian Grain Commission neared completion of the hiring process for a Chief Audit Executive (CAE) who will be responsible for planning and conducting evaluations. It is anticipated that the CAE will be appointed early in fiscal year 2009-10. The Canadian Grain Commission’s evaluation plan will be established at such time as the CAE is in place.

Canadian Heritage

Table 9: Internal Audits

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Audit of Canadian Audio-Visual Certification Office Program (Program Activity 2)	Internal Audit	Completed	March 2009	http://www.pch.gc.ca/pgm/em-cr/assurnc/2009/2009-03/CAVCO-eng.pdf
Audit of Canadian Audio-Visual Certification OfficeGrants and Contributions On-Line Project (Program Activity 2)	Internal Audit	Completed	March 2009	http://www.pch.gc.ca/pgm/em-cr/assurnc/2009/2009-03/cavco-eng.pdf
Audit of Governance and Strategic Direction (Program Activity 8)	Internal Audit	Completed	March 2009	http://www.pch.gc.ca/pgm/em-cr/assurnc/2009/2009-04/Gov-Strat-Dir-Report-eng.pdf
Audit of National Arts and Training Contribution Program (Program Activity 2)	Transfer Payment	Completed	February 2009	http://www.pch.gc.ca/pgm/em-cr/assurnc/2009/2009-01/2009-01-eng.pdf
Audit of Movable Cultural Property Program (Program Activity 4)	Transfer Payment	Completed	February 2009	To be posted
Grants and Contributions Horizontal Audit (Program Activity 8)	Financial Management	Completed	February 2009	To be posted
Audit of Aboriginal Peoples' Program: Aboriginal Communities Component (Program Activity 7)	Transfer Payment	Completed	December 2008	http://www.pch.gc.ca/pgm/em-cr/assurnc/2008/2008-12-3/ACC-eng.pdf
Audit of Official Languages Support Programs (Program Activity 5 and 6)	Transfer Payment	Completed	December 2008	http://www.pch.gc.ca/pgm/em-cr/assurnc/2008/2008-12-2/OLSP-eng.pdf
Audit of Historical Recognition Program: Ex-Gratia Payments (Program Activity 7)	Transfer Payment	Completed	December 2008	http://www.pch.gc.ca/pgm/em-cr/assurnc/2008/2008-12/2008-12-eng.pdf
Audit of Young Canada Works Initiative (Program Activity 7)	Internal Audit	Completed	December 2008	http://www.pch.gc.ca/pgm/em-cr/assurnc/2008/2008-03/2008-3-eng.pdf
Joint Audit and Formative Evaluation of the 2010 Olympic and Paralympic Winter Games Federal Secretariat (Program Activity 7)	Internal Audit	Completed	October 2008	http://www.pch.gc.ca/pgm/em-cr/evaltn/2008/2008-10-3/olym-paralym2010-eng.pdf
Internal Audit of Book Publishing Industry Development Program (Program Activity 2)	Transfer Payment	Completed	June 2008	http://www.pch.gc.ca/pgm/em-cr/assurnc/2008/2008-02/2008-02-eng.pdf

Table 10: Evaluations

Name of Evaluation	Program Activity	Program Type	Status	Completion Date	Electronic Link to Report
Summative Evaluation of Official Languages Support Programs	Program Activity 5 and 6	Summative Evaluation	Completed	February 2009	http://www.pch.gc.ca/pgm/em-cr/evaltn/2009/2009-02/OLSP-eng.pdf
Summative Evaluation of Arts Presentation Canada Program	Program Activity 4	Summative Evaluation	Completed	November 2008	To be posted
Summative Evaluation of Book Publishing Industry Development Program	Program Activity 2	Summative Evaluation	Completed	November 2008	To be posted
Summative Evaluation of Cultural Spaces Canada Program	Program Activity 4	Summative Evaluation	Completed	November 2008	To be posted
Joint Audit and Formative Evaluation of 2010 Olympic and Paralympic Winter Games Federal Secretariat	Program Activity 7	Joint Audit and Formative Evaluation	Completed	October 2008	http://www.pch.gc.ca/pgm/em-cr/evaltn/2008/2008-10-3/olym-paralym2010-eng.pdf
Summative Evaluation of Canadian Culture Online Strategy	Program Activity 2	Summative Evaluation	Completed	September 2008	To be posted
Economic Analysis of Canadian Film or Video Production Tax Credit	Program Activity 2	Economic Analysis	Completed	September 2008	http://www.pch.gc.ca/pgm/em-cr/evaltn/2008/2008-10-2/EA-CPTC-eng.pdf
Summative Evaluation of Canadian Film or Video Production Tax Credit (CPTC)	Program Activity 2	Summative Evaluation	Completed	September 2008	http://www.pch.gc.ca/pgm/em-cr/evaltn/2008/2008-10/cptc-eng.pdf
Summative Evaluation of Action Plan for Official Languages Coordination Program	Program Activity 5 and 6	Summative Evaluation	Completed	September 2008	http://www.pch.gc.ca/pgm/em-cr/evaltn/2008/2008-09/plo-olp-eng.pdf

Canadian Human Rights Commission

Table 2: Evaluations (current reporting period)

1. Name of Evaluation	2. Program Activity	3. Evaluation Type	4. Status	5. Completion Date	6. Electronic Link to Report
Value for Money Review of Library Services.	Human Rights Knowledge Development and Dissemination Program	Value-for-Money	Completed	June, 2009	http://www.chrc-ccdp.ca/publications/dpr_rsr/fs_0809_ef-en.asp

Canadian Human Rights Tribunal

Internal Audits and Evaluations

Table 3.1 Internal Audits

Internal Audits
The Tribunal works closely with the Office of the Comptroller General (OCG) of the Treasury Board Secretariat of Canada, in partnership with the community of federal small departments and agencies (SDA), to design, develop and implement its internal audit capacity. Horizontal audits of SDAs are scheduled by the OCG for planning period.

Canadian Institutes of Health Research

Table 11: Internal Audits and Evaluations

Table 11a: Internal Audits

Name of Internal Audit	Audit Type	Status	Completion Date
Audit of Confidentiality, Integrity, and Availability of Financial Information	Financial Management Controls	Completed	February 2009
Audit of the Integrity of Information in the Departmental Performance Report (DPR).	Management Reporting	Deferred	Deferred because of the RPP audit results of 2007-08, concluding that the process for developing CIHR's RPP is well controlled overall.
Audit of the Financial Administration of Open Operating Grants.	Transfer Payment	Completed	November 2008
Audit of the Non-Financial Administration of Open Operating Grants	Transfer Payment	Completed	March 2009
Audit of the Management Control Framework for Research Ethics	Management Controls	Completed	March 2009

Table 11b: Evaluations

Name of Evaluation	Program Activity	Program Type	Status	Completion Date
Strategic Training Initiative In Health Research (STIHR)	2.1 Researchers and Trainees	Summative	Completed	August 2008
Evaluation of the Intellectual Property Mobilization (IPM) Program	3.2 Commercialization of Health Research	Summative	Completed	April 2008
Canada Graduate Scholarships (CGS) Program and Related Programs Review	2.1 Researchers and Trainees	Summative	Completed	January 2009
Panel and Secretariat on Research Ethics (PRE/SRE)	2.4 Ethical, Legal and Social Issues	Summative	Completed	March 2009

Canadian Intergovernmental Conference Secretariat

Table 2: Internal Audit (current reporting period)

1. Name of Internal Audit	2. Audit Type	3. Status	4. Completion Date
Horizontal Internal Audit: Travel and Hospitality in Small Departments and Agencies	Assurance	Completed	April 2009

Canadian International Development Agency

Internal Audits

Name of Internal Audit	Audit Type	Status	Completion Date
Management of Loans to Developing Countries and International Financial Institutions	Financial Management Controls	Completed	July 2008
Management of Competitive Contracting	Contract Management Controls	Completed	July 2008
Program-Based Approaches	Aid Delivery Mechanism	Completed	February 2009
Sudan Country Program	Country Program Audit	Completed	February 2009
Haiti Country Program	Country Program Audit	Completed	March 2009
IM/IT Strategy, Processes and Controls (Formerly: Information Technology Strategic Planning)	IT Management Controls	Completed	March 2009

Canadian Nuclear Safety Commission

Internal Audits and Evaluations

Name of Internal Audit	Audit Type	Status	Completion Date
Audit of sources materials control (renamed Audit of Sealed Source Controls)	Management audit	in progress	October 2009
Audit of I3P (Integrated Improvement Initiatives Program)	Management audit	in progress	October 2009
Follow-Up Management Responses and Action Plans Internal Audit of CNSC Hospitality Expenses for Official and Work Related Events Internal Audit of the Corporate Security Program and Special Equipment Internal Audit of Uranium Mines and Mills Division	Follow-up	in progress	October 2009
Audit of the Regulatory Framework (renamed Audit of Regulatory Document Development)	Management audit	Rescheduled	2010-2011
Audit of Contracting and Procurement	Compliance and Management Audit	in progress	December 2009
Audit of Staffing	Compliance and Management Audit	in progress	December 2009
Audit of Time Accounting Integrated into Audit of Revenue Management	Compliance and Management Audit	in progress	January 2010
Follow-Up Management Responses and Action Plans	Follow-up	in progress	October 2009

 

Evaluations

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date
Formative Evaluation of the Values and Ethics Strategy	Nuclear Regulation	Formative Evaluation	Completed	June 2008
Evaluation of Class Grants and Contributions Program	Nuclear Regulation	Summative evaluation	Completed	June 2008

Canadian Space Agency

3.3.8) Internal Audits (current reporting period)

1. Name of Internal Audit	2. Type	3. Status	4. Completion Date	5. Electronic Link to Report
Auditing of Business Continuity Planning	Management Framework	Completed	January 2009	http://www.asc-csa.gc.ca/ eng/publications/ ar-0809-0102.asp
Audit of the Design and Operation of the Sampling Plan	Management Framework	Completed	October 2008	http://www.asc-csa.gc.ca/ eng/publications/ ar-0809-0101.asp
Audit of Staffing Activities and Transactions	Management Framework	Completed	August 2008	http://www.asc-csa.gc.ca/ eng/publications/ ar-0708-0104.asp

1. Name of Evaluation	2. Program Activity	3. Evaluation Type	4. Status	5. Completion Date	6. Electronic Link to Report
Evaluation of the Class Grant and Contribution Program	All program activities	Summative	Completed	November 2008	http://www.asc-csa.gc.ca/ eng/publications/ ar-570-2745.asp

Canadian Transportation Agency

Internal Audits and Evaluations

In 2008-2009, the Canadian Transportation Agency planned to conduct two audits in addition to the horizontal audit coverage of small departments and agencies provided through the Office of the Comptroller General. As a result of a departure, the position of Chief Audit Executive was vacant for most of 2008-2009. The first attempt at staffing the position proved unsuccessful; however the second attempt resulted in the appointment of a Chief Audit Executive in early 2009-2010. Accordingly, the Agency delayed the two planned audits until 2009-2010. Senior management determined that, because the Agency was selected for two horizontal audits conducted by the Comptroller General during the fiscal year, this audit coverage was sufficient.

The Agency is an independent quasi-judicial regulatory body with a mandate to implement regulatory policy governing the federal transportation network. Accordingly, it has no program evaluation. Pursuant to Section 53 of the Canada Transportation Act, the Minister of Transport is required to evaluate the effectiveness of the legislation in achieving the Agency's strategic outcome and program activity.

Citizenship and Immigration Canada

Table 11a: Internal Audits (2008–2009)

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Audits completed in 2008–2009
Audit of Inland Offices: Greater Toronto Area West	Assurance – Programs	Completed	October 2008	http://www.cic.gc.ca/english/resources/audit/gta-west.asp
Audit of the Case Processing Centre in Mississauga	Assurance – Programs	Completed	October 2008	http://www.cic.gc.ca/english/resources/audit/mississauga.asp
Audit of the Beijing Immigration Program	Assurance – Programs	Completed	October 2008	http://www.cic.gc.ca/english/resources/audit/beijing.asp
Audit of Inland Offices: Calgary	Assurance – Programs	Completed	November 2008	http://www.cic.gc.ca/english/resources/audit/calgary.asp
Audit of Information Technology Governance	Assurance – Information Technology	Completed	Quarter 4 2008–2009	TBD
Follow-Up of Prior Year’s Audits	Assurance	Completed	Quarter 3 2008–2009	N/A
Audits in process in 2008–2009
Audit of Controlled Forms	Assurance – Internal Controls	Reporting	Quarter 1 2009–2010	TBD
Audit of Governance—Ontario Region	Assurance	Reporting	Quarter 1 2009–2010	TBD
Audit of the Call Centre	Assurance – Programs	Reporting	Quarter 2 2009–2010	TBD
Audit of the Tokyo Immigration Program	Assurance – Programs	Reporting	Quarter 2 2009–2010	TBD
Audit of Inland Temporary Resident Applications	Assurance – Programs	Reporting	Quarter 2 2009–2010	TBD
Audit of the Hong Kong Immigration Program	Assurance – Programs	Reporting	Quarter 2 2009–2010	TBD
Audit of Governance—Quebec Region	Assurance – Programs	Reporting	Quarter 2 2009–2010	TBD
Integration Program: Administration of Grants and Contributions—Settlement Programs	Assurance – Programs	Examination	Quarter 3 2009–2010	TBD
Integration Program: Administration of Grants and Contributions—Resettlement Programs	Assurance – Programs	Examination	Quarter 3 2009–2010	TBD
Interim Federal Health Program	Assurance – Programs	Examination	Quarter 3 2009–2010	TBD

 

Table 11b: Evaluations

Name of the Evaluation	Program  Type	Status (as of March 31, 2009)
Immigration Programs
Evaluation of the Federal Skilled Worker Program	Operating Fund	In Progress
Performance Review of the Permanent Resident Card Program	Operating Fund	Completed
Temporary Resident Programs
Evaluation of the Foreign Student Program	Operating Fund	In Progress
Canada’s Role in International Migration and Protection
Evaluation of the Migration Policy Development Program	Contribution	Completed
Refugee Programs
Performance Review of the Administrative Reforms to the Refugee System	Operating Fund	Completed
Integration Programs
Evaluation of the Language Instruction for Newcomers Program	Contribution	In Progress
Evaluation of the Immigrant Settlement and Adaptation Program	Contribution	In Progress
Evaluation of the Host Program	Contribution	In Progress
Evaluation of the Welcoming Communities Initiative	Contribution	In Progress
Other Programs
Evaluation of Knowledge Transfer Component of Metropolis II	Operating Fund	In Progress
Evaluation of the Medical Surveillance Program	Operating Fund	In Progress
Internal Programs and Services
Performance Review of Capacity Enhancements to CIC Security	Operating Fund	Completed
Horizontal Initiatives
War Crimes Evaluation—Department of Justice Lead	Operating Fund	Completed
Summary Review of Public Security and Anti-Terrorism (PSAT) Activities—CIC Lead	Operating Fund	Completed

Correctional Service Canada

Table 11: Internal Audits and Evaluations

Table 11a: Internal Audits

In 2008-2009, the following audits were completed and approved by CSC’s Audit Committee:

Name of Internal Audit	Audit Type	Completion Date
Audit of Physical Health Care Delivery to Inmates	Health Services	April 2008
Review of Change Management Practices	Management Practices	April 2008
Audit of Logical Access Controls	IM/IT	May 2008
Audit of Management of Section 81 agreements	Correctional Operations	October 2008
Audit of Financial Planning, Budgeting and Monitoring	Financial Services	December 2008

The following audits were also part of the 2008-2009 Internal Audit Workplan and were completed and approved by CSC’s Audit Committee as follows:

Name of Internal Audit	Audit Type	Completion Date
Audit of Offender Intake Assessment	Correctional Operations	April 2009
Annual review of the Health Information Management Module	IM/IT	April 2009
Audit of Information Management Services Disaster Recovery Plan	IM/IT	April 2009
Audit of Cross-Gender Staffing in Women Institutions	Correctional Operations	May 2009
Audit of Offender Complaint & Grievance System	Correctional Operations	May 2009
Follow-Up Review of Recording of employee leave	HR Management	July 2009
Audit of CSC Performance Management Framework	Management Practices	July 2009
Audit of the Control Framework Supporting Inmate-Related Financial Transactions	Correctional Operations	July 2009

Once posted, the audit reports and management action plans can be found on the CSC website at the following address:  http://www.csc-scc.gc.ca/text/pa/adt-toc-eng.shtml

