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ARCHIVED - 2007-2008 DPRs - Internal Audits and Evaluations

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Agriculture and Agri-Food Canada

Table 13 - Internal Audits and Evaluations (2007-08)


1. Name of Internal Audit 2. Audit Type 3. Status 4. Completion Date 5. Electronic Link to Report
Management of IST Taxi Voucher Usage Financial Management Controls Completed September 2007*  **

*Reports are considered complete when approved by the Departmental Audit and Evaluation Committee.

**Because of a backlog in preparation of reports for posting (translation, etc), this report has not yet been posted to the AAFC website. The new DG is addressing this backlog.

Table 13B - Evaluations (2007-08)


1. Name of Evaluation 2. Program Activity 3. Evaluation Type 4. Status 5. Completion Date 6. Electronic Link to Report
Province-based Programs Non-BRM Summative Completed 2007-08* **
Production Insurance Business Risk Management Summative Completed 2007-08* **
Chapter Evaluation Food Safety and Quality Food Safety and Quality Formative Completed 2007-08* **
Chapter Evaluation of Environment Environment Formative Completed 2007-08* **
Chapter Evaluation Business Risk Management Programs Business Risk Management Formative Completed 2007-08* **
Chapter Evaluation of Science and Innovation Innovation and Renewal Formative Completed 2007-08* **
The Department Evaluation Plan is scheduled for approval in the Autumn of 2008 and has not yet been posted to the AAFC website.

* Reports are considered complete when approved by the Departmental Audit and Evaluation Committee.

** Because of a backlog in preparation of reports for posting (translation, etc), this report has not yet been posted to the AAFC website. The new DG is addressing this backlog.

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Assisted Human Reproduction Canada

Table 4: Internal Audits and Evaluations

Internal Audits or Evaluations

No audits have been set as the Agency has only had financial signing authority since February 14, 2007. The Agency is required to comply with the Treasury Board's Internal Audit Policy and related directives as applicable. The Agency reports on the performance of all its initiatives on a regular basis through Main Estimates, using the Report on Plans and Priorities and the Agency's Performance Report. The preliminary Program Activity Architecture (PAA) has been developed for AHRC and will be used to build the Management Resources and Results Structure (MRRS) for the Agency, as a vehicle to report performance.

As a new organization, AHRC focussed on building the infrastructure of the Agency. Subsequently, performance indicators are anticipated to be developed in accordance with the coming into force of regulatory instruments under the AHR Act, to gauge and report on progress towards fulfilling the Agency's legislated and regulatory mandate.

The President of the Agency, being the chief executive officer of the Agency, is responsible for the effective management, direction and control of the Agency, including an obligation to ensure that resources allocated for purposes of the Agency are managed well, are being used for priorities identified by Ministers, and are achieving results for Canadians.

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Atlantic Canada Opportunities Agency

Table: Internal Audits (2007-2008)


Name of Audit

Audit Type

Status

Completion Date
(actual or expected completion date)

Entrepreneurship and Business Skills Development

Transfer payment

Completed

December 2007

Community Economic Development – Community Development Resources

Transfer payment

Ongoing

October 2008

Data Integrity

IM/IT

Ongoing

October 2008

Infrastructure Canada Program and Municipal and Rural Infrastructure Fund

Transfer payment

Ongoing

November 2008

Tourism

Transfer payment

Ongoing

September 2008

Trade

Transfer payment

Ongoing

September 2008

Investment

Transfer payment

Ongoing

September 2008

Expense Management Tool Controls

Financial Management Controls

Ongoing

August 2008


The audit of Entrepreneurship and Business Skills Development concluded that, on an overall basis, ACOA exercises due diligence in the delivery of Entrepreneurship and Business Skills program activities.  Recommendations were made to improve some of the current processes, as follows:

  • Overall, the audit concluded that projects met eligibility requirements, the projects were properly assessed against evaluation criteria, and that information critical to project decisions was consistently and accurately documented.  Recommendations were made to improve certain elements of the assessment process to ensure consistent documentation of applicant and project eligibility.
  • The payments system was examined and solid management processes were found to be in place.
  • Project monitoring and evaluation of project benefits were examined and the audit noted some areas in which performance could be improved.  Recommendations were made to improve the monitoring process and emphasize the importance of formally documenting project achievements.

Further information on audit reports and, where applicable, their corresponding Management Action Plans is available on ACOA’s website at http://www.acoa-apeca.gc.ca/e/library/index.shtml.

Table: Evaluations (2007-2008)

The following is the status of Evaluation projects as scheduled for the year 2007-2008 in the Report on Plans and Priorities.


1.        Name of Evaluation

2.        Program Activity

3.        Evaluation Type

4.        Status

5.        Completion Date

6.        Electronic Link to Report

Strategic Community Investment Fund (SCIF)

Community Development

Impact

Final Report Near Approval (not yet published on website)

N/A

N/A

Advocacy Evaluation

Policy, Advocacy, Coordination

Impact

Rescheduled to be included in 2009-2010 Impact Evaluation of Policy, Advocacy and Coordination

N/A

N/A

International Business Development Program (IBDP)

Enterprise Development

Implementation

Cancelled (see below)

N/A

N/A

Saint John Shipyard Adjustment Initiative (SJSAI)

Community Development

Impact

Rescheduled to 2010/2011 at end (see below)

N/A

N/A

Community Futures (CF) Program

Community Development

Impact

Ongoing

September 2009

N/A

7.        Electronic Link to Evaluation Plan


International Business Development Program (IBDP):
         The planned formative evaluation on the IBDP was cancelled due to the fact that the program is 14 years of age and has been evaluated on several occasions.  A discussion paper was developed and accepted by program officials.  The IBDP will be evaluated during the Trade and Investment evaluation in 2009-2010.

Saint John Shipyard Adjustment Initiative:
         The program has been extended to 2010 and will be evaluated upon its completion.
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Canada Border Services Agency

Internal Audits and Evaluations

Table 3.18: The CBSA’s Internal Audits


Internal Audits
 
Name of Internal Audit Audit Type Status Completion Date Electronic Link to Report
Audit of the NEXUS Application Process Compliance Completed April 2007 Audit of the NEXUS Application Process – Internal Audit Report
Travel and Hospitality Audit Compliance Completed April 2007 Travel and Hospitality Audit – Internal Audit Report
IT Systems Under Development – Phase 2 – Advance Commercial Information – Electronic Data Interface Information Technology Completed October 2007 Internal Audit Report of IT Systems under Development - Phase 2 – Advance Commercial Information - Electronic Data Interface Reporting for Air
IT Systems Under Development – Phase 3 – Advance Passenger Information/Passenger Name Record Risk Scoring Information Technology Completed October 2007 Internal Audit Report of IT Systems under Development - Phase 3 –Advance Passenger Information/Passenger Name Record Risk Scoring
Audit of Warehouse Security Compliance Completed December 2007 Audit of Sufferance Warehouse Security – Internal Audit Report
Internal Audit Report of Fiscal 2006–2007 Year-End Cash Cut-Off Procedures Financial Completed December 2007 Internal Audit Report of Fiscal 2006–2007 Year-End Cash Cut-Off Procedures
Audit of CBSA IT Infrastructure Service Delivery Agreements Information Technology Completed February 2008 Audit of CBSA IT Infrastructure Service Delivery Agreements – Internal Audit Report
Audit of Fleet Management Financial and Compliance Completed February 2008 Audit of Fleet Management – Internal Audit Report
Audit of Immigration Controlled Forms Managed by the CBSA Compliance Completed February 2008 Audit of Immigration Controlled Forms Managed by the CBSA – Internal Audit Report
Human Resources Planning (became the Staffing Management Accountability Framework) Human Resources Completed May 2008  
Asset Management – Detection Technology Equipment Financial and Compliance Completed May 2008  
Emergency Preparedness Compliance In progress October 2008  
IT Infrastructure and General Controls Information Technology In progress October 2008  
Control and Disposal of Seized Goods Compliance In progress December 2008  
Financial Signing
Authorities – Section 34
Financial and Compliance In progress December 2008  
Arming Compliance In progress October 2008  
Program Integrity of Commercial Operations   Cancelled    
Risk Assessment of Detention and Removals   Cancelled   This audit was cancelled. The OAG completed an audit in May 2008: “Chapter 7: Detention and Removal of Individuals — Canada Border Services Agency

Table 3.19: The CBSA’s Evaluations


Evaluations
 
Name of Evaluation Program Activity Evaluation Type Status Completion Date Electronic Link to Report
The National Rail Export Verification Unit Pilot Project
 Security Summative Completed May 2007 The National Rail Export Verification Unit Pilot Project – Evaluation Study
Customs Self Assessment Program Access Summative Completed November 2007 Customs Self Assessment Program – Evaluation Study
Pre-Arrival Targeting
Security Summative Completed January 2008 Pre-Arrival Targeting – Evaluation Study
NEXUS Highway/Free and Secure Trade (FAST) Science- and
Technology-based Innovation
Summative Pending approval May 2008  
Export Programs Security Summative In progress September 2008  
War Crimes (Horizontal evaluation led by Department of Justice) Security Summative In progress September 2008  
Examination Processes – Commercial Goods Security Summative In progress January 2009  
Remote Border Locations Security Summative In progress May 2009  
Intelligence Program/ Migration Integrity Officer Network Security  Summative In progress May 2009  

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Canada Public Service Agency

Table 14: Internal Audits and Evaluations

Table 14a) Internal Audits


1. name of Internal Audit 2. Audit Type 3. Status 4. Completion Date 5. Electronic Link to Report
Contracting for professional and technical services Office of the Comptroller General Horizontal Audit—Small departments and agencies (SDAs)  Ongoing   TBD Not yet available

Table 14 b) Evaluations


1. name of Evaluation 2. Program Activity 3. Evaluation
Type
4. Status 5. Completion Date 6. Electronic Link to Report
Public Service Modernization Act Strategic Investment Framework Evaluation Public Service renewal and modernization Summative  Ongoing  2009–10 Not yet available
Baseline Study of Career Assignment Program (CAP) and Management Trainee Program (MTP) Survey of changes to CAP and MTP administration as a result of new directive (April 2/06) in anticipation of 2011 evaluation of changes to programs (requirement of TB submission) Surveys and focus groups Completed Not yet posted Draft summary of results completed June 2008 Not yet available
7. Electronic Link to Evaluation Plan: Not yet available

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Canada Revenue Agency

Internal Audits and Evaluations

Internal Audits


Name of Internal Audit
Audit Type
Status
Completion Date
T2 Transaction Flow-Through
Finance
Completed
Feb. 2008
2006-2007 Fiscal Year End
Finance
Completed
Feb. 2008
T3 Transaction Flow-Through
Finance
Completed
Feb. 2008
Local Solutions
IT
Completed
June 2007
Business Intelligence Decision Support
IT
Completed
Jan. 2008
Non-Filer/Non-Registrant Program
Program
Completed
May 2007
Excise Duty Program
Program
Completed
June 2007
GST Credit Returns Prepayment Follow-up
Program
Completed
Jan. 2008
MOURCMP
Program
Completed
Feb. 2008
MOUCSIS
Program
Completed
Feb. 2008
Follow-up of 2004-2005 Audits
Follow-up
Completed
Jan. 2008

Evaluations


Name of Evaluation
Program Activity
Evaluation Type
Status
Completion Date
Headquarters-Region Managers Exchange Program
Internal Services
Formative
Complete
Headquarters-Region Managers Exchange Program
GST Registration
Accounts Receivable and Returns Compliance
Summative
Work in progress
GST Registration
GST Delinquent Filing and Remitting
Accounts Receivable and Returns Compliance
Summative
Work in progress
GST Delinquent Filing and Remitting
Charities Partnership & Outreach Program
Taxpayer and Business Assistance
Formative
Work in progress
Charities Partnership & Outreach Program
Electronic Link to Evaluation Plan: http://www.cra-arc.gc.ca/gncy/ntrnl/menu-eng.html


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Canada School of Public Service

Table 7: Internal Audits and Evaluations


Internal Audits (current reporting period)
Name of Internal Audit Audit Type Status Completion Date Electronic Link to Report
Audit of Selected Contracting Activities at the Canada School of Public Service Compliance Completed Nov. 16, 2007 http://www.csps-efpc.gc.ca/aut/cdo/sca07-eng.asp


Evaluations (current reporting period)
Name of Evaluation Program Activity Evaluation Type Status Completion Date Electronic Link to Report
Orientation to the Public Service: A Review of Program Performance 2006-2007 1.1.1 Performance Information Report Completed June 2007  
First Two Years of Implementation: CSPS Responsibilities under the Public Service Modernization Act Learning Strategy 1.1.2 Formative Evaluation Completed December 2007  
Language Training under the Action Plan on Official Languages from 2003-04 to 2006-07 1.1.3 Performance Information Report Completed July 2007  
CSPS Campusdirect Customized Courses 1.1.4 Quality Assessment Report Completed August 2007  
Electronic Link to Evaluation Plan: N/A

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Canadian Environmental Assessment Agency

Table 7: Internal Audits and Evaluations


Internal Audits (current reporting period)
During the reporting period, the Agency did not undertake any audits.
Evaluations (current reporting period)
During the reporting period, the Agency did not complete any evaluations.

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Canadian Grain Commission

Table 7a: Internal Audits


Response to Parliamentary Committees and External Audits
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/crm-mrm-eng.htm
CIPRS Program Review Program Delivery / Risk Assessment Complete 2007 http://www.grainscanada.gc.ca/cgc-ccg/cr-rm/crm-mrm-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/crm-mrm-eng.htm

Note: The CGC is in the process of hiring a Chief Audit Executive who will be responsible for planning and conducting internal audits. The CGC’s 2007-2008 RPP included a list of planned internal audits and expected completion dates. The scheduled audits have been deferred to a later date and are conditional upon the hiring of a Chief Audit Executive.

Table 7b: Evaluations


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

Note: The CGC is in the process of hiring a Chief Audit Executive who will be responsible for planning and conducting internal audits and evaluations. The CGC’s evaluation plan will be established at such time as the Chief Audit Executive is hired.

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Canadian Heritage

Table 11: Internal Audits —Completed Internal Audits, 2007–2008

1. Name of Internal Audit

2. Audit Type

3. Status

4. Actual Completion Date

5. Electronic Link to Report

Internal Audit of Canada’s Participation in the 2005 Aichi, Japan World Exposition (Expo 2005)
(Program Activity 4)

Internal Audit

Completed

May 4, 2007

http://www.pch.gc.ca/pgm/em-cr/assurnc/2007/2007-02/index-eng.cfm

Audit of the Vancouver Organizing Committee (VANOC) for the 2010 Olympic and Paralympics Winter Games Contributions Agreements
(Program Activity 7)

Internal Audit

Completed

October 19, 2007

http://www.pch.gc.ca/pgm/em-cr/assurnc/2007/2007-03/index-eng.cfm

Audit of Interchange  Canada Program
(Program Activity 4)

Audit / TPP

Completed

February 8, 2008

http://www.pch.gc.ca/pgm/em-cr/assurnc/2007/2007-01/index-eng.cfm

6. Electronic link to internal audit plan: Table 12 of RPP 2007-08
http://www.tbs-sct.gc.ca/rpp/0708/PCH/pch04_e.asp

 

Table 12: Completed Evaluations, 2007–2008

1. Name of Evaluation 2. Evaluation Type 3. Actual Completion Date 4. Electronic Link to Report
Summative Evaluation of the National Arts Training Contribution Program
(Program Activity 1)
Summative Evaluation / TPP May 4, 2007 http://www.pch.gc.ca/pgm/em-cr/evaltn/2007/2007-03/index-eng.cfm
Summative Evaluation of the TV5 Program
(Program Activity 2)
Summative Evaluation / TPP May 4, 2007 http://www.pch.gc.ca/pgm/em-cr/evaltn/2007/2007-03/index-eng.cfm
Summative Evaluation of Canada's Participation in the 2005 Aichi, Japan World Exposition (Expo 2005)
(Program Activity 4)
Summative Evaluation May 4, 2007 http://www.pch.gc.ca/pgm/em-cr/evaltn/2007/2007-02/index-eng.cfm
Summative Evaluation  of the Canada Music Fund
(Program Activity 2)
Summative Evaluation /TPP October 19, 2007 http://www.pch.gc.ca/pgm/em-cr/evaltn/2007/2007-04/index-eng.cfm
Summative Evaluation  of the Celebration, Commemoration and Learning Program
(Program Activity 5)
Summative Evaluation /TPP October 19, 2007 http://www.pch.gc.ca/pgm/em-cr/evaltn/2007/2007-05/index-eng.cfm
Summative Evaluation  of the National Training Program in the Film and Video Sector
(Program Activity 2)
Summative Evaluation February 8, 2008 http://www.pch.gc.ca/pgm/em-cr/evaltn/2008/2008-01/index-eng.cfm
5. Electronic link to evaluation plan: Table 12 of RPP 2007-08 http://www.tbs-sct.gc.ca/rpp/0708/pch/pch04-eng.asp
 
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Canadian Human Rights Tribunal

Table 4. Internal Audits and Evaluations


No internal audits or evaluations were conducted.

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Canadian Institutes of Health Research

Table 12: Internal Audits and Evaluations

The following table identifies a list of planned evaluations and audits at CIHR for 2007-2008.

Planned Internal Audit or Evaluation Estimated Start Date Estimated Completion Date
Audit of the Electronic Information System (EIS) April 2007 Completed: October 2007
Audit of the Acquisition Cards Program June 2007 Completed: November 2007
Audit of Delegation of Financial Signing Authorities September 2007 Completed: February 2008
Audit of the Report on Plans and Priorities (RPP) September 2007 Completed: February 2008
Audit of Research Ethics Carried forward from 2007-08 to 2008-09 March 2009
Evaluation of the Strategic Training Initiative in Health Research In progress Actual completion date: June 2008
Evaluation of the Canada Graduate Scholarships Program (4th-year review) In progress Estimated completion date: October 2008
Summative Evaluation of the Interdisciplinary Health Research Teams and Community Alliances in Health Research Programs This project has been cancelled This evaluation has been integrated with the evaluation of CIHR team type programs. The framework for the team type programs evaluation was completed in April 2008.
Evaluation of the Small Health Organization Partnership Program October 2007  
Evaluation Framework for the Operating Grants Program In progress Estimated completion date: October 2008
Evaluation Framework for the CIHR/Rx&D Program N/A This project has been cancelled due to a lack of financial resources.
Evaluation Framework for Obesity and Healthy Body Weights Program In progress Actual completion date: June 2008

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Canadian International Development Agency

Table 8: Internal audits and evaluations

Internal audits (2007-2008)


Name of internal audit Program activity Audit type Status Completion date
Mozambique Country Program Countries of Concentration Country Program Audit Completed July 12, 2007
Aid Expenditure Management System Corporate Services Financial Completed July 13, 2007
Implementation of the Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals at CIDA Program activities related to Countries and Institutions Compliance Completed July 17, 2007
Canada Fund for Africa Selected Countries and Regions Program Completed September 20, 2007
Canada Investment Fund for Africa Selected Countries and Regions Program Completed September 20, 2007
Management of Overtime Corporate Services Compliance Completed September 20, 2007
Three Projects Funded by the Europe, Middle East and Maghreb Branch Selected Countries and Regions Compliance Completed January 21, 2008
China Country Program Selected Countries and Regions Country Program Audit Completed January 15, 2008

Electronic link to approved audit reports:

http://www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/En/EMA-218131243-PLN

Evaluations (2007-2008)


Name of evaluation Program evaluation Evaluation type Status Completion date
Canada-Mali Cooperation Program Evaluation Countries of Concentration Summative Completed December 2007
Evaluation of the CIDA Industrial Cooperation (CIDA-INC) Program Multilateral International and Canadian Institutions Summative Completed December 2007
University Partnerships in Cooperation and Development Program Evaluation Multilateral International and Canadian Institutions Summative Completed February 2007
Bolivia Country Program Evaluation Countries of Concentration Summative Completed November 2007
Evaluation of CIDA's Program in Ghana 1999-2005 Countries of Concentration Summative In progress  
Evaluation of CIDA's Program in Bangladesh 2003-2008 Countries of Concentration Summative In progress  
Review of Governance Programming in CIDA All PAA Components Formative In progress  
Review of CIDA's Implementation of its Policy on Gender Equality All PAA Components Summative In progress  
Canada-Cameroon Cooperation Program Evaluation Selected Countries & regions Summative In progress  
Meta-Evaluation of Decentralized Evaluations All PAA Componentss Formative In progress  

Electronic link to approved evaluation reports:

http://www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/En/NIC-316104532-LGZ?OpenDocument

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Canadian Nuclear Safety Commission

Table 6: Internal Audits and Evaluations

Internal Audits


Name of Internal Audit

Audit / Type

Actual Completion Date

Status

2007-2008 Results Achieved

Electronic Link to Report

Audit of the CNSC’s regulatory program for uranium mines and mills

Organiza-tional unit

2007-2008

Completed

The audit revealed that UMMD’s management control framework is generally adequate and effective in providing reasonable assurance, and the division’s mandate will be achieved.

The audit covered the management activities and key operational processes and controls of UMMD. Some opportunities for improvement in those areas were noted. An action plan to address those opportunities was prepared. The audit function monitors the implementation of the action plan.

http://www.nuclearsafety.gc.ca/eng/readingroom/reports/internalaudit/index.cfm

Audit of operational planning (including integrated risk management)

Corporate-wide initiative

2007-2008

Rescheduled

2010-2011

(See note below)

   
Audit of time accounting

Corporate service

2007-2008

Rescheduled

2010-2011

   
Audit of nuclear substances regulation and medical institutions

Organiza-tional unit

2008-2009

See note below

   
Audit of information management

Corporate service

2008-2009

Rescheduled

2010-2011

   
Audit of the Contaminated Lands Evaluation and Assessment Network

Program

2008-2009

See note below

   
Audit of power reactor regulation

Organiza-tional unit

2009-10

See note below

   
Audit of international activities - monitoring and coordination

CNSC program

2009-10

See note below

   

Note: The audit plan is an evergreen document and is updated annually. The 2008-2009 audit plan is a continuation of the 2007-2008 plan, and it includes the continuation of audits that are underway or delayed.

 

Evaluations


Name of Evaluation

Program Activity

Evaluation Type

Actual Completion Date

Status

2007-2008 Results Achieved

Electronic Link to Report

Formative evaluation of the Values and Ethics Strategy

Nuclear Regulation

CNSC program

2007-2008

Completed

Values and ethics are always present in the Commission’s day-to-day operations, but a formal strategy provides the framework for this already established culture. Recommendations for improvement were made, and the management developed an action plan to implement them.

http://www.nuclearsafety.gc.ca/eng/readingroom/reports/internalaudit/index.cfm

Evaluation of the CNSC Outreach Program

Nuclear Regulation

CNSC program

2007-2008

See note below

   
Evaluation of Research and Support Program grants and contributions

Nuclear Regulation

Transfer payment

2008-2009

In progress

   

Nuclear Regulation

Nuclear Regulation

Transfer payment

2009-10

See note below

   
Electronic Link to Evaluation Plan: http://www.nuclearsafety.gc.ca/eng/readingroom/reports/internalaudit/

Note: The audit plan is an evergreen document and is updated annually. The 2008-2009 audit plan is a continuation of the 2007-2008 plan, in that it includes the continuation of audits that are underway or delayed.

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Canadian Space Agency

3.3.8) Internal Audits (current reporting period)


1. Name of Internal Audit

2. Audit Type

3. Status

4. Completion Date

5. Electronic Link to Report

Project Management Processes and Practices Management Framework Completed 2008-01-21 www.asc-csa.gc.ca/pdf/rv-0607-0103_e.pdf
Management Framework of the Space Operations Branch Management Framework Completed 2007-10-10 www.asc-csa.gc.ca/pdf/ar-0506-0103.pdf
Audit of Contract Management by the Sectors Financial Management Completed 2007-09-07 www.asc-csa.gc.ca/pdf/ar-0506-0102.pdf
Audit of the Contracting Process Financial Management Completed 2007-09-07 www.asc-csa.gc.ca/pdf/ar-0506-0101.pdf
CASSIOPE Contribution Program Audit Transfer Payments Completed 2007-08-29 www.asc-csa.gc.ca/pdf/ar-0607-0102.pdf



1. Name of Evaluation

2. Program Activity

3. Evaluation Type

4. Status

5. Completion Date

6. Electronic Link to Report

No evaluations completed - - - - -

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Canadian Transportation Agency

Internal Audits


Name of Internal Audit Audit Type Status Expected Completion Electronic Link to Report
2007-2008        
Review of Training and Conference Participation Practice Human Resources Completed Audit conducted in 2007-2008 and approved in 2008-2009. N/A1
Records Management Human Resources Completed Audit conducted in 2006-2007 and approved in 2007-2008.  
Performance Indicators and Measures Human Resources Completed Audit conducted in 2006-2007 and approved in 2007-2008.  
Classification Function Human Resources Completed Follow-up audit conducted in 2006-2007 and approved in 2007-2008.  


1When completed, the Agency's evaluations and internal audits are available at www.tbs-sct.gc.ca/rma/database/newdeptview_e.asp?id=29.

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Citizenship and Immigration Canada

Internal Audits and Evaluations

Internal Audits

Annex 14 of Citizenship and Immigration Canada’s (CIC) 2007–2008 Report on Plans and Priorities provided details on audits which were underway or planned in 20072008. Audit planning for the internal audit function is guided by the development of CIC’s Risk-Based Audit Plan. This three-year plan is re-evaluated annually. The following table provides details on internal audit work carried out in the 20072008 year.