Table 11b: Evaluations 2008-2009

1. Name of Evaluation	2. Program Activity	3. Evaluation Type	4. Status	5. Completion Date	6. Electronic Link to Report
Contract with Institute Philippe-Pinel de Montréal	Care and Custody	Summative & formative (3 separate populations evaluated)	Completed	May 2008	Publication in progress
Correctional Programs	Correctional Interventions	Summative	Completed	June 2008	Publication in progress
Employment and Employability Programs	Correctional Interventions	Summative	Completed	June 2008	Publication in progress
Correctional Services Canada Exchange Agreement (CSC-A)	Care and Custody	Outcome & summative	Completed	September 2008	Publication in progress
Community Mental Health Initiative (CMHI)	Community Supervision	Implementation	Completed	January 2009	Publication in progress
Integrated Police-Parole Initiative (IPPI)	Community Supervision	Formative	Completed	January 2009	Publication in progress
Effective Corrections Initiative:  Pathways	Correctional Interventions	Summative	In progress	Projected September 2009	Not yet available (report not finalised)
Effective Corrections Initiative:  Aboriginal Community Development Officers (ACDOs)	Correctional Interventions	Summative	In progress	Projected September 2009	Not yet available (report not finalised)
Effective Corrections Initiative:  Residential Alternatives	Correctional Interventions	Summative	In progress	Projected September 2009	Not yet available (report not finalised)
Effective Corrections Initiative:  Community Employment Centres	Correctional Interventions	Summative	In progress	Projected September 2009	Not yet available (report not finalised)
Effective Corrections Initiative:  Community Maintenance Program	Correctional Interventions	Summative	In progress	Projected September 2009	Not yet available (report not finalised)
Electronic Monitoring Pilot Program	Community Supervision	Implementation	In progress	Projected September 2009	Not yet available (report not finalised)
Lifeline	Correctional Interventions	Summative	In progress	Projected September 2009	Not yet available (report not finalised)
Safer Tattooing Practices Pilot Initiative	Institutional Health Services	Summative	Completed	January 2009	http://www.csc-scc.gc.ca/ text/pa/ eval_reports-eng.shtml

7. Electronic Link to Evaluation Plan:  In progress.

Department of Finance Canada

Table 7: Internal Audits and Evaluations

Table 7a: Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date
Audit of Leave and Overtime http://www.fin.gc.ca/treas/audit/lor08-eng.asp	Assurance	Completed	December 2008
Audit of Pay and Benefits http://www.fin.gc.ca/treas/audit/prb-pasc-eng.asp	Assurance	Completed	March 2009
Audit of Security of Information Link to be posted online by August 2009	Assurance	Completed	June 2009
Audit of Tax Collection Agreements Link N/A—Audit closed	Assurance	Closed after preliminary phase due to low residual risk	June 2008
Audit of the Management of Transfer Payments to Provinces and Territories Link N/A—Audit cancelled	Assurance	Cancelled to avoid duplication with a similar Office of the Auditor General of Canada assurance engagement	N/A
Audit of Account Verification Link N/A—Audit not yet completed	Assurance	Initiated in January 2009 and conducted by the Treasury Board of Canada Secretariat audit team	N/A
Audit of Conflict of Interest1	Assurance	Cancelled	N/A
Audit of the Governance and Oversight of the Canada Pension Plan1	Assurance	Cancelled	N/A
Audit of the Management of the Government’s Fiscal Framework1	Assurance	Cancelled	N/A
Follow-up on the Audit of Toronto Waterfront Revitalization Initiative Link N/A—Audit not yet completed	Assurance	Initiated in January 2009	Expected completion September 2009
1. In April 2008, the Department’s three-year Risk-Based Audit Plan was updated. As part of this update, the Deputy Minister approved the exclusion of these audits from the Plan on the recommendation of the Audit and Evaluation Committee.

Table 7b: Evaluations (current reporting period)

Name of Evaluation	Program Activity	Program Type	Status	Completion Date
Evaluation of Canada’s International Debt Initiatives	Transfer and Taxation Payment Programs	Grants and Contributions	Reporting phase is ongoing	September 2009
Research and Policy Initiatives Assistance	Internal Services	Grants and Contributions	Completed	September 2009
Auction of Bonds and Treasury Bills		Treasury	Reporting phase is ongoing	December 2009

Department of Foreign Affairs and International Trade

Table 9: Internal Audits, Evaluations and Mission Inspections

Table 9.1: Internal Audits

1. Name of Internal Audit	2. Audit Type	3. Status	4. Completion Date	5. Electronic Link to Report
Audit of Electronic Authorization and Authentication Keys and Integrated Management System User Profiles	IT Security Audit	Completed	June 2008	www.international.gc.ca/about-a_propos/oig-big/2007/eea_profiles-aae_profils07.aspx?lang=eng
Passport Canada- Revenue Processing (PPTC Fees)	Operational Audit	Completed	June 2008	www.international.gc.ca/about-a_propos/cae-dv/passport_fees-recettes_passeport08.aspx
Global Peace and Security Fund	Operational Audit	Completed	June 2008	http://www.international.gc.ca/about-a_propos/cae-dv/reports-rapports.aspx?lang=eng
Passport Services at Missions	Operational Audit	Completed	June 2008	www.international.gc.ca/about-a_propos/cae-dv/passport_missions-passeports_missions08.aspx?lang=eng
Management of Information Technology and Security	IT and Security	Completed	September 2008	Classified information
Priority Payments Print Site	Compliance	Completed	October 2008	www.international.gc.ca/about-a_propos/cae-dv/priority_payments-paiements_prioritaires08.aspx?lang=eng
Follow-up of the 2005 Audit of Official Languages	Follow-up Audit	Completed	October 2008	www.international.gc.ca/about-a_propos/cae-dv/official_languages-langues_officielles08.aspx?lang=eng
Property Growth Charge	Operational Audit	Completed	October 2008	www.international.gc.ca/about-a_propos/cae-dv/property_growth-immobiliers_croissance08.aspx?lang=eng

Table 9.2: Evaluations

No.	1. Name of Evaluation	2. Program Activity	3. Evaluation Type	4. Status	5. Completion Date*	6. Electronic Link to Report
1	Program for Export Market Development-Associations (PEMD-A)	PA 2.1: International Commerce	Formative	Completed/Approved	July 2, 2008	www.international.gc.ca/about-a_propos/oig-big/2008/evaluation/pemd_pdme08.aspx?lang=eng
2	Global Peace and Security Fund (GPSF)	PA 1.2: Diplomacy and Advocacy	Formative	Completed/Approved	July 2, 2008	Pending (To be posted September, 2009)
3	Global Partnership Program (GPP)	PA 1.2: Diplomacy and Advocacy	Summative	Completed/Approved	July 2, 2008	www.international.gc.ca/about-a_propos/oig-big/2008/evaluation/gpp_ppm08.aspx?lang=eng
4	Global Partnership Program (GPP)-Bio Non-Proliferation	PA 1.2: Diplomacy and Advocacy	Summative	Completed/Approved	July 2, 2008	Pending (To be posted September, 2009)
5	Global Partnership Program (GPP)-Nuclear and Radiological Security	PA 1.2: Diplomacy and Advocacy	Summative	Completed/Approved	July 2, 2008	Pending (To be posted September, 2009)
6	Global Partnership Program (GPP)-Redirection of Former Weapons Scientists	PA 1.2: Diplomacy and Advocacy	Summative	Completed/Approved	July 2, 2008	Pending (To be posted September, 2009)
7	Community Investment Support Program (CISP)	PA 2.1: International Commerce	Summative	Completed/Approved	July 2, 2008	www.international.gc.ca/about-a_propos/oig-big/2008/evaluation/cisp-paic08.aspx?lang=eng
8	Going Global Science and Technology Program	PA 2.1: International Commerce	Summative	Completed/Approved	July 2, 2008	www.international.gc.ca/about-a_propos/oig-big/2008/evaluation/ggst_hmst08.aspx?lang=eng
9	Passport Canada (PPTC) Security Bureau	PA 2.3: Passport Canada	Formative	Completed/Approved	September 16, 2008	www.international.gc.ca/about-a_propos/oig-big/2008/evaluation/pptc08.aspx?lang=eng
10	International Science and Technology Partnership Program (ISTPP)	PA 2.1: International Commerce	Formative	Completed/Approved	September 16, 2008	www.international.gc.ca/about-a_propos/oig-big/2008/evaluation/istpp_ppist08.aspx?lang=eng
11	Trade Commissioner Service Regional Offices	PA 2.1: International Commerce	Formative	Completed/Approved	December 22, 2008	www.international.gc.ca/about-a_propos/oig-big/2008/evaluation/ro-br08.aspx?lang=eng
12	Rights & Democracy	PA 1.2: Diplomacy and Advocacy	Five-year review	Completed/Approved	December 22, 2008	www.international.gc.ca/about-a_propos/oig-big/2008/evaluation/eval_rd-dd_08.aspx?lang=eng

Table 9.3: Mission Inspections

Name of Mission	Inspection Type	Status	Completion Date	Electronic Link to Report
Singapore	Consulting: Mission operations	Final	July 2008	www.international.gc.ca/about-a_propos/oig-big/2008/SINGAPORE-SINGAPOUR.aspx?lang=eng
Banda Seri Begawan	Consulting: Mission operations	Final	July 2008	www.international.gc.ca/about-a_propos/oig-big/2008/BANDARSERIBEGAWAN.aspx?lang=eng
Kuala Lumpur	Consulting: Mission operations	Final	August 2008	www.international.gc.ca/about-a_propos/oig-big/2008/KUALALUMPUR.aspx?lang=eng
Abuja-Lagos	Consulting: Mission operations	Final	November 2008	www.international.gc.ca/about-a_propos/oig-big/2008/ABUJA-LAGOS.aspx?lang=eng
Buenos Aires	Consulting: Mission operations	Final	December 2008	www.international.gc.ca/about-a_propos/oig-big/2008/MONTEVIDEO.aspx?lang=eng
Santiago	Consulting: Mission operations	Final	December 2008	http://www.international.gc.ca/about-a_propos/oig-big/2008/SANTIAGO.aspx?lang=eng
Ho Chi Minh City	Consulting: Mission operations	Final	April 2009	http://www.international.gc.ca/about-a_propos/oig-big/2009/HOCHIMINH.aspx?lang=eng
Miami	Consulting: Mission operations	Final	May 2009	http://www.international.gc.ca/about-a_propos/oig-big/2009/MIAMI.aspx?lang=eng
Atlanta-Raleigh	Consulting: Mission operations	Final	May 2009	http://www.international.gc.ca/about-a_propos/oig-big/2009/ATLANTA.aspx?lang=eng
Hanoi	Consulting: Mission operations	Final	March 2009	Not yet posted to Internet
Phnom Penh	Consulting: Mission operations	Final	March 2009	http://www.international.gc.ca/about-a_propos/oig-big/2009/PHNOMPENH.aspx?lang=eng
Rome and UN Agencies	Consulting: Mission operations	Final	February 2009	http://www.international.gc.ca/about-a_propos/oig-big/2009/ROME.aspx?lang=eng
Havana	Consulting: Mission operations	Final	June 2009	Not yet posted to Internet
Bogotá	Consulting: Mission operations	Final	June 2009	Not yet posted to Internet
Beirut	Consulting: Mission operations	Draft	In progress	Not yet posted to Internet
Tunis	Consulting: Mission operations	Draft	In progress	Not yet posted to Internet

Department of Justice Canada

Table 8: Internal Audits and Evaluations

Table 8a: Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date
Agriculture and Agri-Food Canada (AAFC) LSU	Comprehensive	Completed	April 2008
National Research Council (NRC) LSU	Comprehensive	Completed	June 2008
Ontario Regional Office – Finance and Administration Directorate	Finance & Admin	Completed	August 2008
Barrister’s Briefcase – Ringtail	Systems	Completed	August 2008
Programs Branch	Comprehensive	Completed	September 2008
Occupational Health and Safety	Comprehensive	Completed	October 2008
Public Law Sector	Comprehensive	Completed	November 2008
Access to Information and Privacy (ATIP)	Comprehensive	Completed	January 2009
Salary Management System (SMS)	Financial	In Progress
Canadian International Development Agency (CIDA) LSU	Comprehensive	In Progress
Foreign Affairs and International Trade (DFAIT) LSU	Comprehensive	In Progress
Contribution Auditing	Financial	In Progress
Cost Recovery (Management Framework)	Financial	In Progress
Records, Document Information Management System (RDIMS)	Systems	In Progress
Immigration Law (B.C., Ontario, Quebec Regional Offices)	Comprehensive	In Progress
Department of National Defence (DND) LSU	Comprehensive	In Progress
Treasury Board (TB) LSU	Comprehensive	In Progress
Natural Resources Canada (NRCAN) LSU	Comprehensive	In Progress
Portfolio Offices (Business & Regulatory Law, Central Agencies, CIPS)	Comprehensive	Planned
Tax Law – Ottawa	Comprehensive	Planned
Tax Law – Edmonton	Comprehensive	Planned
Regulatory Law – Ontario	Comprehensive	Planned
PeopleSoft	Systems	Planned
Contracting Process (B.C., Prairies, Quebec)	Comprehensive	Planned
Budgetary Forecasting and Allocation	Financial	Planned
Electronic Link: http://canada.justice.gc.ca/eng/dept-min/pub/aud-ver/index.html

Table 8b: Evaluations (current reporting period)

Name of Evaluation	Program Activity	Program Type	Status	Completion Date
Aboriginal Courtwork Program	Justice policies, laws and programs	Summative Evaluation	Completed	July 2008
Federal Victims Strategy	Justice policies, laws and programs	Mid-term Evaluation	Completed	July 2008
Department of Justice Component of Canada's Action Plan Against Racism	Justice policies, laws and programs	Formative Evaluation	Completed	June 2008
The Child-Centred Family Law Strategy	Justice policies, laws and programs	Summative Evaluation	Completed	June 2008
Justice Leaders of Tomorrow Program	Internal Services	Formative Evaluation	Completed	July 2008
Crimes Against Humanity and War Crimes Program	Justice policies, laws and programs	Summative Evaluation	Completed	November 2008
Nunavut Court of Justice	Justice policies, laws and programs	Formative evaluation	Completed	October 2008
Legal Risk Management in the Department of Justice	Services to government	Formative evaluation	Completed	October 2008
Electronic Link: http://www.justice.gc.ca/eng/pi/eval/index.html

Economic Development Agency of Canada for the Regions of Quebec

Table 11a: Internal Audits 2008-2009

Name of internal audit	Type of audit	Status	Completion date
Audit of compliance with contractual linguistic obligations by designated Business Development Centres (BDCs) and Community Futures Development Corporations (CFDCs)	Compliance audit	Completed	August 2008
Audit of the Monitoring and Compliance Framework for Contracting Activities	Compliance and management audit	Completed	December 2008
Internal Audit of the Infrastructure Canada Program (ICP)	Management audit	Completed	March 2009
Internal Audit of the Municipal Rural Infrastructure Fund (MRIF)	Management audit	Completed	March 2009
External audit of Canada-Quebec Agreement relative to the Infrastructure Program	Management audit	Completed	March 2009
Management audit of Canada Economic Development business offices	Management audit	Completed	August 2008
All internal audit reports mentioned above can be consulted at: www.dec-ced.gc.ca/eng/publications/agency/index.html
Audit of the Community Futures Program (CFP)	Compliance and management audit	Audit work completed	2nd quarter 2009-2010 (expected)
Internal audit of Hermès-Program system information integrity	Management audit	Audit work completed	2nd quarter 2009-2010 (expected)
Audit of monitoring practices for contribution agreements deemed high-risk	Management audit	Audit work in progress	3rd quarter 2009-2010 (expected)
Audit of the governance framework and conformity of classification files	Compliance audit	Audit work in progress	3rd quarter 2009-2010 (expected)

Table 11b: Evaluations 2008-2009

Name of evaluation	Program activity	Type of evaluation	Status	Completion date
Formative Evaluation of the Funding Component of the Social Economy Support Initiative for Quebec	Development of communities	Implementation– Formative	Completed	March 2008
www.dec-ced.gc.ca/eng/publications/agency/evaluation/82/index.html
Evaluation of the Capacity Building Component of the Social Economy Support Initiative for Quebec	Development of communities	Implementation/ Formative	Completed	March 2008
www.dec-ced.gc.ca/fra/publications/agence/evaluation/123/ausujet.html
Evaluation of the Canada-Quebec Infrastructure Works Program 2000	Infrastructure	Impact/ Summative	In progress	Fall 2009
Summative Evaluation of the Funding Component of the Social Economy Support Initiative for Quebec	Development of communities	Impact/ Summative	In progress	Winter 2009-2010
Evaluation of the Municipal Rural Infrastructure Fund (MRIF)	Infrastructures	Implementation/ Formative	In progress	Winter 2009-2010
Evaluation of the Community Futures Program (CFP)	Development of communities	Impact/ Summative	In progress	Winter 2009-2010
Evaluation of the Community Diversification and Business and Regional Growth programs	Development of communities; Competitiveness of enterprises; Competitive positioning of sectors and regions	Implementation/ Formative	In progress	Winter 2009-2010

Environment Canada

Table 11a: Internal Audits (current reporting period)

1. Name of Internal Audit	2. Audit Type	3. Status	4. Completion Date
Decision Support Systems	Assurance	Completed	January 2009
Staffing	Assurance	Completed	April 2009
Accounts Receivable	Assurance	Completed	April 2009
Financial Audit Plan	Assurance	Completed	April 2009
Technology Infrastructure Directorate	Assurance	Cancelled
Occupational Health and Safety	Assurance	In progress	July 2009
Vote Netted Revenue (re-titled Costing and Pricing in 2009-2012 Plan)	Assurance	In progress	September 2009
Hydrometric Monitoring Stations: Federal-Provincial Agreements	Assurance	In progress	September 2009
Contracting Process Value for Money Audit (re-titled Efficiency of the Contracting Process in 2009-2012 Plan)	Assurance	In progress	September 2009
Specified Purpose Accounts	Assurance	In progress	September 2009
Accounts Payable at Year-end	Assurance	In progress	September 2009

Approved internal audit reports are available on Environment Canada's website: www.ec.gc.ca/ae-ve/

Table 11b: Evaluations (current reporting period)

1. Name of Evaluation	2. Program Activity	3. Evaluation Type	4. Status	5. Completion Date
Smog-Causing Emission Regulations in the Transportation Sector	CEPA Governance	Regulation	Completed	July 2008
Transboundary Movement Program-under Public Security and Anti-Terrorism (PSAT)	Transboundary Priorities	Direct Program Spending	Completed	July 2008
Meteorological Services of Canada Transition	Weather and Environmental Monitoring Program Weather and Environmental Predictions Research Program Emerging Environmental Prediction and Monitoring Strategies Program Weather and Environmental Warnings and Forecasts Program Weather and Environmental Information Services Program Evolving Services and Policy Program Atmospheric Change Adaptation Strategies Program	Direct Program Spending	Completed	July 2008
Toronto Waterfront Revitalization Initiative (TWRI)	TWRI	Transfer Payment	Completed	July 2008
Adaptation: Thematic Evaluation Plan	Global and Regional Climate Modelling and Analysis Research Climate Process Research Climate Trends and Data Analysis Research Environmental Emergency Forecasts Atmospheric Change Impacts Atmospheric Change Adaptation	Direct Program Spending	Completed	February 2009
Horizontal Management Accountability and Reporting Framework for the Clean Air Agenda: Evaluation Plan	Global and Regional Climate Modelling and Analysis Research Climate Process Research Climate Trends and Data Analysis Research Environmental Emergency Forecasts Atmospheric Change Impacts Atmospheric Change Adaptation Greenhouse Gas Data Collection, Management and Reporting Domestic Priorities Transboundary Priorities	Direct Program Spending	Completed	February 2009
International Actions: Thematic Evaluation Plan	Transboundary Priorities	Direct Program Spending	Completed	February 2009
Clean Air Community Partnerships: Evaluation Plan	Domestic Priorities	Direct Program Spending	Completed	February 2009
Canadian Environmental Sustainability Indicators	Information and Indicators	Direct Program Spending	Completed	February 2009
Environment Canada's Aboriginal Consultations on Wastewater	Water Management Aquatic Ecosystem Protection Research Aquatic Ecosystem Management Research	Direct Program Spending	Completed	February 2009
Clean Air Agenda: Evaluation Plan (interdepartmental; led by Environment Canada)	Global and Regional Climate Modelling and Analysis Research Climate Process Research Climate Trends and Data Analysis Research Environmental Emergency Forecasts Atmospheric Change Impacts Atmospheric Change Adaptation Greenhouse Gas Data Collection, Management and Reporting Domestic Priorities Transboundary Priorities Electricity and Combustion Oil, Gas and Alternative Energy Natural Resources and Chemicals Marine, Rail and Aviation Sustainable Transportation	Direct Program Spending	Completed	April 2008
Clean Air Regulatory Agenda: Thematic Evaluation Plan	Greenhouse Gas Data Collection, Management and Reporting Domestic Priorities Electricity and Combustion Oil, Gas and Alternative Energy Natural Resources and Chemicals Marine, Rail and Aviation Sustainable Transportation	Direct Program Spending	In progress	July 2009
EcoAction Funding	Conservation Partnerships and Programs	Transfer Payment	Completed	May 2009
National Agri-Environmental Standards Initiative	Sustainable Agriculture Landscapes	Direct Program Spending	In progress	July 2009
Federal Contaminated Sites Action Plan (interdepartmental; led by Environment Canada)	Contaminated Sites	Direct Program Spending	Completed	February 2009
Habitat Stewardship Contribution Program	Conservation Partnerships and Programs	Transfer Payment	In progress	October 2009
Environmental Damages Fund	Conservation Partnerships and Programs	Transfer Payment	In progress	July 2009
Grants to Support Environmental Research and Development (Evaluation of Class Grants and Contributions)	Biodiversity and Wildlife Program Water Program Ecosystems Initiatives Program Environmental Science and Monitoring Program Weather and Environmental Prediction Program Chemicals Management Program Legislation and Information Program Clean Air Program	Transfer Payment	In progress	July 2009
Contributions to Support Environmental Research and Development (Evaluation of Class Grants and Contributions)	Ibid.	Transfer Payment	In progress	July 2009
Contribution to Support Environmental and Sustainable Development Initiatives (Evaluation of Class Grants and Contributions)	Ibid.	Transfer Payment	In progress	July 2009
Contributions to Support Canada's International Commitments (Evaluation of Class Grants and Contributions)	International Environmental Interests	Transfer Payment	In progress	July 2009
Invasive Alien Species Partnership Program	Biodiversity, Conservation and Genetic Resources Policy	Transfer Payment	In progress	October 2009
Weather Predictions: Evaluation Plan	Public Weather Warning and Forecasts Marine Warning and Forecasts	Direct Program Spending	In progress	October 2009
Chemicals Management Plan: Performance Measurement and Evaluation Plan (interdepartmental; with Health Canada)	Priority Substances Research Existing Substances New Substances Priority Substances Exposure, Effects and Method Development Environmental Monitoring and Science Assessment Chemicals Sector	Direct Program Spending	In progress	October 2009
Strategic Environmental Assessment (interdepartmental; led by the Canadian Environmental Assessment Agency)	Environmental Assessment	Direct Program Spending	In progress	October 2009
Enforcement Program	Enforcement Program	Direct Program Spending	In progress	October 2009
Building Public Confidence in Pesticide Regulation and Improving Access to Pest Management Products (interdepartmental; led by Health Canada)	Priority Substances Research	Direct Program Spending	In progress	October 2009
Ice Program	Ice Warnings, Forecasts and Information	Direct Program Spending	Planned	2010-2011

Approved evaluation reports are available on Environment Canada's website: www.ec.gc.ca/ae-ve/

Financial Transactions and Reports Analysis Centre of Canada

Internal Audits and Evaluations

There were no internal audits or evaluations conducted during 2008-2009.

Fisheries and Oceans Canada

Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date
Audit of the Contribution Agreement with Shubenacadie First Nations	Contribution Audit	Completed	June 2008
Aboriginal Inland Habitat Program (AIHP)	Contribution Audit	Completed	September 2008
Class Grants and Contributions Program	Program Management	Completed	September 2008
Contracting (Follow-up Audit)	Financial Management Controls	Completed	March 2009
Human Resources Management Services (Succession Planning)	Human Resources	Awaiting approval	September 2009
Conservation and Protection	Program Management	Completed	June 2009
Salmon Enhancement Program Contracting Practices	Financial Management Controls	Awaiting approval	September 2009
Information Management Services	Program Management	To be completed in 2009-10	2009-10
Environment Response Assessment	Program Management	Carried over to 2009-10	—

Note: The 2008-09 Report on Plans and Priorities included the following Audits in error: Horizontal Audit, Resource Management, Aboriginal Fisheries Strategy and Conservation and Protection of Fish Habitat. In addition, the planned audit of Fleet Operational Readiness was cancelled.

 

Evaluations (current reporting period)

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date
Aquatic Invasive Species (AIS)	Science for Sustainable Fisheries and Aquaculture	Summative	Completed	September 16, 2008
DFO Class Grants and Contributions	Internal Services	Value for money	Completed	September 16, 2008
Formative Evaluation of the Federal Contaminated Sites Action Plan (FCSAP) (Interdepartmental-Environment Canada)	Internal Services	Formative	Completed	April 9, 2009
Aboriginal Aquatic Resource and Oceans Management (AAROM) Program	Fisheries and Aquaculture Management	Value for money	Completed	April 9, 2009
Aboriginal Inland Habitat Program (AIHP)	Habitat Management	Value for money	Completed	April 9, 2009
Academic Research Contribution Program (ARCP)	Science for Sustainable Fisheries and Aquaculture	Value for money	In progress	Tentative September 2009
Fleet Operational Readiness	Canadian Coast Guard	Value for money	In progress	Tentative September 2009
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)	Science for Safe and Accessible Waterways	Formative	In progress	Tentative September 2009
Salmonid Enhancement Program (SEP)	Fisheries and Aquaculture Management	Summative	In progress	Tentative September 2009
Habitat Stewardship Program (HSP) (Interdepartmental- Environment Canada)	Habitat Management	Summative	In progress	Lead is Environment Canada
Building Public Confidence in Pesticide Regulation and Improving Access to Pest Management (BPC) (Interdepartmental-Pest Management Regulatory Agency)	Science for Healthy and Productive Aquatic Ecosystems	Summative	In progress	Lead is Pest Management Regulatory Agency
Strategic Environmental Assessment (Interdepartmental Evaluation- Canadian Environmental Assessment Agency on behalf of the Privy Council Office)	Internal Services	Summative	In progress	Lead is Canadian Environmental Assessment Agency on behalf of the Privy Council Office

Health Canada

Internal Audits and Evaluations

Internal Audits (current reporting period)

1. Name of Internal Audit	2. Audit Type	3. Status	4. Completion Date
Data Integrity - G & C System / Lotus Notes	IT Audit	Complete	April 2008
Data Integrity - G & C System / MCCS	IT Audit	Complete	April 2008
Quality Assurance Process for Recipient Audits	G&C	Complete	April 2008
Canadian Institute for Health Information (CIHI)	G&C	Complete	June 2008
The Way Forward Initiative - An enterprise Approach for IT	IT Audit	Complete	June 2008
Data Integrity - Standard Payment System for Internal Settlements (SPSIS)	IT Audit	Complete	June 2008
Data Integrity - Acquisition Card / Commitment System - (APICS)	IT Audit	Complete	June 2008
HR Strategies or Recruitment and Retention	Performance	Complete	June 2008
Risk-Based controls - Training and Conference Attendance	Financial	Complete	June 2008
Data Integrity - Health information & Claims Processing system (HICPS)	IT Audit	Complete	October 2008
Canadian Health Services Research Foundation (CHSRF)	G & C	Complete	October 2008
Values and Ethics	Performance	Complete	October 2008
Tobacco Control Research	Performance	Complete	October 2008
Food Safety Program	Performance	Complete	December 2008
Risk Management	MAF Audit	Complete	December 2008
Dental Benefits	Performance	Complete	May 2009
Electronic Health Information System (Infoway)	G&C	In progress	May 2009
Respendable Revenues (User Fees)	Financial	In progress	May 2009
Data Integrity - HR Advantage	IT Audit	Complete	May 2009
Governance and Accountability	MAF Audit	Complete	May 2009
Biologic and Genetic Therapies Audit	Performance	In progress	September 2009
Audit of QA process for recipient audits	G&C	In progress	September 2009
Audit of Management of Contributions	Financial	In progress	September 2009
Audit of Product Safety - New Substance and Assessment Control Bureau	Performance	In progress	September 2009
Audit of financial Forecasting & Year-End Expenditure Patterns	Financial	In progress	September 2009
Audit of IM/IT Governance	Performance	In progress	September 2009
Non-Insured Health Benefits - Medical Transportation	Financial	In progress	December 2009
Primary Health Care	Performance	In progress	December 2009
Capital Contribution Agreements	G&C	In progress	December 2009
Asset Management	Financial	In progress	December 2009
Contracting for Services	Financial	In progress	December 2009
Real Property Management Control Framework and Lab Facilities Infrastructure	Performance	In progress	December 2009

Evaluations (current reporting period)

Internal Evaluations

1. Name of Evaluation	2. Program Activity	3. Evaluation Type	4. Status	5.Completion Date
Improving access to health services for Official Languages Minority Communities (G&C)	1.1 Canada Health System 1.1.2 Official Language Minority Community Development	Summative	Completed	November 2008
Women's Health Contribution Program (2003-2004 to 2007-2008) (G&C)	1.1.5 Women's Health	Summative	Completed	January 2009
Therapeutics Access Strategy	2.1 Health Products	Overall	Completed	March 2009
Human Drugs	2.1.1 Pharmaceutical Human Drugs	Strategic	Ongoing	FY 2010-11
Medical Devices	2.1.3 Medical Devices	Strategic	Ongoing	FY 2010-11
Natural Health Products	2.1.5 Natural Health Products	Strategic	Ongoing	FY 2009-10
Augmenting Health Canada's Response to Bovine Spongiform Encephalopathy (BSE)	2.2.1 Food Borne Pathogens 2.2.2 Food Borne Chemical Contaminants	Summative	Ongoing	FY 2010-11
Food Safety and Nutrition Quality	2.2.1 Food Borne Pathogens 2.2.2 Food Borne Chemical Contaminants 2.2.3 Novel foods 2.2.4 Nutrition	Strategic	Ongoing	FY 2009-10
Nutrition Policy and Promotion	2.2.4 Nutrition	Strategic	Ongoing	FY 2010-11
Climate and Infectious Disease Alert and Response Systems to Protect the Health of Canadians (part of Clean Air Agenda - Adaptation Theme)	3.1.1 Climate Change	Thematic	Ongoing	FY 2010-11
Air Quality Health Index and Forecast program (part of Clean Air Agenda - Adaptation Theme)	3.1.2 Air Quality	Component	Ongoing	FY 2010-11
Radon Strategy (part of Canada's Clear Air Agenda - Indoor Air Quality Theme)	3.1.2 Air Quality	Thematic	Ongoing	FY 2010-11
Canada's Clean Air Agenda - Clean Air Regulatory Agenda (CARA)	3.1.2 Air Quality	Thematic	Ongoing	FY 2010-11
Federal Contaminated Sites Action Plan	3.1.5 Contaminated Sites	Formative	Completed	March 2009
Federal Drinking Water Compliance Program	3.3.1 Public Service Health	Evaluation	Completed	November 2008
National Anti-Drug Strategy	3.4.3 Controlled Substances	Horizontal Formative	Ongoing	FY 2009-10
Building Public Confidence in Pesticide Regulation and Improving Access to Pest Management Products	3.5 Pesticide Regulation	Summative	Ongoing	FY 2009-10
Children and Youth (Cluster) (includes G&C)	4.1.1 First Nations and Inuit Community Programs	Strategic	Ongoing	FY 2009-10
Continued Implementation of the Labrador Innu Comprehensive Healing Strategy (LICHS)	4.1.1 First Nations and Inuit Community Programs	Summative	Ongoing	FY 2009-10
Communicable Disease Control (Cluster) (includes G&C)	4.1.2 First Nations and Inuit Health Protection and Public Health	Strategic	Ongoing	FY 2009-10
First Nations and Inuit Home and Community Care Program	4.1.3 First Nations and Inuit Primary Care	Summative	Ongoing	FY 2009-10
Post Doctoral Fellowship Program (G&C)	Internal Services 2.1 Science Policy and Management	Summative	Completed	March 2009

Electronic Link to Reports:
Link to Treasury Board of Canada Secretariat Audit and Evaluation Database: http://www.tbs-sct.gc.ca/rma/database/newdeptview_e.asp?id=41

Human Resources and Skills Development Canada

Table 9-A: Internal Audit (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Audit of Aboriginal Skills and Employment Partnerships	Assurance	Completed	Approved by Departmental Audit Committee (DAC) – December 2008
Canada Student Loans Program	Consulting Engagement	Completed	December 2008
Audit of Risk Management	Assurance	Completed	Approved by DAC – November 2008	http://www.hrsdc.gc.ca/eng/ publications_resources/audit/ 2008/19011/19011.shtml
Audit of Consolidated Statement of Administrative Costs Charged to the Canada Pension Plan Account by HRSDC and SC 2007-2008	Attest	Completed	Approved by DAC December 2008	http://www.hrsdc.gc.ca/eng/ publications_resources/audit/ 2008/050808/page00.shtml
Audit of Acquisition Cards	Assurance	Completed	Approved by DAC – March 2009
Audit of Procurement and Contract Management	Assurance	Completed	Approved by DAC – July 2009
Audit of Business Continuity Planning	Assurance	Completed	Pending DAC Approval
Audit of Social Insurance Number Rapid Access Control Framework	Assurance	Underway	Target Completion – Spring 2009
Audit of Financial Administration Act Section 32 Practices	Assurance	Underway	Target Completion – Spring 2009
Audit of Selected Records Management Practices	Assurance	Underway	Target Completion – Summer 2009
Audit of Common Management System for Grants and Contributions	Assurance	Underway	Target Completion – Summer 2009
Audit of Identity and Access Management	Assurance	Underway	Target Completion – Summer 2009
Audit of Travel	Assurance	Underway	Target Completion – Summer 2009
Audit of the Exchange of Information with Canada Revenue Agency for the Guaranteed Income Supplement	Assurance	Underway	Target Completion – Fall 2009
Audit of Vital Events	Assurance	Underway	Target Completion – Fall 2009
Audit of Service Delivery – Outreach Services	Assurance	Underway	Target Completion – Fall 2009
Audit of the Management Framework for Research Activities	Assurance	Underway	Target Completion – Fall 2009
Audit of the Homelessness Partnership Initiative	Assurance	Underway	Target Completion – Winter 2009