Name of Internal Audit

Audit Type

Status

Completion Date

Electronic Link to Report

Audits carried out in 2007–2008
Audit of the Seoul Immigration Program Assurance – Programs Completed April 2007 http://www.cic.gc.ca/english/resources/audit/seoul.asp
Audit of the Immigration Contribution Accountability Measurement System (iCAMS) – Phase I Assurance – IT Completed April 2007 http://www.cic.gc.ca/english/resources/audit/icams.asp
Audit of the Caracas Immigration Program Assurance – Programs Completed Sept. 2007 http://www.cic.gc.ca/english/resources/audit/caracas.asp
Audit of the Buenos Aires Immigration Program Assurance – Programs Completed June 2007 http://www.cic.gc.ca/english/resources/audit/buenos_aires.asp
Audit of the Vancouver Admissions Office Assurance – Programs Completed Nov. 2007 http://www.cic.gc.ca/english/resources/audit/vancouver/vancouver.asp
Audit of the London High Commission Immigration Program Assurance – Programs Completed Q1 – 2008–2009 http://cic.gc.ca/english/resources/audit/london/london.asp
Follow-up of Prior Year’s Audits Assurance Completed Q4 – 2007–2008 N/A
Audit Report on the Refund of Right of Permanent Resident Fee Assurance – Finance Completed Q1 – 2008–2009 http://cic.gc.ca/english/resources/audit/rprf.asp
Follow-up of GCMS Assurance – IT Publishing Q1 – 2008–2009 TBD
Audit of GTA West Assurance – Programs Reporting Q2 – 2008–2009 TBD
Audit of Taipei Immigration Program Assurance – Programs Completed Q1 – 2008–2009 http://cic.gc.ca/english/resources/audit/taipei.asp
Audit of Kuala Lumpur Immigration Program Assurance – Programs Completed Q1 – 2008–2009 http://cic.gc.ca/english/resources/audit/kuala.asp
Audit of CPC Mississauga Assurance – Programs Reporting Q2 – 2008–2009 TBD
Audit of Beijing Immigration Program Assurance – Programs Reporting Q2 – 2008–2009 TBD
Audit of Controlled Forms Assurance – Internal Controls Examination Q2 – 2008–2009 TBD
Audit of CIC Calgary Assurance – Programs Reporting Q2 – 2008–2009 TBD

Evaluations


Name of Evaluation

Program Activity

Evaluation Type

Status

Completion Date

Electronic Link to Report

Business Immigration Program Immigration Program Evaluation Assessment In progress March 2009 N/A
Permanent Resident Card Immigration Program Performance Review In progress October 2008 N/A
Migration Policy Development Program Canada’s Role in International Migration and Protection Review Completed February 2008 See below
Pre-Removal Risk Assessment Refugee Program Formative Evaluation Completed February 2008 See below
Refugee Reform Refugee Program Performance Review In progress October 2008 N/A
Canada-Ontario Immigration Agreement – Settlement and Language Training Strategy Integration Program Performance Monitoring Framework In progress October 2008 N/A
Enhanced Language Training Integration Program Formative Evaluation Completed January 2008 http://www.cic.gc.ca/english/resources/evaluation/elt/index.asp
Medical Surveillance Program   Implementation Evaluation In progress December 2008 N/A
Metropolis (Phase II)   Summative Evaluation In progress November 2008 N/A
The CIC Evaluation Plan (2008–2009 to 2012–2013) and completed evaluations will be posted at http://www.cic.gc.ca/english/resources/evaluation/index.asp.

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Correctional Service Canada

Table 14 - Internal Audits and Evaluations


Table 14a - Internal Audits

In 2007-2008, the following audits were completed and approved by CSC’s Audit Committee:


Name of Internal Audit Audit Type Completion Date
Audit of Contracting for Goods and Services Contracting and Procurement May 2007
Audit of Staff Safety in the Community Correctional Operations May 2007
Audit of Administrative Segregation Correctional Operations May 2007
Offender Management System Renewal - Project Closure Review IM/IT September 2007
Health Information Management Module Annual Review IM/IT September 2007
Audit of Assistance to Employees Human Resource Management January 2008

Since the beginning of 2008-2009, the following audit reports were also 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 Management Practices April 2008
Audit of Logical Access Controls IM/IT May 2008

These reports, which also contain the Management Action Plans to address the recommendations, can be found on the CSC website at the following address:  http://www.csc-scc.gc.ca/text/pa/adt-toc-eng.shtml

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Courts Administration Service

Table 6: Internal Audits and Evaluations

Internal Audits (current reporting period)


Name of Internal Audit Audit Type Status Completion Date Electronic Link to Report
N/A *

*No internal audit was conducted during the period between March 2007 and April 2008.

Evaluations (current reporting period)


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

*No evaluation was conducted during the period between March 2007 and April 2008.

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Department of Finance Canada

Table 9: Internal Audits and Evaluations

Internal audits (2007–08)

Over the past year, the Department undertook significant efforts to strengthen and stabilize its internal audit capacity and delivery processes. An annual review of the three-year risk-based audit plan was approved in spring of 2008.


Name of
Internal Audit
Audit Type Status Completion Date Electronic Link to Report
None        

Other projects:

  • Review of International Obligations and Subscription Payments (see Program Activity 10 under Section II: Analysis of Program Activities by Strategic Outcome)
  • Review of Translation and Editing Services
  • Selected testing of Accounts Payable
  • Three-year risk-based audit plan

Evaluations (2007–08)

A one-year risk-based evaluation plan was approved in September 2007. The Department focussed much attention on strengthening evaluation capacity in anticipation of requirements under the proposed Treasury Board Evaluation Policy.


Name of Evaluation Program Activity Evaluation Type Status CompletionDate Electronic Link to Report
None          
Electronic Link to Evaluation Plan: N/A

Other projects:

  • A research report on the effect of corporate income tax rate reductions on business investment was published in the Tax Expenditures and Evaluations 2007 report available at www.fin.gc.ca/taxexp/2007/taxexp07_4e.html#part2. (See Program Activity 1 under Section II: Analysis of Program Activities by Strategic Outcome.)
  • An external evaluation of the treasury management risk framework was completed, taking into account the recommendations received from an external evaluation of cash management activities. The completed external evaluations are posted on the Treasury Evaluation Program section of the Department's website (http://www.fin.gc.ca/access/fininste.html#Treasury). (See Program Activity 3 under Section II: Analysis of Program Activities by Strategic Outcome.)
  • In February 2008, the Financial Action Task Force on Money Laundering released its findings on its evaluation of Canada's Anti–Money Laundering and Anti–Terrorist Financing Regime (http://www.fatf-gafi.org/dataoecd/5/3/40323928.pdf). (See Program Activity 3 under Section II: Analysis of Program Activities by Strategic Outcome.)
  • An evaluation of the Fiscal Equalization and Territorial Formula Financing transfer payments culminated in the new formula announced in Budget 2007. The evaluation took into account the June 2006 report of the Expert Panel on Equalization and Territorial Formula Financing that studied the program, which is available on the panel's website at http://www.eqtff-pfft.ca/english/index.asp. (See Program Activity 5 under Section II: Analysis of Program Activities by Strategic Outcome.)
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Department of Foreign Affairs and International Trade

Table 12-A: Internal Audits

This was a year of significant change for the internal audit function. Changes in leadership, coupled with staff turnover in a highly competitive market, as well as the requirement of the Treasury Board Internal Audit Policy to create an independent Office of the Chief Audit Executive, resulted in many planned audits not coming to fruition. This table lists audits that were initiated in 2007-2008 and gives their current status.


Audit Type Status Expected Completion Date Electronic Link to Report
Follow-Up Audit of Global Partnership Program Follow-up Audit Complete N/A www.dfait-maeci.gc.ca/department/
auditreports/2007/GPX07-en.asp

(in pdf: www.dfait-maeci.gc.ca/department/
auditreports/2007/GPX07-en.pdf
)
Accounts Payable Financial Controls Preparing for publication Sept. 2008  
Public Diplomacy Program Audit Preparing for publication    
EAA Keys & IMS User Profiles Financial Controls Awaiting approval of Departmental Audit Committee (DAC) June 12, 2008(approval); publishing will follow  
Global Peace and Security Fund Program Audit Awaiting approval of DAC June 12, 2008(approval); publishing will follow  
Passport-Revenue Processing Financial Controls Awaiting approval of DAC June 12, 2008(approval); publishing will follow  
Passport-Services at Missions Operational Audit Awaiting approval of DAC June 12, 2008(approval); publishing will follow  
Mission Hospitality Expenditures Financial Controls Final report stage Sept. 2008(approval); publishing will follow  
Property Growth Charge Financial Controls Final report stage Sept. 2008(approval); publishing will follow  
Follow-up on Audit of Official Languages Follow-up Audit Final report stage Sept. 2008(approval); publishing will follow  
Management of Information Technology Systems System Audit Draft report stage Sept. 2008(approval); publishing will follow  

Two audits that were identified in the 2007-2008 Report on Plans and Priorities are included in the 2008-2009 Transitional Audit Plan:


Previous Name Current Name in 2008-2009 Plan
Foreign Operations and International Banking Cash and Banking
Internal Management Framework for Grants and Contributions Management of Transfer Payments

Table 12-A2: Mission Inspections


Name of Mission Inspection Type Status Completion Date Electronic Link
to Report
Moscow Consulting: Mission operations Completed    2007-2008 N/A
Almaty Consulting: Mission operations Completed 2007-2008 N/A
New Delhi Consulting: Mission operations Completed 2007-2008 N/A
Mumbai Consulting: Mission operations Completed 2007-2008 N/A
Chandigarh Consulting: Mission operations Completed 2007-2008 N/A
Chennai Consulting: Mission operations Completed 2007-2008 N/A
Bangalore Consulting: Mission operations Completed 2007-2008 N/A
Tokyo Consulting: Mission operations Completed 2007-2008 N/A
Nagoya Consulting: Mission operations Completed 2007-2008 N/A
Brussels Consulting: Mission operations Completed 2007-2008 N/A
European Union Consulting: Mission operations Completed 2007-2008 N/A
NATO Consulting: Mission operations Completed 2007-2008 N/A

Table 12-B : Evaluations


Completed evaluations are available at www.international.gc.ca/department/auditreports/evaluation/evaluation-en.asp
Name of Evaluation Program Activity 1 Evaluation Type Status Completion Date
1. International Business Development Program in Germany International Business Development
(International Commerce)
Formative Completed Sept. 18, 2007
2. Canadian Foreign Service Institute Common Services and Infrastructure-Support from HQ
(Canada's International Platform: Support at Headquarters)
Summative Completed Sept. 18, 2007
3. Enhanced Representation Initiative in the United States Bilateral Relations, International Business Development
(Diplomacy and Advocacy, International Commerce)
Formative Completed Sept. 18, 2007
4. Global Partnership Program (GPP): Main Destruction Building 2 (Chemical Weapons Destruction) International Security
(Diplomacy and Advocacy)
Formative Completed Sept. 18, 2007
5. GPP: Nuclear-Powered Submarines Program International Security
(Diplomacy and Advocacy)
Summative Completed Sept. 18, 2007
6. GAP: Redirection of Former Weapons Scientists International Security
(Diplomacy and Advocacy)
Formative In progress July 2, 2008
7. Young Professionals International Strategic Policy and Planning
(Diplomacy and Advocacy)
Summative Completed Sept. 18, 2007
8. Enhanced Representation Initiative in the United States Bilateral Relations, International Business Development
(Diplomacy and Advocacy, International Commerce)
Summative Completed Feb. 13, 2008
9. Global Peace and Security Fund Program in Sudan International Security
(Diplomacy and Advocacy)
Formative Completed Feb. 13, 2008
10. Canadian Consortium on Human Security International Security
(Diplomacy and Advocacy)
Formative Completed Feb. 13, 2008
11. Program for Export Market Development-Associations (PEMD-A) World Markets/Commercial Relations
(International Commerce)
Formative In progress July 2, 2008
12. Going Global Science and Technology Program; Community Investment Support Program World Markets/Commercial Relations
(International Commerce)
Summative In progress July 2, 2008
13. High Council for La Francophonie Global Issues
(Diplomacy and Advocacy)
Formative, led by CIDA Completed Sept. 18, 2007
14. Public Safety and Anti-Terrorism (PSAT): Counterterrorism International Security
(Diplomacy and Advocacy)
Formative In progress July 2, 2008
15. Canadian Landmine Fund International Security
(Diplomacy and Advocacy)
Summative led by CIDA In progress Sept. 2008
16. PSAT: Personal Safety at Missions and Mission Security, Phase 1 Common Services and Infrastructure-Support at Missions
(Canada's International Platform: Support at Missions)
Formative In progress Sept. 16, 2008
17. PSAT: Global Security Reporting Program (Representation Abroad) Common Services and Infrastructure-Support at Missions
(Canada's International Platform: Support at Missions)
Formative In progress July 2, 2008
18. Trade Regional Offices International Business Development
(International Commerce)
Formative In progress Sept. 16, 2008
19. Passport Canada Security Bureau Passport Canada Special Operating Agency-Revolving Fund
(Passport Canada)
Formative In progress Sept. 16, 2008
20. Counter-Terrorism and Capacity Building International Security
(Diplomacy and Advocacy)
Formative In progress Dec. 18, 2008

1. The program activity in brackets is that which corresponds to the DFAIT PAA approved by Treasury Board on June 7, 2007.

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Department of Justice Canada

Table 9: Internal Audits and Evaluations


Internal Audits (current reporting period)
 Name of Internal Audit
Audit Type
Status
Expected Completion Date
Electronic Link to Report
Public Law Sector
Audit
Completed
November 2007
Not yet published
Fire and Emergency
Audit
Completed
July 2007
Materiel Management
Audit
Completed
June 2007
Departmental Legal Services Unit - Citizenship and Immigration Canada
Audit
Completed
June 2007
Child-centered Family Justice Fund
Audit
Completed
April 2007
Library Services
Audit
Completed
April 2007
Departmental Legal Services Unit - Royal Canadian Mounted Police
Audit
Completed
March 2007
Business Continuity Planning
Audit
Completed
March 2007
Electronic Link to Internal Audits:
http://canada.justice.gc.ca/eng/dept-min/pub/aud-ver/index.html


Evaluations (current reporting period)
Program Activity
Status as of March 31, 2008
Completion Date
Electronic Link to Report
Aboriginal Justice Strategy
A1 – Justice policies, laws and programs
Summative Evaluation
Completed
April 2007
http://www.justice.gc.ca/eng/pi/eval/rep-rap/07/ajs-sja/index.html
Access to Justice in both Official Languages Support Fund
A1 – Justice policies, laws and programs
Summative Evaluation
Completed
May 2007
http://www.justice.gc.ca/eng/pi/eval/rep-rap/07/ajol-fajl/index.html
Public Safety and Anti-Terrorism (PSAT) Initiative
A1 – Justice policies, laws and programs
Summative Evaluation
Completed
June 2007
http://www.justice.gc.ca/eng/pi/eval/rep-rap/07/psat-spat/sum-som/index.html
Aboriginal Courtwork Program
A1 – Justice policies, laws and programs
Formative Evaluation
Completed
August 2007
http://www.justice.gc.ca/eng/pi/eval/rep-rap/07/acw-papa/index.html
The Action Plan for Official Languages Coordination Program
A1 – Justice policies, laws and programs
Summative Evaluation
Completed
October 2007
http://www.justice.gc.ca/eng/pi/eval/rep-rap/07/apol-palo/index.html
Contraventions Act Fund
A1 – Justice policies, laws and programs
Summative Evaluation
Completed
October 2007
http://www.justice.gc.ca/eng/pi/eval/rep-rap/07/caf-fac/index.html
DOJ’s Component of Canada’s Action Plan Against Racism
A1 – Justice policies, laws and programs
Formative Evaluation
In progress
June 2008
Not yet published
The Child-Centred Family Law Strategy
A1 – Justice policies, laws and programs
Summative Evaluation
In progress
June 2008
Not yet published
Aboriginal Courtwork Program A1 – Justice policies, laws and programs Summative Evaluation In progress July 2008 Not yet published
Federal Victims Strategy A1 – Justice policies, laws and programs Summative Evaluation In progress July 2008 Not yet published
Justice Leaders of Tomorrow Program C1 –Internal Services Summative Evaluation In progress July 2008 Not yet published
Legal Risk Management B1 – Services to Government Mid-Term Evaluation In progress November 2008 Not yet published
Nunavut Court of Justice A1 – Justice policies, laws and programs Formative Evaluation of the Pilot In progress December 2008 Not yet published
Unified Family Courts A1 – Justice policies, laws and programs Summative Evaluation In progress January 2009 Not yet published
Crimes Against Humanity and War Crimes Program B1 – Services to Government Summative Evaluation In progress January 2009 Not yet published
Electronic Link to Internal Audits:
http://canada.justice.gc.ca/eng/dept-min/pub/aud-ver/index.html
 

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Economic Development Agency of Canada for the Regions of Quebec

Table 14: Internal audits and evaluations

The following table lists the internal audits initiated or completed at the Agency during FY 2007-2008.

Internal Audits at the Agency in FY 2007-2008

Title of audit Type of audit Status Completion date
Recipient Audit – Softwood Industry and Community Economic Adjustment Initiative Initiative audit and contract compliance Completed May 2007
Internal Audit – Municipal Rural Infrastructure Fund (MRIF) Compliance with key program controls Completed January 2008
Internal Audit – Infrastructure Canada Program (ICP) Compliance with key program controls Completed January 2008
Audit of Canada Business Service Centres Program audit and contract compliance Completed January 2008
Audit of compliance with official language contractual requirements by designated Business Development Centres and Community Futures Development Corporations Contract compliance In progress Summer 2008
Hyperlink: N/A
Management Audit of five business offices Program management and operations audit of five business offices In progress Summer 2008
Hyperlink: N/A

The following table lists the evaluations initiated or completed at the Agency during FY 2007-2008.

Evaluations at the Agency in FY 2007-2008

Title of evaluation Program activity Type of evaluation Status Comple-
tion date
Hyperlink to report
Formative Evaluation of the Funding component of the Quebec Social Economy Support Initiative Development of communities Formative Completed March 2008 http://www.dec-
ced.gc.ca/asp/
Publications/
Doc_evaluation
.asp
Formative Evaluation of the Capacity-Building component of the Quebec Social Economy Support Initiative Development of communities Formative Completed March 2008 To come
Evaluation Report on the Startup and Succession pilot funds Development of communities Formative Completed April 2008 To come
Comparative Study on Incubators Competitiveness of enterprises (SMEs) Benchmark study Completed May 2008 To come
Formative Evaluation of the Municipal Rural Infrastructure Fund (MRIF) Infrastructure Formative In progress September 2008 To come
Evaluation of the Joint Labour-Management Committee (JLMC) Internal Services Formative In progress October 2008 N/A
Summative Evaluation of the Community Futures Program Development of communities Summative In progress March 2009 To come
Summative Evaluation of the Canada-Quebec Infrastructure Works program (CQIW 2000) Infrastructure Summative In progress March 2009 To come

Hyperlink to the 2007-2008 departmental evaluation plan and to additional
information on Canada Economic Development evaluations:
www.dec-ced.gc.ca/asp/Publications/Publications.asp?LANG=EN
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Environment Canada

Internal Audits and Evaluations

 

a) Internal Audits


Name of Internal Audit

Status

Completion Date

Electronic Link to Report

Contingency Plan for Meteorological Service of Canada (MSC) Weather Prediction Program Approved April 2007 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Travel Expenses and Compliance with Disclosure Policy Approved April 2007 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Hospitality Expenses and Compliance with Disclosure Policy Approved April 2007 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Disclosure of Reclassification of Positions Approved February 2008 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Disclosure of Contracts over 10K Approved February 2008 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Canadian Wildlife Service (CWS) Control Self-Assessment Completed and presented to EAAC for information April 2008 N/A
Delegation of Financial Authority Approved July 2008 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Information Technology Security Approved July 2008 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Employment Equity Approved July 2008 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Technology Infrastructure Directorate Postponed to 2008-09 March 2009 N/A
Decision Support Systems In progress October 2008 N/A

b) Evaluations


Name of Evaluation

Program Activity

Status

Completion Date

Electronic Link to
Report

Commission for Environmental Cooperation (CEC) 1A - Biodiversity is conserved and protected
3A - Risks to Canadians, their health and their environment posed by toxic and other harmful substances are reduced
3B - Canadians adopt sustainable consumption and production approaches
Approved April 2007 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Georgia Basin Action Plan 1C - Canadians adopt approaches that ensure the sustainable use and management of natural capital and working landscapes Approved August 2007 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Canadian Shellfish Sanitation Program
(interdepartmental with Canadian Food Inspection Agency and Fisheries and Oceans Canada)
1B - Water is clean, safe and secure Approved November 2007 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Environmental Emergencies Program - including Public Security and Anti-Terrorism (PSAT) 3A - Risks to Canadians, their health and their environment posed by toxic and other harmful substances are reduced Approved March 2008 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Border Air Quality Strategy: Air Quality Forecasting Component 2B - Canadians are informed of, and respond appropriately to, current and predicted environmental conditions Approved March 2008 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Toronto Waterfront Revitalization Initiative Contribution Agreement 4A - Revitalization of the Toronto Waterfront Approved July 2008 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Transboundary Movement Program - under the Public Security and Anti-Terrorism (PSAT) funds 3A - Risks to Canadians, their health and their environment posed by toxic and other harmful substances are reduced Approved July 2008 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Meteorological Services of Canada Transition 2B - Canadians are informed of, and respond appropriately to, current and predicted environmental conditions Approved July 2008 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Smog-Causing Emission Regulations in the Transportation Sector 3C - Risks to Canadians, their health and their environment from air pollutants and greenhouse gas emissions are reduced Approved July 2008 http://www.ec.gc.ca/ae-ve/default.asp?lang=En&n=3036EE9A-1
Federal Contaminated Sites Action Plan
(interdepartmental - led by Environment Canada)
3A - Risks to Canadians, their health and their environment posed by toxic and other harmful substances are reduced Carried over into 2008-09. October 2008 N/A
Strategic Environmental Assessment
(Interdepartmental - led by the Canadian Environmental Assessment Agency)
1C - Canadians adopt approaches that ensure the sustainable use and management of natural capital and working landscapes Carried over into 2008-09. January 2009 N/A

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Financial Transactions and Reports Analysis Centre of Canada

Internal Audits and Evaluations

There were no internal audits or evaluations conducted during 2007-2008.

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Fisheries and Oceans Canada

Internal Audits and Evaluations

Presented below are links to internal audits and evaluations completed in 2007-2008.

 

Internal Audits Completed in 2007-2008


Name of Internal Audit Type of Program Audit Status Completion Date Link to Report
Audit of Official Languages Program Official Language Program Completed June 12, 2007 http://www.dfo-mpo.gc.ca/communic/cread/audits/07-08/6b045_e.htm
Audit of the Aboriginal Fisheries Strategy Transfer Payment Completed November 22, 2007 http://www.dfo-mpo.gc.ca/communic/cread/audits/07-08/60285_e.htm
Audit of Capital Plan Management Control Framework Management Control Framework - Capital Program Completed November 22, 2007 Not yet posted
Departmental Occupational Health and Safety Management Control Framework Audit (Follow-up Audit) Management Control Framework - Service Completed November 22, 2007 Not yet posted
Experimental Lakes Area (Follow-up Audit) Program Management Completed December 6, 2007 Not yet posted
Audit of Departmental Succession Planning Practices Preliminary Survey Report Completed December 6, 2007 Not yet posted
Employment Systems Review (ESR) (Follow-up Audit) Human Resources Completed March 18, 2008 Not yet posted
Ice Compensation for East Coast Fishers (Grant) Transfer Program Completed March 18, 2008 Not yet posted
Budgeting, Utilization and Reporting of Funding for the Program for Sustainable Aquaculture (PSA) Financial Management Program Completed March 18, 2008 Not yet posted

 

Evaluations Completed in 2007-2008


Name of Evaluations Program Activity Type of Evaluation Status Completion Date Link to Report
Evaluation of the Pacific Region Conservation and Protection Pilot Line Reporting Project Sub-activity; Conservation and Protection Formative Completed June 12, 2007 http://www.dfo-mpo.gc.ca/communic/cread/evaluations/07-08/cpeval_e.htm
Aboriginal Fisheries Strategy Formative Evaluation Sub-activity; Aboriginal Policy and Governance Formative Completed June 12, 2007 http://www.dfo-mpo.gc.ca/communic/cread/evaluations/07-08/60285_e.htm
Canada's Oceans Action Plan (OAP) - Phase I Initiatives (Interdepartmental) Sub-activity; Integrated Oceans Management Formative Completed November 22, 2007 Not yet posted
Genomics R&D Initiative (Interdepartmental) Sub-activity; Genomics and Biotechnology Formative Completed November 22, 2007 Not yet posted
Canadian Regulatory System for Biotechnology (CRSB) (Interdepartmental) Sub-activity; Genomics and Biotechnology Summative Completed November 22, 2007 Not yet posted
Marshall Response Initiative (MRI) Sub-activity; Aboriginal Policy and Governance Summative Completed December 6, 2007 Not yet posted
Canadian Shellfish Sanitation Program (CSSP)(Interdepartmental) Sub-activity; Resource Management Summative Completed December 6, 2007 http://www.inspection.gc.ca/english/agen/​eval/cssppccsm/shemosse.shtml
Ice Compensation for East Coast Fishers (Grant) Sub-activity; Public Policy Services Summative Completed March 18, 2008 Not yet posted
Infrastructure Repair Program (IRP) for Active Fishing Harbours Activity; Small Craft Harbours Summative Completed March 18, 2008 Not yet posted
Electronic Link to Evaluation Plan: Not yet posted

Note:

Formative evaluations provide information mid-way through a program, policy or initiative by examining the delivery of the program, policy or initiative, as well as the quality of its implementation and by assessing the organizational context, personnel procedures and inputs.

Summative evaluations determine the overall impact a program, policy or initiative has had by examining the outcomes it achieves. The three primary concerns of a summative evaluation are relevance, success and cost-effectiveness.