Table 9-B: Evaluation reduce font to get in process on the right spot (current reporting period)

Name of Evaluation	Program Activity	Program Type	Status	Completion Date
Entrance Requirement	Labour Market	Summative	in progress	2010-2011
New entrant Re-entrant	Labour Market	Summative	in progress	2009-2010
Sickness Premium Reduction	Labour Market	Summative	in progress	2009-2010
5 Week Seasonal	Labour Market	Summative	in progress	2009-2010
Three Pilot Projects - Seasonal Workers	Labour Market	Summative	in progress	2009-2010
Labour Market Development Agreement: Yukon	Labour Market	Summative	in progress	2009-2010
Labour Market Development Agreement: New Brunswick	Labour Market	Summative	in progress	2009-2010
Labour Market Development Agreement: Nova Scotia	Labour Market	Summative	in progress	2009-2010
Labour Market Development Agreement: PEI	Labour Market	Summative	in progress	2009-2010
Labour Market Development Agreement: Manitoba	Labour Market	Summative	in progress	2010-2011
Labour Market Development Agreement: NWT	Labour Market	Summative	in progress	2009-2010
Labour Market Development Agreement: Alberta	Labour Market	Summative	in progress	2009-2010
Labour Market Development Agreement: Saskatchewan	Labour Market	Summative	in progress	2009-2010
Ontario EBSM	Labour Market	Summative	in progress	2009-2010
Ontario LMDA	Labour Market	Formative	in progress	2009-2010
Kativik Regional Government	Labour Market	Form/Sum	in progress	2009-2010
Aboriginal Human Resources Development Agreements	Labour Market	Form/Sum	in progress	2009-2010
Aboriginal Skills and Employment Partnership	Labour Market	Formative	in progress	2009-2010
Aboriginal Skills and Employment Partnership	Labour Market	Summative	in progress	2009-2010
Targeted Initiative for Older Workers	Labour Market	Formative	in progress	2009-2010
Official Language Minority Communities	Labour Market	Formative	in progress	2009-2010
Youth Employment Strategy	Labour Market	Summative	in progress	2009-2010
Apprenticeship Incentive Grant	Workplace Skills	Formative	in progress	2009-2010
Apprenticeship Incentive Grant and Apprenticeship Completion Grant	Workplace Skills	Summative	Planned for 2011-2012	2011-2012
Sector Councils	Workplace Skills	Summative	in progress	2009-2010
Workplace Skills Initiative	Workplace Skills	Summative	Planned for 2010-2011	2010-2011
Training Centre Infrastructure Fund	Workplace Skills	Summative	in progress	2009-2010
Going to Canada Immigration Portal	Workplace Skills	Summative	in progress	2009-2010
Temporary Foreign Worker Program	Workplace Skills	Formative	Planned for 2010-2011	2010-2011
Foreign Worker Recognition Program	Workplace Skills	Summative	in progress	2009-2010
Labour Market Information	Workplace Skills	Summative	Planned for 2011-2012	2011-2012
Adult Learning, Literacy and Essential Skills Program	Workplace Skills	Formative	in progress	2009-2010
Adult Learning, Literacy and Essential Skills Program	Workplace Skills	Summative	Planned for 2010-2011	2010-2011
Canada Student Loans Program	Learning	Summative	Planned for 2010-2011	2010-2011
Canada Learning Bond	Learning	Formative	in progress	2009-2010
Canada Education Savings Grants	Learning	Formative	in progress	2009-2010
Canada Education Savings Grant	Learning	Summative	Planned for 2011-2012	2011-2012
Workplace Equity Programs	Labour	Summative	in progress	2009-2010
Labour-Management Partnership	Labour	Summative	in progress	2009-2010
Occupational Health and Safety	Labour	Summative	Planned for 2011-2012	2011-2012
Fire Protection	Labour	Formative	Planned for 2010-2011	2010-2011
Racism Free Workplace Strategy	Labour	Summative	Planned for 2010-2011	2010-2011
Federal Workers Compensation	Labour	Summative	Planned for 2011-2012	2011-2012
International Trade and Labour Program	Labour	Formative	completed 2008-2009
Wage Earner Protection Program	Labour	Formative	Planned for 2010-2011	2010-2011
International Trade and Labour Program	Labour	Summative	in progress	2009-2010
OAS	Social Investment	Summative	Planned for 2010-2011	2010-2011
GIS (Take up and Measures)	Social Investment	Summative	in progress	2009-2010
CPPD	Social Investment	Summative	in progress	2010-2011
Labour Market Agreements for Persons with Disabilities - Manitoba	Social Investment	Form/Sum	in progress	2009-2010
Opportunities Fund for Persons with Disabilities	Social Investment	Summative	completed 2008-2009
New Horizons for Seniors	Social Investment	Formative and Summative	in progress	2009-2010
Understanding the Early Years	Social Investment	Formative	in progress	2009-2010
Understanding the Early Years	Social Investment	Summative	Planned for 2010-2011	2010-2011
Social Development Partnerships Program	Social Investment	Summative	in progress	2009-2010
Voluntary Sector Initiative	Social Investment	Summative	in progress	2009-2010
Voluntary Sector Strategy	Social Investment	Summative	Planned for 2010-2011	2010-2011
Federal Elder Abuse	Social Investment	Summative	in progress	2010-2011
Enabling Accessibility Fund	Social Investment	Summative	in progress	2010-2011
Universal Child Care Benefit (UCCB)	Children and Families	Formative	in progress	2009-2010
National Child Benefit Evaluation	Children and Families	Summative	in progress	2009-2010
Homelessness Partnering Strategy	Housing and Homelessness	Summative	in progress	2009-2010
National Homelessness Initiative	Housing and Homelessness	Summative	completed 2008-2009
EcoAuto implementation	Integrity	Evaluation of service delivery initiative	In progress	2009-2010
Partnerships	Seamless, Citizen-Centred Service	Management review of partnerships strategy and approach	In progress	2009-2010
Automation and Standardization of Processes	Integrity	Evaluation of service delivery processes	In progress	2009-2010
Return on IT investments	Integrity	Assessment of return on investment	In progress	2009-2010
Passport Delivery	Seamless, Citizen-Centred Service	Evaluation of service delivery initiative	Planned	2010-2011
Common Experience Payment (CEP) Implementation	Seamless, Citizen-Centred Service / Integrity	Evaluation of service delivery initiative	In progress	2009-2010
Regional and Community Presence (Service Canada Community Offices)	Seamless, Citizen-Centred Service	Evaluation of service delivery initiative	In progress	2009-2010
Brand Management	Seamless, Citizen-Centred Service	Management review	Planned	2012-2013
In-Person Service Experience Model	Seamless, Citizen-Centred Service / Integrity	Evaluation of service delivery initiative	Cancelled	2011-2012
In-Person Client Resolution and Feedback	Seamless, Citizen-Centred Service	Evaluation of client issue resolution initiative	Planned	2012-2013
Benefit Uptake	Integrity	Evaluation of service delivery strategies	Cancelled	2009-2010
Service Channels	Seamless, Citizen-Centred Service / Integrity	Evaluation of service delivery channels	Planned	2010-2011
Investigation and control	Integrity	Scoping/evaluation feasibility	Cancelled	2008-2009
Identity management tools and practices	Integrity	Scoping/evaluation feasibility	Planned	2012-2013
Social Insurance Number rapid access	Integrity	Scoping/evaluation feasibility	Cancelled	2009-2010
Multi-Language Service Initiative	Seamless, Citizen-Centred Service	Evaluation of service delivery initiative	Completed (New Project Identified post ( RPP)	2008-2009
Cross-Channel Support Services "Call Centres wilth Processing Pilot"	Seamless, Citizen-Centred Service	Scoping/evaluation feasibility	On hold	TBD

Immigration and Refugee Board of Canada

Internal Audits and Evaluations

Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date
Follow-up to the Audit of Contracting Practices	Follow-up Monitor implementation of the management response to the recommendations of the audit.	In Progress	2010-11
Audit of IRB Regional Offices	Compliance Determine the extent to which the IRB's three regional offices comply with applicable regulations, policies and procedures in administrative processes, including finance, procurement, security of assets and people, staffing and adherence to official languages obligations.	Completed	2008-09
Follow-up to the Audit of IRB Regional Offices	Follow-up Monitor implementation of management response to the recommendations of the audit.	In Progress	2010-11

Evaluations (current reporting period)

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date
Evaluation of Case Scheduling Processes	Refugee Protection Admissibility Hearings and Detention Reviews Immigration Appeal	Formative Evaluate the performance of case scheduling with the IRB's three divisions. The evaluation will focus on postponements and adjournments.	In Progress	2009-10
Follow-up to the Evaluation of Case Scheduling Processes	Refugee Protection Admissibility Hearings and Detention Reviews Immigration Appeal	Follow-up Monitor the implementation of the recommendations of the evaluation.	Planned	2011-12
Evaluation of ICMS	Refugee Protection	Summative Assess the effectiveness and efficiency of ICMS, which was launched in April 2007.	Planned	2010-11

Indian and Northern Affairs Canada and Canadian Polar Commission

Internal Audits and Evaluations

Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date
Audit of the Food Mail Program	Management Control Framework	Completed	June 2008
Audit of Community Economic Development Funding	Transfer Payment	Completed	September 2008
Audit of IT Security	Information Management Controls	Completed	September 2008
Audit of the Advance Payment Program	Financial Controls	Completed	December 2008
Audit of the Capital Facilities and Maintenance Program	Transfer Payment	Completed	December 2008
Audit of the Post-Secondary Education Program	Transfer Payment	Completed	January 2009
Report on the Audit of Staffing and Payroll for Non-Advertised Appointments and Acting Appointments	Human Resource Management Practices	Completed	February 2009
Report on the Audit of the Intervention Policy and Quality Assurance	Management Control Framework	Completed	February 2009
Audit of the Settlement Allotment	Financial Controls	Completed	April 2009
Review of the PeopleSoft System Upgrade	Information Management Controls	Completed	April 2009
Audit of Capacity Development	Management Control Framework and Transfer Payment	Completed	June 2009
Audit of Elementary and Secondary Education	Transfer Payment	Completed	June 2009
Audit of Band Support Funding	Transfer Payment	Completed	September 2009
Regional and Headquarters Sectors Management Practices Reviews	Management Practices	Completed	Various Dates
System Under Development Audit of the Certificate of Indian Status — Indian Registration System	System under Development	Phase I	April 2009
Audit of Expenditure Management Monitoring	Financial Controls	In Progress	September 2009
Audit of Information Management	Information Management Controls	In Progress	September 2009
Audit of Liabilities	Financial Controls	In Progress	September 2009
Post-Implementation Audit of the First Nations and Inuit Transfer Payment System	Information Management Controls	Deferred to 2009–10

Evaluations (current reporting period)

Name of Evaluation	Program Activity	Program Type	Status	Completion Date
1996 Housing Policy	The People	Impact	Completed	February 2008
Gender-Based Analysis	Internal Services	Implementation	Completed	June 2008
Strategic Investments in Northern Economic Development and Governance	The North	Formative	Completed	September 2008
Contaminated Sites	The Land	Summative	Completed	December 2008
Funding Instrument and Accountabilities Study	Internal Services	Special Study	Completed	January 2009
Health Care and Counselling and Healthy Communities (Funding Study)	The North	Special Study	Completed	January 2009
Advocacy and Public Information Program, Indian Residential Schools Settlement Agreement	The Government	Summative	Completed	February 2009
Comprehensive Land Claims: Impacts	The Government	Impact	Completed	February 2009
Income Assistance, National Child Benefit Reinvestment and Assisted Living	The People	Impact	Completed	February 2009
Representative Organizations and Consultation and Policy Development	Internal Services	Summative	Completed	February 2009
SchoolNet Program	The People	Summative	Completed	February 2009
Community Economic/ Aboriginal Business Development	The Economy	Summative	Completed	April 2009
Test Case Funding	Internal Services	Summative	Completed	April 2009
Reserve Land and Environment Management Program (joint with program)	The Land	Formative	Completed	June 2009
Departmental performance monitoring/results reporting review	Internal Services	Special Study	Annual	June 2009
Labrador-Innu Comprehensive Healing Strategy	The People	Summative	In progress	August 2009
British Columbia Treaty-Related Measures	The Government	Summative	In progress	September 2009
Indian Government Support Programs	The Government	Summative	In progress	September 2009
National Aboriginal Achievement Foundation (Canadian Heritage lead)	Internal Services	Summative	In progress	September 2009
First Nations Infrastructure Fund	The People	Formative	In progress	November 2009
Capital Facilities and Maintenance Program	The People	Summative	In progress	December 2009
On-Reserve Housing	The People	Summative	In progress	December 2009
Treaty Commissions of Manitoba and Saskatchewan	The Government	Summative	In progress	December 2009
Self Government: Negotiation, Implementation and Impacts	The Government	Summative	In progress	January 2010
National Centre for First Nations Governance (Independent of INAC)	The Government	Summative	In progress
Infrastructure Fund — First Nations (Infrastructure Canada lead)	The People	Summative	In progress

Industry Canada

Table 9: Internal Audit and Evaluations

The Audit and Evaluation Branch
Through its professional internal audit and evaluation services, and the support it provides to the Departmental Audit Committee and the Departmental Evaluation Committee, the Audit and Evaluation Branch reinforces good stewardship practices and sound decision making and provides assurance to the Deputy and Associate Deputy Ministers. The Branch also contributes to making Industry Canada a learning organization and further supports the continuous improvement of departmental operations.

Internal Audits (2008–09)

1. Name of Internal Audit	2. Audit Type	3. Status	4. Completion Date	5. Electronic Link to Report
Follow-up to the 2006 Audit of Departmental Financial Controls	Financial Management Controls	Completed	February 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02022.html
Management of Transfer Payment Programs	Transfer Payment	Completed	April 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02021.html
Audit of the Structured Financing Facility (SFF) Program	Transfer Payment	Completed	May 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02020.html
Audit of the Canadian Apparel and Textile Industries Program (CATIP)	Transfer Payment	Completed	September 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02860.html
Audit of Early Warning System (EWS) for Contract Proposals	Financial Management Controls	Completed	September 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02861.html
Audit of the Management of Revenue	Financial Management Controls	Completed	August 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02862.html
Audit of Travel and Hospitality	Financial Management Controls	Completed	August 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02863.html

 

Evaluations (2008–09)

1. Name of Evaluation	2. Program Activity	3. Evaluation Type	4. Status	5. Completion Date	6. Electronic Link to Report
Final Evaluation of the Language Industry Initiative	3.3 — Industry Sector — Economic Development	Final Evaluation	Completed	June 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02856.html
Mid-Term Evaluation of the Northern Ontario Development Program (NODP)	3.2 — Small Business and Marketplace Services and Regional Operations Sector — Economic Development	Mid-Term Evaluation	Completed	June 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02859.html
Mid-Term Evaluation of the Competition Bureau’s Anti Bid-Rigging Activities	1.5 — Competition Bureau	Mid-Term Evaluation	Completed	June 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02857.html
Final Evaluation of the Hydrogen Early Adopters Program	2.5 — Industrial Technologies Office — Special Operating Agency	Final Evaluation	Completed	June 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02855.html
Final Evaluation of the Eastern Ontario Development Program (EODP)	3.2 — Small Business and Marketplace Services and Regional Operations Sector — Economic Development	Final Evaluation	Completed	June 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02853.html
Final Evaluation of the Francommunautés Virtuelles Program	3.4 — Spectrum, Information Technologies and Telecommunications Sector — Economic Development	Final Evaluation	Completed	June 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02854.html
Review of the BizPaL Service	3.2 — Small Business and Marketplace Services and Regional Operations Sector — Economic Development	Second Review	Completed	December 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02874.html
Final Evaluation of the Community Futures Program in Ontario	3.2 — Small Business and Marketplace Services and Regional Operations Sector — Economic Development	Final Evaluation	Completed	December 2008	www.ic.gc.ca/eic/site/ae-ve.nsf/eng/02864.html
7. Electronic Link to Evaluation Plan: No link currently available

Infrastructure Canada

Table 11: Internal Audits and Evaluations

Table 11a: Internal Audits (Current Reporting Period)