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Health Canada

Table 11a: Internal Audits
1. Name of Internal Audit 2. Audit Type 3. Status at 08/03/31 4. Completion Date 5. Electronic Link to Report
Mental Health and Addictions Program (NNADAP) Performance Complete March, 2008 To be Posted
Workplace Health - Public Health Program Performance Complete November, 2007 To be Posted
Health Canada initiative for Government On Line - SSDUE II Performance Complete November, 2007 To be Posted
G & C Centres of Expertise G & C Complete March, 2008 To be Posted
Risk-Based Controls - Acquisition Cards Monitoring Complete November, 2007 To be Posted
Risk-Based Controls - Petty Cash Monitoring Complete November, 2007 To be Posted
Risk-Based Controls - Disclosure of Gs & Cs Monitoring Complete September, 2007 To be Posted
Risk-Based Controls - Disclosure of Reclassifications Monitoring Complete March, 2008 To be Posted
Risk-Based Controls - Overtime Monitoring Complete November, 2007 To be Posted
Risk-Based Controls - Leave Monitoring Complete March, 2008 To be Posted
Data Integrity - G & C System / Lotus Notes Performance In Progress April, 2008 To be Posted
Data Integrity - G & C System / MCCS Performance In Progress April, 2008 To be Posted
Quality Assurance Process for Recipient Audits G & C / Monitoring In Progress April, 2008 To be Posted
Canadian Institute for Health Information (CIHI) G & C In Progress June, 2008 To be Posted
The Way Forward Initiative - An enterprise Approach for IT Monitoring In Progress June, 2008 To be Posted
Data Integrity - Standard Payment System for Internal Settlements (SPSIS) Performance In Progress June, 2008 To be Posted
Data Integrity - Acquisition Card / Commitment System - (APICS) Performance In Progress June, 2008 To be Posted
HR Strategies or Recruitment and Retention Performance In Progress June, 2008 To be Posted
Risk-Based controls - Training and Conference Attendance Monitoring In Progress June, 2008 To be Posted
Food Safety Program Performance In Progress September, 2008 (est.) To be Posted
Dental Benefits Performance In Progress September, 2008 (est.) To be Posted
Data Integrity - Health information & Claims Processing system (HICPS) Performance In Progress September, 2008 (est.) To be Posted
Electronic Health Information System (Infoway) G & C In Progress September, 2008 (est.) To be Posted
Canadian Health Services Research Foundation (CHSRF) G & C In Progress September, 2008 (est.) To be Posted
Values and Ethics Performance In Progress September, 2008 (est.) To be Posted
Risk Management Methodology In Progress December, 2008 (est.) To be Posted
Biologic and Genetic Performance In Progress December, 2008 (est.) To be Posted


Table 11b: Evaluations
Name of Evaluation Program Activity Evaluation Type Status Completion Date Electronic Link to Report
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 Formative Completed December 2007 Link to Treasury Board of Canada Secretariat Audit and Evaluation Database
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 Ongoing  
Primary Health Care Transition Fund (G&C) 1.1.3 Health System Renewal Summative Completed April 2008
Health Care Strategies and Policy Grant and Contribution Program (G&C) 1.1.3 Health System Renewal Summative Completed January 2008
Women's Health Contribution Program (2003-2004 to 2007-2008) (G&C) 1.1.5 Women's Health Summative Ongoing  
International Health Grants Program (G&C) 1.3 International Health Affairs Summative Completed February 2008
Canada's Access to Medicine Regime (Implementation Focussed Evaluation of Health Canada's Responsibilities) 2.1 Health Products 2.1.1 Pharmaceutical Human Drugs Implementation Completed April 2008
Human Drugs 2.1.1 Pharmaceutical Human Drugs Strategic Ongoing  
Therapeutics Access Strategy 2.1.1 Pharmaceutical Human Drugs Formative Ongoing  
Canadian Regulatory System for Biotechnology 2.1.2 Biologics and radiopharmaceuticals Summative Completed February 2008
Departmental Performance report on Genomics Research and Development 2.1.2 Biologics and radiopharmaceuticals Formative Completed December 2007
Natural Health Products 2.1.5 Natural Health Products Strategic Ongoing  
Food Safety and Nutrition Quality 2.2.1 Food Borne Pathogens 2.2.2 Food Borne Chemical Contaminants 2.2.3 Novel foods Strategic Ongoing  
Border Air Quality Strategy 3.1 Sustainable Environmental Health 3.1.2 Air Quality Summative Completed February 2008
Federal Contaminated Sites Action Plan 3.1.5 Contaminated Sites Formative Ongoing  
Federal Drinking Water Compliance Program 3.3.1 Public Service Health Evaluation Ongoing  
First Nations Inuit - Tobacco Control Strategy 4.1 First Nations and Inuit Health Programming and Services 4.1.1 First Nations and Inuit Community Programs Implementation Completed March 2008
Aboriginal Diabetes Initiative, Phase One, Results of an Evaluation 1999-200 to 2004-2005 4.1.1 First Nations and Inuit Community Programs Evaluation Completed March 2008
Children and Youth (Cluster) (includes G&C) 4.1.1 First Nations and Inuit Community Programs Strategic Ongoing  
First Nations Water Management Strategy 4.1.2 First Nations and Inuit Health Protection and Public Health Summative Completed January 2008
Communicable Disease Control (Cluster) (includes G&C) 4.1.2 First Nations and Inuit Health Protection and Public Health Strategic Ongoing  
First Nations and Inuit Home and Community Care Program 4.1.3 First Nations and Inuit Primary Care Summative Ongoing  
First Nations and Inuit - Integration and Adaptation of Health Services 4.1.5 Governance and Infrastructure Support to First Nations Integration Pilot Projects Evaluation Completed February 2008
Post Doctoral Fellowship Program (G&C) Internal Services 2.1 Science Policy and Management Summative Ongoing  
Expenditure Review Reductions and their impact on Health Canada Internal Services 4. Financial Management Services Evaluation Ongoing  
Contracting for Professional and Special Services in Health Canada Internal Services 4.Financial Management Services Evaluation Ongoing  
Electronic Link to Evaluation Plan: N/A
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Human Resources and Social Development Canada

TABLE 11: Internal Audits and Evaluations

The internal audit carry-over projects from the 2006-2007 Transitional Plan were reflected in the 2007-2010 Internal Audit (IA) Plan. The 2007-2010 Internal Audit Plan was approved on June 20, 2007 at the Management Audit and Evaluation Committee and is updated on an annual basis. Further refinements are being made in 2008-2009 to improve the internal audit planning process. The Plan was in line with the requirements of the 2006 TBS Policy on Internal Audit

The status of audit projects can be found in the table below.

Human Resources and Social Development Canada annual (2007-2008) and long-term (2008-2009/2011-2012) risk-based evaluation plans were developed using the following risk factors: program spending (materiality), timing of last impact evaluation; Treasury Board Secretariat requirements; Government priority, public interest and program complexity.

The following five evaluations were approved by the Management Audit and Evaluation Committee in 2007-2008:

  • Formative Evaluation of Employment Insurance Compassionate Care Benefit
  • Evaluation of the Third Session of the Word Urban Forum
  • Interim Evaluation of the National Literacy Program
  • Formative Evaluation of the Community Inclusion Initiative
  • Summative MAR 2004-2006 Employment Insurance Summative Technical Reports.

Internal Audits (current reporting period)

Below is a listing of internal audit engagements completed and in progress during 2007-2008.


 
1. Name of Internal Audit 2. Audit Type 3. Status 4. Completion Date 5. Electronic Link to Report
Audit of Occupational Health and Safety* Assurance Completed Target: Spring 2007
Result: Summer 2007
http://www.hrsdc.gc.ca/en/publications_resources/audit/2007/sp_833_11_07e/sp_833_11_07e.pdf
World Urban Forum Program Audit Completed Target: Spring 2007
Result: Fall 2007
 
Values and Ethics** Assurance Reporting Target: Summer 2007
Result: Spring 2008
 
Understanding the* Early Years Initiative Early Implementation Years Review Completed Target: Spring 2007
Result: Spring 2007
http://www.hrsdc.gc.ca/en/publications_resources/audit/2007/sp_796_07_07e/sp_796_07_07e.pdf
International Agreements and Operations Assurance (Program Design/Policy & Compliance) Completed Target: Summer 2007
Result: Winter 2008
 
Gs & Cs - Financial Monitoring*** Assurance (Compliance) Field Work Target: Fall 2007
Result: Fall 2008
 
2006-2007 Attest Audit of the Administrative Costs to the Canada Pension Plan Account Assurance (Program Design/Policy) Completed Target: Fall 2007
Result: Fall 2007
 
Grants and Contributions Segregation of Duties* Assurance Completed Target:
Result: March 2007
http://www1.servicecanada.gc.ca/en/cs/fas/iarms/servcan/e004.shtml
Follow-up on the Audit of Employment Insurance Segregation of Duties * Follow-up Audit Completed Target:
Result: Nov. 2007
http://www1.servicecanada.gc.ca/en/cs/fas/iarms/servcan/e013.shtml
Audit of Compensation and Benefits* Assurance Completed Target:
Result: Nov. 2007
http://www1.servicecanada.gc.ca/en/cs/fas/iarms/servcan/e015.shtml
Management of Information Technology Security Standards Assurance Completed Target:
Result: Dec. 2007
http://www1.servicecanada.gc.ca/en/cs/fas/iarms/servcan/e008.shtml
Record of Employment Web* Assurance Completed Target:
Result: Feb. 2008
http://www1.servicecanada.gc.ca/en/cs/fas/iarms/servcan/e019.shtml
Annual Audit of the Old Age Security Program Expenditures for 2006-2007 Fiscal Year* Assurance/Review Competed Target:
Result: March 2008
No report issued as this was a review as per TBS advice.
Review of General Computer Controls Assurance/Review Competed Target:
Result: March 2008
No report issued as this was a review as per TBS advice.
Review of the Old Age Security Process* Assurance/Review Competed Target:
Result: March 2008
No report issued as this was a review as per TBS advice.
Review of the March 31, 2007 Human Resources Social Development Canada Departmental Financial Statements* Assurance/Review Completed Target:
Result: March 2008
No report issued as this was a review as per TBS advice.
Post-Implementation Audit of the Service Canada College Assurance In progress Target: June 2008
Result:
 
Audit on the Management of the Delivery of the Canada Pension Plan Assurance In progress Target: June 2008
Result:
 
Financial and Activity Monitoring of Aboriginal Human Resource Development Strategy Assurance In progress Target: Sept. 2008
Result:
 
Spot Audits of Grants and Contributions Assurance In progress Target: Dec. 2008
Result:
 
Please Note: Once approved, internal audits reports are posted on the websites below:
http://www.hrsdc.gc.ca/en/publications_resources/audit/index.shtml http://www1.servicecanada.gc.ca/en/cs/fas/iarms/servcan/iab.shtml
*Approved by the Audit and Evaluation Committee.
**Audit delayed due to staff departures.
***Upon further review, the planned projects Gs & Cs - Proposal Assurance (Compliance) and Gs & Cs - Claims and Assurance Payment Processing have been combined and are now reflected under the title of Gs & Cs - Financial Monitoring.

Evaluations


1. Name of Evaluation 2. Program Activity 3. Evaluation Type 4. Status 5. Completion Date 6. Electronic Link to Report4
5-week Seasonal Work Pilot Labour Market Summative In-progress Spring 2010  
Evaluation of New-entrants and Re-entrants Labour Market Formative and summative In-progress Spring 2009  
Three Pilot Projects - Seasonal Workers Labour Market Summative In-progress Summer 2009  
Premium Reduction Program Labour Market Summative In-progress Spring 2009  
Evaluation of Employment Insurance Compassionate Care Benefit Labour Market Formative Approved Approved in June 2007  
MAR 2004-2006 EI Summative Technical Reports. Labour Market Summative Approved Approved in February 2008  
Evaluation of Canada New Brunswick Labour Market Development Agreement Labour Market Summative In-progress Fall 2008  
Evaluation of Canada/Nova Scotia Labour Market Development Agreement Labour Market Summative In-progress Fall 2008  
Evaluation of Canada/ Prince Edward Island Labour Market Development Agreement Labour Market Summative In-progress Fall 2008  
Evaluation of Canada/Manitoba Labour Market Development Agreement Labour Market Summative In-progress Winter 2010  
Ontario Employment Benefits and Support Measures Labour Market Summative In-progress Fall 2008  
Evaluation of Canada/ Alberta Labour Market Development Agreement Labour Market Summative In-progress Fall 2008  
Evaluation of Canada/ Saskatchewan Labour Market Development Agreement Labour Market Summative In-progress Fall 2008  
Evaluation of Canada/ Yukon Labour Market Development Agreement Labour Market Summative In-progress Winter 2009  
Evaluation of Canada/ Northwest Territories Labour Market Development Agreement Labour Market Summative In-progress Winter 2009  
Evaluation of Aboriginal Human Resources Development Agreements Labour Market Formative In-progress Fall 2008  
Evaluation of Aboriginal Human Resources Development Agreements Labour Market Summative In-progress Fall 2008  
Evaluation of Aboriginal Skills and Employment Partnerships Labour Market Formative In-progress Fall 2008  
Evaluation of Aboriginal Skills and Employment Partnerships Labour Market Summative In-progress Fall 2008  
Evaluation of Voisey's Bay Pilot Project Labour Market Formative In-progress Fall 2008  
Evaluation of Youth Employment Strategy - Phase II Labour Market Summative In-progress Fall 2008  
Sector Council Program Evaluation - Phase I Workplace Skills Summative In-progress Fall 2008  
Training Centre Infrastructure Fund Pilot Program Workplace Skills Summative In-progress Fall 2008  
Workplace Skills Innovation Initiative Workplace Skills Baseline Data Collection In-progress Fall 2008 N/A
Canada Student Loans Program Learning Formative In-progress Summer 2009  
Canada Student Loans Program Interim Synthesis Report Learning Interim In-progress Fall 2008  
Phase 1 of the Evaluation of Office of Learning Technologies Learning Summative Completed Phase 1 of the evaluation completed in Summer 2007 N/A
National Literacy Program Learning Interim Approved Approved in October 2007  
Evaluation of Canada Education Savings Grant Learning Formative In-progress Spring 2009  
Evaluation of Occupational Health and Safety Labour Formative In-progress Winter 2010  
Evaluation of Workplace Equity Labour Strategic In-progress Fall 2008  
Evaluation of Fed Workers Compensation Program Labour Formative Cancelled Cancelled at request of the program due to policy review N/A
International Trade Labour Program Evaluation Labour Formative In-progress Fall 2008  
Evaluation of the Opportunities Fund for Persons with Disabilities - Phase II Social Investment Summative In-progress Fall 2008  
Evaluation of the Social Development Partnerships Program Social Investment Summative In-progress Fall 2008  
National Homelessness Initiative Housing and Homelessness Summative In-progress Fall 2008  
Evaluation of the Manitoba Labour Market Agreements for Persons with Disabilities Social Investment Demonstration In-progress Fall 2008  
Evaluation of the Prince Edward Island Labour Market Agreements for Persons with Disabilities Social Investment Summative Project cancelled N/A N/A
Evaluation of the Nova Scotia Labour Market Agreements for Persons with Disabilities Social Investment Demonstration Planned To be determined  
Evaluation of New Horizons for Seniors Social Investment Formative In-progress Fall 2008  
Evaluation of Guaranteed Income Supplement Take up Social Investment Special Initiative In-progress Summer 2009  
Evaluation of Canada Pension Plan - Disability Social Investment Summative In-progress Winter 2010  
Evaluation of Old Age Security Social Investment Summative In-progress Fall 2010  
Evaluation of Understanding the Early Years Initiative Social Investment Formative In-progress Fall 2008  
Universal Child Care Benefits Children and Families Evaluation Framework Planned Fall 2009 N/A
Enabling Fund Official Language Labour Market Formative In-progress Fall 2008  
Evaluation of Voluntary Sector Initiatives - Phase I Social Investment Summative In-progress Fall 2008  
Evaluation of Voluntary Sector Initiatives - Phase II Social Investment Summative In-progress Fall 2008  
Evaluation of the Voluntary Sector Strategy Social Investment Summative In-progress Spring 2009  
Community Inclusion Initiative Social Investment Formative Approved Approved in October 2007  
Third Session of the Word Urban Forum Other Initiatives Evaluation Approved Approved in June 2007  
7. Electronic Link to Evaluation Plan: N/A
4 When published, reports are available at the following website: http://www.hrsdc.gc.ca/en/publications_resources/evaluation/index.shtml

Service Canada Evaluation

In 2007-2008 a number of evaluation studies were conducted consistent with Treasury Board Secretariat and Service Canada standards with a focus on service relevance and cost effectiveness. Accountability and flexible governance is highlighted to allow Service Canada's input and advice to Treasury Board submissions of partnering departments. Two evaluations and one feasibility study were completed and findings were presented at the Service Canada Audit and Evaluation Committee in 2007-2008:

  1. Pleasure Craft Licensing Evaluation
  2. The Ice Compensation Program Management Review
  3. the Social Insurance Number Segregation of Duties Pilot.

Moreover, in an effort to strengthen portfolio-wide evaluation, Service Canada evaluation supported the Department's Evaluation on a number of projects in accordance with the Protocol governing evaluation collaboration.In order to ensure that service delivery issues are addressed during the course of Human Resources and Social Development Canada program evaluations, Service Canada Evaluation participated on joint evaluation committees for evaluations of the Apprenticeship Incentive Grant and the Wage Earner Protection Program. In addition, Service Canada Evaluation also supported Immigration by assisting with the development of the performance measurement and evaluation framework for the Foreign Credential Recognition Office initiative.


1. Name of Evaluation 2. Program Activity 3. Evaluation Type 4. Status 5. Completion Date 6. Electronic Link to Report1
5-week Seasonal Work Pilot Labour Market Summative Results analysis in progress

Pilot Project was extended
Target: Summer 2007
Result: Planned to be completed in Winter 2009
 
Evaluation of New-entrants and Re-entrants Labour Market Formative and summative Methodology development phase

Formative and summative evaluations now combined
Target: Summer 2007
Result: Planned to be completed in Winter 2009
 
Three Pilot Projects - Seasonal Workers Labour Market Summative Methodological revisions Target: Winter 2008
Result: Planned to be completed in Spring 2009
 
Premium Reduction Program Labour Market Summative Results analysis in progress Target: Planned to be completed in Winter 2009  
Evaluation of EI Compassionate Care Benefit Labour Market Formative Completed and approved Evaluation approved in June 2007  
MAR 2004-2006 EI Summative Technical Reports. Labour Market Summative Completed and approved Evaluation approved in February 2008  
Evaluation of Canada New Brunswick Labour Market Development Agreement Labour Market Summative Completed Target: Summer 2007
Result: Preliminary findings were available in Summer 2007. Final report completed in 2008.
 
Evaluation of Canada/Nova Scotia Labour Market Development Agreement Labour Market Summative Completed at findings stage Target: Winter 2007
Result: Preliminary results available and final report to be completed in Summer 2008
 
Evaluation of Canada/ Prince Edward Island Labour Market Development Agreement Labour Market Summative Completed at findings stage Target: Winter 2007
Result: Preliminary results available and final report to be completed in Summer 2008
 
Evaluation of Canada/Manitoba Labour Market Development Agreement Labour Market Summative Terms of Reference

Delays related to data sharing and challenges in finding a consultant
Target: Summer 2008
Result: Planned to be completed in Fall 2009
 
Evaluation of Canada/ Alberta Labour Market Development Agreement Labour Market Summative Completed at findings stage

Delays related to data issues
Target: Summer 2007
Result: Preliminary results available and final report to be completed in Spring 2008.
 
Evaluation of Canada/ Saskatchewan Labour Market Development Agreement Labour Market Summative Completed at findings stage

Delays related to data issues
Target: Summer 2007
Result: Preliminary results available and final report planned to be completed in Fall 2008
 
Evaluation of Canada/ Yukon Labour Market Development Agreement Labour Market Summative Results analysis in progress

Delays related to data issues
Target: Spring 2008
Result: Planned to be completed in Fall 2008
 
Evaluation of Canada/ NWT Labour Market Development Agreement Labour Market Summative Fieldwork in progress Target: Fall 2008
Result: Planned to be completed in Fall 2008
 
Evaluation of Aboriginal Human Resources Development Agreements Labour Market Formative Completed at findings stage. Target: Fall 2007
Result: Findings available in Summer 2007 and final report to be completed in Summer 2008
 
Evaluation of Aboriginal Human Resources Development Agreements Labour Market Summative Completion under way: Summer 2008 Target: Spring 2008
Result: Final report to be completed in Summer 2008
 
Evaluation of Aboriginal Skills and Employment Partnerships Labour Market Formative Completed Target: Fall 2007
Result: Final report completed in 2008
 
Evaluation of Aboriginal Skills and Employment Partnerships Labour Market Summative Results analysis in progress Target: Summer 2008.
Result: Preliminary findings and final report to be completed in Summer 2008
 
Evaluation of Voisey's Bay Pilot Project Labour Market Formative Completed Target: Summer 2007
Result: Final report completed in 2008
 
Evaluation of Youth Employment Strategy - Phase II Labour Market Summative Completed at findings stage

Delays related to data issues
Target: Winter 2007
Result: Preliminary results available and final report to be completed in Spring 2008
 
Sector Council Program Evaluation - Phase II Workplace Skills Summative Phase II postponed to allow for development of an appropriate methodology Target: Fall 2007
Result: Phase I of the evaluation is in process of being approved
 
Training Centre Infrastructure Fund Pilot Program Workplace Skills Summative Field work being completed.

Delays experienced during planning stage due to re-scoping
Target:Winter 2007
Result: Planned to be completed by Fall 2008
 
Workplace Skills Innovation Initiative Workplace Skills Baseline Data Collection Planning Phase

Finalization of evaluation framework delayed collection of baseline data
Target: Summer 2007
Result: Planned to be completed by Fall 2008
N/A
Evaluation of Canada Student Loans Program Learning Formative Results analysis in progress Target: Summer 2007
Result: Planned to be completed in Spring 2009
 
Phase 1 of the Evaluation of Office of Learning Technologies Learning Summative Completed and approved Target: Summer 2007
Result: Phase 1 of the evaluation completed in Summer 2007
N/A
National Literacy Program Learning Interim Completed and approved Evaluation report approved in October 2007  
Evaluation of Canada Education Savings Grant Learning Formative Results analysis in progress Target: Winter 2007
Result: Planned to be completed in Winter 2009
 
Evaluation of Occupational Health and Safety Labour Formative Data integrity review in process

Data Integrity review to precede evaluation framework for formative
Target: Spring 2008
Result: Planned to be completed in Fall 2009
 
Evaluation of Workplace Equity Labour Strategic Final report in process of being completed

Delays experienced during field work
Target: Summer 2007
Result: Planned to be completed by Fall 2008
 
Evaluation of Fed Workers Compensation Program Labour Formative Cancelled Target: Summer 2007
Result: Cancelled at request of the program due to policy review
N/A
International Trade Labour Program Evaluation Labour Formative Completed

Delays experienced at reporting stage
Target: Summer 2007
Result: Evaluation in process of being approved
 
Evaluation of the Opportunities Fund for Persons with Disabilities - Phase II Social Investment Summative Completed Target: Winter 2007
Result: Final report completed in 2008
 
Evaluation of the Social Development Partnerships Program Social Investment Summative Completed at findings stage with preliminary results available and final report in process of being completed

Delays experienced during field work
Target: Winter 2007
Result: Final report planned to be completed in Summer 2008
 
National Homelessness Initiative Housing and Homelessness Summative Completed Evaluation in process of being approved  
Evaluation of the Manitoba Labour Market Agreements for Persons with Disabilities Social Investment Formative Completed Target: Winter 2007
Result: Final report completed in Summer 2008
 
Evaluation of the Prince Edward Island Labour Market Agreements for Persons with Disabilities Social Investment Summative Project cancelled Target: Winter 2007
Result: N/A
N/A
Evaluation of the Nova Scotia Labour Market Agreements for Persons with Disabilities Social Investment Summative Not started - new project

Delays related to data issues
Target: Winter 2007
Result: To be determined
 
Evaluation of New Horizons for Seniors Social Investment Formative Completed at findings stage with preliminary results available and final report in process of being completed Target: Spring 2008
Result: Planned to be completed by Summer 2008
 
Evaluation of Guaranteed Income Supplement Take up Social Investment Special Initiative Fieldwork in progress Target: Summer 2008
Result: Planned to be completed in Winter 2009
 
Evaluation of Canada Pension Plan - Disability Social Investment Summative Results analysis in progress Target: Summer 2008
Result: Planned to be completed in Fall 2009
 
Evaluation of Old Age Security Social Investment Summative Methodology development phase Target: Fall 2008
Result: Planned to be completed in Summer 2010
 
Evaluation of Understanding the Early Years Initiative Social Investment Formative Completed with evaluation findings available and report in process of being finalized Target: Spring 2008
Result: Final report to be completed in Fall 2008
 
Universal Child Care Benefits Children and Families Evaluation Framework Reference for evaluation framework in process Target: Summer 2007
Result: Planned to be completed in Summer 2009
N/A
Enabling Fund Official Language Labour Market Formative Completed Target: Winter 2007
Result: Preliminary findings available in Fall 2007. Report completed in Winter 2008
 
Evaluation of Voluntary Sector Initiatives - Phase I Social Investment Summative Preliminary results available and final report in process of being completed Target: Summer 2007
Result: To be completed in Spring 2008
 
Evaluation of Voluntary Sector Initiatives - Phase II Social Investment Summative Preliminary results available and final report in process of being completed Target: Winter 2007
Result: To be completed Spring 2008
 
Evaluation of the Voluntary Sector Strategy Social Investment Summative Terms of Reference in progress Target: Summer 2007
Result: Planned to be completed in Winter 2009
 
Community Inclusion Initiative Social Investment Formative Completed and Approved Report Approved in October 2007  
Third Session of the Word Urban Forum Other Initiatives Evaluation Completed and Approved Report Approved in June 2007  
7. Electronic Link to Evaluation Plan: N/A
1 When published, reports are available at the following website:
http://www.hrsdc.gc.ca/en/publications_resources/evaluation/index.shtml

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Immigration and Refugee Board of Canada


Name of Internal Audit Audit Type Status Completion Date Electronic Link to Report
Audit of IRB Regional Offices Compliance Completed May 30, 2008 TBD (to be published in October 2008)
Electronic Link to Internal Audit Plan: Not available

Table 3.6 b) Evaluations (current reporting period)