1. Name of Internal Audit	2. Audit Type	3. Status	4. Completion Date
Assurance Audit of Human Resources Staffing and Classification. http://www.infc.gc.ca/pd-dp/ia-vi/staffing-personnel-2008-eng.html	Human Resources	Completed	June 19, 2008
Audit of the Financial Management Accountability Framework, with regard to: "Financial Coding", "Monitoring of the Operating Budget", and "Implementation of Action Plan for Delegation of Signing Authority (DOA) Policy and Procedures". http://www.infc.gc.ca/pd-dp/ia-vi/fma-gf-2008-eng.html	Finance	Completed	June 19, 2008
Assurance Audit of Contracting and Procurement.	Finance	Consulting Engagement was completed instead	February 2009
Review of the File Management and Documentation Requirements for the Building Canada Fund (BCF) project files. http://www.infc.gc.ca/pd-dp/ia-vi/index-eng.html	Transfer Payment	Completed	March 10, 2009
Assurance Audit of selected components of Infrastructure Canada’s Financial Management and Accountability Framework.	Finance	Follow-up Engagement was completed with respect to recommendations made under the Audit of the Financial Management Accountability Framework	April 2009
Assurance Audit of the SIMSI (Shared Information Management System for Infrastructure) Management Control Framework. http://www.infc.gc.ca/pd-dp/ia-vi/index-eng.html	Information Management	Completed	Approved by Departmental Audit Committee June 11, 2009
Assurance Audit of the Gas Tax Fund (GTF) Management Control Framework. http://www.infc.gc.ca/pd-dp/ia-vi/index-eng.html	Transfer Payment	Completed	Approved by Departmental Audit Committee June 11, 2009
Assurance Audit of the Public Transit Fund (PTF) Management Control Framework. http://www.infc.gc.ca/pd-dp/ia-vi/index-eng.html	Transfer Payment	Completed	Approved by Departmental Audit Committee June 11, 2009
Assurance Audit of the contribution management control framework of Infrastructure Canada Program (ICP).	Transfer Payment	Cancelled as per Legal Services. Infrastructure Canada has no authority to audit the Infrastructure Canada Program (ICP).	Not Applicable
Assurance Audit of contribution management control framework of the Municipal Rural Infrastructure Fund (MRIF).	Transfer Payment	Planning phase completed and ready to start examination phase. Engagement delayed due to Economic Action Plan.	Expected December 2009
Follow-up Assurance Audit of Travel, Hospitality and Acquisition Cards.	Finance	In progress	Expected September 2009
Assurance Audit of the Contribution Management Control Framework of the Research, Knowledge and Outreach (RKO) Program.	Transfer Payment	Audit Engagement re-focused under the approved 2009-2010 Risk-Based Audit Plan1, 2	Not Applicable
Assurance Audit of IT Security.	Information Technology	Audit Engagement refocused under the approved 2009-10 Risk-Based Audit Plan1, 2	Not Applicable
Assurance Audit of the controls in place over Human Resources data.	Human Resources	Audit Engagement refocused under the approved 2009-10 Risk-Based Audit Plan1, 2	Not Applicable
Assurance Audit of Contracting and Procurement.	Finance	Consulting Engagement was completed instead	February 2009
Assurance Audit of Infrastructure Canada’s governance and organizational structure.	Governance	Audit Engagement refocused under the approved 2009-10 Risk-Based Audit Plan1, 2	Not Applicable
Assurance Audit of Infrastructure Canada’s strategic and operational planning process and practices.	Management	Audit Engagement refocused under the approved 2009-10 Risk-Based Audit Plan1, 2	Not Applicable
Assurance Audit of the Infrastructure Policy Framework and strategic policy capacity.	Policy	Planned 2	2011-2012
Assurance Audit of the Information Management (IM) function.	Information Management	Planned 2	2011-2012

Table 11b: Evaluations (Current Reporting Period)

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

---

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

Library and Archives Canada

Internal Audits and Evaluations

Internal Audits (Current reporting)

1. Name of Internal Audit	2. Audit Type	3. Status	4. Completion Date
Review of Privacy	Compliance of LAC with the Privacy Act	Completed	February 2009

Evaluations (current reporting period)

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date
Managing the disposition of the Government of Canada records of continuing value	1.1	RMAF	Ongoing	Approval expected in 2009–10
Managing the documentary heritage of interest to Canada	1.2	RMAF	Ongoing	Approval expected in 2009–10
Making the documentary heritage known and accessible for use	1.3	RMAF	Ongoing	Approval expected in 2009–10
Human Resources	1.4.2	RMAF	Ongoing	Approval expected in 2009–10

Note: The Report on Plans and Priorities for 2008–09 mentioned a planned RBAF/RMAF for the Portrait Gallery of Canada. This document was not completed as decisions have not been made regarding what form the program will take.

National Defence

Internal Audits and Evaluations

Internal Audits (current reporting period)

The following table lists the internal audit work completed during fiscal year 2008-09, as well as the audit work active in fiscal year 2008-09 that has carried forward into fiscal year 2009-10. Completed audit reports, which include management action plans developed in response to audit recommendations, can be found at the following link: http://www.crs-csex.forces.gc.ca/reports-rapports/index-eng.asp

Name of Internal Audit	Audit Type	Status	Completion Date1
Internal Audit of the Close-In Weapon System Support Contracts	Contract Management	Completed	December 2008
Audit of Inventory Management: Stocktaking, Adjustments and Write-Offs	Financial Management / Asset Management	Completed	December 2008
Follow-Up on Internal Audit: Airbus Maintenance Contract	Follow-Up/Asset (Contract) Management	Completed	December 2008
Follow-Up on Audit of Security Clearance Process	Follow-Up/Security	Completed	September 2008
Follow-Up on Audit of Sensitive Inventories	Follow-Up/Security	Completed	September 2008
Follow-Up on Internal Audit: Combat System Engineering Support (CSES) Contracts	Follow-Up/ Asset (Contract) Management	Completed	September 2008
Follow-Up on Internal Audit: Wheeled Light Armoured Vehicle (WLAV) Life Cycle Support Contracts	Follow-Up/ Asset (Contract) Management	Completed	September 2008
Audit of Chemical, Biological, Radiological and Nuclear (CBRN) Defence Omnibus Contract	Capital Acquisition	Completed	June 2008
Audit of Land Command System Support Contract	Asset (Contract) Management	Completed	June 2008
Audit of Contractor-Held Inventory	Asset Management/Financial Management	Completed	June 2008
Audit of Year-End Expenditures	Financial Management	Completed	June 2008
Audit of M113 Armoured Personnel Carrier (APC) Intellectual Property	Other	Completed	1st Quarter FY 2009-10
Audit of Capital Asset Valuation	Financial Management/ Asset Management	Completed	1st Quarter FY 2009-10
Audit of Fixed-Wing Search and Rescue Acquisition	Capital Acquisition	Completed	2nd Quarter FY 2009-10
Review of Human Resources Service Delivery	People Management	In progress	2nd Quarter FY 2009-10
Audit of Contaminated Sites Liability	Environmental Management	In progress	2nd Quarter FY 2009-10
Review of TB Submission Process	Capital Acquisition/Corporate Governance	In progress	2nd Quarter FY 2009-10
Risk Analysis of Contracts	Risk Analysis - Asset (Contract) Management	In progress	2nd Quarter FY 2009-10
Audit of Inventory Management: Surpluses and Disposal	Asset Management/ Financial Management	In progress	2nd Quarter FY 2009-10
Follow-Up on Internal Audit: CP140 Aurora Maintenance Contracts	Follow-Up/ Asset (Contract) Management	In progress	2nd Quarter FY 2009-10
Follow-Up on IT Security: Certification & Accreditation	Follow-Up/ Security	In progress	2nd Quarter FY 2009-10
Audit of the Canadian Forces Housing Agency (CFHA)	Agency Operations	In progress	3rd Quarter FY 2009-10
Audit of Revenue Management	Financial Management	In progress	3rd Quarter FY 2009-10
Audit of Security Incident Management	Security	In progress	3rd Quarter FY 2009-10
Audit of Minor Warships and Auxiliary Vessel In-Service Support Contract	Asset (Contract) Management	In progress	3rd Quarter FY 2009-10
Audit of the Implementation of Modern Management	Financial Management / Corporate Governance	In progress	3rd Quarter FY 2009-10
Risk Analysis of Information Management Projects	IM/IT Management	In progress	2nd Quarter FY 2009-10
Audit of Contracting for Professional Services	Contract Management	In progress	3rd Quarter FY 2009-10
Audit of Leave & Absence Administration	People Management	In progress	3rd Quarter FY 2009-10
Chief Review Services Perspective 2008	Other	In progress	3rd Quarter FY 2009-10

Evaluations (current reporting period)

The following table lists the evaluation work completed during fiscal year 2008-09, as well as the evaluation work active in fiscal year 2008-09 that has carried forward into fiscal year 2009-10. Completed evaluation reports, which include management action plans developed in response to evaluation recommendations, can be found at the following link: http://www.crs-csex.forces.gc.ca/reports-rapports/index-eng.asp

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date1
Summative Evaluation of the Class Grant Program for the Offices of the National Cadet Leagues	Contribute to Canada and the International Community	Summative	Completed	September 2008
Summative Evaluation of the Chemical, Biological, Radiological, Nuclear (CBRN) Research and Technology Initiative (CRTI)	Generate & Sustain Integrated Forces	Summative	Completed	June 2008
Formative Evaluation of the Contribution Program for the Promotion of Defence and Diplomacy Objectives Implemented by the Military Training Assistance Program (MTAP)	Contribute to Canada and the International Community	Formative	Completed	June 2008
Evaluation of the Benevolent Fund Class Grant Program: Royal Canadian Naval Benevolent Fund	Generate & Sustain Integrated Forces	Summative	Completed	1st Quarter FY 2009-10
Evaluation of the Contribution to the Civil Air Search and Rescue Association (CASARA)	Generate & Sustain Integrated Forces	Summative	Completed	1st Quarter FY 2009-10
Evaluation of the Contribution to the Biological and Chemical Review Committee	Contribute to Canada and the International Community	Summative	Completed	1st Quarter FY 2009-10
Summative Evaluation of the Contribution Program for the Promotion of Defence Diplomacy Objectives (MTAP)	Contribute to Canada and the International Community	Summative	Completed	1st Quarter FY 2009-10
Evaluation of CF Recruiting, Absorption and Retention	Generate & Sustain Integrated Forces	Impact	In progress	3rd Quarter FY 2009-10
Evaluation of the Care of the Ill and Injured and Their Families	Generate & Sustain Integrated Forces	Impact	Completed	2ndQuarter FY 2009-10
Evaluation of the Named Grant to Institute of Environmental Monitoring & Research	Contribute to Canada and the International Community	Summative	In progress	3rd Quarter FY 2009-10
Evaluation of the Contribution Program in Support of the Search and Rescue New Initiatives Fund	Contribute to Canada and the International Community	Summative	Completed	2nd Quarter FY 2009-10
Evaluation of Alternative Dispute Resolution	Internal Services	Implementation	Completed	2nd Quarter FY 2009-10

National Energy Board

Table 3a: Internal Audits (2008-2009)

Name of Internal Audit	Audit Type	Status& Completion Date	Report Link
Pay Files	Authorization process and payment of overtime; authorization of payroll actions (hires, promotions, terminations) and their execution	Completed January 2009	Pay Files
Financial Management of the Hearing Process	Authorization and payment of expenses related to hearings	Completed November 2008	Hearing Process
Safety	To determine whether the NEB is appropriately managing its safety oversight responsibilities	Completed February 2009	Safety Oversight
Confidential Information	To determine whether appropriate processes are being followed within the NEB for the handling of confidential information	In progress

Table 3b: Evaluations (2008-2009)

Name of Evaluation	Program Activity	Evaluation Type	Status & Completion Date	Report Link
Records, Document and Information Management System (RDIMS)	Energy Regulation and Advice	Implementation evaluation of Information Management System	Completed November 2008	RDIMS
Staffing Process	Energy Regulation and Advice	Efficiencies evaluation of staff process	In progress

National Research Council Canada

Table 11: Internal Audits and Evaluations

Table 11a: Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date
Audit of Construction Contracts	Procurement and Contracting; Management control framework and compliance audit	Completed	January 2009
Audit of Contracts over $25,000 – 2007-2008	Procurement and Contracting; Management control framework and compliance audit	Completed	January 2009
Audit of Hospitality – 2007-2008	Procurement and Contracting; Management control framework and compliance audit	Completed	January 2009
Audit of Travel – 2007-2008	Procurement and Contracting; Management control framework and compliance audit	Completed	January 2009
Review of Values and Ethics	Values and Ethics; Audit Survey	Completed	June 2009
Audit of Facilities Management and Equipment	Real Property Management; Management control framework and compliance audit	In progress	October 2009
Audit of Acquisition Cards – 2008-2009	Financial Management; Management control framework and compliance audit	In progress	October 2009
Audit of Occupational Health and Safety	Real Property Management; Management control framework and compliance audit	In progress	October 2009
Audit of Integrated Risk Management	Risk Management; Management controls framework audit	In progress	October 2009

Approved Audit Reports are posted on the National Research Council's web site

Table 11b: Evaluations (current reporting period)

Name of Evaluation	Program Activity	Program Type	Status	Completion Date
Evaluation of the National Research Council's Fuel Cell and Hydrogen Program		Formative	Completed	2008-09
Report of the Peer Review Committee of TRIUMF		Summative	Completed	2008-09
Summative Evaluation of the Youth Employment Strategy		Summative	In progress	2009-10
Portfolio Evaluation of the NRC Technology Cluster Initiatives		Summative	In progress	2009-10
Portfolio Evaluation of the Institute for National Measurement Standards		Summative	In progress	2009-10

Natural Resources Canada

Table 9: Internal Audits

Name of Internal Audit	Audit Type	Status	Expected Completion Date
Audit of NRCan's Treasury Board Submission Process	Assurance	Completed	Q1 08/09
Audit of Forest Communities Program Management Control Framework	Assurance	Completed	Q1 08/09
Audit of Server Management	Assurance	Completed	Q4 08/09
Audit of Cash Management	Assurance	Completed	Q4 08/09
Audit of Accounts Payable and Acquisition Cards	Assurance	Completed	Q3 08/09
Audit Of Management of Repayable Contributions	Assurance	Completed	Q3 08/09
Audit of Performance Management at the Contribution Agreement Level	Assurance	Completed	Q3 08/09
Audit of Commercial Off-the-Shelf Software	Assurance	Completed	Q4 08/09
Summary of Financial Management Framework Audits	Assurance	Completed	Q4 08/09
Audit of Public Website Management Practices	Assurance	Completed	Q4 08/09
Audit of Financial Forecasting Year-end Expenditures	Assurance	Completed	Q4 08/09
Audit of Pay and Benefits	Assurance	Completed	Q4 08/09
Audit of Values and Ethics	Assurance	Ongoing	Q2 09/10
Custom Software Development	Assurance	Ongoing	Q1 09/10
Audit of SSO Service Delivery	Assurance	Ongoing	Q2 09/10
Audit of Statutory Transfer Nova Scotia and Newfoundland	Assurance	Ongoing	Q2 09/10
Audit of Departmental Asset Management	Assurance	Ongoing	Q2 09/10
Audit of GeoConnections	Assurance	Ongoing	Q2 09/10
Audit of Strategic Planning	Assurance	Deferred	FY 10/11
Audit of ecoENERGY Retrofit Homes Program	Assurance	Ongoing	Q2 09/10
Audit of Treasury Board Authorities	Assurance	Ongoing	Q2 09/10

Electronic Link to Audits Reports: http://nrcan.gc.ca/audit/index-eng.php.

Table 10: Internal Evaluation

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date
CFS Climate Change Program Evaluation	Adapting to a Changing Climate and Hazard Management	Summative	Complete	February 27, 2009

Electronic Link to Report: http://nrcan.gc.ca/evaluation/index-eng.php.

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

Natural Sciences and Engineering Research Council of Canada

Table 3: Internal Audits and Evaluations

1. Name of Evaluation	2. Program activity	3. Evaluation type	4. Status	5. Completion date	6. Electronic link to report
Mid-term Review of Centres for Research in Youth, Science Teaching And Learning (CRYSTAL)	1.1 Promoting Science and Engineering	Formative /Implementation	Completed	December 2008	http://www.nserc-crsng.gc.ca/NSERC-CRSNG/Reports-Rapports/evaluations-evaluations_eng.asp
Canada Graduate Scholarships (CGS) Program and Related Programs Review*	1.2 Supporting Students and Fellows	Formative /Summative	Completed	November 2008	http://www.nserc-crsng.gc.ca/NSERC-CRSNG/Reports-Rapports/evaluations-evaluations_eng.asp
NSERC Postgraduate Scholarships Program Review	1.2 Supporting Students and Fellows	Formative /Summative	Completed
Evaluation of the Collaborative Research and Development (CRD) Program	3.2 Funding University-Industry-Government Partnerships	Summative /Impact	Ongoing
Networks of Centres of Excellence - New Initiatives (NCE-NI)*	3.2 Funding University-Industry-Government Partnerships	Summative /Impact	Ongoing
Networks of Centres of Excellence - International Partnership Initiative (NCE-IPI)*	3.2 Funding University-Industry-Government Partnerships	Summative /Impact	Ongoing
Evaluation of the Intellectual Property Mobilization (IPM) Program*	3.3 Commercialization Support	Summative /Impact	Completed	April 2008	http://www.nserc-crsng.gc.ca/NSERC-CRSNG/Reports-Rapports/evaluations-evaluations_eng.asp
Formative Evaluation of the Centres of Excellence for Commercialization and Research (CECR) Program*	3.3 Commercialization Support	Formative /Implementation	Ongoing
Summative Evaluation of the Interagency Advisory Panel and Secretariat on Research Ethics*	Not applicable	Summative /Impact	Completed	February 2009	http://www.nserc-crsng.gc.ca/NSERC-CRSNG/Reports-Rapports/evaluations-evaluations_eng.asp

Office of the Auditor General of Canada

Internal audits and reviews completed in 2008–09

Name of internal audit	Audit type	Completion date1
Report on the review of the annual audit practice of the Office of the Auditor General of Canada—2008	Compliance	May 20092
Report on the review of the performance audit practice of the Office of the Auditor General of Canada—2008	Compliance	May 20092
Report on the review of the special examination practice of the Office of the Auditor General of Canada—2008	Compliance	May 20092
Report on the assessment of the design of the Quality Management System	Compliance	October 2008
1 Reports will be posted on the website of the Office of the Auditor General once they have been translated. 2 The individual practice reviews were all completed in 2008–09, and the summary reports were presented to the Executive Committee in May 2009.

Office of the Chief Electoral Officer

Table 11: Internal Audits and Evaluations

1. Name of Internal Audit	2. Audit Type	3. Status	4. Completion Date	5. Electronic Link to Report
Audit of the IT Integrated Program Office	Information Management/ Information Technology (IM/IT)	Complete	April 2009
Audit of the Management of Returning Officers	Program	In progress	August 2009
Audit of the Special Voting Rules (SVR) System Redevelopment Project	IM/IT	Planned	2009–10, 3rd quarter
Audit of Returning Officers’ Management Practices	Program	Planned	2009–10, 4th quarter
Audit of the IT Business Continuity Plan	IM/IT	Planned	2009–10, 4th quarter
Audit of the Management of the Human Resources Information System	Management	Planned	2009–10, 4th quarter

Office of the Superintendent of Financial Institutions Canada

Table: Internal Audits and Evaluations

The most recent Audit Plan and Audit Reports are available on OSFI’s website: OSFI’s Internal Audit Reports.

The table below provides the list of key internal audits that pertain to OSFI’s work during the reporting period (2007-2008 and 2008-2009 IA planning period), including electronic links to completed internal audits.

Internal Audits (2008-2009 reporting period – covering 2007-2008 and 2008-2009 IA planning period)

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Superintendent’s office- Management Oversight	Superintendent’s Office	Completed	January 2009	2009 Jan - Superintendent Management Oversight Framework Review
Superintendent’s office- OSFI Planning Activities and Processes	Superintendent’s Office	Completed	April 2008	2008 April - Report on Planning Activities and Processes
Regulation Sector: Actuarial Division (support for Supervision)	Supervision – Risk Assessment and Interventions	Completed	June 2008	2008 June - RS - Actuarial Supervision Support - Life Insurance Review
Regulation Sector: Approvals & Precedents - Legislative Approvals	Regulation Sector - Approvals	Completed	October 2008	2008 Oct - RS - Approvals & Precedents - Legislative Approvals Review
Regulation Sector: Legislation and Policy Initiatives (LAPI) – Rule Making Division	Regulation Sector – Rule Making	Completed	July 2009	2009 July – LAPI: Management Control Framework Review
Regulation Sector: Accounting Rules & Supervision Support: Rule Making Process	Regulation Sector – Rule Making	In Progress	2009-2010
Corporate Services: Human Resources Planning Framework	Corporate Services – Human Services	Completed	January 2009	2009 Jan - Human Resources Planning Framework Review
Corporate Services: IM/IT - Infrastructure Technology Services (ITS) – ITS Planning	Corporate Services – Information Management and Information Technology	Completed	January 2009	2009 Jan - Infrastructure Technology Services Planning Activities and Processes Audit
Corporate Services: Portfolio Management	Corporate Services	Completed	July 2009	2009 July - Portfolio Management Framework Review
Office of the Chief Actuary (OCA): Professional Services – Statutory Actuarial Reports – Canada Pension Plan (CPP)	Office of the Chief Actuary (OCA)	Completed	June 2009	2009 June - OCA Statutory Actuarial Reports Review (CPP)

Parks Canada

Internal Audits and Evaluations (2008-2009)

A. Internal Audits
Name	Audit Type	Status	Completion Date	Electronic Link
Audits of Financial/Administrative Controls at:
National Parks Directorate	Key financial and administrative Controls	Complete	Sept 16, 2008	http://www.pc.gc.ca/docs/pc/rpts/rve-par/53/index_e.asp
Office of DG East		Complete	July 24, 2008	http://www.pc.gc.ca/docs/pc/rpts/rve-par/50/index_e.asp
Offices of DG North & West		Complete	July 24, 2008	http://www.pc.gc.ca/docs/pc/rpts/rve-par/49/index_e.asp
Follow-up Audit Northern Ontario Field Unit		Complete	Sept 16, 2008	http://www.pc.gc.ca/docs/pc/rpts/rve-par/52/index_e.asp
Follow-up Audit Western Quebec Field Unit		Complete	April 1, 2009
Value and Ethics Control Framework	Assurance	Complete	December 9, 2008	http://www.pc.gc.ca/docs/pc/rpts/rve-par/54/index_e.asp
Fire Management Emergency Funds	Assurance	Complete	June 11, 2009
Revenue Management	Assurance	In-Progress
Fleet Vehicle / Vessel Management	Assurance	In-Progress
B. Evaluations
Name	Evaluation Type	Status	Completion Date	Electronic Link
Evaluation Framework for Through Highways Management Program	Framework	In-progress
Evaluation Framework For Visitor Activities and Services	Framework	In-progress
Evaluation of Issues Related to National Historic Sites of Canada Cost-Sharing Program	Relevance and Importance	Complete	August 2009	http://www.pc.gc.ca/docs/pc/rpts/rve-par/51/index_e.asp
Evaluation of the Parks Canada Asset Management Program	Implementation/Relevance/ Performance	Complete	August 2009
Electronic Link to Parks Canada’s Internal Audit and Evaluation Plan: http://www.pc.gc.ca/docs/pc/rpts/rve-par/48/index_e.asp

Privy Council Office

Table 4: Internal Audits and Evaluations

The following internal audits were underway or planned for completion during the 2008-09 fiscal year:

Table 4a: Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date
Audit of the Delegation of Financial Authorities	Financial management controls and compliance	Completed	Sept. 24, 2008
Follow-up Audit of the Process for Responding to Parliamentary Order Paper Questions	Follow-up audit	Completed	Sept. 24, 2008
Audit of Information Technology Security	IT audit	In progress	2009-10
Audit of Contracting	Controls and Compliance	Note 1	Note 1
Audit of Expenditure Management – Travel and Hospitality	Controls and Compliance	Note 1	Note 1

Note 1: Although these two audits were planned for completion in 2008-09, the reassignment of limited audit resources to higher audit-related priorities resulted in these audits not being initiated during the 2008-09 fiscal year. They were therefore proposed for deferral to the subsequent 2009-10 fiscal year subject to resource availability.

Table 4b: Evaluations (current reporting period)

Name of Evaluation	Program Activity	Program Type	Status	Completion Date
Evaluation of Career on the Move (COTM)	Note 1	Summative Evaluation	In progress	2009-10 (Q2)

Note 1: The COTM activity is managed by Corporate Services Branch (CSB). Under the 2008-09 Program Activity Architecture (PAA) structure, internal services delivered by CSB were allocated across the PCO program activities, and therefore there was no specific PAA identified for this Evaluation. Under the 2009-10 PAA structure, the Evaluation of COTM would be identified under the new Program Activity Architecture “Internal Services.”

Public Health Agency of Canada

Table 11: Internal Audits and Evaluations

Table 11a: Internal Audits (current reporting period)

The following table lists all upcoming internal audits that pertain to the Agency’s work.

Completed audit reports can be found at:  http://www.phac-aspc.gc.ca/about_apropos/audit/reports-eng.php

Name of Internal Audit	Status	Completion Date
Travel and Hospitality Expenditures	Completed	June 2008
Office of the Public Health Practice	Completed	June 2008
Delegation of Financial Authorities	Completed	June 2008
Human Resources Management	Completed	June 2008
Information Management and Information Technology Governance	Completed	October 2008
Real Property Management	Completed	October 2008
Payroll, Leave and Overtime Administration	Completed	October 2008
Management of the Interchange Canada Program	Completed	December 2008
Information Technology Asset Management	Reporting	June 2009
Security of Laboratories	Reporting	June 2009
Quarantine, Migration and Travel Health Programs	Planned	December 2009
Health Promotion Programs Administered by the Health Promotion and Chronic Disease Prevention Branch and Regional Operations	In Progress	September 2009
Review of the Agency’s Readiness Activities for the 2010 Olympic and Paralympics’ Winter Games	Planned	December 2009
Information and Record Management	Planned	December 2009
Emergency Preparedness including Health Emergency Response Teams and National Emergency Stockpile System	Planned	March 2010
Laboratory Management	Planned	June 2010

Table 11b: Evaluations (current reporting period)

1. Name of Evaluation	2. Program Activity	3. Evaluation Type	4. Status	5. Completion Date
Formative Evaluation of the Integrated Strategy on Healthy Living and Chronic Disease (2005-2008)	Health Promotion	Formative	Approved	March 31, 2009
Population Health Fund Evaluation 2008 (2005-2008)	Health Promotion	Summative	Approved	March 31, 2009
Summative Evaluation: Fetal Alcohol Spectrum Disorder Initiative (2004-2009)	Childhood and Adolescence	Summative	Approved	March 31, 2009
Formative Evaluation of the Integrated Strategy on Healthy Living and Chronic Disease (2005-2008)	Chronic Disease Prevention and Control	Formative	Approved	March 31, 2009
Evaluation of the Capacity-Building Component of the Canadian Breast Cancer Initiative (2004-2008)	Chronic Disease Prevention and Control	Formative	Approved	March 31, 2009
Federal Initiative to Address HIV/AIDS in Canada: Implementation Evaluation Report (2004-2007)	Infectious Disease Prevention and Control	Formative	Approved	March 31, 2009
Interim Evaluation of the National Immunization Strategy (2003-2007)	Infectious Disease Prevention and Control	Formative	Approved	March 31, 2009
Summative Evaluation of the Blood Safety Contribution Program (1998-2008)	Infectious Disease Prevention and Control	Summative	Approved	March 31, 2009
Formative Evaluation of the National Collaborating Centres for Public Health Program (2005-2008)	Strengthen Public Health Capacity	Formative	Approved	March 31, 2009

Public Safety Canada

Table 6: Internal Audits and Evaluations

Table 6a: Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date
Contracting and Procurement	Assurance Engagement	Complete	Feb. 2009
Leave and Overtime	Assurance Engagement	In progress	July 2009
Acquisition Cards	Assurance Engagement	In progress	July 2009
Follow-up Audit of the First Nations Policing Program	Assurance Engagement	In progress	Aug. 2009
Travel	Assurance Engagement	In progress	March 2010
Recruitment, Staffing, Retention and Departure	Assurance Engagement	In progress	March 2010
Government Operations Centre	Assurance Engagement	Postponed

Following the release of the 2008-09 Report on Plans and Priorities, a Risk-based Audit Plan was developed and approved by the Audit Committee (June 2008). The audit projects noted were scheduled for 2008-09, and the following audits (identified in the 2008-09 RPP) will be reconsidered in the annual risk-based planning process:

• Public Service mandatory training;
• Employee Departure Process;
• Accounts Payable;
• Hospitality;
• Government Security Policy;
• Public Safety and Anti-Terrorism (PSAT) funding;
• HR information systems;
• Continuity of Government Program;
• Record Document Information Management Systems (RDIMS);
• Management of Information Technology Security (MITS) plan and implementation Policy Development Contribution Program;
• Interoperability Project; and
• Financial Statements Preparation Readiness for an external audit.

Table 6b: Evaluations (current reporting period)

Name of Evaluation	Program Activity	Audit Type	Status	Completion Date
Public Safety and Anti-Terrorism Initiative Chemical, Biological, Radiological, and Nuclear Training	Emergency Management	Summative Evaluation	Completed	2008-09
Cross Cultural Roundtable on Security	National Security	Formative Evaluation	Completed	2008-09
National Strategy for the Protection of Children from Sexual Exploitation on the Internet	Law Enforcement	Summative Evaluation	Completed	2008-09
Joint Emergency Preparedness Program	Emergency Management	Summative Evaluation	Completed	2008-09
Secret Communications Interoperability Project	Interoperability	Summative Evaluation	In process	N/A
Youth Gang Prevention Fund	Crime Prevention	Interim Evaluation	In process	N/A
Federal/Provincial/ Territorial (FPT) Forum on Emergencies	Emergency Management	Formative Evaluation	In process	N/A

Public Safety Canada’s Evaluation Reports will be available at http://www.publicsafety.gc.ca once approved by the Departmental Evaluation Committee.

Public Service Commission of Canada

Table 11: Internal Audits and Evaluations

Table 11a: Internal Audits 2008-2009

Name of Internal Audit	Audit Focus	Status	Completion Date	Electronic Link to Report
Regional Operations	Management Controls	Completed	Q4 - 2007-2008	www.psc-cfp.gc.ca/abt-aps/inta-veri/2008/roa-vor/index-eng.htm
Financial Statements – Cyclical, 2007-2008 Cycle	Financial Reporting and Management	Completed	Q2 – 2008-2009	www.psc-cfp.gc.ca/abt-aps/inta-veri/2008/fsca-efvc/index-eng.htm
Public Service Resourcing System – Stream 1, Next Phase	Project Management	Completed	Q3 – 2008-2009	www.psc-cfp.gc.ca/abt-aps/inta-veri/2008/psr-rep/index-eng.htm
Budgeting	Management Controls	Completed	Q1 – 2009-2010	Not yet posted
Fundamental Controls	Office of the Comptroller General (OCG) directed	No request made by OCG for 2008-2009	n/a	n/a
Financial Statements – Cycle 2, Revenues	Financial Reporting and Management	In progress	Est. Q2 – 2009-2010	n/a
Implementation of Service Transformation	System-under-development for business processes	In progress	Est. Q3 -2009-2010	n/a

The following are the main Internal Audit conclusions:

The first Cycle of the Financial Statement audits examined payroll and acquisition card processes at the Public Service Commission (PSC). Generally, the PSC was found to have satisfactory controls for ensuring the soundness of operations and reporting. Some improvements were needed, such as documenting internal payroll procedures and not allowing sharing of acquisition cards.

The examination of the Public Service Resourcing System's current phase was a continuation of financial, planning, reporting and administrative assurance work on this development project.  The auditors found that project management controls were functioning in an acceptable manner, although changes were needed in some human resources and accounting practices.

Internal Audit made some recommendations for improvement relating to both of the above projects, and management had provided sound action plans to address all of them.

Table 11b: Internal Evaluation 2008-2009

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date	Electronic Link to Report
Public Service Resourcing System	1.3.0	Targeted	Completed	July 2008	N/A
Review of the Public Service Oversight role	1.1.0 1.2.0	Oversight	Completed	June 2009	N/A
Post-Secondary Recruitment Program	1.3.0	Targeted Framework	In progress	March 2009	N/A
Second Language Evaluation Tests	1.3.0	Targeted Framework	In progress	March 2009	N/A

The Executive Management Committee of the Public Service Commission approved the targeted evaluation report of the Public Service Resourcing System (PSRS). Major conclusions include: PSRS is perceived to be supporting the implementation of the Public Service Employment Act and other government priorities; it helps make the Government of Canada accessible and attractive as an employer and it has a positive impact on the transparency of the recruitment process.

The Independent Review Committee approved the Review of Public Service Commission Oversight.

The Post Secondary Recruitment Program-targeted evaluation framework was completed in March 2009. The main conclusion was the recommendation to conduct a full evaluation in fiscal year 2009-2010 to position the Program within the array of public service recruitment methods.

The Second Language Evaluation Test-targeted evaluation framework was completed in March 2009 and is scheduled to be approved in summer 2009. The main conclusion is that a full evaluation be conducted in 2011-2012 once the new Reading, Writing and Oral Proficiency tests have been implemented. The scope and depth of the evaluation is to be determined at that time.