Name of Evaluation Program Activity Evaluation Type Status Completion Date Electronic Link to Report
Evaluation of case scheduling processes Refugee protection
Immigration Appeal
Detention reviews and admissibility hearings
Implementation of formative evaluation Draft of final report June 30, 2008 TBD
(to be published in October 2008)
Electronic Link to Internal Audit Plan: Not available

IRB links to Internal Audits and Evaluations: http://www.irb-cisr.gc.ca/en/about/transparency/evaluations/index_e.htm

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Indian and Northern Affairs Canada and Canadian Polar Commission

Internal Audits


Name of Internal Audit Audit Type Status Completion Date Electronic Link to Report
Specific Claims — Settlements Management Control Framework Completed June 2007 Preliminary survey only — Report not published
Audit of Income Assistance Transfer Payment Completed September 2007 Preliminary survey only — Report not published
INAC Grants and Contributions Management Control Framework Framework for Audit Performance Completed October 2007 Work instrument copies available upon request
Indian Registration Process/Certificate of Indian Status and Indian Registry System Threat risk Assessment Completed June 2008 Posting pending
Land and Estate Management Management Control Framework Not undertaken due to change in priorities N/A N/A
System Under Development — First Nations and Inuit Transfer Payments Project Management and System Control Framework Completed June 2007 System under Development Audit of the First Nations and Inuit Transfer Payment System Project
Audit of the Implementation of the Yukon Northern Affairs Program Devolution Transfer Agreement Management Control Framework Completed September 2007 Planning concluded with recommendation to not conduct audit work due to low risk
Staffing Transaction (NWT) Human Resources Management Practices Completed December 2007 Audit of Staffing Transactions
Audit of the Office of the Federal Interlocutor Programs and Operations Management Control Framework/
Transfer Payment Control Framework
Completed February 2008 Posting pending
Entity Level Controls Preliminary Survey for Audit of External Reporting Management Controls Completed April 2008 Preliminary survey only — Report not published
Audit of Healthy Northern Communities — Knowledge and Adaptation Transfer Payment Completed December 2007 Planning concluded with recommendation to not conduct audit work due to low risk
Preliminary Survey of Specific Claims Management Control Framework Completed June 2007 Preliminary survey only — Report not published
Preliminary Survey: Information Management/ Information Technology (IM/IT) Policy, Planning and Management IM/IT Management Control Framework Completed December 2007 Preliminary survey only — Report not published
Preliminary Survey: IM/IT Applications Development and Support IM/IT Applications in progress or under development Completed December 2007 Preliminary survey only — Report not published
Special Study: Complaints and Allegations Management Controls Completed December 2007 Not posted — Special Study
Regional Headquarters Management Practices Reviews Management Practices Completed Various Dates Atlantic, Alberta, Manitoba, Yukon
Review Reports
Audit of Capital Facilities and Maintenance Transfer Payments/ Management Control Framework Reporting Phase November 2008 N/A
Follow-up Audit of Child and Family Services Follow-up Audit Cancelled due to OAG Audit Report N/A N/A
Audit of Post Secondary Education Transfer Payments/ Management Control Framework Planning phase completed November 2008 N/A
Follow-up Audit on the Industry Canada 2006 Audit of Aboriginal Business Canada Follow-up Audit Planning Phase Completed November 2008 N/A
Audit of Capacity Development Transfer Payments/ Management Control Framework Planning Phase Completed February 2009 N/A
Horizontal Departmental Audit of Grants and Contributions — Quality Assurance and Intervention Policy Management Control Framework Deferred to 2008–09 February 2009 N/A
Audit of Contingent Liabilities, Special Purpose Accounts (Trusts) and Payroll Management Control Deferred to 2008–09 in the form of specific audits N/A N/A
Horizontal Departmental Audit of Human Resource Planning and Resourcing Human Resource Management Practices Planning Phase Completed Audit Focusing on Staffing Practices November 2008 N/A

Evaluations


Name of Evaluation Program Activity Evaluation Type Status Completion Date Electronic Link to Report
Income Assistance The People: Social Development Summative Completed December 2007 Evaluation of the Income Assistance Program
National Child Benefit Reinvestment The People: Social Development Summative Completed December 2007 Evaluation of the National Child Benefit Reinvestments Initiative
First Nations Water Management The Land: First Nations Governance over Land, Resources and the Environment Summative Completed December 2007 Summative Evaluation of the First Nations Water Management Strategy
Office of the Federal Interlocutor Office of the Federal Interlocutor Summative Completed February 2008 Evaluation of the Federal Interlocutor's Contribution Program and Powley: Management of Métis Aboriginal Rights
Special Education The People: Education Formative Completed December 2007 Formative Evaluation of the Department of Indian and Northern Affairs Canada — Special Education Program
First Nations Child and Family Services The People: Social Development Summative Completed March 2007 Evaluation of the First Nations Child and Family Services Program
Gender-Based Policy Analysis The Government: Governance and Institutions of Government Impact Completed June 2008 N/A
Strategic Investment in Northern Economic Development The Economy: Northern Economy Formative Underway Fall 2008 N/A
Comprehensive Land Claims The Land: Clarity of Title to Land and Resources Summative Underway Fall 2008 N/A
Contaminated Sites The Land: First Nations Governance over Land, Resources and the Environment Summative Underway Fall 2008 N/A
Electronic Link to Evaluation Plan: Evaluation Plan 2007–2008 to 2011–2012

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Indian Residential Schools Resolution Canada

Table 7: Internal Audits and Evaluations

Internal Audits (current reporting period)


Name of Internal Audit Audit Type Status Completion Date Electronic Link to Report
Acquisition Cards, Conferences, Taxis & Memberships Audit Compliance Draft report TBD N/A
Advance Payment Audit Assurance Pending Approval TBD N/A

Evaluations (current reporting period)


Name of Evaluation Program Activity Evaluation Type Status Completion Date Electronic Link to Report
Benchmark Survey on Public Awareness of Indian Residential School Legacy Truth and Reconciliation Commission Program Underway July 31, 2008 N/A

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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 (prior to September 2007 these were unified as the Departmental Audit and 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 (2007–08)


1. Name of Internal Audit 2. Audit Type 3. Status 4. Completion Date 5. Electronic Link to Report
Audit of Selected Business Processes within Measurement Canada Management Control Framework Audit Complete April 23, 2007 www.ic.gc.ca/epic/site/ae-ve.nsf/en/00694e.html
Audit of Broadband Rural and Northern Development Pilot Program Management Control Framework Audit Complete December 12, 2007 www.ic.gc.ca/epic/site/ae-ve.nsf/en/00352e.html
Audit of Federal Economic Development Initiative in Northern Ontario (FedNor) Management Control Framework Audit Complete December 12, 2007 www.ic.gc.ca/epic/site/ae-ve.nsf/en/00357e.html
Canada Strategic Infrastructure Fund Management Control Framework Audit Complete December 12, 2007 www.ic.gc.ca/epic/site/ae-ve.nsf/en/00353e.html
Follow-up Audit of Communications and Marketing Branch Contracting Activities Follow-up Audit Complete December 12, 2007 www.ic.gc.ca/epic/site/ae-ve.nsf/en/00354e.html
Follow-up Audit Report Pay and Benefits Follow-up Audit Complete December 12, 2007 www.ic.gc.ca/epic/site/ae-ve.nsf/en/00356e.html
Follow-up Audit of the 2004 Audit of Comptrollership Communications Research Centre Follow-up Audit Complete December 12, 2007 www.ic.gc.ca/epic/site/ae-ve.nsf/en/00355e.html
Canada-Ontario Infrastructure Program (COIP) / Canada-Ontario Municipal Rural Infrastructure Fund (COMRIF) Management Control Framework Audit Complete March 14, 2008 www.ic.gc.ca/epic/site/ae-ve.nsf/en/01934e.html
Acquisition Cards Audit Management Control Framework Audit Complete March 14, 2008 www.ic.gc.ca/epic/site/ae-ve.nsf/en/01935e.html
Audit of Contracting Management Control Framework Audit Complete March 14, 2008 www.ic.gc.ca/epic/site/ae-ve.nsf/en/01936e.html

 

Evaluations (2007–08)


1. Name of Evaluation 2. Program Activity 3. Evaluation Type 4. Status 5. Completion Date 6. Electronic Link to Report
National Evaluation of the Softwood Industry
and Community Economic Adjustment Initiative (SICEAI)
Industry Sector – Economic Development Mid-term Complete April 23, 2007 www.ic.gc.ca/epic/site/ae-ve.nsf/en/01442e.html
Formative Evaluation of the Canadian Apparel and Textile Industries Program (CATIP) – Textile Production Efficiency Component (TPEC/CANtex) Industry Sector – Economic Development Formative Complete April 23, 2007 www.ic.gc.ca/epic/site/ae-ve.nsf/en/01426e.html
Formative Evaluation of the Broadband for Rural and Northern Development Pilot Spectrum Information Technologies and Telecommunications (SITT) Sector – Economic Development Formative Complete April 23, 2007 www.ic.gc.ca/epic/site/ae-ve.nsf/en/01425e.html
Final Evaluation of the Structured Financing Facility Program Industry Sector – Economic Development Summative Complete January 21, 2008 www.ic.gc.ca/epic/site/ae-ve.nsf/en/01929e.html
Final Evaluation of the Student Connections Program Small Business and Marketplace Services and Regional Operations Sector – Economic Development Summative Complete January 21, 2008 www.ic.gc.ca/epic/site/ae-ve.nsf/en/01930e.html

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Library and Archives Canada

Table 14: Internal Audits (current reporting period)


Name of Internal Audit Audit Type Status Completion Date Electronic Link to Report
Privacy Compliance Approval of Management Response Sept 2009  

Evaluations (current reporting period)


Name of Evaluation Program Activity Evaluation Type Status Completion Date Electronic Link to Report
National Archival Development Program Making the documentary heritage known and accessible for use Formative Evaluation Completed September 2008 www.collectionscanada.gc.ca/about-us/014/012014-208-e.html
Electronic Link to Evaluation Plan: www.collectionscanada.gc.ca/about-us/014/012014-207-e.html

For supplementary information on the department's Internal Audits and Evaluations, please visit: www.collectionscanada.gc.ca/about-us/014/index-e.html

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National Defence

Table 9: Internal Audits and Evaluations

Internal Audits (current reporting period)


Name of Internal Audit

Audit Type

Status
(see note 1)

Completion Date
(see note 2)

Airbus Maintenance Contract Asset Management Complete April 2007
CP140 Aurora Maintenance Contracts Asset Management Complete April 2007
Military Moves People Management Complete April 2007
Information Technology Security: Certification and Accreditation Security Complete April 2007
Risk Analysis of Good Contracts Asset Management Complete April 2007
Risk Analysis of Operations and Maintenance Contracts Asset Management Complete April 2007
Risk Analysis of Capital Projects Capital Aquisition Complete April 2007
CF188 Hornet System Engineering Support Contract Asset Management Complete September 2007
Inventory Pricing Financial Management Complete September 2007
CP140 Aurora Data Management System Contract Asset Management Complete September 2007
Canadian Search and Rescue Helicopter Acquisition (Cormorant) Capital Acquisition Complete September 2007
202 Workshop Depot as a Most Efficient Organization Corporate Governance Complete September 2007
Foreign Military Training (FMT) Financial Management Complete December 2007
CF Reserve Pay People Management Complete February 2008
Accounting for Capital Assets - Repairable Items Financial Management Complete February 2008
DEW Line Clean-Up Project -Financial, Contract and Project Management Financial Management Complete February 2008
CC130 Hercules Repair and Overhaul Quality Assurance Review Asset Management Complete February 2008
Local Construction Engineering Financial Management Complete February 2008
Chemical, Biological, Radiological, Nuclear (CBRN) Defence Omnibus Project Capital Acquisition Active Expected
1st Quarter 2008/09
Land Command Systems Support (LCSS) Contract Asset Management Active Expected
1st Quarter 2008/09
Year-End Expenditures Financial Management Active Expected
1st Quarter 2008/09
Contractor-Held Inventory Asset Management Active Expected
1st Quarter 2008/09
Inventory Management: Stocktaking, Adjustments and Write-Offs Asset Management Active Expected
3rd Quarter 2008/09
Human Resources Service Delivery People Management Active Expected
3rd Quarter 2008/09
Navy Weapon System Support Contract Asset Management Active Expected
3rd Quarter 2008/09
M113 Armoured Personnel Carrier (APC) Intellectual Property Asset Management Active Expected
3rd Quarter 2008/09
CF Housing Agency Agency Operations Active Expected
3rd Quarter 2008/09
Contaminated Sites Liability Environmental Management Active Expected
3rd Quarter 2008/09
Contract Management Audit
Follow-Up:  LAV Life Cycle Support Contracts, Combat System Engineer Support Contract
Asset Management Active Expected
3rd Quarter 2008/09
Revenue Management Financial Management Active Expected
3rd Quarter 2008/09
Security Incident Management Security Active Expected
3rd Quarter 2008/09
Capital Asset Valuation Financial Management Active Expected
4th Quarter 2008/09
Fixed-Wing Search and Rescue Acquisition Capital Acquistion Active Expected
4th Quarter 2008/09

Source:  Chief Review Services Group

Notes:

  1. This table lists the audits completed in 2007/08, as well as the audits active in 2007/08 that have carried forward into 2008/09.
  2. The completion date is the date the audit was approved, or is expected to be approved, by the DND/CF Audit and Evaluation Committee (AEC).   *Certain audit work (e.g audits of Foreign Military Training) do not require AEC approval.
  3. 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

Evaluations (current reporting period)


Name of Evaluation

Program Activity

Evaluation Type

Status
(see note 1)

Completion Date
(see note 2)

Ammunition Acquisition Program Generate and sustain integrated Forces Summative Complete April 2007
Maintenance and Currency of CF Doctrine Generate and sustain integrated Forces Formative Complete April 2007
National Search and Rescue Program and Governance of the Secretariat Conduct Operations; Contribute to Canada and the international community Summative Complete September 2007
CF/DND Participation in the Kandahar Provincial Reconstruction Team Conduct Operations; Contribute to Canada and the international community Formative Complete February 2007
Munitions Supply Program Generate and sustain integrated Forces Summative Complete February 2007
Construction Acquisition Generate and sustain integrated Forces Evaluation Assessment Complete April 2007
Airworthiness Risk Assessment Generate and sustain integrated Forces; Conduct operations Other Complete April 2008
CRTI
(contribution)
Contribute to Canada and the international community Summative Active Expected
1st Quarter 2008/09
National Office of the Cadet League
(Contribution program)
Contribute to Canada and the international community Summative Active Expected
2nd Quarter 2008/09
Military Training Assistance Program (MTAP)
(Contribution)
Contribute to Canada and the international community Formative Active Expected
1st Quarter 2008/09
Care of the Injured and their Families Generate and sustain integrated Forces Summative Active Expected
3rd Quarter 2008/09
CF Recruiting, Absorption and Retention Generate and sustain integrated Forces Summative Active Expected
3rd Quarter 2008/09
Defence Ethics Program Contribute to Canada and the international community Summative Active Expected
3rd Quarter 2008/09
Alternate Dispute Resolution Generate and sustain integrated forces Summative Active Expected
3rd Quarter 2008/09

Source:  Chief Review Services Group

Notes:

  1. This table lists the evaluations completed in 2007/08, as well as the evaluations active in 2007/08 that have carried forward into 2008/09.
  2. The completion date is the date the evaluation was approved, or is expected to be approved, by the DND/CF Audit and Evaluation Committee (AEC).
  3. 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
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National Research Council Canada


Table 3-10A:  Internal Audits for 2007-08

1. Name of Internal Audit

2. Audit Type

3. Status

4. Completion Date

5. Electronic Link to Report

Management of Information Technology (IT) Security

Management Control Framework

Completed and Approved by NRC President upon recommendation of the Departmental Audit Committee

June 2007

http://www.nrc-cnrc.gc.ca/aboutUs/audit/audit_verification_it_ti_e.html

NRC-Industrial Research Assistance Program (IRAP)

Management Control Framework – Transfer Payment

Completed and Approved by NRC President upon recommendation of Audit Committee

September 2007

http://www.nrc-cnrc.gc.ca/aboutUs/audit/irap/irap_e.html

Limited Assurance Annual Compliance Audit 2007-08 Hospitality and Travel

Compliance

Completed and Approved by NRC President upon recommendation of the Departmental Audit Committee

October 2007

Publication pending

Limited Assurance Annual Compliance Audit 2007-08 Contracts Less Than $25,000 and Acquisition Cards

Compliance

Completed and Approved by NRC President upon recommendation of the Departmental Audit Committee

October 2007

Publication pending

Limited Assurance Annual Compliance Audit 2007-08 Hospitality and Travel

Compliance

Ongoing

October 2008

N/A

Limited Assurance Annual Compliance Audit 2006-07 Contracts Less Than $25,000 and Acquisition Cards

Compliance

Ongoing

October 2008

N/A

Follow-up Audit to 2002 Construction Contracts Audit

Management Control Framework and Follow-up

Ongoing

October 2008

N/A

Values and Ethics Audit Survey

Audit Survey / Review

Planning

March 2009

N/A

Facilities Management and Related Equipment Audit

Management Control Framework

Planning

March 2009

N/A


 


Table 3-10B:  Evaluations for 2007-08

1. Name of Evaluation

2. Program Activity

3. Evaluation Type

4. Status

5. Completion Date

6. Electronic Link to Report

Evaluation of the NRC Round III Cluster Initiatives - Institute for Nutrisciences and Health

Research and Development

implementation

completed

October 2007

http://www.nrc-cnrc.gc.ca/aboutUs/evaluation_e.html

Evaluation of the NRC Round III Cluster Initiatives - Centre for Sustainable Infrastructure Research

Research and Development

implementation

completed

October 2007

http://www.nrc-cnrc.gc.ca/aboutUs/evaluation_e.html

Impact Evaluation of the NRC Industrial Research Assistance Program (NRC-IRAP)

Technology and Industry Support

impact

completed

December 2007

http://www.nrc-cnrc.gc.ca/aboutUs/evaluation_e.html

Horizontal Evaluation of the NRC Genomics R&D Initiative

Research and Development

implementation

completed

December 2006

http://www.nrc-cnrc.gc.ca/aboutUs/evaluation_e.html

Evaluation of the Interactive Language Technologies (ILT) Group - NRC Institute for Information Technology (NRC-IIT)

Research and Development

implementation

completed

January 2008

http://www.nrc-cnrc.gc.ca/aboutUs/evaluation_e.html

Evaluation of NRC Grant Program to Enhance Canadian Science and Technology Capacity

Research and Development

implementation

completed

December 2007

http://www.nrc-cnrc.gc.ca/aboutUs/evaluation_e.html

Evaluation of NRC-INMS

Research and Development

impact

in-progress

November 2008

 

Evaluation of the Fuel Cell and Hydrogen Program

Research and Development

implementation

in-progress

September 2008

 

7. Electronic Link to Evaluation Plan: N/A


Internal Evaluations – Update on Recommendations from Previous Evaluations


2002-03 Evaluation of the Institute for Chemical Process and Environmental Technology (NRC-ICPET)

Recommendation

Management Response

Progress Made in 2007-08

In its current strategic planning exercise, NRC-ICPET should attempt to develop a clearer vision for the Institute’s research program, one that has a narrower and more manageable focus than the current program. 

Through its strategic planning, the Institute will create a clear vision in conjunction with goals and strategies tied to a performance framework.

This issue has been addressed through the preparation of a business plan that clarifies alignment between NRC-ICPET programs and NRC’s strategic elements and establishes a performance management framework (PMF).  The plan will be adjusted on an annual basis and environmental factors will be taken into account.

NRC-ICPET should seek ways to increase the degree of integration of the research activities within the Institute. 

Integration will be accomplished in part as research activities are developed around selected research themes identified in the strategic plan.

Projects are developed within the strategies of five Programs, which form the framework of the PMF.  Projects will be reduced to 11 in 2008-09 and 9 in 2009-10.

NRC-ICPET should seek ways to increase interactions and build stronger ties with industry. 

Industry awareness of NRC-ICPET will be increased through several mechanisms.

In building its Bioproducts Program, staff participated in workshops and roadmapping activities involving industry.  It is expected that institute active participation in the program will include collaborative efforts with industrial partners.

Institute will lead an effort of developing NRC’s Chemical Sector Strategy and will actively participate in implementation of the Automotive key sector strategy.  Both initiatives will increase institute exposure to industrial partnerships.

New BDO position has been established to enhance our industrial outreach. 

NRC-ICPET should increase its interactions and collaborations with universities.

NRC-ICPET will continue to increase its linkages with universities, as identified in last year’s Planning Outlook.

ICPET continues to build strong interactions with the university community.

The Institute continued to participate in NSERC strategic networks related to fuel cells and signed a related Fuel Cell Research Centre MOU involving Queens University and RMC.  Collaborations are also in place with McGill, University of Ottawa and Laval University.

Institute’s researchers were successful in recent NRC-NSERC-BDC nanotechnology competitions being part of two of the five winning proposals (as a lead in one of them).  These projects are multi-institute, multi-university endeavours expanding our collaborative exposure to academia.

Institute is part of the SOFC (solid oxide fuel cells) NSERC strategic network and part of the applications of two others: hydrogen and PEM fuel cells.

Institute’s number of adjunct professorships has increased from 2 in 2003 to 7 currently.

NRC-ICPET should place emphasis on ensuring that it maintains an appropriately balanced research portfolio between long-term strategic research, near-term collaborative research and applied research

The Institute’s intent in its planning to focus on specific themes, with applications arising from the themes, will provide a mechanism for effectively managing the research portfolio.

The Project review and selection process is ongoing within the context of ICPET’s Business Plan.  An internal Resource Committee composed primarily of the institute’s Competency leaders guides investments in staff and facilities.

NRC-ICPET should seek ways to increase its visibility and raise its profile, both outside of and within NRC. 

As described in the response to Recommendation 1(a), improving the Institute’s focus will facilitate its efforts to increase its profile and recognition.

The Institute provides leadership in OGD programs (PERD, ecoETI), industry consortia (CONRAD, OCETA) and NRC programs (bioproducts, fuel cells, chemicals and automotive key industrial sector).

In considering appropriate mechanisms for transferring and commercializing its technology, the Institute should try to achieve a better balance between traditional licensing and the formation of spin-off or spin-in enterprises.

In the strategic planning done thus far, NRC-ICPET has identified "building commercialization capacity" as a potential strategic theme to be pursued.

No change from 2006-07 report

The Sustainable Technology Office (STO) should concentrate in the future on developing its capabilities in sustainability analysis.  In addition, a review of the STO’s wider functions should be undertaken.

Sustainable technologies and systems are expected to be central to the Institute’s future and the development of tools to assess sustainability aspects of technologies will be factored into NRC-ICPET's strategic planning process.  A wider STO role, such as facilitation, support and promotion of sustainable technologies beyond NRC-ICPET will require a clear NRC mandate and resource framework. 

No change from 2006-07 report


 


2003-04 Report of the Peer Review Committee on the Tri-University Meson Facility (TRIUMF)

Recommendation - The Peer Review Committee:

Progress Made in 2005-06

Progress Made in 2007-08

Taking note of the important role of joint appointments of scientists by TRIUMF and universities, encourages the management to further involve Canadian universities with its strategy and activities

TRIUMF continues to maintain its strong involvement with Canadian universities.  During the fiscal year 2005-06, TRIUMF entered into a joint appointment with the University of Guelph and admitted St Mary’s University as an Associate Member of the TRIUMF Joint Venture.

During the fiscal year ended March 31, 2008, the University of Manitoba’s application for membership was accepted.  Additional enquiries concerning membership were received from McGill University, Laval University and York University.  There is serious interest in joining TRIUMF in the university community and TRIUMF is defining the requirements and processes to join the Joint Venture.

Endorses the clear strategic priorities put forward in the Plan, which aim at:

  • taking decisive steps to ensure that ISAC-II will be the world leader in isotope-separated re-accelerated radioactive ion beams with powerful, well optimized instrumentation and catering to a broad international users community, and
  • participating successfully in ATLAS physics at CERN

The proven success of TRIUMF’s ISAC facilities and its experimental program has clearly identified TRIUMF as a world-leader in radioactive ion beam (RIB) physics.  With the recent inaugural operation of the ISAC-II super-conducting linac, TRIUMF is without question a unique facility in the world for this science and will remain a unique facility for the foreseeable future.  TRIUMF currently has more internationally peer-reviewed requests for experimental beam time at the ISAC facility then it can possibly fulfill.  In 2005, TRIUMF received a minimum of 19 requests (TRIUMF can only accommodate 8-10 experiments per year).

TRIUMF has actively pursued funding for the ATLAS Tier-1 Data Centre, the next step in providing infrastructure for Canadian scientists wishing to participate in the ATLAS physics at CERN.  As TRIUMF’s current Five-Year Plan did not provide this funding, TRIUMF is looking outside the NRC Contribution for funding to build this unique computer/data transfer facility.  On behalf of TRIUMF, Simon Fraser University has made an application to the Canada Foundation for Innovation (CFI) for partial funding of the Data Hub under the Exceptional Opportunities Fund.  In March 2006, CFI made a final decision to award $8.178 million for the Data Hub.  TRIUMF has approached the Province of British Columbia for the remaining funds.

TRIUMF is currently the unique facility in the world for radioactive ion beam (RIB) science but continues to be severely handicapped by having only one beamline to the ISAC facilities.  This single beamline must serve the experimental community and the beam development group.  TRIUMF will be hard pressed to maintain its premier position in the future as the new and extremely well funded RIB facilities in Europe and Japan come on line. 

The Task Force pursuing exotic beams from actinide targets has made good progress.

TRIUMF is successfully continuing the development of new beams with a resonant laser ion source and FEBIAD ion source.  Beams developed in the current fiscal year included but were not limited to Silver 112 and Beryllium 11.  Installation of the Charge State Booster is complete and TRIUMF has installed the Super Nanogam Ion Source.