Public Works and Government Services Canada

Table 11 – Internal Audits and Evaluations

Internal Audits (2008-2009)

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Audit of Risk Mitigation - Human Resources Branch	Assurance	Completed (carry forward from 2007-2008)	September 2008	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Annual Attest Audits of the Financial Statements of Revolving Funds for the fiscal year ended March 31, 2008: Translation Bureau Revolving Fund Real Property Disposition Revolving Fund Consulting and Audit Canada Revolving Fund Telecommunications and Informatics Common Services Revolving Fund Optional Services Revolving Fund Real Property Services Revolving Fund	Annual Financial Attest Audits of Revolving Funds	Completed (planned 2008-2009)	September 2008	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Annual Attest Audit of the Financial Report of Administrative Costs Chargeable to the Canada Pension Plan for the fiscal year ended March 31, 2007	Annual Financial Attest Audit	Completed (planned 2008-2009)	November 2008	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Audit of Succession Planning in Acquisitions Branch and Accounting, Banking, and Compensation Branch	Assurance	Completed (carry forward from 2007-2008)	December 2008	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Audit of Lease Escalations	Assurance	Completed (carry forward from 2007-2008)	December 2008	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Audit of Access Management for Selected Information Technology Systems	Assurance	Completed (carry forward from 2007-2008)	March 2009	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Audit of Configuration Management across PWGSC	Assurance	Completed (carry forward from 2007-2008)	March 2009	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Audit of the Management of the Government of Canada Pension Modernization Project	Assurance	Completed (carry forward from 2007-2008)	March 2009	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Audit of the Construction Contracting Process	Assurance	Completed (carry forward from 2007-2008)	March 2009	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Audit of the Management of the Government of Canada Centralization of Pension Services Delivery Project	Assurance	Completed (carry forward from 2007-2008)	March 2009	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Audit of Acquisition Cards	Assurance	Completed (planned 2008-2009)	April 2009	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Audit of Materiel Management	Assurance	Completed (carry forward from 2007-2008)	April 2009	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Follow-up Audit of the Administrative Costs Charged to the Public Service Superannuation Account	Assurance	Closed after the Preliminary Survey (planned 2008-2009)	June 2009
Audit of Monitoring Controls over Standing Offers	Assurance	In-progress (planned 2008-2009)	November 2009	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Audit of the Certification and Accreditation Processes to Mitigate Security Risks to PWGSC Business Applications	Assurance	Completed (carry forward from 2006-2007)	November 2009	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Audit of PWGSC's Compliance with Acts, Regulations, Policies, and Directives related to Health and Safety Concerns - First Aid	Assurance	In-progress (planned 2008-2009)	November 2009
Audit of Environmental Liabilities	Assurance	In-progress (carry forward from 2007-2008)	March 2010
Audit of Revenue from Commercial and Retail Letting	Assurance	Deferred to 2009-2010 (carry forward from 2007-2008)
Audit of Compensation	Assurance	Deferred to 2009-2010 (planned 2008-2009)
Compliance Audit of Receiver General Settlement System Security Standards	Assurance	Cancelled (carry forward from 2007-2008)
Audit of Designated Properties - Project Management in Parliamentary Precinct	Assurance	Cancelled (carry forward from 2007-2008)

Evaluations (2008-2009)

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date	Electronic Link to Report
Evaluation of the Crown Assets Disposition Program		Summative	Completed (carry forward from 2007-2008)	May 2008	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Evaluation of Publishing and Depository Services Program		Summative	Completed (carry forward from 2007-2008)	May 2008	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Targeted Evaluation of the 2005 Alternative Forms of Delivery Initiative		Targeted Evaluation	Completed (carry forward from 2007-2008)	May 2008	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Evaluation of the Federal/Provincial/Territorial Group Purchasing Program for Drugs and Vaccines		Summative	Completed (planned 2008-2009)	March 2009	Report will be available at: http://www.tpsgc-pwgsc.gc.ca/bve-oae/index-eng.html
Evaluation of the Canadian General Standards Board		Summative	In progress (planned 2008-2009)	September 2009
Evaluation of the Ethics Program		Summative	In progress (planned 2008-2009)	November 2009
Evaluation of Payment in Lieu of Taxes (PILT) Program		Summative	In progress (planned 2008-2009)	November 2009
Evaluation of Translation and Interpretation Services to Parliament		Summative	In progress (planned 2008-2009)	November 2009
Evaluation of PWGSC's Heritage Buildings Conservation Program		Summative	In progress (planned 2008-2009)	January 2010
Evaluation of PWGSC's Involvement in the Federal Contaminated Sites Action Plan		Horizontal Evaluation (with Environment Canada)	In progress (carry forward from 2007-2008)	November 2009
Evaluation of Pay Systems Services		Summative	Deferred to 2012-2013

RCMP External Review Committee

Table: Internal Audits

Name of Internal Audit	Audit Type	Status	Completion Date
1. The Office of the Comptroller General conducted a horizontal audit of Expenditure Controls - Higher Risk Payments across large departments and small departments and agencies including the RCMP External Review Committee.	audit	pending	September 2009
2. The Office of the Comptroller General conducted a horizontal audit of travel and hospitality in small departments and agencies audit.	audit	pending	June 2009

Royal Canadian Mounted Police

Table 10: Internal Audits and Evaluations

Table 10a: Internal Audits (current reporting period April 1, 2008 to March 31, 2009)

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Canadian Air Carrier Protection Program	Operational – Assurance Engagement	Completed	February 2009	Note 2
Staff Relations Representative Program	Operational – Assurance Engagement	In Progress	May 2009	N/A
Real Time Identification (RTID)	IT Project – Assurance Engagement	In Progress	June 2009	N/A
National Recruiting Program	Operational – Assurance Engagement	In Progress	June 2009	N/A
Directed Audit of the Sensitive Expenditures	Operational – Assurance Engagement	Planning	June 2010	N/A
Canada Firearm Centre – Management Control Framework	Operational – Assurance Engagement	In Progress	September 2009	N/A
Protection of Information MOU between the RCMP and CRA	Operational – Assurance Engagement	Completed	March 2009	Note 3 & Note 1
International Peace Operations	Operational – Assurance Engagement	In Progress	September 2009	N/A
Capital Assets	Operational – Assurance Engagement	In Progress	December 2009	N/A
Communications	Operational – Assurance Engagement	In Progress	September 2009	N/A
Operational Communications Centres Audit	Operational – Assurance Engagement	Completed	June 2008	Note 1
CACPP 2007-2008	Operational – Assurance Engagement	Completed	June 2008	Note 2
PPFA Pension Plan Financial Attest	Financial Assurance Engagement	Completed	June 2008	Note 1

Note 1: All RCMP Internal Audit Committee Approved Reports can be retrieved through the following link: http://www.rcmp.ca/corpman/audit_e.htm

Note 2: This report is classified and does not appear on the RCMP public website.

Note 3: This report is pending translation and still to be vetted. It will be available on the RCMP website in the near future.

Note: approved reports are those that have been approved by the Departmental Audit and Evaluation Committee.

Table 10b: Evaluations (2008-2009)

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date	Electronic Link to Report
Full Potential Program		Summative	Completed	June 12, 2008	None
Integrated National Security Enforcement Teams	SA 1.1.5	Summative	Completed	June 12, 2008	None
National Security Source Development Units	SA 1.1.5	Summative	Completed	June 12, 2008	None
Shiprider 2007	SSA 1.1.3.4	Summative	Completed	October 15, 2008	None
RCMP Reserve Program		Summative	Completed	October 15, 2008	None
War Crimes Program	PA 1.1	Summative	Completed	March 3, 2009	None
Canadian Firearms Program	PA 5.1/ 5.2	Strategic	Ongoing	June 2009	N/A
Critical Infrastructure Program	SA 3.2.4	Summative	Ongoing	June 2009	N/A
First Nations Organized Crime Initiative	SA 1.1.2	Summative	Ongoing	June 2009	N/A
Customs and Excise	SSA 1.1.3.3	Summative	Ongoing	June 2009	N/A
Vancouver 2010 Olympics	SA 1.2.2	Formative	Ongoing	October 2009	N/A
Marine Security Enforcement Teams	SSA 1.1.3.5	Summative	Ongoing	October 2009	N/A
Community Safety Officer Pilot	SA 2.1.5	Summative	Ongoing	March 2010	N/A
Community Program Officer Pilot	SA 2.1.5	Summative	Ongoing	March 2010	N/A
Field Coaching Program		Summative	Ongoing	March 2010	N/A
Integrated Market Enforcement Teams	SA 1.1.1.4	Summative	Ongoing	March 2010	N/A
Integrated Proceeds of Crime	SA 1.1.1.2	Summative	Ongoing	March 2010	N/A

Social Sciences and Humanities Research Council

Table 3: Internal Audits and Evaluations

Table 3a: Internal Audits (Current Reporting Period)

All audit reports are or will be posted in the "Publications" section of SSHRC's website at http://www.sshrc.ca/site/about-crsh/publications/pub_audit-pub_verification-eng.aspx

Internal Audits (Current Reporting Period)

Name of Internal Audit	Audit Type	Status	Completion Date
Indirect Costs Program	Assurance—Controls	Completed	January 2009

Table 3b: Evaluations (Current Reporting Period)

All evaluation reports are or will be posted in the "Publications" section of SSHRC's website at http://www.sshrc.ca/site/about-crsh/publications/pub_evaluations-eng.aspx.

Evaluations (Current Reporting Period)

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date
Canada Graduate Scholarships Program and Related Programs Review	Fellowships, Scholarships and Prizes	Formative/summative evaluation	Completed	February 2009
Evaluation of the Aboriginal Research Pilot Program	Targeted Research and Training Initiatives	Formative evaluation	Completed	July 2008
Summative Evaluation of the Metropolis Project Phase II Knowledge Transfer Activities and Impacts	Targeted Research and Training Initiatives	Summative evaluation	Completed	May 2009
Initiative on the New Economy Interim Findings Report	Targeted Research and Training Initiatives	Impact evaluation	Completed	March 2009
Summative Evaluation of the Interagency Advisory Panel and Secretariat on Research Ethics	Strategic Research Development	Summative evaluation	Completed	February 2009
Evaluation of the Tri-Agency Indirect Costs Program	Indirect Costs of Research	Summative evaluation	Completed	July 2009

Statistics Canada

Internal audits (as of 2008/2009)

Internal Audits: Risk-based Audit Plan

Name of Internal Audit	Audit Type	Status	Completion Date
1. Asset Protection and Life Cycle Management	Compliance	Completed Awaiting approval from DAC	June 2009
2. Confidentiality of Sensitive Statistical Information	Compliance	In progress Reporting phase	September 2009
3. Contract and IT Expenditures Management Framework	Compliance	In progress Planning phase completed	December 2009
4. Data Sharing Agreements: Confidentiality Management Control Framework	Compliance	In progress Planning phase completed	March 2010
DAC: Departmental Audit Committee.

Statistics Canada Schedule of Quadrennial Program Reviews (QPRs) and Biennial Program Reports (BPRs) in 2008/2009

Name of evaluation	Program activity	Type	Status	Completion date
Analytical Studies Branch	Economic Statistics	QPR	Completed	March 2009
Balance of Payments Division	Economic Statistics	QPR	Completed	January 2009
Business Register Division	Internal Services	QPR	Completed	November 2008
Collection and Regional Services Branch	Internal Services	QPR	Completed	March 2009
Collection Systems and Infrastructure Division	Internal Services	QPR	Completed	March 2009
Communications and Dissemination Program	Internal Services	BPR	Completed	November 2008
Corporate Support Services Division	Internal Services	QPR	Completed	March 2009
Culture, Tourism and the Centre for Education Statistics Division	Social Statistics	BPR	Completed	January 2009
Data Access and Control Services Division	Internal Services	BPR	Completed	March 2009
Environment Accounts and Statistics Division	Economic Statistics	BPR	Completed	November 2008
Health Statistics Division	Social Statistics	BPR	Completed	December 2008
Income and Expenditure Accounts Division	Economic Statistics	QPR	Completed	April 2009
Industrial Organization and Finance Division	Economic Statistics	QPR	Completed	September 2008
Industry Accounts Division	Economic Statistics	QPR	Completed	May 2009
Informatics Technology Services Division	Internal Services	BPR	Completed	June 2009
Internal Audit Division	Internal Services	QPR	Completed	November 2008
Labour and Household Surveys Analysis Division	Social Statistics	BPR	Completed	November 2008
Manufacturing and Energy Division	Economic Statistics	BPR	Completed	March 2009
Physical Health Measures Division	Social Statistics	BPR	Completed	March 2009
Prices Division	Economic Statistics	BPR	Completed	February 2009
Service Industries Division	Economic Statistics	QPR	Completed	March 2009
Small Area and Administrative Data Division	Census, Demography and Aboriginal Statistics	BPR	Completed	September 2008
Small Business and Special Surveys Division	Economic Statistics	BPR	Completed	March 2009
Socio-economic and Business Analysis Branch	Social Statistics	QPR	Completed	December 2008
Standards Division	Internal Services	BPR	Completed	December 2008
System Development Division	Internal Services	QPR	Completed	February 2009
Tax Data Division	Internal Services	BPR	Completed	February 2009
Transportation Division	Economic Statistics	QPR	Completed	March 2009

Status of Women Canada

 
Table 4 Internal Audits and Evaluations

A. Internal Audits (2008–2009)
1.	2.	3.	4.
Name of	Audit	Status	Completion
internal audit	type		date
File review	Internal review of sampling of WP files for due diligence, availability of complete, accurate and current information on project implementation and outcomes.	Completed	Winter 2008
		Planned	Fall 2009
		Planned	Fall 2010
Horizontal Internal Audit Execution of Contracting Practices in SDA	Horizontal	Completed	Summer 2008

B. Evaluations (2008–2009)
1.	2.	3.	4.	5.
Name of	Program	Evaluation	Status	Completion
evaluation	activity	type		date
Formative Evaluation of the Sisters in Spirit initiative	Strategic policy advice and partnerships	Formative	Completed	January 2009
Summative evaluation of Sisters in Spirit initiative	Strategic policy advice and partnerships	Summative evaluation	Planned	January 2010
Evaluation of the Women’s Program	Financial assistance for projects to improve social, economic, and cultural outcomes for women	Summative/ impact evaluation	Planned	January 2011

Supreme Court of Canada

Table 4: Internal Audits and Evaluations

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Horizontal Audit of Expenditure Controls in Small Departments and Agencies	High Risk Payments	In-progress	September 24, 2009	Available at the end of October 2009

In November 2008, the Supreme Court of Canada was selected as part of the Office of the Comptroller General’s horizontal internal audit of expenditure controls for small departments and agencies.

The objective of the audit was to provide the Comptroller General with an opinion on the adequacy of controls in place intended to flag higher risk transactions for focused attention, and verification of the design and functioning of these controls.

The audit provided answers to the five issues:

1. Processes were established for identifying high-risk payments;
2. The integration of these processes into the account verification processes and procedures;
3. Considerations given to the varying degrees of risk associated with each payment;
4. The monitoring and update of the process for identifying high-risk payments;
5. Assurance obtained on the appropriateness and the well functioning of the approaches to identifying and managing high risk payments.

The audit was conducted in February 2009 and sample transactions from fiscal year 2008-09 were extracted. The preliminary audit findings were very positive and found that the Supreme Court of Canada met all of the audit criteria.

The National Battlefields Commission

Internal Audits and Evaluations

1. Name of Internal Evaluation / Audit	2. Evaluation Type / Audit Type	3. Status	4. Completion Date	5. Electronic Link to Report
Horizontal internal audit of Human Resources Planning	Preliminary evaluation of the SDA’s situation with regards to H.R. Planning	In progress	2009-2010	Not available
Audit of Higher-Risk Payments	Ensure relevance of having an established policy on higher-risk payments	In progress	2009-2010	Not available
6.Electronic Link to Internal Audit and Evaluation Plan:

The NBC is audited every year by the Office of the Auditor General, which analyses and verifies our accounting practices to ensure compliance with Government of Canada directives and policies.

Given the scope of the NBC’s mandate and that its structure does not provide for internal auditing, management monitors operations through rigorous follow-up and knowledge of the various operations in each unit.