Although initially proposed for funding as part of the 2005-10 NRC Contribution Agreement, TRIUMF was encouraged to seek support for the ATLAS Tier-1 Data Centre from CFI.  The Canadian university community, led by Simon Fraser University and TRIUMF, were successful in obtaining CFI funding for the Centre along with matching funds from the Province of British Columbia.  The Tier-1 Centre is now operational; recent performance comparisons of this Canadian centre to the 10 other analogues around the world showed the TRIUMF centre to be one of the best.  CFI funding for this centre continues to 2010 when new funding must be found to maintain and operate the facility so the Canadian physics community can take advantage of Canada’s investment in the LHC at CERN.

Supports the procedure that the management intends to put forward so that it receives regular advice on the scientific and technical developments of the laboratory from ACOT, from the Board of Management and from a new body derived from the Working Group which prepared the Five-Year Plan

In 2005-06, TRIUMF management met two times in with the Advisory Committee on TRIUMF (ACOT), twice with the Agency Committee on TRIUMF (ACT) and five times with the Experiment Evaluation Committees (EECs).  These three committees all have strong international membership.  Meetings with user groups and with the TRIUMF Board of Management three times a year ensure that the TRIUMF Director receives the best advice and scientific input into the developments at the laboratory.  Three committees were established to facilitate planning and coordination of ISAC activities: the ISAC Science Forum, the ISAC Beam Strategy Group and the ISAC Operations Review Panel.

There was a special EEC late in the fiscal year to evaluate TRIUMF’s scientific plans for the 2010 5-Year Plan.

TRIUMF is developing ambitious and visionary plans for the future, beginning in 2010, for both the laboratory and for Canada.  The TRIUMF Board of Management is now meeting four times a year to provide increased input and advice to the Director and senior staff on achieving TRIUMF’s goals.

During the year, the Operating Committee (OPCOM) was disbanded at the direction of the Board in favour of a new Policy and Planning Advisory Committee (PPAC).  PPAC advises the Director on scientific policy and facilitates two-way communications with the research communities at the member universities.

TRIUMF maintains several committees that facilitate planning and coordination of the laboratory activities such as the ISAC Science Forum and Beam Strategies Group.  The Quality Assurance Committee (QA) is working to ensure TRIUMF’s QA policies and procedures meet or exceed the requirements of the Canadian Nuclear Safety Commission.  In addition, the Director created a Senior Management committee that meets weekly to discuss the activities of the laboratory.  This committee consists of the Director, Division Heads and senior staff from each of the operating and administrative divisions.

Notes that user liaison and communications could be improved and recommends that the laboratory address this appropriately

A bi-annual newsletter is distributed worldwide to all potential users since October 2002.  An ISAC Scientific Forum composed of experimenters, spokespersons of approved experiments and some ISAC operation personnel meets every second week to review progress and keep the user community in tune with laboratory developments.  Minutes of this meeting are available on a public website and distributed to 86 experimental spokespersons.  An ISAC Experimental Facilities Forum, which involves the facilities coordinators, some local experimenters and technical support personnel, meets on alternate weeks to discuss plans with the users.  An ISAC Science Seminar program was initiated in June 2003. 

Since 2003-04, TRIUMF has had an ISAC Beam Development Strategy Group that includes representation from the Users Group.

During the fiscal year 2007-08, TRIUMF began the process of systematically addressing its Outreach and Communications needs, both internally and externally.  A Communications and Outreach Coordinator was hired to provide strategic guidance to these efforts and to augment the existing Outreach and Communications program staff.  A strategy for optimizing the impact of TRIUMF’s periodic summary publications has been developed and is being implemented.

Several major projects were undertaken during the year to communicate TRIUMF’s accomplishments more broadly and to attract students to careers in science and technology.  The TRIUMF Outreach and Communications Committee meet twice per month to coordinate efforts across all divisions; it includes liaison members from the TRIUMF Users Group.  The Outreach program, which focuses on schools, students and the public, organized public tours for more than 1,000 visitors this year.  With support from NSERC and the Vancouver Foundation, a combined live-action and computer-animation educational movie teaching high-school physics using the TRIUMF cyclotron was created.  The DVD was publicly released in April 2008, is being distributed to every high school in Canada and will be a main feature at a meeting of physics teachers from all across North America later this year.  Targeted communications efforts have led to an approximate doubling of the media coverage of TRIUMF this year.  Successful interviews with several major news agencies have resulted in establishing the laboratory as a source for timely and relevant technical commentary. 


 


2004-05 Peer Review of the NRC Steacie Institute for Molecular Sciences (NRC-SIMS)

Recommendation

Management Response

Progress Made in 2007-08

The Institute work at reducing fragmentation within NRC-SIMS by developing a process where multi- or inter-disciplinary research projects are identified and stronger teams of researchers with a common focus work on important long-range scientific problems

Agreed.  NRC-SIMS is fully committed to develop a process that will better enable the identification of multi/interdisciplinary projects around which stronger teams of researchers can be built and resources can be focused to achieve important long-range scientific and technological impacts.  This is central to our current planning process that will be completed by June 2005.

SIMS’s 3-year business plan clearly identifies priority areas for multi-disciplinary research.  SIMS is currently involved in a number of these projects including leading a GHI-4 Biochip project, a CRTI project on ballistic protection, NRC-nano project on nanoaerosols and an NRC-NSERC-BDC project on photovoltaics.  SIMS also is participating in a multi-institute NRC-NSC Taiwan project on biosensors and an NRC-Consejo Superior de Investigaciones Científicas (Spain) project on nanocomposites.

The Institute set up appropriate project structures and organizations so that multi- or inter-disciplinary research projects can take place.

Agreed.  NRC-SIMS recognizes that implementation of interdisciplinary; cross-Institute projects will require the introduction of new organizational structures.  The management team of the Institute was restructured as a first step and various models that allow world-class competencies to be maintained while supporting a culture of large-scale interdisciplinary research projects are being explored.  It is important that these new processes allow projects to be initiated and terminated based on clear, well-understood criteria.

Under the new SIMS business plan, research has been focused on four program areas supporting the NRC strategic plan.  The programs will build multi-disciplinary teams and collaborations to achieve long-term goals.  The past year saw the termination of research activities in high-resolution spectroscopy, dielectric modification and diversity oriented synthesis.

NRC-SIMS work to better coordinate its technology transfer activities with the aim of being able to articulate how its inventions and creations are impacting existing or future commercial technologies

Agreed.  NRC-SIMS recognizes that a shift of Institute culture is needed towards one in which researchers recognize and articulate both the scientific importance and the potential (or actual) impact of their work.  NRC-SIMS will choose problems of national importance and establish the appropriate balance of fundamental science that must be understood and applied science that delivers a more easily measured impact.  NRC-SIMS must build a communicative environment, in which research findings can be discussed, widely understood and possibly transferred to other hands for exploitation in innovative ways.  In addition, the NRC-SIMS business office will develop a strategic business plan in 2004-05 that will incorporate best practices in IP management, strategic use of the Sussex Industry Partnership Facility and more effectively engage NRC-IRAP.

This process continued in 2007-08.  A more critical review of patent disclosures is now implemented with assistance from the CBS.

The Institute consider developing a process for funding allocations that is more strategic with some appropriately determined level of internal funding set aside for competitive projects within NRC-SIMS with an emphasis on external matching funds.

Agreed.  NRC-SIMS is committed to meet the challenge of acquiring more external funding and introducing a competitive element for internal resource allocation, while ensuring that funds are channelled strategically.  Institute level staff will be proactive in identifying and communicating external funding opportunities and deadlines to staff and providing administrative/logistical support so the researchers are not unnecessarily burdened with the logistics of grant writing.  There is a need for management to accommodate the time-scales of maintaining Institute core competencies at the cutting edge, responding to technology opportunities in partnership with emerging industries, or undertaking discovery-oriented programs whose impact horizon may be ill defined at the outset.  To accomplish this, NRC-SIMS management intends to introduce a strong element of project based resource and performance management in FY2005-06.

A 15% reallocation is implemented annually.  Projects on High-resolution spectroscopy and diversity-oriented synthesis were terminated.

The Institute develop procedures for internal scientific control, which combine strong elements of internal and external competition.

Agreed. With the shift towards project-based management, NRC-SIMS will introduce a range of project control, evaluation and reporting elements. Projects will need to be described and justified in competition for resources.   Evaluation of progress will be made to justify continuation of resources and projects will be managed against deliverables within fixed time frames. The project management process is viewed as a framework to enable the other recommendations of the Peer Review committee to be addressed, namely:   (1) identification of multidisciplinary projects and building of cross-Institute/NRC teams (2) communication of project goals, progress and achievements among staff, laying the groundwork for knowledge transfer and further impacts (3) building a culture of teamwork in securing funding from various sources, both from Institute-level internal allocations and with external partners. NRC-SIMS management recognizes that leading interdisciplinary research can only be carried out by teams that are able to maintain depth in their disciplines. An appropriate balance between discipline-based projects and interdisciplinary projects must be maintained. Excellence will be evaluated by periodic external peer review of groups and projects. NRC-SIMS management will work to convince researchers that well managed research projects are not inconsistent with excellent fundamental research.

One of the criteria for project selection is the ability to leverage external and internal resources.  This year saw a major increase in external funding leveraged from the institutes a-base.  See for instance the activities in cross-council initiatives, CRTI and NRC-NSERC-BDC.


 


2004-05 Evaluation of the NRC's Atlantic Initiatives

Recommendation

Management Response

Progress Made in 2007-08

NRC should seek renewed funding for the Technology Clusters Initiatives in Atlantic Canada.  The Initiatives in Life Sciences, e-Business/Information Technology and Ocean Technologies should continue to evolve to effectively meet the changing needs of the targeted communities.  Based on the ongoing reassessment of the Wireless Systems Initiative, the Institute for Information Technology should continue to adjust both the positioning and value formula (technology focus, resources, etc.) to find the most effective design for NRC's involvement.

Representatives from government, associations, academia and other organizations in the communities are active participants in the nascent clusters and are supportive of the cluster concept.  Currently, cluster activities are perceived to be dominated by associations and government.  The level of involvement by firms in cluster activities varies.  Evidence shows that the low level of engagement of firms is a weakness that will need to be addressed as the cluster communities move forward.

The request seeking funding renewal for the Life Sciences, e-Business/Information Technology and Ocean Technologies Initiatives is being developed.  In moving forward with the Cape Breton initiative, the NRC Institute for Information Technology will reassess the Wireless Systems Initiative and continue to adjust both the positioning and the value formula accordingly.

Completed 

The renewed NRC Initiatives should specifically seek to broaden the participation of industry in cluster activities.  Industry commitment, visible through active involvement, should drive future development of the clusters (e.g., goals, plans and supportive actions).

Participation of industry in cluster activity is vital to cluster progress and it is a necessary progression to seek increased involvement of industry in the clusters.  Industry participation will be sought through several mechanisms such as workshops, technology demonstrations, conferences on emerging technology opportunities, the creation of interest groups in specific areas and training initiatives on platform technologies.

Life Sciences: NRC-IMB hired five research officers and complementary technical staff in response to a community needs survey and a gap analysis as described last FY.  NRC-IMB has also seconded a research scientist from ONC to work on AI projects.

NRC-IMB continues to work with other cluster stakeholders to foster linkages within the sector:

  1. The Nova Scotia Life Science Advisory Council has been formed to guide the development of the Roadmap.
  2. The Nova Scotia Innovation Council’s, led by the Vice-President of ACOA and the NS Deputy Minister of Economic Development, focus has been to improve business development in Nova Scotia for innovative companies.
  3. The LSRI received funding in the February budget.  This is a cluster driven priority and is a joint initiative between the Brain Repair Centre, NRC, ACOA and the Province.

NRC-IMB’s Director General is a member of all three committees.

NRC sponsored local events for the community – an IP seminar, Nutrigenomics Workshops and co-hosted BioPort Atlantic.  NRC-IMB hosted a two-day Biotechnology and Beyond seminar/workshop.  NRC-IMB provided financial support for the registration fees to local partners.  NRC-IMB has worked with other cluster stakeholders (BioNova, InNOVAcorp) to improve the technology transfer and business development capabilities of cluster members.  The introduction of the Synergy Fund with InNOVAcorp - a feasibility study fund for early-stage R&D projects – is an important partnership between NRC and InNOVAcorp and is rated highly by the community.  Cluster companies have access to CTI via an MOU NRC-IMB has with CISTI.

NRC’s AI investment in companies and BioNova’s networking activities has enabled linkages within and outside the cluster.  This includes partnership in the execution of BioPort Atlantic.

NRC-IMB is a member of the Atlantic-wide Incoming Partnering Mission initiative.  Life sciences companies apply to receive funding to host international companies in the region – the intent to raise awareness of our life sciences portfolio and to initiate collaborations.

NRC-IBD (Atlantic) works closely with the life sciences industry association, BioNova, to increase interactions between science and industry.  NRC-IBD is a leader in the development of commercialization in medical devices and diagnostics within the cluster.  NRC-IBD is helping to facilitate spin off companies (e.g., NeuroVox), industry partnerships (e.g., Elekta) and licence agreements (e.g., Varian).  NRC-IBD (Atlantic) is involved in BioPort Atlantic.

NRC-IRAP fully expended allocated cluster funding with 2 firms (total contribution of $0.15M. where the total project costs were $1.11M).  NRC-IRAP was responsible for organizing the Brain Repair Centre Commercialization Committee.  Membership included NRC participants, federal and provincial government representatives, academia, private sector, industry and professional associations.  The Committee is focussed on transferring new knowledge and technologies emerging from the Center to the marketplace.

E-Business and Information Technologies  

Creating and facilitating linkages, through research connections, at the political level and even through innovative use of the IPF, has been a hallmark of the NB cluster initiative.  NRC-IIT has been at the centre of the “network of networks” that has functioned as champions driving the cluster in place of a formal knowledge industry association in NB.  In 2007-08, the latest iteration of a knowledge industry network is the move towards using a social networking tool, MyNexia, a web-based platform focused on matching financial assistance and value added programs in support of the Centre of Excellence in Advanced Learning Technologies.  NRC-IIT will provide its expertise in Semantic Web and Artificial Intelligence and the Province will use the tool in their strategy, linking not just those organizations working in learning technologies, but also energy, health, bio – in essence, providing a virtual meeting place for the knowledge industry.

In addition, NRC-IIT-e-Business leverages strengths within NRC for the benefit of the NB cluster.

  • Formed a Twinning Agreement between two NRC CIs – IT/e-Business in NB and Life Sciences (NRC-IMB) in Halifax, involving cost sharing and research collaboration on cancer research with external partners and a collaborative bioinformatics lab in NB and NS.
  • Research collaboration with NRC-IOT and Trapster Inc. (NB SME).
  • Collaborations with PBI, BRI, IBS on GHI 4 and IIT-based cancer research.
  • Negotiating with Health Canada and Agriculture Canada for partnering on NB-based bioinformatics lab.
  • Developing further NRC relationships through Key Sector and Cross-Council project participation/negotiations.
  • In August 2007, as part of the 5th edition of its Privacy, Security and Trust Conference, the NRC – IIT organized and hosted, in cooperation with the University of New Brunswick, the first annual Atlantic Privacy and Security Summit in Moncton.  The event attracted several of the world’s prominent PST experts.  It was a valuable opportunity for the region to tap into this knowledge base, and see first hand the latest discoveries and emerging challenges, in the areas of privacy, security and trust.

Create and sustain linkages with cluster partners for planning, financing and learning:

  • Cluster Steering Committee partner linkages include: University of Moncton, University of New Brunswick, DND, Aerospace Association of NB, NB Information Technology Association, LearnNB, ACOA, DFAIT, DND and New Brunswick Community College.
  • Member of the Federal Council of New Brunswick, which provides a means to share information and align resources and initiatives in support of cluster activities.
  • Member of the UNB Research Network, which links NRC-IIT to other federal departments and agencies supporting UNB research priorities.
  • Participate in Angel Network events, to help attract funding for SMEs.
  • With NB Innovation Foundation, co-organized and hosted several sessions (at least 4) linking chapters/communities of the Canadian Venture Capital Association
  • Raised awareness of IPF tenants on IP issues and resources; introduced the new CIPO regional coordinator to IPF tenants.
  • Supporter, participant and/or host of cluster events such as the Cybersocial, KIRA Awards, etc.
  • NRC-IIT’s BD Office is a member of the Industry Liaison Office with the four NB universities, the province of New Brunswick and ACOA. 
  • Participated in the ICT Roundtable discussion organized by ACOA as a brainstorming session with sector organizations to provide input in the analysis of current ICT sector Strengths, Weaknesses, Opportunities and Threats.
  • Enterprise Fredericton and the Province consider the presence of the NRC as a compelling component of the investment attraction initiative when luring prospective knowledge industry companies to the region.

NRC-IRAP fully expended allocated cluster funding to 3 firms (total contribution was $0.16M where the total cost of these 3 projects was $1.41M).  The Program also contributed $0.092M to 2 projects with organizations with NRC Cluster funding.  (Total costs for these 2 projects were $0.094M).  NRC-IRAP had a significant role in organizing 4 conferences/workshops with over 400 participants mainly from the private sector, province of NB and other federal government departments.

Ocean Technology: Industry participation in the Cluster grew steadily throughout the year.  Companies in the Cluster now number more than 50, with an increase of 15% over the previous year.  Those companies have spent about $17 million on R&D activities during the reporting period and generated some $259 million in total sales revenue.  Industry participation was evident in the OceansAdvance Strategic Foresight exercise, held in the first half of 2007.  Over 70% of cluster members took part.  Participants concluded that the Cluster could grow even faster, achieving a billion dollars in annual revenues over the next 5-10 years.  The exercise was considered a great success and marked a “sea change” in how the Cluster thinks about itself and how members relate to one another.

Industry will participate in the programs of NRC’s Ocean Technology Enterprise Centre (OTEC).  The program and facility operated at maximum capacity during the year, with a full complement of a dozen companies in the Co-Location and Young Entrepreneurs Programs.  This is seen a vital measure of the Cluster’s health, with industry participation at the level of NRC’s capacity to deliver the service.

Other events throughout the year have been well attended by industry members, including workshops, guest speaker events, networking opportunities and the AGM.  Industry participation on the Board of Directors is at its maximum, with all non ex officio officers belonging to the private sector.  Industry is also well represented on the OceanAdvance sub-committees.

NRC-IRAP fully expended allocated cluster funding with 1 project with a firm for $0.055M (total project cost was $1.059M) and $0.0204M toward 3 projects with organizations where total cost of these projects was $0.25M.  NRC-IRAP had a significant role in organizing 5 conference/workshops/events with over 130 participants from the private, academic and public sectors.

Nutrisciences and Health: NRC-IRAP fully expended allocated cluster funding ($0.053M) with 2 firms where the total costs were $4M and 3 organizations ($0.20M) where total costs of these projects was $0.27M.  NRC-IRAP played a significant role in organizing 1 workshop with over 100 participants.

The links between IPFs and their host Institutes should be adjusted as needed to ensure that strategic objectives are met.  As the IPFs mature, their contribution to the cluster should be monitored.

It is crucial to have strong linkages and relationships between IPFs and host Institutes to ensure strategic objectives are optimally met.  The IPF will play a key role as the clusters mature and commercialization activities increase.  If the coordination function noted in Recommendation 7 below, is implemented, exchange of best practices on IPFs and cluster development will be part of coordination activities.

Life Sciences: The NRC-IMB Industry Partnership Facility continues to play a role in attracting companies to the cluster (Halifax Biomedical, Nortek Scientific, Ocean Leader).  Approximately 85% of the available space was allocated during 2007-08.

IPF clients work with NRC-IMB scientists on research collaborations, fee for service testing, training on and access to, equipment and networking opportunities.  Staff from IPF clients also make extensive use of the on-site CISTI library and the CTI capabilities.

Two cluster companies to date have been awarded project funding via the Synergy! Fund.

E-Business and Information Technologies:

For the FY 2007-08, the number of inquiries for co-location continued to exceed available space in the NRC-IIT Fredericton IPF, which housed nine companies/organizations.  NRC-IIT Fredericton IPF tenant companies have been very successful in raising risk capital in 2007; most notably Virtual Expert Clinics, Atlantic Hydrogen, Radian6, Green Imaging Technologies and Pinpoint Selling, which have raised a combined $15M in 2007. 

A research collaboration that started in 2006 with Toronto-based Pinpoint Selling has generated a successful relationship in 2007 for NRC-IIT who negotiated the resulting intellectual property into a Technology Licence Agreement as well as an Agreement for Research Services.  Pinpoint Selling has taken NRC-IIT Fredericton IPF office space where its two most recent hires, two former NRC-IIT students, will work with a senior NRC-IIT researcher who will provide consulting and integration services to help the successful implementation of the technology into the company’s marketing service line.

Notable recent awards and honours for IPF tenants include Rogers Innovation @ Work Awards, Success Story at Full Sail Summit 2007, nominated for the 2008 National Ernest C Manning Awards, finalist in the 2007 Ernst & Young Entrepreneur of the Year Awards, 2008 KIRA Award for Most Promising Start-up.

Ocean Technology: Activities in the NRC IPF are closely linked to the objectives of the Institute.  Incubating companies are selected based on their potential contribution to the Cluster, while OceansAdvance itself is located in the IPF.  Facility companies benefit from the expertise and facilities available to help commercialize their technology ideas.  Close working relationships have evolved with some tenants, who are commercializing spin-off opportunities from Institute research.  This directly addresses the first objective of the IOT Business Plan, formulated in 2007-08: to develop and transfer ocean technology solutions of importance to Canada.  The location of OceansAdvance in the IPF and all associated activities, workshops, etc., addresses another of the Institute’s strategies: to foster a dynamic Ocean Technology Cluster.

The Initiatives should continue to monitor impacts with regard to AI and adjust programming as required.  To facilitate monitoring of impacts, baseline studies should be undertaken.

The Atlantic Initiatives Management Self-Assessment is a diagnostic tool that has been developed to assist institutes, NRC-IRAP and NRC-CISTI identify areas for improvement to support technology clusters in their communities.  The Self-Assessment addresses Monitoring and Management.  The outcome of the self-assessment process will be an action plan developed by institutes, NRC-IRAP and NRC-CISTI to address areas for improvement and respond to the evaluation recommendations.

As the institutes engage in phase two of cluster development, institutes will ensure that baseline information about the cluster and the Institute is collected providing a basis for future comparison.  Baseline information about the cluster should be collected by cluster members at the community level. 

Life Sciences:

After a review and assessment based on original business plan commitments, it was determined that the most effective role for NRC-IMB was in terms of providing R&D and technology development support.  Other initiatives in the community provide business support.  This was a direct result of other initiatives in the sector.  NRC-IMB continues to be a lead partner in these initiatives.

NRC-IBD (Atlantic) monitors impacts closely.  It has been a driving force in building biomedical imaging capacity.  There has been in excess of $26 million of new investment levered into the region in 5 years.  The investment comes in the form of two new basic science labs embedded in the region’s major hospitals (over 10 000 sq ft), three state-of-the-art MR systems and more than 30 highly qualified personnel.

E-Business and Information Technologies:

FY 2007-08 was a year of significant progress.  NRC-IIT and the province of New Brunswick have formed a joint management committee to drive the IT Cluster and we lead the Cluster key sector steering committees (Learning, Health, Bioproducts) with membership by key Cluster Stakeholders responsible for strategy implementation.

Recently NRC-IIT partnered with the Province for an asset mapping exercise to which we have committed in 2007-08 and will contribute $160K in 2008-09.

Ocean Technology:

Industry Canada NL OT Cluster Baseline studies completed in 2001 and 2006.  See table following this one of NRC-IOT Cluster engagement in 2007)

An NRC Action Plan for each Initiative should be developed to provide a framework for NRC activities.  These action plans would describe objectives, activities, timelines and performance measures for the scope of NRC's involvement in the development of the clusters.  The action plans should be developed by the institutes, NRC-IRAP and NRC-CISTI as well as any other parts of NRC that would be involved or implicated.

The Self Assessment addresses Strategy, Planning and Governance (business/action planning).  The NRC Action Plans will be developed when new funding is secured and allocated to the Atlantic Initiatives and presented to SEC.  The NRC Action Plan will specify objectives, activities, time lines and performance measures for the scope of NRC’s involvement in the development of the cluster.

NRC-IMB is meeting all the timelines outlined within its business plan with some modifications:

  1. The creation of Springboard via ACOA funding has refocused the scope and depth of NRC-IMB’s commercialization efforts.
  2. BioNova has assumed the lead facilitation role in the cluster and chairs the Nova Scotia Life Science Advisory Council.  NRC-IMB has supported this move.
  3. Venture Capital attraction remains an issue within the cluster.  However, a local angel investment network has been created to stimulate life sciences investment opportunities.

NRC-IMB continues to monitor via an activity-based budget process.

NRC-IBD presented an action plan been at the time of cluster renewal (2005), which included continued, ambitious, development of the imaging capacity, such as the Biomedical MRI Research Lab at the IWK Health Centre (recently opened) and the establishment of a magnetoencephalography (MEG) laboratory (underway).  It also included continued development of commercialization, including the creation of a business development office (established) and increased integration of NRC commercialization expertise into the region's hospitals (underway).  Communications are handled in-house, but this is an area flagged for increased activities.

E-Business and Information Technologies: Following on previous significant planning efforts, NRC-IIT completed its first-ever three-year Business Plan in 2007-08.

Ocean Technology: NRC-IOT operates the OTEC and programs.  The unique offering of OTEC is access to the range of highly skilled technical specialists who work at NRC-IOT, proximity to world-class experimental facilities and access to the NRC Cluster Partnership Facility (CPF).  OTEC provides competitive intelligence through NRC-IRAP and NRC-CISTI.  Through its membership in the Campus Incubation Consortium, OTEC offers business mentoring and financial advice to young companies.

In relation to the university, the Institute also provides co-supervision and support to a dozen graduate students who are working on collaborative projects and it employs between 6 and 12 work-term students each semester.  Joint projects with Memorial have resulted in the formation and success of two local companies: MadRock Marine Solutions and Virtual Marine Technology.  Additionally, eight NRC-IOT researchers hold Adjunct Professorships in Memorial’s Faculty of Engineering and Applied Science.

NRC-IOT is a partner of Memorial University in three collaborative projects with a total value of $1.2M to develop and transfer ocean technologies into the commercial sector.

In other cluster activities, NRC-IOT operates the NRC Cluster Partnership Facility (CPF) that opened in 2003. It has become a hub of activity for NRC-IOT’s industry partners and for the full range of cluster partners.  The CPF is the home of OTEC and all the resident companies, graduate students and visiting scientists, with NRC-IOT researchers distributed among all of them.  The CPF provides attractive meeting, networking and remote conferencing facilities and as a result is the preferred site for seminars, conferences and collaboration meetings.  Located on the campus of the university and close to provincial government buildings, it is literally and figuratively a centre for cluster activity.

As part of its contribution to the cluster, NRC-IOT provides a home for the NRC-CISTI Ocean Technology NIC and associated services, IRAP staff and services and OceansAdvance in the CPF.  The annual cost of this space, which might otherwise be rented out, is estimated at $67K for NRC-CISTI $40.4K for NRC-IRAP and OceansAdvance.  The resources for the operation of the CPF are provided through FESM.

OceansAdvance has identified an opportunity for the cluster in customized ocean observatory systems.  Training of marine operators for harsh environment scenarios has the potential to be a beacon activity for the cluster.  In particular, technologies for simulation of ship operations in ice have been identified as a market opportunity.  The third area, in which the province of Newfoundland and Labrador, like its neighbours Nova Scotia and New Brunswick, has expressed strong interest, is Ocean Renewable Energy.  A better understanding of wave energy and the design of devices for harsh environments, is a required technology development.  The current business plan addresses these three areas.  The first two, Ocean Observation and Arctic Operations in ice have become two of the focus areas for NRC-IOT research.  Ocean energy, where the challenges are in the determination of the performance of the device, is being addressed by projects in the Performance Evaluation program area.

The NRC Connections Conference (September 2007) presented a convergence of opinion in the evaluation of progress in cluster development.  Speakers agreed that the focus of evaluation should be on the healthy dynamics of the cluster.  Participants also advised against setting targets for results that are not under the direct control of the strategy, but they endorsed the concept of tracking the impact of an organization’s activities.

As a key player in the Atlantic cluster communities, NRC should facilitate the development of a strategy for each cluster by the cluster members at the community level.

NRC institutes cannot on their own, develop a cluster plan.  Institutes can, however, facilitate, encourage and advocate for the development of a strategy for each cluster.  The development of a strategy for the cluster is a logical next step as institutes enter phase two of cluster development.

Life Sciences: The NRC-IMB-AI mission has been focused more closely on translating NRC’s research and development into a strategic advantage for the cluster.  The number of cluster company partnerships via collaborative arrangements and/or fee for service arrangements has been increased. Institute platforms and facilities are more accessible to the community.

The NS Life Sciences Advisory Council is focussed on moving the next stage of the roadmapping exercise forward.

Efforts were also focused on raising awareness of the CI by hosting various members of the community – including the Minster of Health for the Province of Nova Scotia and the Greater Halifax Partnership.

NRC-IBD:  The most prominent example is the recently announced Life Sciences Research Institute at Dalhousie University (LSRI).  NRC is a founding partner in this initiative and a major factor in this success.  The $15M in federal funding for centres of excellence was awarded to the neuroscience cluster as a direct result of the clusters success. 

E-Business and Information Technologies: Alignment: NRC-IIT is closely aligned with the NRC Priorities and the Government of Canada priorities.  The provincial government introduced its Self Sufficiency Agenda that includes the IT Cluster as a priority, with a focus on Learning, Health and Bio products R&D and secondary areas of Energy and Transportation.  The Provincial agenda aligns closely with NRC-IITs competencies, role and research focus.  NRC drives the government component of the cluster agenda in partnership with the Province of NB.

Asset-mapping: The NB CI is fostering the development of cluster support services and recognizing the potential of knowledge-based industries by regional/local leaders and supporting regional strengths and assets.  An MOU has been signed with the Province of New Brunswick about an Asset Mapping exercise.  The purpose of the asset mapping projects is to provide information about the strengths, resources and opportunities that exist within the identified sectors in New Brunswick.  The first Annex has been executed to cover two asset-mapping projects in the areas of Advanced Learning Technologies and Health/Life Sciences.  NRC-ASPM has issued an invited RFP and it is anticipated that the asset maps will be completed by early Fall 2008.  NRC committed in 2007-08 to contribute $160K in 2008-09.

One of the overall goals for this project is to provide a sound base of information to support the development of a new strategic plan or enable the realignment of existing efforts and/or policies with regard to the two sectors in New Brunswick.  Additionally, the asset mapping projects will help to forge further connections between individuals, industry, organizations and institutions within the sectors and to provide a catalyst for investment and the formation of new collaborations.

NRC-IIT coordinated the hosting of a strategic meeting at its Fredericton site with the Deputy Minister, National Defence and the Deputy Minister, Intergovernmental Affairs and the Privy Council.  The purpose of the meeting was to demonstrate the breadth and depth in capacity and capability in New Brunswick for a Center of Excellence in Advanced Learning Technologies (CEALT), as well as the substantial level of participation, support and progress by the key stakeholders.  Senior government and private sector officials, as well as the Premier of New Brunswick, attended the meeting.  (14 March 2008)

NRC-IIT was a key participant and exhibitor at the Symposium on Advanced Learning Technologies (SALT 2008) where DG provided opening address and staff were keynote and session speakers.  Over the course of the 2-day event NRC-IIT DG had several meetings with Canadian and US military and law enforcement officials.  These were focused on demonstrating NRC-IIT’s infrastructure and expertise, especially in support of the CEALT and included tours of the Fredericton facilities.

In response to the needs of the cluster, NRC has leveraged existing expertise by the creation of a new research group in Learning and Collaborative technologies.

NRC-IIT is working with industry to help them form a provincial IT Association that will be directly involved in the cluster strategy development and implementation through membership on the Cluster Steering committees

Ocean Technology: NRC has been instrumental in facilitating a strategy for the Ocean Technology Cluster.  NRC-IOT, NRC-IRAP and NRC-CISTI continued to support all cluster activities throughout the year, providing advice, meeting rooms, office space and funding.  The Strategic Foresight exercise undertaken by OceansAdvance was a great success, due in part to NRC participation and support.  The exercise focused on three growth areas, as identified by the cluster.  These include ocean energy, vessel operations and ocean intelligence.  NRC-IOT, in its strategic business plan of 07-08, addresses all three areas and will be devoting research resources to their development over the next several years.  As the cluster moves forward with its strategy for business growth, so will IOT with its plan of research support for the Ocean Technology Cluster.

NRC should establish a coordinating function for the Atlantic Initiatives.  This function would be the focal point for coordinating the Initiatives beyond the level of individual Initiatives.  The role of such a function could include, but not be limited to, co-ordination across the cluster initiatives as required; setting common approaches (for performance measurement and management, financial tracking and other procedures); identifying, documenting and sharing best practices; and developing and sharing common tools.

This would be a logical next step in cluster development.  NRC will look at the possibility of creating a coordinating function as part of the next phase of Technology Clusters Initiatives in Atlantic Canada.

Completed in 2005-06

The NRC Action Plan for each cluster should detail the role and contribution of communications in supporting the cluster initiative.

The Self Assessment addresses Communications and Stakeholder Relations.  The NRC Action Plan for each cluster (Recommendation 5 above) will detail the role and contribution of communications in supporting the cluster initiative.

Life Sciences: The Nova Scotia Life Sciences Industry Association and ongoing industry consultations, facilitates the active engagement of cluster stakeholders.

NRC sponsored local events for the community – an IP seminar, Nutrigenomics Workshops, Biotechnology seminar and cohosted BioPort Atlantic.  Tours of NRC-IMB were also conducted for invited officials from the provincial Department of Health, as well as guests from the GHP and Dalhousie University, to showcase both the research facilities and the Industry Partnership Facility.

NRC-IBD: As above, communications activities at NRC-IBD (Atlantic) are expected to increase.

E-Business and Information Technologies: The NRC-IIT Business Plan does include a communications plan.  Support for the communications objectives of the cluster is most often offered on a case-by-case basis, such as hosting and presenting at the final stage of judging for the Intelligent Communities 2007 competition (Fredericton finished in top 7; Seoul was the winner) and participating in the Think NB showcase, which had the greatest attendance of any cluster event to date.

Ocean Technology: OceansAdvance manages communications; the public-private joint venture with a mission to make St. John’s an international location of choice for ocean technology.

Accountability requirements for the AI funding should be reviewed and strengthened.  Activities and results associated with the incremental AI funding should be tracked and reported separately.  Consideration should be given to the appropriateness of targeting the AI funding to specific research projects that are incremental to the A-base funded research and targeted to the needs of the cluster community.

When the funding levels of the renewed AI are in place and the plans for each initiative developed, an updated RMAF will be implemented and accountability will be tracked, reviewed and strengthened accordingly.  The updated RMAF will be a cooperative effort of the AI Directors General and will be led by Corporate Services or a cluster coordinating function, if implemented.

When the funding levels of the renewed AI are in place, institutes, NRC-IRAP and NRC-CISTI will track their AI funding separately so that cluster activity is accounted for and to demonstrate progress against the objectives outlined in the NRC Action Plan.

Life Sciences: This is ongoing as described for last fiscal year.  All principles and practices have been maintained.

NRC-IBD:  A business case was prepared for 2005 cluster renewal, which included milestones and deliverables specific to the cluster.  Progress to date has surpassed all existing business case plans, with initiatives such as LSRI and the MEG lab represented additional growth.

E-Business and Information Technologies:

Per last year’s entry; plus Research Portfolio Management Guide completed and implemented.  This is available to others as a best practice document on the NRC-IIT website at http://iit-iti.nrc-cnrc.gc.ca/r-d/guides_e.html

Ocean Technology: No change from previous year

NRC-IRAP continued to use Sigma and SONAR to track and report on its use of NRC cluster (AI) funding.

Resource allocation should be based on a regular collective challenge process.

In some cases, tracking of AI funding has been inadequate and must be improved.

NRC will continue to hold regular internal challenge meetings as it did this year.

Life Sciences: Resources are allocated based on continually re-evaluated alignment with community needs, NRC priorities, NRC-IMB priorities and AI mandate, as outlined above.

NRC-IBD: The AI cluster renewal was a formal systematic review in which all collective funding was evaluated.

NRC-IIT reviews all research projects on an annual basis and CI resources in NB are allocated based on the 3 year approved Business Plan.  Funding is allocated to the research priorities as outlined in the approved business plan

AI funding should be tracked separately from A-base funding.

AI funding will be tracked separately from A-base funding as described in response to Recommendation 9, above.

Life Sciences: As above.  Projects, resources will all be monitored and tracked separately from A-base and other B-base funding.

NRC-IBD:  AI funding is tracked in a separate cost centre.

E-Business and Information Technologies: Same as last year.

Ocean Technology: B-Base funding was allocated, along with A-Base and income, to salaries and ops as part of the overall institute financial plan.  Staffing and project funding is not linked directly to B-Base funds, so estimates of impact of B-Base on HQP is reasoned below.

Salaries from the AI B-Base funding in FY 2007-08 was allocated as $1.75M which equates to approximately 24 HQP FTE (@$74K/HQP).  Therefore, it is reasonable to claim that B-Base funding secured 24 HQP within NRC-IOT’s staff, or that approximately 30% of all HQP staff are funded by B-Base dollars. 

 AI funding is allocated into a separate fund centre and tracked through that fund centre.


 


2005-06 Evaluation of NRC’s Genomics and Health Initiative

Recommendation

Management Response

Progress Made in 2007-08

NRC should continue to fund the Genomics and Health Initiative and seek renewal of the Genomics R&D Initiative for a fourth phase.

Discussions to address the Phase IV program and competition design will be initiated with the GHI Directors General Committee and in consultation with the GHI Program Coordination Committee.  Recommendations from the GHI Evaluation and lessons learned from GHI-3 will be incorporated into the Phase IV program design.

The GHI Phase IV (GHI-4) competition was completed in November 2007.  Five large-scale research projects were selected for funding from April 2008 to March 2011.

Access to renewed funding (2008-11) for the Genomics R&D Initiative is being sought.

NRC should ensure that, once strategic priorities are articulated through the Renewal Initiative, GHI's objectives clearly align with these.

GHI's objectives will be reviewed after the NRC strategic priorities have been articulated through the Renewal Initiative.  Revisions will be made to ensure that the objectives are clearly aligned with NRC strategic priorities.  The VP (Life Sciences) will develop the revised objectives in consultation with the GHI Directors General Committee.

Completed.  GHI objectives have been reviewed and revised to ensure alignment with the new NRC Strategy (2006-11).  GHI-4 objectives were approved by the VP Life Sciences in December 2006.  The revised objectives are:

  • To translate scientific and technical knowledge within genome sciences and health-related research into social and economic well being for Canada.
  • To create and use new genomics or health-related technologies to contribute to the global competitiveness of Canadian industry in key industrial sectors (e.g., pharmaceuticals, biotechnology and agriculture).
  • To foster the development of large scale multi-institute and multi-partner research teams necessary to undertake multi-disciplinary research demanded by genomics, proteomics and health-related research.
  • To support and participate in regional, national and international genomics and health-related innovation networks through cooperation and integration across NRC institutes and with external partners such as industry, academia, government departments and other research organizations.

To foster excellence in horizontal research program management and accountability.

A portfolio approach should be taken in future GHI phases, funding a balance of new basic research Programs and Programs that are more applied.  For those Programs that propose "closer to market" applications, a market assessment study should be performed as part of the proposal process to examine the potential impacts of the work.

In GHI Phase IV, a more formalized portfolio approach will be established as part of the program evaluation criteria for use by the GHI Expert Panel and as a guide for NRC Senior Executives when making program funding decisions.   The portfolio approach will be based on funding a balance of programs with shorter-term commercial potential as well as those with longer-term research objectives.

Lessons learned from the market analysis studies conducted by NRC institutes (e.g., BRI) and as part of the pilot study conducted by NRC Corporate Services, will be used to develop the specific requirements for market analysis studies that will be implemented into the GHI Phase IV evaluation criteria. The GHI Expert Panel will also be strengthened to include additional members with business and marketing expertise.

Completed.  NRC Senior Executives used a formal portfolio approach to select GHI-4 projects.  The result is a balanced portfolio of programs with shorter-term commercial potential and longer-term research objectives.

As part of GHI-4 research program evaluation, independent market / strategic positioning studies were successfully conducted for each of the submitted program proposals.

The GHI Expert Panel was unanimous in its praise of the value added to the review and evaluation process by having the market studies available.

Efforts should continue to build upon the progress made in GHI-2 in integrating activities across NRC.  In addition, the complementarities between GHI Programs and other genomics and health research across Canada should be strengthened through increased collaboration with organizations external to NRC.

Integration and leverage were important elements in the GHI-3 proposal evaluation criteria.  Proponents were encouraged to assemble integrated, multi-disciplinary research programs that involved more than one NRC institute and to include research coordination and collaboration with other government departments and agencies, academia and/or industry.  An inter-departmental Genomics R&D Coordinating Committee oversees the collective management and coordination of the federal Genomics R&D initiative and ensures that collaborations between federal departments are pursued wherever relevant and possible.  The requirement for inter-institute collaboration in GHI Phase IV research programs will be strongly encouraged and collaboration with organizations external to NRC will continue to be an important criterion in proposal evaluation.

Completed.  Approved GHI-4 research programs were successful in ensuring continued integration across NRC research institutes (there are currently 10 institutes involved in the five GHI-4 programs). 

Additionally, efforts have been equally successful in integrating other government departments, universities and industry as collaborators into these research programs.  More than 50 universities and private sector companies have been identified as collaborators in GHI-4 research programs. 

AAFC is a formal partner in one of the five research programs and IMRIS – a private company, is a formal commercial partner in another. 

A GHI specific Logic Model, which defines expected results in the near, medium and long term, should be established to facilitate more effective performance measurement.  Objectives must be clearly stated and performance should be reported against the stated objectives at both the Initiative and individual Program level.  Meaningful indicators that are linked to clear objectives or strategic plans need to be identified, agreed to (i.e., between management, researchers, VPs, etc.), tracked and accurately reported upon.  The need to track performance and the allocation of resources should be balanced against the associated administrative burden.

NRC is currently leading an evaluation of the interdepartmental Genomics R&D Initiative. As part of this evaluation, a revised RMAF will be prepared for the Genomics R&D Initiative. The consultant used to revise the RMAF will be used to develop a GHI specific Logic Model, which will define expected results in the near, medium and long term.

Steps have already been taken in GHI-3 Program Charters to better define program objectives and key deliverables/milestones and research programs are required to submit quarterly reports that are focused on progress reporting against research objectives and milestones. In GHI Phase IV Program Charters there will be a focus on improving the definition of research objectives and how they link to the Initiative strategic plan and on better articulating and linking key program milestones.

Completed.  The RMAF developed for the Genomics R&D Initiative has been formally adopted by GHI and was used to guide the development of the Annual Integrated Performance Report (2006-07).

GHI-4 program charters have been completed they provide more clearly defined research objectives and their linkages to NRC strategic priorities.  Key program milestones have also been identified that will be used to track progress annually.

Efforts should be made to clarify the roles and responsibilities of the business development function and communicate it to researchers and business development officers so there is a common understanding of what activities are part of the function.

NRC is launching a comprehensive review of NRC business activities to ensure we have the right business activities and the right support for these activities in the future.  Specifically, the Terms of Reference for this Review call for examining activities with a view to revamping support to achieve the goals under our Renewal Plan, to capitalize on opportunities under Portfolio management; and to work better 'horizontally'.  This Review will ensure that GHI issues and opportunities uncovered during the evaluation are addressed appropriately.  This would include clarifying business development and marketing roles and communicating them across the Program and the Council.

Completed.  NRC’s Business Review team recommended that business development expertise needed to be involved early on in the process of identifying and carrying out research activities.  This included GHI projects where earlier involvement of Business Development Officers was highlighted as an opportunity for enhanced market outcomes and cross-NRC collaboration.  The new Central Business Services (CBS) office is ensuring that NRC’s major research programs consider market factors from the very early stages of planning research and throughout the life of a research program.  CBS provides a suite of tools and advice to assist institutes and programs to capitalize on market opportunities and to do this horizontally.

In the context of the upcoming Genomics R&D Initiative evaluation, an in-depth review of the science directions and research thrusts of departments involved in Genomics R&D as well as other federal organizations including CIHR, Genome Canada, the Canada Foundation for Innovation and the Canadian Biotechnology Strategy should be undertaken to determine the extent to which the different programs are complementary or duplicative.  In this regard, the status and/or results of the current review by the Minister of Industry of federal government's involvement and investments in genomics R&D need to be taken into consideration.

The evaluation of the interdepartmental Genomics R&D Initiative will provide an in-depth review of the science directions and research thrusts of federal departments involved in Genomics R&D.  A similar review (i.e., the Genomics Review) of other federal organizations including the Canadian Institutes of Health Research, Genome Canada, the Canada Foundation for Innovation and the broader Canadian Biotechnology Strategy has been initiated and is being led by Industry Canada.  These evaluations/reviews will provide an excellent examination of how these different programs could be more effective.  The GHI Coordination Office, in consultation with the GHI Directors General Committee, will take steps to address any specific issues or concerns that are raised in the recommendations and associated management responses of these evaluations/reviews.

Completed.  An evaluation of the Genomics R&D Initiative was conducted in 2006.  The primary conclusion from this evaluation was that the Genomics R&D Initiative is relevant as a critical element of the broader Canadian activities in biotechnology and that it is complementary to other initiatives related to the regulatory activities associated with biotechnology and other federal genomics R&D investments (e.g., Genome Canada).  Industry Canada has recently completed a review of a full range of federal government involvement and investments in genomics research, including Genome Canada, the granting councils (Canadian Institutes of Health Research, Natural Sciences and Engineering Research Council of Canada and Social Sciences and Humanities Research Council of Canada), Canada Foundation for Innovation, Canada Research Chairs, the Networks of Centres of Excellence and the intramural Genomics R&D Initiative.  This review concluded that the roles of these federally-funded research organizations are complementary and integrated, as well as appropriate to provide the capacities and structures needed to support the mandate of departments and the different scales of research programs.  Furthermore, while noting that there is room for improvement in the area of coordination and strategic planning, it concluded that federal investments have well positioned Canada given genome science developments, the increasing magnitude of collaborations and the continuing investments by foreign governments and institutions in genomics R&D.

The GHI Coordination Office should continue to help support the Scientific Leaders in the area of project management (e.g., training, reference materials, information sessions, workshops) with special attention given to those with less experience.  The Coordination Office should help to facilitate the sharing of good management practices between experienced Program Drivers/Scientific Leaders and new ones.

One of the key roles of the GHI Program Coordination Committee is to share best management practices amongst Scientific Leaders.  This approach will be strengthened in GHI Phase IV by the introduction of a project management workshop to be held during the launch of GHI-4.  The GHI Coordination Office, in consultation with participating institutes and Corporate Services, will develop the workshop.  The workshop objective will be to provide guidance on GHI and Institute program management requirements and performance management and will include presentations on best practice from experienced GHI scientific leaders.  Consideration will also be given to including presentations from professional project managers in the private sector.  With respect to specific project management training for Scientific Leaders, the GHI Coordination Office can provide financial support and facilitate specific training to support the delivery of horizontal research programs.  However, the training and development of Scientific Leader staff is an institute responsibility and any efforts in this area would require coordination and approval from institute management.

Completed.  A Kick-off Workshop was organized and implemented as part of the roll-out of GHI-4 research programs.  The Workshop provided guidance on the various aspects of GHI governance, as well as program / performance management requirements.  Best practices from GHI-3 research programs were integrated into the presentations.

The idea of a Kick-off Workshop has been incorporated into a standard element to take place at the beginning of each future phase of GHI. 

Implementation of the new governance and accountability structure put in place for GHI-3 should be monitored as to its effectiveness as Phase 3 progresses.

The GHI Directors General (DG) Committee as well as the GHI Coordination Committee will monitor the effectiveness of the new GHI Governance and Accountability structure.  This will be an annual agenda item for both committees recommendations made by the committees will be used to guide governance model revisions.  The effectiveness of the structure and operation of the various committees will be a key issue for discussion.  Any major changes to the governance and accountability framework would need to be agreed to by the GHI DG Committee and submitted to SEC for formal approval.

A review of the GHI Governance Framework has been completed with the GHI Program Coordination Committee (e.g., Scientific Leaders and Project Managers) and a meeting has been planned to conduct a similar review with the GHI DGs Committee in the Spring of 2008.

Proposals for future phases should be streamlined and should focus on the articulation of clear and realistic objectives and milestones.  There should be more transparency in the final Program selection process, including better articulation and communication to the Scientific Leaders of the rationale used for final funding decisions.  Consideration should be given to tracking the time taken to develop proposals for any future phases.

Changes to streamline and focus proposals on the articulation of real objectives and milestones have been initiated in GHI-3 and this will be built upon in GHI Phase IV.  Efforts to improve the transparency of the final program selection process were also introduced in GHI-3 and additional steps will be taken in GHI Phase IV.  For example, a more formalized proposal evaluation system will be developed to provide specific feedback on each evaluation criterion.  This information will then be used to create evaluation summary documents that will be communicated to each proposal proponent.  The overall objective of this change will be to better articulate the rationale used in the decision making process.

Completed.  GHI-4 research program proposals were streamlined and there was a much-improved articulation of real objectives and milestones.  These changes are also reflected in the approved GHI-4 program charters.

Changes to improve the transparency of the final program selection process were implemented and a more formalized proposal evaluation system was used.  Proponents were provided with much more detailed (and specific) feedback on each evaluation criterion in terms of the areas that were seen as strengths and weaknesses, together with commentary that provided the reasoning for any proposed changes.

This approach has been adopted as standard practice and will be used in all future phases of GHI.

The Programs’ Charters need to include specific plans on how the project will end in the event funding is discontinued after three years.

Based on evidence presented in the evaluation, there is clearly a perception by some participants in GHI research programs that funding is likely to continue beyond the nominal three-years of program approval.  In GHI-2 and GHI-3, competition guidelines indicated that programs were to be planned and funded for a limited duration (typically three years) and that associated research objectives and milestones were to be prepared on this basis.  In GHI Phase IV, program duration and the process for funding renewal will be more explicitly presented in program documentation.  Additionally, as part of the GHI Phase IV Program Charter development, a new requirement will be introduced that will require each program to prepare a closure strategy in the event that funding is discontinued.  As part of the GHI-3 program closure strategy, proposals may be put forward to seek continuing funding for a short period to ensure the completion of critical work.  Efforts will be undertaken for Phase IV funding decisions to be made six months in advance of GHI-3 completion so that adequate time is provided to implement closure strategy plans.

Completed.  GHI-4 Program Charters have been developed and because of program framework documentation and related presentations, it is now clearly understood that GHI-4 research programs will end in March 2011 and that a closure strategy is required in the event that funding is not renewed.

The changes to the decision-making timeframe (i.e. mid-November) provided 4.5 months advance notice so that GHI-3 programs not continuing into Phase 4 had adequate time to implement closure strategy plans.  This approach was viewed by participants as being very successful and will continue to be implemented into future phases.

To make optimum use of external reviewers, an independent assessment of past performance by experts should be integrated into the Program selection process of any new GHI phases.  Peer reviewers should be asked not only to review proposed work, but also provide an opinion on past performance at the same time.  Specific questions relating to research completed in the previous phase (e.g., achievement of objectives, quality and relevance of the outputs/outcomes) should be included as part of the proposal review.

GHI program proposals are required to include a Background Section that provides progress to date in areas directly related to the proposal and a list of outputs (e.g., publications, patents, licensing agreements, etc.) related to the research. For existing GHI programs, peer reviewers and members of the GHI Expert Panel have used this section to assess past performance. In the GHI Phase IV Competition, this section of the proposal template will be strengthened and the requirement to explicitly report on progress towards research objectives and milestones in areas directly related to the proposal will be made a requirement. Additionally, the GHI-3 performance reports will be made available to the reviewers of GHI-4 proposals.