Transport Canada

Table 11: Internal Audits and Evaluations

Table 11a: Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Audit of Environmental Programs - ecoTransport Strategy	Transfer Payments	Although this audit was identified in the 2007-2008 risk-based audit plan, we update our plan on an annual basis and have since identified other audits of higher relevance.
Audit of Environmental Programs - excluding the ecoTransport Strategy	Transfer Payments	Transport Canada is currently conducting an audit of the UTSP.
Audit of Transportation Security Clearance Program	Core Controls	Transport Canada did not conduct an internal audit as the OAG conducted an external audit on Intelligence and Information Sharing that already covered security clearance issues.	The OAG tabled its audit on March 31, 2009.	http://www.oag-bvg.gc.ca/ internet/English/ parl_oag_200903_01_e_32288.html
Audit of Contracting Practices		Although these audits were identified in our 2007-2008 risk-based audit plan, we update our plan on an annual basis and have since identified other audits of higher relevance.
Audit of Road Safety Contribution Programs
Audit of Hospitality Expenditures

Table 11b: Evaluations (current reporting period)

Name of Evaluation	Program Activity	Completion Date	Electronic Link to Report
Air Cargo Security Program	Aviation Security	07/05/2009	http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm
Marine Safety	Marine Safety	In progress: expected completion date: 2009/10
Aviation and Other, Non Marine, Security Initiatives Under the Public Security and Anti Terrorism Strategy
Federal Contaminated Sites Action Plan (Environment Canada Lead)	Environmental Stewardship of Transportation	06/03/2009	http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm
Transport of Dangerous Goods and Road Safety	Transportation of Dangerous Goods	In progress - expected completion date: 2009/10	http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm
Canadian Business Aviation Association*	Aviation Safety	In progress - expected completion date: 2009/10	http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm
Grant to International Civil Aviation Organization for Asia Pacific	Aviation Safety	In progress - expected completion date: 2009/10	http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm
Urban Transportation Showcase Program	Clean Air Transportation	16/04/2009	http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm
Airports Capital Assistance Program, including Havre Saint-Pierre Airport, Mont Joli Airport, Thompson Airport	Aviation Safety	In progress - expected completion date: 2009/10	http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm
Airports Operation and Maintenance Subsidy Program	Transportation Infrastructure	18/03/2009	http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm
National Airports System	Transportation Infrastructure	In progress - expected completion date: 2009/10	http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm
5. Electronic Link to Internal Evaluation Reports: http://www.tc.gc.ca/eng/corporate-services/des-reports-150.htm

Transportation Safety Board of Canada

Response to Parliamentary Committees and External Audits

During the reporting period, there were no Parliamentary Committee recommendations addressed specifically to the TSB.

The Auditor General conducted an audit of the TSB financial statements and issued an unqualified opinion.

In 2008-2009, the TSB was included in an horizontal audit of contracting for professional and technical services in small departments and agencies. No significant issues were identified during this audit and there were no recommendations specifically addressed to the TSB.

Treasury Board of Canada Secretariat

Table 7: Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date	Key Findings	Secretariat Response
Audit of Leave and Overtime	Assurance	Completed	December 2008	The Secretariat’s administration of leave and overtime was compliant with applicable laws, policies, and collective agreements. Recommendations were provided to strengthen the management control framework	A management action plan was developed, and work is underway to address recommendations. For example, full reporting of the cost of overtime is provided to senior management as part of the quarterly financial review. In addition, systems have been established to better forecast and review overtime expenditures.
Assurance Engagement: large payments to external vendors- Testing for duplicate payments report	Assurance	Completed	December 2008	No duplication of large payments to vendors during the periods studied. No recommendations were made. No management action plan is necessary.	The Secretariat agrees with the findings and will continue to apply systems already developed to ensure that results are maintained.
Audit of Pay and Related Benefits	Assurance	Completed	March 2009	Adequate administration of pay and benefits. Recommendations were provided where control weaknesses were observed	Management accepted all recommendations. A management action plan was developed and work is underway. For example, a new salary forecasting tool and expenditure monitoring regime was implemented in April 2008, and written procedures on the processing of pay recoveries and pay reimbursements were developed and communicated. Also, verification of user access rights to the regional pay system will be reviewed twice annually to ensure their validity and appropriateness.
Audit of the Secretariat Governance	Assurance	In progress	December 2009	Not yet available	Not applicable
Audit of the Disability Insurance Plan	Assurance	In progress	March 2010	Not yet available	Not applicable
Audit of Accounts Verification	Assurance	In progress	March 2010	Not yet available	Not applicable

 

Table 8: Evaluations (current reporting period)

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Date	Key Findings	Secretariat Response
Evaluation of the Research and Policy Initiative Assistance Program	Internal Services	Summative	Complete	March 2009	Program is meeting needs of Secretariat. Several recommendations were made to improve the program. Program is believed to be cost-effective.	The Secretariat agrees with the findings of the report and concurs with its recommendations. The Secretariat plans to adopt the recommendations in the next fiscal year.
Evaluation of the Treasury Board submission process	Involves several Secretariat program activities	Summative	In progress	September 2009	Not yet available	Not applicable
Evaluation of Management Accountability Framework	Management Policy Development and Oversight	Summative	In progress	August 2009	Not yet available	Not applicable

 

Veterans Affairs

Table 11a: Internal Audits (reporting period 2008-09)

Veterans Affairs Canada develops its annual Audit and Evaluation Plan using a risk-based approach. This Plan was approved by the Audit and Evaluation Committee, chaired by the Deputy Minister. The intent of the Audit and Evaluation Plan is to ensure that the projects are clearly aligned with Veterans Affairs Canada's Five-year Strategic Plan, Program Activity Architecture, and Management Accountability Framework. The Department undertakes audit and evaluation projects that are deemed the highest risk. To focus attention on those areas, where use of the available resources would best achieve the objectives of Audit and Evaluation, the following criteria are considered during project selection: materiality, likelihood, complexity and sensitivity/reputation. During the ranking of the proposed engagements, consultations are held with senior managers, program managers, and Audit and Evaluation staff. Findings and recommendations of previous audits, evaluations and reviews, as well as the extent of follow-ups and corrective actions taken by management are also used to assess potential projects. Audit and Evaluation schedules are compared with those of the Office of the Auditor General, the Commissioner for the Environment and Sustainable Development and the Office of the Comptroller General in order to prevent overlapping visits and undue interference with operations. Consultation with partners is conducted on an ongoing basis.

The long range plan attempts to provide some balance, so that some functions, activities and organizational entities are covered annually through cyclical projects (e.g., Organizational Governance and Residential Care). Follow-ups to findings also contribute to current and future year planning. The Plan has some flexibility to allow for requests from management for special studies demanded by unforeseeable circumstances, from Central Agencies for the Transfer Policy requirements, and for follow-up reviews on the actions taken on recommendations.

It is important to note that the Audit and Evaluation Plan is effective only to 2009-2010 and is re-evaluated on an annual basis.

Name of Internal Audit	Audit Type	Status	Completion Date	Electronic Link to Report
Post-payment Verification Audit	Internal Audit	Completed	August 2008	www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep/post-payment-audit
Financial Management and Controls, Phase II	Internal Audit	Completed	September 2008	www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep/fin_manag_aud_sep08
Follow-up to the 2006 Audit of Outsourcing of Health Claims Administration	Targeted Follow-up Audit	Completed	December 2008	www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep/follow-ohcd-dec08
Task Force Follow-up Report	Follow-up of Previous Audits	Completed	January 2009	www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep/foup2009
Federal Health Claims Processing System Program of Choice Analysis Audit	Internal Audit	Completed	June 2009	www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep/2009/june-pcaa
Control of Large Program Expenditures Items	Internal Audit	Completed	May 2009	www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep/2009-june-lpe
Ste. Anne's Hospital – Capital Renovation Project Audit	Internal Audit	In Progress	planned June 2009
Residential Care – Phase II Atlantic Region	Internal Audit	In Progress	planned July 2009
Core Management Controls	Assessment and support to holistic opinion	In Progress	planned November 2009
Adequacy of Corporate Risk Management	Internal Audit	In Progress	planned February 2010
Audited Financial Statements Readiness	Assistance to Audited Financial Statement Readiness	In Progress	planned April 2010
Management of Medications at Ste. Anne's Hospital	Internal Audit	Deferred to 2010-11 by 2009 Risk-based Internal Audit Plan	N/A
Organizational Governance Phase III Audit/Evaluation	Combined audit and evaluation project	Cancelled by 2008 Risk-based Internal Audit Plan	N/A
Other Health Purchased Services (OHPS) – Ste. Anne's Hospital and Other OHPS Charges	Internal Audit	Cancelled by 2008 Risk-based Internal Audit Plan	N/A
Equipment Recycling Program	Internal Audit	Cancelled by 2009 Risk-based Internal Audit Plan	N/A
Residential Care Phase III Audit	Internal Audit	Cancelled by 2009 Risk-based Internal Audit Plan	N/A
Business Continuity Planning Audit	Internal Audit	Cancelled by 2009 Risk-based Internal Audit Plan	N/A
Conflict of Interest Audit	Internal Audit	Cancelled by 2009 Risk-based Internal Audit Plan	N/A

Electronic Link to Report: Audit and Evaluation Reports are posted on the Veterans Affairs Canada Web site upon completion.

Note: The above list is based on a risk-ranking priority exercise and was approved by the Audit and Evaluation Committee on April 2, 2007. The Audit and Evaluation Plan is revisited annually and the order of priority and/or necessity of the work is subject to change due to changing Departmental or governmental priorities.

Significant findings from Audits

Post Payment Verification Assurance Audit

The purpose of the Post Payment Verification Assurance Audit was: to provide assurance that VAC's management frameworks and practices regarding post payment verification procedures were compliant with Treasury Board Account Verification Policy, Financial Administration Act, and the Payments and Settlements Requisitioning Regulations, 1997.

This report outlined observations and findings from the review of VAC's Quality Assurance Framework of the Account Verification Process. Contained within this report are ten important recommendations relating to the Department's need to clarify its definition of critical errors, improve the accuracy and consistency of its post payment verification reviews, implement a follow-up process for identified errors, provide additional training for staff and develop a quality assurance process.

Financial Management and Controls Audit, Phase II

This internal audit was conducted to assess whether VAC's financial control framework was adequate, and ensure that: allocated funds are spent for their intended purposes and within approved limits; financial information is accurate, and; appropriate controls are maintained over expenditures. Significant recommendations made by this audit are:

• Ensure finance and administration staff receive training and development similar to the discontinued financial modules of the middle management and supervisors orientation training program.
• Circulate updated financial policies and bulletins and provide staff explanatory briefings as necessary.
• Complete and promulgate a comprehensive financial management control framework.
• Enhance controls associated with the release of program, procedural and policy information.
• Identify, promote and monitor the training required by all financial officers and administrative staff.
• Ensure adequate training is provided to all delegated staff on authorities under FAA specifically Sections 32, 33 and 34.

Federal Health Claims Processing System Program of Choice Analysis Audit

The focus of the audit was on VAC's overall administration of the Treatment Benefits Program which provides treatment benefits and services to eligible veterans. The audit identified a number of opportunities to improve the administration of the program, including: fully implementing the recently adopted management framework for the Treatment Benefits Program; completing the Benefit Grid Review and initiating reviews of the Dental Services and Prescription Drug Programs; making greater use of the Benefit Review and Formulary Review Committees; and conducting quality reviews of the program to ensure compliance with legislative and policy requirements.

The audit observed that specific systems edits must be established for benefits on a province/territory basis, and that VAC has not dedicated sufficient resources to this activity. For some of the Programs of Choice, the edits had not been updated for a number of years. Dollar limit edits had not been established for all benefits covered by the program.

Policies require significant updating and consolidation, and improvements are required to management processes used to monitor program delivery's compliance with policy. The audit contains recommendations to update and consolidate policies and procedures for the program. Improvements are also required to the provision of information and regular reporting to operational, functional and senior managers.

Control of large program expenditures Items Audit

The objectives of the audit were to: review large program expenditure transactions and assess the internal control framework applicable to those transactions; assess the accuracy of accounting (classification of transactions) for those transactions; evaluate the appropriateness of the delegated authorities of positions which approved these payments; analyse and validate the post or pre-payment verification process for selected large transactions; and analyse accounts used to process capital expenditures and capital contributions. This audit made essential recommendations in the following areas:

• Introducing stronger and more consistent controls for handling changes to clients' direct deposit profile.
• Strengthening the policies and business processes applicable to the verification of client income, for the Earnings Loss program.
• Implementing measures to ensure that, as demand for contract beds diminishes, Veterans Affairs Canada does not incur costs for long-term care beds that are not needed.
• Clarifying the roles and responsibilities associated with the conduct of operating cost reviews, improve the policies and procedures for conducting these operating cost reviews, and improve their timeliness.

Table 11b: Evaluations (reporting period 2008-09)

Veterans Affairs Canada develops its annual Audit and Evaluation Plan using a risk-based approach. This Plan was approved by the Audit and Evaluation Committee, chaired by the Deputy Minister. The intent of the Audit and Evaluation Plan is to ensure that the projects are clearly aligned with Veterans Affairs Canada's Five-year Strategic Plan, Program Activity Architecture, and Management Accountability Framework. The Department undertakes audit and evaluation projects that are deemed the highest risk. To focus attention on those areas, where use of the available resources would best achieve the objectives of Audit and Evaluation, the following criteria are considered during project selection: materiality, likelihood, complexity and sensitivity/reputation. During the ranking of the proposed engagements, consultations are held with senior managers, program managers, and Audit and Evaluation staff. Findings and recommendations of previous audits, evaluations and reviews, as well as the extent of follow-ups and corrective actions taken by management are also used to assess potential projects. Audit and Evaluation schedules are compared with those of the Office of the Auditor General, the Commissioner for the Environment and Sustainable Development and the Office of the Comptroller General in order to prevent overlapping visits and undue interference with operations. Consultation with partners is conducted on an ongoing basis.

The long range plan attempts to provide some balance, so that some functions, activities and organizational entities are covered annually through cyclical projects (e.g., Organizational Governance and Residential Care). Follow-ups to findings also contribute to current and future year planning. The Plan has some flexibility to allow for requests from management for special studies demanded by unforeseeable circumstances, from Central Agencies for the Transfer Policy requirements, and for follow-up reviews on the actions taken on recommendations.

It is important to note that the Audit and Evaluation Plan is effective only to 2009-2010 and is re-evaluated on an annual basis.

Name of Evaluation	Program Activity	Evaluation Type	Status	Completion Dates
Evaluation Framework for New Veterans Charter	Evaluation Framework	Formative	Completed	March 2008
Partnerships Contribution Program	Evaluation	Summative	Completed	April 2008
War Veterans Allowance Program	Evaluation	Summative	Completed	May 2008
Organizational Governance Volume III Western Region	Review		Completed	September 2008
Evaluation of the Operational Stress Injury (OSI) Clinic Network	Evaluation	Summative	Completed	October 2008
Halifax Rehab Case Management Pilot Evaluation Framework	Evaluation	Formative	Completed	December 2008
Long Term Care Evaluation Assessment	Evaluation	Assessment	Ongoing	June 2009 (draft)
Review Redress for the Re-establishment Program of the New Veterans Charter (NVC)	Evaluation	Summative	Ongoing	June 2009
Dementia Care	Evaluation	Summative	Ongoing	June 2009
Electronic Link to Reports: Audit and Evaluation reports are posted on the Veterans Affairs Canada web site upon completion. www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep

Note: The above list is based on a risk-ranking priority exercise and was approved by the Audit and Evaluation Committee on April 2, 2007. The Audit and Evaluation Plan is revisited annually and the order of priority and/or necessity of the work is subject to change due to changing Departmental or governmental priorities.

Western Economic Diversification Canada

Table 9: Internal Audits and Evaluations

Table 9a: Internal Audits (current reporting period)

Name of Internal Audit	Audit Type	Status	Completion Date
Audit of Governance and Performance	Governance	Completed	April 2008
Audit of First Jobs in Science and Technology	Program - Transfer Payment	Completed	June 2008
Audit of International Trade Personnel Program	Program - Transfer Payment	Completed	June 2008
Audit of Financial Management Controls	Financial Management Controls	Completed	September 2008
Audit of Contracting	Procurement	Completed	September 2008
Audit of Integrated Human Resources Planning	Human Resources	Completed	February 2009
Audit of Infrastructure Programs	Program - Transfer Payment	Completed	February 2009
Audit of Community Futures Program	Program - Transfer Payment	Completed	June 2009
Audit of Western Diversification Program	Program - Transfer Payment	In-progress	September 2009

The electronic link to the completed reports is: http://www.wd-deo.gc.ca/eng/60.asp

Table 9b: Evaluations (2008-2009)

Name of Evaluation	Program Activity	Program Type	Status	Completion Date
Community Futures Program	- Business Development and Entrepreneurship - Community Economic Planning, Development and Adjustment	Summative	Completed	- November 2008 - National roll-up report expected in July 2009
Western Diversification Program	- Business Development and Entrepreneurship - Innovation - Community Economic Planning, Development and Adjustment - Advocacy; Collaboration and Coordination; Research and Analysis	Summative	Completed	October 2008
Evaluation of the Western Diversification Program - Western Economic Partnership Agreements	- Business Development and Entrepreneurship - Innovation - Community Economic Development	Summative	Completed	December 2008
Evaluation of Policy, Advocacy and Coordination Functions	- Research and Analysis - Advocacy - Collaboration and Coordination	Impact Evaluation	In-progress	September 2009

The electronic link to the completed reports is: http://www.wd-deo.gc.ca/eng/60.asp