GHI-3 research programs are required to submit quarterly performance reports that are reviewed by program Steering Committees and by the GHI Directors General Committee. As well, it is planned for the GHI Expert Panel to conduct formal mid-term reviews of GHI research programs, with recommendations made to the Vice President Life Sciences, who will determine if funding for a program will be continued, reduced or reallocated. These existing performance evaluation mechanisms are considered comprehensive and the integration of additional, independent assessments of past performance as part of future GHI program selection processes are seen to be unnecessary.

Completed.  The GHI-4 full proposal template included a requirement to explicitly report on progress towards research objectives and milestones in areas directly related to the proposal.  GHI-3 performance reports were also made available to the reviewers of GHI-4 proposals (external peer reviewers and the GHI Expert Panel).  This has been adopted and will be used in future GHI proposal processes.

A mid-term review of approved research programs by the Expert Panel has been established as part of the overall and ongoing performance management strategy within GHI.

Before replicating the GHI model for other NRC horizontal initiatives, the following issues need to be taken into consideration:

  • The effectiveness of a GHI-3 type governance framework;
  • The matching funds approach and the effect it has on institutes' ability to participate in multiple horizontal initiatives;
  • The balancing of the competitive process and accountability requirements with the demands on NRC scientists to prepare proposals at the institute and horizontal levels and the ability to find external experts to participate in reviews; and
  • The establishment of a suitable funding cycle in which the desired impacts are achievable.

NRC Senior Executive agree to consider these issues before putting in place any future horizontal initiatives at NRC.

The issues related to governance and funding for horizontal initiatives are currently being examined by NRC.


 


2006-07 Evaluation of Central and Western Cluster Initiatives - Institute for Fuel Cell Innovation

Recommendation

Management Response and Proposed Actions

Progress Made in 2007-08

NRC-IFCI must articulate a value proposition to industry to ensure its research and development (R&D) complements industry rather than potentially placing itself in competition with industry.

Accepted. NRC-IFCI will regularly review, with our partners, our research directions against short, medium and long term needs of the fuel cell cluster and make adjustments in order to ensure that we maximize our impact in meeting the needs of industry through the unique provision of technology breakthroughs and expertise and core-competencies.

Our Cluster Business Plan is based on industry consultations, an independent survey of their needs and the Round Table and as such has captured key parts of their recommendations:

  • NRC-IFCI will communicate our cluster plan to the cluster members, advisory board and other stakeholders, including NRC-IFCI staff.
  • The cluster funding will be dedicated to working with industry to meet the short and medium term needs. NRC-IFCI will also use a small portion of the funding to collaborate with universities to address next generation technologies that will enable the industry to sustain its global leadership.
  • NRC-IFCI will use our A-base funds to develop relevant core competencies that will allow us to become world leaders enabling us to meet industry needs and will dedicate a small portion to exploratory work.
  • NRC-IFCI will link the cluster with universities and global research networks to bring in expertise and knowledge.

During 2007-08, NRC-IFCI was engaged in the first consortium project with industry, delivering pre-competitive research to two companies who had never collaborated before.

Other ways in which our R&D complemented industry:

  • Meeting of the technical sub-committee to review our technical plans.
  • Extensive collaboration with partners (5 with Ballard alone)
  • Knowledge transfer through publications, seminars, workshops
  • Work on pre-competitive issues critical to the cluster through Helmholtz projects with Germany that will link four key research organizations in Germany with NRC and universities in the cluster.
  • Cluster to cluster linkages developed through workshops held at NRC-IFCI with military and remote community stakeholders and with large US research laboratories at the University of Connecticut and Los Alamos Lab.
  • Development of the PEMFC national R&D network, currently applying for NSERC strategic funding.
  • Renewal of UBC MOU, signing of UW MOU.
  • SOFC Network received NSERC strategic funding
  • Advanced MEA development LOI for NCE/NSERC approved
  • 2 FC industry members willing to expand its industry participation in consortium

NRC-IFCI agreed to be part of the BC Fuel Cell Strategic Plan rep committee with H2FCC and BC Government Department of Mining, Energy and Minerals

NRC-IRAP fully expended allocated cluster funding, including 7 projects with hydrogen/fuel cells related Firms for $0.32M (total project costs for these projects was $5.13M) and 2 projects with organizations supporting the hydrogen/fuel cells sector for $0.073M (total project costs was $0.21M).

NRC-IFCI should focus on ways to increase usage of the HTEC, including the implementation of targeted marketing efforts.

Accepted.

  • NRC-IFCI will continue to implement the marketing plan for the HTEC. NRC-IFCI will allocate 20% of the time of the Business Development Officer (BDO) as well as 40% of Technical Officer (TO) time towards developing projects for HTEC.
  • NRC-IFCI will continue to work with H2FCC to increase utilization of HTEC by the BC fuel cell cluster.
  • NRC-IFCI will establish a partnership with Powertech Labs and CTC to market the HTEC to other industry sectors such as oil and gas, mining and military.

Undertook a marketing study to have the FC sector validate our understanding of their needs with the intent of increasing HEC usage.  Industry wanted us to ‘prove their concept’ – independently certify their experimental results.  They also identified the need for a vibration table and a smaller climate chamber.  The report also indicated the need for a marketing coordinator who would prepare marketing materials, call on potential clients and contact stakeholders.

Utilization doubled from previous year.

New billing strategy making HEC affordable for smaller companies.

NRC-IFCI must continue to focus on building internal research capabilities.

Accepted. Building core competencies and research leadership skills is critical in ensuring the sustainability of the Institute and is therefore a top priority. In addition to training research leaders, we plan to increase the number of research positions through increased revenue generation.

  • NRC-IFCI will allocate all its S&T A-base funding towards building internal research capabilities (core competencies) in low temperature and high temperature fuel cell technologies and in doing exploratory research.
  • NRC-IFCI will focus on the core competencies that are relevant to the industry with direction from the industry and an insight from market & technology intelligence studies to ensure our uniqueness.
  • NRC-IFCI will develop and implement staff training plan.
  • NRC-IFCI will put in place portfolio management process to ensure focus and sustainability.

Conversion of PDFs into RAs: full orientation.

Development of project selection process further with field of knowledge survey preceding project selection.

Key consolidation and market/IP assessment made to internal, fundamental projects that feed knowledge to collaborative and application oriented projects.

Strategic term positions turned into continuous.

Used information & advice from technical subcommittee of Advisory Board to direct core competency growth.

Development of testing capabilities through Advanced Testing and Verification project.

NRC-IFCI must ensure its research plan is focused and is within its resources and clearly communicate it to stakeholders.

Accepted.

  • NRC-IFCI will continue to focus by reducing the number of technology platforms for its internal R&D program. NRC-IFCI will do this in consultation with industry technical committee and our university partners.
  • NRC-IFCI will continue to focus on building world-class expertise in fuel cell materials, design and fabrication of fuel cells.
  • Quarterly communication of progress to the Advisory Board and key stakeholders.

Number of internal projects reduced to eight and communicated to Advisory Board Technical Sub-Committee.

Note that our core competency focus is working as our groups continue to receive more and more world recognition.

NRC should consider all options, including work force adjustments, when making a significant shift in research focus.

Accepted.

  • NRC-IFCI are in the process of finalizing the restructuring that will include work force adjustment. The initial strategy was to allow time and resources for retraining the staff to meet the needs of the new mandate. Over the last two years we have been going through the process of realigning which will result in reorganization and work force adjustment.
  • NRC-IFCI will align our resources to deliver on the technology and business plan.

Completed in 2006-07

NRC-IFCI must focus on managing resources and implementing plans and continue the development of management practices and processes to deliver against objectives.

Accepted.

  • NRC-IFCI has developed a project review and planning process that allows us to manage the resources, review progress and make decisions on new initiatives.
  • NRC-IFCI will continue to improve the process to maximize resource utilization.
  • NRC-IFCI will establish an Innovation Program Committee, consisting of group leaders and management, to regularly review progress, needs and priorities.

Increased governance with introduction of Management Accountability Agreements

Established position of business planner to plan and manage resources, monitor execution and report on results.  Established position of strategic planner to provide management team with additional resources.

NRC needs to clearly articulate what is meant by "flagship" institutes and what roles and responsibilities are related to this.

The industry is requesting NRC to provide one portal, which coordinates and focuses resources within NRC. In our view NRC-IFCI can be the portal for fuel cell R&D because NRC-IFCI is an applied institute, located in the centre of the largest fuel cell cluster and has become the centre of activities for the fuel cell industry as a whole. It has the largest fuel cell research group in Canada and works closely with its university partners to focus on meeting the needs of the industry. NRC-IFCI has become the hub that coordinates the fuel cell R&D community in Canada and interfaces with industry. Hydrogen & Fuel Cells Canada, the national industry association, is headquartered at NRC-IFCI and regularly communicates industry-involving needs. NRC-IFCI have built strong relationships with industry and the universities and established strong links with international research organizations. In addition, NRC-IFCI, with its Industrial Partnership Facility (IPF)/testing/demo facilities, industry-led Advisory Board and strong links with the NRC-IRAP ITA community, is very much aware of market and industry needs. So, as the portal, NRC-IFCI, on one side, can communicate those needs to the NRC FC Horizontal Program. The Horizontal Program will use that information to establish criteria for project selection that enables development of critical and yet novel knowledge platforms to be used by the applied institutes to support industry partners. And/or on the other side, NRC-IFCI can address multiple needs/requests from industry by linking them and/or their projects/consortia to appropriate NRC wide skills and expertise.

DG NRC-IFCI is leading development of National Hydrogen and Fuel Cell Program.


 


2006-07 Evaluation of Central and Western Cluster Initiatives – National Institute of Nanotechnology (NINT)

Recommendation

Management Response and Proposed Actions

Progress Made in 2007-08

Articulate NINT's strategic vision and the specific mechanisms by which it will be achieved.

This recommendation will be implemented within the calendar year.  NINT did have a plan for the first five years: to build, equip and populate NINT within a particular research framework articulated by Dan Wayner in 2002.  Also, the strategic framework for operation was acknowledged by the Board in its first meeting in June 2005.  However, in the past, approval of a formal strategic plan was hampered by a lack of understanding among the parties of what the strategic plan should include.  It is the intent of management to develop a strategic plan that reflects the joint initiative and that can be approved by the NINT Board on October 3, 2006 as well as the funding partners of NINT.  The strategic plan will provide clarity on the research plan and focus.

NINT management and the NINT Board of Trustees are still working on the final version of the Strategic Plan to capture the unique collaborative opportunities within the partnership.

Meanwhile, the Strategic Plan Draft document continues to provide the framework within which NINT is operated and from which the Business Plan is derived. 

NINT provided NRC with a Business Plan for the NRC Business Plan process.

The Board continues to ask for a Business Plan that covers all of the NINT partnership activities, but this has been hampered by the uncertainty of other partner funding.

Address outstanding human resource issues and maintain as a priority for management.

The recommendation will be acted on immediately.  The Director of Research position is a top priority with management and while the first search was not successful, creative alternatives are being pursued.  The open recruitment process may be expanded within the framework of the federal government staffing process, which requires that an Internal Competition be followed by an External Competition.

Other HR issues, such as long-term career paths, will be brought forward for discussion between the principals in the two organizations, but it should be recognized that there might not be solutions to all of the career issues.

The Director of Research took on a position of DG at another institute leaving the position at NINT at the end of 2007.

Recruiting for the Director Research position will proceed in the fall for appointment in the spring.

The DG has engaged in discussions with the RO/RCO community at NINT to determine how their careers can best be managed within the unusual structure of NINT resulting from the secondments to and from the University of Alberta.  This issue is particularly important and challenging for those who are not seconded.

Clarify the role and responsibilities of the Board of Trustees.

The role of the Board of Trustees is defined in the Governance Agreement for NINT.  As the Board continues to meet regularly and NINT is fully established, the responsibilities of the Board will become more definite.  To ensure that the Board’s role reflects the partners’ expectations, one-on-one interviews with partners and Board members will be initiated and results will be reported at the next Board meeting.

The Board of Trustees at the May 14, 2008 meeting expressed satisfaction with the operation of the Executive Sub-Committee and asked for a standing report to the Board.

The new Chair of the Board is expected to take a more active role in the governance and in the interactions with the Oversight Committee

Refine administrative systems.

This recommendation will be implemented to the extent possible.  The NRC personnel at NINT and the University of Alberta personnel are continually working on finding the most effective ways of working together.  A number of agreements have been signed, but more need to be implemented.  Special communication efforts will be made to make the processes more open and clear for everyone.

The University of Alberta has acknowledged the need to put into place a structure and process that allows for complete and accurate accounting for NINT related expenditures and funding that is managed by the University of Alberta.

There are ongoing negotiations with the University relating to all agreements, both new and existing since some of the latter are expiring.

Finalize the communication protocol and develop a communication plan.

This recommendation is critical and attention will be given to getting the communications protocol agreed upon and signed.  The major principles are in place and a protocol has been developed and agreed upon in principle.  The communications strategy needs to be developed and is important as NINT moves from a responsive to a proactive phase.

The partners have renegotiated the communications protocol with the joint agreement that future communications will focus on branding the NINT entity rather than the partners.

The document is nearly finalized and will be completed in 2008-09.

Secure sustainable levels of ongoing funding.

This recommendation is being acted on immediately.  The outcome of the evaluation process is feeding into the business plan for NRC renewal request to the Government of Canada.  In parallel, the Government of Alberta is developing a Nanotechnology Strategy that recognizes the critical role of NINT for Alberta.

NRC has secured funding for NINT through the 2009-10 fiscal year but will need to return to TB for funding thereafter.

The Government of Alberta is implementing its Strategy and is seeing some funding move to NINT. 

Discussions are ongoing among the three partners concerning dedicated resources to NINT.  This issue is at the top of the agenda for a meeting of the Oversight Committee scheduled for summer 2008.


 


2006-07 Evaluation of Central and Western Cluster Initiatives – Crops for Enhanced Human Health (CEHH)

Recommendation

Management Response and Proposed Actions

Progress Made in 2007-08

CEHH should increase linkages to the medical and nutritional research community working in the field of functional foods and nutraceuticals (FFN).

Accepted. NRC-PBI has currently begun establishing linkages with the medical and nutritional community at the University of Saskatchewan and NRC-INH in Prince Edward Island (PEI).

NRC-PBI developed a formal collaboration with Dr. Wang of NRC-INH to explore the efficacy of the phytosterol produced in Brassica.

NRC-PBI signed a Collaborative Research Agreement with Saponin Inc. to work on “Cyclopeptide Analogues as Human Therapeutic Agents”.  This work includes researchers from the University of Saskatchewan and Saponin Inc. 

NRC-PBI and 22nd Century Inc. signed a Research Collaboration and Licence Agreement to investigate nicotine biosynthesis in tobacco, including control and elucidation of the pathway.

Bioaccess has established a 47-company client base across Western Canada.

NRC-IRAP fully expended allocated cluster funding ($4M with a total project costs of $0.68M) to BioAccess Commercialization Centre (BAC).  Major achievements for the year included: 1) gaining competitive advantage for industry by recruiting business and technology analysts, by identifying experts and mentors across Western Canada, by providing internet access to information and services to almost 50 BioAccess clients and by designing a regulatory services/support program; 2) bringing local ideas to marketplace by completing a national environmental scan that identified key issues study and action, by initiating discussions with partners across Western Canada  and by producing a bi-weekly News Bulletin for industry; and 3) building competitive foundations by completing and implementing a communication strategy, by launching service offerings in Saskatchewan and across Western Canadian SMEs; and by initiated a Technology Roadmap project known as BioFutures.

CEHH should develop an operational/business plan clearly outlining commitments and timelines for any future activities should additional technology cluster initiative funding be received.

Accepted. NRC-PBI will develop an operational plan in consultation with NRC-IRAP, NRC-CISTI and the BioInnovation Centre to support all facets of the cluster as outlined in its business plan.

Due to the departure of a key employee, the plan will not be finalized until September 30, 2008.  A PHW Committee has been established to review and select proposals for funding.  An Operational Committee for NAPGEN was established

CEHH should develop a communications plan to guide future outreach efforts with the FFN cluster players. The plan should include strategies to communicate with cluster actors in the research/academic community as well as other stakeholders and industry.

Accepted. As part of its business planning, NRC-PBI has identified outreach and communications planning as critical to providing momentum in the community to develop the cluster.

BioAccess completed a marketing campaign aimed at communicating to companies across the West what BioAccess is and how it can help firms through the commercialization process.

BioAccess is in the process of completing a Technology Roadmap called “BioFutures” which focuses on what is next for this industry sector. 

2007-08 Cluster Dimension Project titled “The Functional Food and Natural Health Products Industry in Western Canada” provide BioAccess with a report giving an overview of the Western Canadian FFNHP industry.  Twenty-three companies were interviewed and 4 major areas were explored.

  1. Commercialization stage
  2. Company needs & fit with BioAccess
  3. Company need/fit with PBI
  4. The western Canadian FFNHP cluster

A second project provided an overview of the structure and strength of ties or links amongst firms and between network firms and select support organizations. 

NRC-IBD should establish an accountability framework between NRC-IBD and BCC to clarify the roles and responsibilities of the two organizations, particularly relating to tenancy arrangements of NRC-CCBT.

In progress. Leasable space in NRC-CCBT is already 48% occupied, only nine months after building completion.  For the remaining space, in accordance with the IBD-BCC Memorandum of Collaboration setting out each Party’s responsibilities, NRC-IBD will consult with BCC to determine space requirements in the next 12 months.  For space not required by BCC, NRC-IBD will seek tenants and organizations that will not be in the BCC program, so as not to compete with BCC program objectives.

As at 1 April 2008, leasable space in CCBT was 70% occupied.

The total number of tenants in CCBT as at 1 April 2008 was twelve, with six tenants enrolled in the BCC program and all twelve tenants are related to the Biomedical Cluster.

Through the Steering Committee meetings, BCC has advised NRC that there are plans for three additional clients for the BCC Program.

NRC Biomedical Technologies: NRC-IRAP fully expended allocated cluster funding ($0.44.M where total project costs of $0.92M ) as planned to Bio-Commercialization Centre (formerly CCBT) to provide mentoring and other support to SMEs; contributed to Skills Survey (HQP development) and initiated discussions with the investment community to devise an investment readiness strategy.

Given the significant amount of space within NRC-CCBT allocated to BCC, NRC-IBD should ensure that BCC has a current business plan in place outlining timelines, milestones and contingency plans for finding and securing appropriate clients for the allocated space and for participating in BCC programs.

Completed.  BCC has a current Business Plan and Work Plan, submitted to its Board of Directors in March 2006.  BCC also reports progress to NRC-IRAP monthly.

BCC has a current Business Plan in place and reports progress to NRC-IRAP monthly.

As per the Memorandum of Collaboration between NRC-IBD and BCC, NRC-IBD should ensure formal meetings of the Joint Steering Committee take place and appropriate mechanisms are established to monitor progress against commitments outlined in the MOC and to meet federal government accountability requirements.

Accepted.  Planning meetings have been ongoing since 10/2005 and carried out on an ad hoc basis to date.  Joint Steering Committee meetings will commence in Q4 2006.  These meetings will utilize agendas and actions arising to monitor progress against commitments.

In addition to the ad hoc meetings, there were formal Steering Committee meetings, which were held in May and November of 2007.


 


2006-07 Evaluation of Central and Western Cluster Initiatives – Aluminium Technology Centre (NRC-ATC)

Recommendation

Management Response and Proposed Actions

Progress Made in 2007-08

Fast-track the planned undertaking of needs analysis within local industry in the SLSJ region to determine opportunities related to the technology platforms that are being put in place in NRC-ATC.

Accepted.  The Canadian Aluminium Transformation Technology Roadmap, of which NRC is a key stakeholder, will bring forward national and local industry needs.  Through a number of workshops, those firms are voicing their views on the sector priorities and their challenges to answer them.

NRC has played a key role in 2007 by pursuing the effort to develop a “Conseil sectoriel de l’aluminium”, a coordination committee for the whole of the aluminium industry.  This is in direct response to the first recommendation of the recent “Canadian Aluminium Transformation Technology Road­map”.  An executive committee, composed of NRC-ATC, the Aluminium Association of Canada, REGAL, Trans-AL and CQRDA, is presently developing the mandate and operating structure of such a coordination committee.

NRC was instrumental in organizing 5 meetings with key stakehol­ders in order for them to discuss the possible organization of a secretariat for the Canadian Aluminium Industry lead by the industry (SMEs and multi-nationals).  Work is still in progress in 2008

A wide distribution effort was performed following the official launch of the 2006 edition of the Canadian Aluminium Transformation Technology Roadmap.

NRC has collaborated with its partners in the promotion and production of documents:

  • Trans-Al Network: Aluminium Transformation Roadmap promotion (5 presentations across the province of Quebec and promotion during APMA congress in Hamilton, Ontario).
  • SVA: The Aluminium Valley Cluster Document (8 pages color flyer).
  • CQRDA: Collaboration for several articles featuring NRC’s achievements and people in Al-13 magazine.  NRC-IRAP contributed financial and in-kind support to the organization of “TRANSAL International Conference 2008”, Biarritz, Spain, lead by CQRDA.

Events:

  • A press conference was held with Minister Blackburn and NRC Vice-President Normandin to announce second round of cluster initiative budget renewal (2007-10).
  • Organization by IRAP Quebec of the ITA annual meeting in Saguenay in order to expose all ITAs of IRAP Quebec to the results of the CI.  All stakeholders of the aluminium CI were invited to assist a plenary session.

Trans-Al Network: NRC provides direct support to regional chapters of the Trans-AL Network (and coordinates regional chapters directly).  It is also present at the annual meeting of this SME network and shares technical and business presentations.

Between April and December 2007, ATC and Stakeholders members made 11 presentations on the Roadmap in Canada, while outside entities published 7 papers and 6 websites articles regarding the document.  Namely, the Canadian Aluminium Transformation Technology Roadmap, led by NRC, was featured in international industry journals (Light metal Age, USA, Aluminium Times, UK) as it was the first of its kind

Also, 500 copies of the document were distributed during Automotive Parts Manufacturers' Association’s exhibition in Hamilton, Ontario, in May 2007.

Between April and December 2007, the document was freely accessed on the internet more than 2600 times.

NRC-IRAP fully expended allocated cluster funding to 13 projects with firms in the aluminium processing and manufacturing sector ($0.29M where total cost of projects was $5.47M) and 1 project with an organization ($3.5K  where total project cost  was $0.75M).

NRC-IRAP dedicated one full time domain specific Quebec ITA to the cluster.  An ITA in Ontario and BC worked closely with the cluster to link cluster activity to their local firms.

 

An integrated approach with all stakeholders of the cluster in order to develop programs and services dedicated to the need of SMEs, in particular.

  • NRC-ATC/IRAP/CISTI will introduce new joint activities to provide competitive technical intelligence and an information hub for industries mainly for SMEs.
  • NRC-ATC and NRC-IRAP will work together for the creation of new R&D programs dedicated to the needs of SMEs and in line with the objectives of cluster stakeholders such as CED, CQRDA, TRANSAL, APMA, REGAL and other Canadian universities.
  • NRC-ATC and NRC-IRAP plan is to effectively reach out for industries in not only the Saguenay-Lac-Saint-Jean region but all across Canada.

Using the same successful vehicle that has been used at IMI-Boucherville, multi-partners projects will be created to address common opportunities and issues of SMEs.

CISTI hired a new analyst to implement in Saguenay a new service for Competitive Technical Intelligence in aluminium related fields for the cluster.

NRC was involved in two major networking and showcase events for the CI:

  • "Synergie-AL" event was organized in collaboration with CQRDA, Trans-Al Network and REGAL;
  • "Aluminium Valley in Action" was organized in collaboration with SVA.

NRC-IRAP has contributed financial and in-kind support to the organization of "TRANSAL Conference 2008,” an international aluminium conference to be held in Biarritz, Spain in June 2008.

Support to innovation partners:

NRC has coordinated with REGAL and UQAC to develop and support their application to CFI for further specialized aluminium related R&D equipment not presently available in the cluster.  The application has been successful, with 16M$ granted to 4 universities (UQAC, Laval, Sherbrooke and ÉTS/Montréal), 5M$ of which is being installed locally at UQAC ‘S CURAL pavilion and will be accessible to NRC-ATC and the cluster.

NRC-ATC was involved in multiple research projects with external and internal CI companies

NRC-ATC has contributed to the training of several HQP (8 graduate students, 6 invited workers from Laval University, Alcan R&D and STAS.

NRC-ATC has produced 39 reports and publications in 2007.

NRC-ATC researchers teamed-up with Laval University and 4 industrial partners to launch a multi-year strategic research in aluminium hydroforming and succeed in securing a grant of $525,000 from NSERC.

Contractual discussions led to the renewal in 2007 of the partnership agreement with ALCAN (firstly signed with Alcan in 2002).

Discussions are advancing well to establish a strategic partnership with Novelis.  A formal proposal has been submitted to the company by  NRC-ATC.

IRAP's ITA is involved in three local initiatives with local stake holders to stimulate the CI:
1- AP-50 program with RTA and FTQ,
2- Innovation-02 with CRE and IDEA,
3- CLD Saguenay.

Examine the management of IP with key collaborators to ensure access to new knowledge by members of the 'cluster' community.

Accepted (with clarification).

The approach used so far with our key collaborators has been to maximize the speed of commercialization, knowledge generation for NRC-ATC, access to facilities and transfer of expertise for the other users in the cluster or in Canada.

The agreements signed by NRC-ATC will continue to maximize the NRC’s strategic objectives allowing knowledge transfer to other users of the cluster community to create wealth, jobs and benefits for Canada.

Friction Stir Welding: Work in progress with the system at the client site during the period.

NRC-IRAP, NRC-ATC and Trans-AL Network (representing more than 100 SMEs in Quebec) are structuring an umbrella agree­ment to provide access to NRC facilities and expertise and to various technical resources and infrastructure associated with the CI for the tran­sition from technology development to know-how adoption and imple­men­tation by SMEs in the cluster and in Canada.  This new formula of support has also been used with industries from BC and ON.

The number of partners in the cluster has now reached 70.


 


2006-07 Evaluation of Central and Western Cluster Initiatives – Canadian Photonics Fabrication Centre (NRC-CPFC)

Recommendation

Management Response and Proposed Actions

Progress Made in 2007-08

Seek out additional opportunities to inform, educate and build relationships with NRC-IRAP ITAs.

Accepted. NRC-CPFC views NRC-IRAP as a critical partner in diffusing its business offering to the Canadian industrial sector – an extension to its 'sales and marketing force'. NRC-IMS management will meet with the Director General of NRC-IRAP to identify the best way of informing Industrial Technology Advisors of NRC-CPFC commercial programs and services.

Over the course of the last reporting period, the NRC-CPFC management has continued to improve its relationship building with IRAP.  As was agreed upon in the last fiscal year between the NRC-IRAP management and NRC-CPFC management, the Director responsible for NRC-CPFC was invited to the NRC-IRAP Ontario/Quebec regional meeting (Boucherville, November 28th-29th, 2007) to give an overview of the photonics cluster initiative and its value proposition to SMEs in Canada.

Further discussions took place between the NRC-IRAP Director responsible for the photonic cluster and the NRC-CPFC Director to look at a strategy in delivering maximum impact to SMEs in Canada.  Five projects were funded using NRC-IRAP funds ($250K) leveraging a total of $1,551K from industry. 

The NRC-IRAP and NRC-CPFC directors jointly took part in a mission to France to explore international photonics cluster-to-cluster interaction.  Further discussions are underway to bring a Canadian Photonic industry delegation to France to explore business opportunities.

NRC-IRAP assigned a local ITA to work with NRC-CPFC to promote the services of the Centre with the ITA network as well as to link to potential clients

Continue to extend and link to the private sector as a means of making the services of NRC-CPFC known.

Accepted. This is core to what NRC-CPFC must do – insuring diffusion of NRC-CPFC service offering to the industrial sector. NRC-CPFC will do so by making sure all of its business office staff members are fully integrated in the business practices of NRC-CPFC. NRC-CPFC will also continue to attend trade shows such as Photonics North and West as well as sit on committees of 'photonics industry associations' to inform potential industrial clients.

NRC-CPFC has continued to extend its outreach to the private sector, hosting over 50 industrial clients in addition to no less than 15 international delegations within its premises and describing the various commercial offerings of the Centre and its value proposition.  In addition, NRC-CPFC has continued to support Canadian SMEs through international industrial missions to the USA funded by the Enhanced Representation Initiative (ERI). 

NRC-CPFC continues to run its annual Executive Symposium on Photonics Commercialization, a high-level international event that brings Senior Executives from leading photonics corporations together with high-ranking government officials to present their perspective on the commercialization of photonics.  Presenters showcased emerging commercial opportunities in optics and photonics and showed how these are changing the way we live. 

NRC-CPFC staff were invited to give presentations to Photonics West in California and Photonics North in Montreal.  NRC-CPFC has produced and distributed marketing materials highlighting its new technical services to industry.

NRC-IRAP provided $0.25M to 5 industry projects where the total project costs were $1.55M.

Resolve attribution of property tax and hydro costs.

Accepted.  NRC-IMS management will meet with the DG of ASPM to estimate the true utilities cost and taxes of CPFC complex.  Note, every day of service interruption affecting the CPFC results in a minimum of 2 days of shut down which cost CPFC $50,000 in lost opportunity.  ASPM needs to be sensitive to such pressures.

The cost of the utilities and taxes for NRC-CPFC has been valuated and has been incorporated within the business plan.  The cost is paid to NRC-ASPM each fiscal year and taken out of the B-base funding allocation provided by Treasury Board.

NRC-IMS management continues to work closely with NRC-ASPM to minimize the interruption of client services.  Campus-wide power interruptions (for periodic maintenance by Hydro Ottawa and others) still result in a complete shutdown of the facility.  In spite of forward planning, every time such an interruption occurs almost two full days of operation are lost, causing serious delays in the delivery of the milestones to NRC-CPFC clients.

Examine market potential and set cost-recovery expectations for the NRC-CPFC.

Accepted.  CPFC will continue to update its marketing plan on a regular basis and seek guidance from other international organizations (such as OIDA) in doing so.  As established in the original Treasury Board submission, the CPFC’s cost recovery policy is meant to cover some but by no means all of the operational costs of CPFC.  The impact of CPFC will be measured by its effectiveness in stimulating the Canadian economy (job growth, SME traction, VC investment, commercial product on the market, etc.).  CPFC will continue to run its bi-weekly business/marketing meeting to looking at CPFC forecasted revenues.

NRC-CPFC continues to maximize its impact in responding to its client base – both industrial and academic.  This may translate into providing services to start-ups where the return-on-investment is not immediate.  For example, clients to demonstrate the feasibility of a product to investors can use prototypes fabricated by NRC-CPFC.  This demonstration often leads to increased investment in the firm, which in turn translates, into increased business and revenue for NRC-CPFC as the client’s business ramps up.

NRC-CPFC reviewed its hourly rates at the start of the financial year and raised them to $375 from $350, in line with market pressures.

Over the course of the last fiscal year, NRC-CPFC has helped a record number of clients in numerous sectors of importance for Canada – ICT, Energy and Environment.

Since opening operations in 2005, NRC-CPFC has had a 100% year-to-year increase in revenue generation.  In order to maximize the Centre’s impact in helping Canadian industry and academic sector, an extended “shift” will be implemented in the fall of 2008. 

Establish a joint RMAF that takes into account the contributions, of funding, or program delivery of collaborators.

This recommendation is not accepted. Carleton University is responsible for the training program and has received funds from the province to do so. NRC has no jurisdiction or authority in this area, although the NRC-CPFC is represented on the formal training program of Carleton University.

This recommendation is not accepted.

Continue to develop marketing and communication strategies, especially those directed directly at firms, including firms in Ottawa.

Accepted. As stated previously, marketing and communication is key for a business unit such as the CPFC and a tool which needs to be exploited. CPFC will continue to obtain marketing and competitive intelligence using its internal BO forces and will try to integrate better with NRC-CISTI resources. As such, in its proposed business plan (2007-12), the CPFC anticipates partnering with NRC-CISTI to obtain competitive technical intelligence which will be distilled and analyzed to help identify CPFC's threats and opportunities – the results will be integrated in its business decision making process. On the communication front, the CPFC will continue to keep its website updated and disseminate its service offering to its stakeholders. A senior communication agent will be hired by the CPFC to perform these duties.

In the last reporting period, NRC-CPFC hired a Technical Marketing Officer and a Senior Communications Officer.  These two individuals were responsible for the development of the marketing material, which is now widely distributed, to the business community and various stakeholders.  The team has made significant progress in re-vamping the website.  During the same reporting period, NRC-CISTI and NRC-CPFC have been unsuccessful in filling the Technical Business Analyst position.  NRC is presently running our third competition for this position.

NRC-CPFC continues to maximize its outreach activities to the Ottawa photonic community through the delivery of its successful Annual Symposium on Photonics Commercialization and through the active support of the Ottawa Photonics Cluster and nationally through close interactions with stakeholders in Montreal, Quebec, Toronto/Waterloo and in western Canada.  This year NRC-CPFC attended a number of national meetings including Photonics North, annual meeting and conference of the Canadian Institute for Photonics Innovations and the annual meeting and conference of CMC Microsystems.

On the international front, NRC-CPFC, with the support of ERI, continues to strengthen existing relationship with regional industry-led photonics clusters such as those in Rochester, Tucson, Phoenix, Orlando, Boston, New York, San Jose, North Carolina, Colorado, France, Italy, Spain and the UK. 

Conduct a benchmarking study in approximately five years to gauge the position and strength of NRC-CPFC offering in relation to other centres.

Accepted with changes.  Although CPFC agrees that a benchmarking study would be needed in comparing the CPFC’s strengths and weaknesses in relation to other Centres, it needs to be done before the five-year mark.  In fact, this exercise should be done on an on-going fashion as part of the marketing plan and concurrently with updating the CPFC technology roadmap - both set of data are needed in order to complete a comprehensive analysis of the competitive offering of the Centre.

In 2007-08 NRC-CPFC, with the support of the Canadian Photonics Consortium (CPC) undertook a study of the status and impact of photonics in Canada in order to measure the industry’s competitiveness vis-à-vis other nations.  In this fiscal year it:

  • Completed a position paper on Canada’s role in photonics, “Canada in a Photonic World”, that serves as a framework for the study;
  • Initiated a series of selected interviews with key photonic companies in Québec, Ontario, Western and Atlantic Canada;
  • Conducted in-depth studies of the photonics sector in Québec, Ontario, Western and Atlantic Canada, including inventories of the companies;
  • Conducted five successful cross-Canada workshops on photonic sub-sectoral activity

The extensive and unique experience that NRC-CPFC has in this sector has been critical to the process.  Throughout the last half of 2007-08, NRC-CPFC dedicated the services of one Business Development Officer to work with the CPC consultants to provide strategic, technical and logistical input into the process. 

Examine communication policies given the NRC-government of Ontario/Carleton University partnership.

Accepted. This will depend of course on the continued support of the province of Ontario and Carleton University moving forward. So far, no major communication problems have been encountered between the three stakeholders. Carleton University and the Province of Ontario are quite amiable to calling the Centre ‘NRC's CPFC’.

The NRC-CPFC management and Carleton University management meet on a regular basis to explore new funding opportunities through provincial and federal programs.

Discussions are ongoing.


 


2005-06, 2006-07 Evaluation of  the Herzberg Institute of Astrophysics’ Implementation of the Long Range Plan for Canadian Astronomy and Astrophysics

Recommendations

Management Response and Proposed Actions

Progress Made in 2007-08

NRC-HIA should develop a succession plan to ensure that research capacity at the Institute is not weakened with upcoming potential retirements of staff.

Aging demographics and global competition for scientific talent are challenges for NRC research institutes, including NRC-HIA.  As noted in the evaluation, the Institute took advantage of LRP funding to recruit new staff, including two outstanding scientists funded through the NRC New Horizons Program and to provide a research experience to a number of students and post-doctoral fellows.

In response to the recommendation, institute groups are creating staffing outlooks for the next five to ten years which will be integrated into an Institute hiring plan. The plan will emphasize global recruitment at the entry level, an area where NRC has a slight competitive advantage.

New talent is being recruited at the entry level with leadership potential as a trait to select for, all else being equal.  Two RO recruitments completed and a third underway.

Succession planning was a factor in the re-organization of DRAO, completed last summer.  An anticipated retirement (PRO) took place and leadership was transferred seamlessly.

Staff planning templates developed and will be implemented for incorporation into the next NRC-HIA Business Plan. 

There should be increased emphasis and efforts at NRC-HIA to systematically identify Canadian companies to be included in the work undertaken by the Institute for large international telescope project funded through the LRP. Progress made in Penticton, through NRC-HIA’s relationship with the Okanagan Research and Innovation Centre (ORIC) should be formally monitored and if deemed successful, NRC-HIA should consider a similar approach in Victoria.

This recommendation concerns two separate areas where NRC-HIA works with companies: in the identifying, notifying and working with Canadian companies on LRP-related opportunities and in transferring technologies to the private sector for other applications.

With respect to the first part, the Institute faces a number of challenges: building industrial capacity and interest, addressing communication and legal impediments and meeting stringent international performance standards. The considerable efforts that were made to identify Canadian expertise are documented in this report. As a result, Canadian companies that were successful in winning high technology contracts associated with the EVLA and ALMA projects demonstrated the impact of LRP funding and the effect of exacting requirements of international astronomy projects on pushing a company’s expertise to the leading edge.

The Institute intends to continue pursuing avenues for industrial outreach related to international projects. Bid packages are being prepared for the ALMA Band 3 receiver production, the major deliverable to ALMA from NRC-HIA.  NRC-HIA will position itself as an integrator and component contractor to Canadian companies while taking on the more specialized testing and quality control responsibilities. NRC-HIA will make an effort to win bids on components of projects that have more potential volume and market applications (such as the Band 1 receivers of ALMA) and that might attract more interest from companies. The institute will continue to work with and seek the advice of, the Canadian SKA Consortium, the organization that is directing SKA development and which includes industry representation.

With respect to non-astronomy applications of associated technologies, NRC-HIA initiated the ORIC “experiment” in Penticton, which has achieved some success in a relatively short period of time. The institute recently commissioned an assessment of HIA-Victoria technology with precisely this aim. Formal monitoring of ORIC is present to some extent by virtue of the Agreements in place. As well, NRC acts as the secretary to the ORIC Board of Directors. NRC HIA will also continue to build on its relationship with the NRC –IRAP in identifying technology transfer opportunities for SMEs.

The first phase of the Band 3 production plan was implemented through contracts to supply cryogenic low-noise amplifiers (Nanowave Inc.) and to assemble cryogenic mixer blocks.  The company is using technology transferred from NRC-HIA. 

A consortium of companies was assembled to respond to a Request For Tender issued by the CSIRO (Australia) to supply 45 12m antennae for the ASKAP project (SKA Pathfinder telescope).  The roughly $30M bid is based on NRC-HIA technology for making single piece composite dishes of this size.  A systematic search was conducted.

The DRAO won the “community Leadership” award at the Fifth Annual Silicon Vineyard Innovation Awards sponsored by the Okanagan Science & Technology Council (OSTEC).  Peter Haubrich, the ORIC Principle was named “Member of the Year.”  ORIC itself has become a major success story and is expanding beyond the borders of NRC-HIA to offer incubator and mentoring services. 

NRC engaged a locally well-known individual in its Business Development Office in Victoria.  He played a key role in putting together the consortium that bid on the ASKAP antennae (see above). 

NRC-HIA should take into consideration the perceived concerns regarding the weakening of astronomical research at the Institute and, if determined to be valid, should take action to remedy the situation.

It is the Institute’s view that this perception may no longer be valid: NRC-HIA has made a number of excellent junior recruitments, whose visibility is increasing as their research publications become more numerous and more cited. The two New Horizons candidates are considered to be at the level of Canada Research Chair Tier I recruitments at Canadian Universities.

NRC will, however, attempt to quantify the relative performance of its Research staff to a representative external sample through the implementation of a system for monitoring citation rates and/or the impact factor of the journals accepting NRC-HIA publications. The results will be communicated to the astronomical community. An integrated hiring plan is to be developed (see Recommendation 1).

The Institute selected three leading University departments to benchmark our research performance.  The metric used was citation rates per published paper, as this provides a measure of impact that is independent of the size of the samples being compared.  The results of this analysis showed that the impact of NRC HIA research staff was well ahead of two of the University departments and just slightly behind the third department.  The results can be understood in terms of specific individuals located at the three Institutions.  NRC HIA does not do any theory and the department that outperformed NRC did so because of their prominent theorists. 

NRC should secure funds for the remainder of the work assigned to NRC-HIA as outlined in the LRP and Mid-term Review documents to ensure that positive impacts continue. Significant impacts of NRC-HIA’s implementation of the LRP to date include strengthened research capacity at the Institute and increased opportunities for Canadian firms to participate in providing technology to international astronomical facilities.

Action toward this goal has been ongoing for more than one year and is a high priority for NRC. The Director General of HIA is working with the Director General of Strategy and Development Branch and the NRC Senior Executive Committee on developing a case for continued funding and continues to interface with the Coalition for Canadian Astronomy to ensure its support.

NRC stepped forward to cover basic requirements and to ensure key staff were kept in place.  “Transition Funding” was provided through internal NRC reallocations for 2007-08.  This has forced NRC to drop a proposed collaboration with Australia related to the SKA.  The lack of long-term funding limits the ability of NRC-HIA to participate in the major international projects prioritized in the LRP and is limiting our ability to position Canadian firms to benefit from these high-profile Mega-projects. 

The next round of funding received to implement the LRP should be tracked separately in NRC-HIA’s financial system.

The LRP is a complex array of international projects, each with its own reporting and cash management requirements, combined with initiatives related to improving the research capability of the Institute.  As noted in the report, NRC-HIA aligned its own efforts with those of the LRP and leveraged the LRP funding with its own A-base as well as other funds from within NRC. Where full LRP funding was not available, certain activities were augmented by NRC-HIA A-base funds (chiefly salaries).  All finances for individual projects were tracked in detail within the Institute and that will continue to be the case.

However, in the future, the cash flow from any new funding received for the advancement of the LRP will be tracked at the top level to the extent allowed by the NRC Financial system. This will provide a more transparent picture of the interplay between NRC-HIA A-base funding and the LRP funding to better quantify the impact of the LRP. The LRP projects will continue to be tracked.

All NRC-HIA projects are fully tracked following rigorous project-management principles and are entered into NRC’s financial systems in accordance with the newly implemented Business Planning Process. 

The difficulties of financially managing LRP long-term “Big Science” projects commitments within a five year planning cycle should be reviewed in light of a recommended framework by the Office of the National Science Advisor (ONSA)10. This proposed framework should be reviewed and discussed with the ONSA to determine how LRP projects might benefit and how it could be improved to better address some of the lessons learned during this evaluation and the needs of all Canadian “Big Science” projects in the future.

With its many national facilities, NRC has a strong interest in seeing the “Big Science” issue for Canada resolved. NRC provided input to the original framework and participated in a subsequent workshop with 40 distinguished community leaders. As well, it sought input from its governing council on the proposed framework and participated in a workshop at the Canadian Light Source devoted to this issue.

NRC, with all relevant agencies and organizations, is also participating in a working group sponsored by the Coalition for Canadian Astronomy to examine the barriers that were impeding progress toward implementing the LRP. The Working Group issued a report and circulated it to the participants and relevant stakeholders for further feedback.

NRC intends to continue the dialog with all sectors of the astronomical community, including the ONSA, to address this issue and seek solutions.

With key partners, NRC has established ACCA, the Agency Committee on Canadian Astronomy.  Modeled on the well established Agency Committee on TRIUMF (ACT) that oversees the TRIUMF laboratory, the Agency Committee on Canadian Astronomy (ACCA) was formed in 1997 to tackle from multi-agency perspectives the overarching issues facing Canadian astronomy.  These include the Long Range Plan implementation and the funding issues.  Under the chair of the NRC President, the ACCA members include the heads of CSA, CFI, NSERC and Industry Canada.  Canadian astronomy cuts across agencies to such an extent that it is increasingly important to coordinate efforts, given the increased number of players and funding sources.  ACCA provides a forum for discussion on GOC policy on astronomy funding, including coordinating the GOC investment in astronomy and the provision of advice to the GOC on its policy with respect to astronomy.  ACCA have put together a number of documents to advance discussions on “Big Science” policy in Canada.

A recent report by the Inter-Agency Working Group on Major Investments in S&T titled “Major Investments in Science and Technology in Canada: A Discussion Paper” providing an overview of models for maintaining national “Big Science” infrastructure.

If a second round of LRP funding is awarded, NRC should consider conducting a return on investment analysis and benefit-cost analysis, in coordination with other LRP-funded federal government organizations. If undertaken, these studies should be completed in advance of the next evaluation.

NRC-HIA will examine whether it is opportune to initiate a follow-on study similar to that done in 1999 by the ARA group under contract to KPMG. This study provides a methodology template and sets a benchmark.

Keeping in mind that the timeline required to assess benefits beyond the immediate economic impacts might prevent a full review before the next evaluation, NRC will look at the opportunity to conduct a return on investment analysis and benefit-cost analysis. Consultation with other Agencies will be undertaken if a decision to proceed is taken.

No new developments since the second round have been allocated.


10 - A Framework for the Evaluation, Funding and Oversight of Canadian Major Science Investments, Office of the National Science Advisor, January 2005

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Natural Resources Canada

12. Internal Audits


1. Name of Internal Audit 2. Audit Type 3. Status 4. Completion Date
NRCan Business Continuity Plan (BCP) Audit Assurance Completed January 2007
Audit of Compliance with the Export and Import of the Rough Diamonds Act Assurance Completed March 2007
Audit of Health and Safety Program in Laboratories Assurance Completed March 2007
Audit of the Financial Management Control Framework at the Pacific Forestry Centre Assurance Completed May 2007
Audit of the Financial Management Control Framework at the Great Lakes Forestry Centre Assurance Completed June 2007
Audit of the Financial Management Control Framework at the Sidney Sub-Division of the Geological Survey of Canada, Pacific Division Assurance Completed August 2007
Audit of the Financial Management Control Framework at the Atlantic Forestry Centre (AFC) Fredericton Assurance Completed August 2007
Audit of the Management Control Framework for Membership Fees Assurance Completed October 2007
Audit of Specified Purpose Accounts Assurance Completed October 2007
Audit of Net Voted Revenue Assurance Completed October 2007
Horizontal Audit of Transfer Payments Assurance Completed October 2007
Audit of Improved Efficiency of New Commercial Buildings (IENCP) and Commercial Building Incentive Program (CBIP) Assurance Completed November 2007
Internal Audit of Hospitality Report Assurance Completed December 2007
Audit of Voice Telecommunications Assurance Completed December 2007
Follow-Up Audit of Accounting for the Costs and Liabilities Related to Contaminated Sites Assurance Completed December 2007
Audit of the Financial Management Control Framework of the Earth Sciences Sector at the Geological Survey of Canada – Atlantic Assurance Completed December 2007
Audit of Management of Cash Flow Assurance Completed February 2008
Audit of the Financial Management Control Framework at the Laurentin Forestry Centre (LFC) Assurance Completed March 2008
5. Electronic Link to Report: http://www.nrcan.gc.ca/dmo/aeb/aeb-rpts-2007-e.htm

13. Internal Evaluations


1. Name of Evaluation 2. Program Activity 3. Evaluation Type 4. Status 5. Completion Date
Port Hope Area Initiative Energy Summative Complete June 2007
Energy Infrastructure Protection Division (EIPD) Energy Summative Complete August 2007
The Mountain Pine Beetle Initiative Sustainable Forest Summative Complete November 2007
Value to Wood Program Sustainable Forest Summative Complete June 2007
Canada Wood Export Program Sustainable Forest Summative Complete June 2007
Transportation Science and Technology Energy Summative Implementing N/A
Built Environment Science and Technology Energy Summative Implementing N/A
Earth Sciences Exploration for Energy Earth Sciences Summative Implementing N/A
Mines and Minerals Science and Technology Minerals and Metals Summative Implementing N/A
CFS Climate Change Minerals and Metals Summative Implementing N/A
6. Electronic Link to Report: http://www.nrcan.gc.ca/dmo/aeb/aeb-rpts-e.htm
7. Electronic Link to Evaluation Plan: http://www.nrcan.gc.ca/dmo/aeb/aeb-rpts-e.htm

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Natural Sciences and Engineering Research Council of Canada

NSERC Internal Audits and Evaluations


1. Name of Internal Audit 2. Audit Type 3. Status 4. Completion Date   5. Electronic Link to Report
Canada Graduate Scholarships (CGS) Program and Agency Specific Award Programs’ Evaluation Support Students and Fellows Summative In progress September 2008  
Postgraduate Scholarships (PGS) Support Students and Fellows Summative (with CGS) In progress September 2008  
Midterm Review of the Centres for Research in Youth Science Teaching and Learning (CRYSTAL) Promote Science and Engineering Midterm Review In progress October 2008  
Panel and Secretariat on Research Ethics (PRE/SRE)   Summative In progress January 2009  
College and Community Innovation Program Midterm Review Support Commercialization Midterm Review Completed May 2007 http://www.nserc-crsng.gc.ca/_doc/2007/colleges-report_e.pdf
Report of the International Review Committee on the Discovery Grants Program Fund Basic Research Summative Completed April 2008 http://www.nserc-crsng.gc.ca/_doc/2007/international_review_e.pdf
Evaluation of the Intellectual Property Mobilization (IPM) Program Support Commercialization Summative/ Formative Completed April 2008  
Evaluation of the Networks of Centres of Excellence (NCE) Program Fund University-Industry-Government Partnerships Summative Completed October 2007 http://www.nce.gc.ca/pubs/reports/2007/evaluation/NCEEvaluationReport2007-eng.pdf
Joint Evaluation of Research Tools and Instruments Grants (RTI) and Major Facilities Access Grants (MFA) Fund Basic Research Summative Completed August 2007 http://www.nserc-crsng.gc.ca/_doc/2007/RTI-MFA-report_e.pdf

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Office of the Chief Electoral Officer

Table 5: Internal Audits and Evaluations



Name of Internal Audit Audit Type Status Completion Date Electronic Link to Report
Follow-up audit to the Auditor General of Canada’s November 2005 Report to Parliament, Chapter 6, “Elections Canada – Administering the Federal Electoral Process” Follow-up audit In progress September 2008 N/A

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Office of the Superintendent of Financial Institutions Canada

Table 6-A: Internal Audits


1. Name of Internal Audit 2. Audit Type 3. Status 4. Completion Date 5. Electronic Link to Report
Supervision Sector: Financial Conglomerate Group – Life Insurance Supervision – Risk Assessment & Interventions In-progress 2008-2009 Will be posted on OSFI website
Corporate Services: Human Resources Planning Corporate Services – Human Services In-progress 2008-2009 Will be posted on OSFI website
Corporate Services – Information Technology Services Planning Corporate Services – Information Technology In-progress 2008-2009 Will be posted on OSFI website
Regulation: Actuarial Division (support for Supervision) Supervision – Risk Assessment and Interventions In-progress 2008-2009 Will be posted on OSFI website
Regulation Sector: Legislative Approvals Regulation Sector In-progress 2008-2009 Will be posted on OSFI website
Superintendent’s office – Management Oversight Superintendent’s Office In-progress 2008-2009 Will be posted on OSFI website
         
Supervision Sector: Financial Institutions Group- Deposit Taking Institutions Supervision – Risk Assessment & Interventions Completed June 2007 Available on OSFI website
Supervision Sector: Credit Risk Department Review Supervision – Support Group Completed April 2008 Available on OSFI website
Corporate Services – Staffing Process Corporate Services – Human Services Completed October 2007 Available on OSFI website
Superintendent’s office- OSFI Planning Activities and Processes Superintendent’s Office Completed April 2008 Available on OSFI website

Note: Actions taken as a result of completed audits are described in Section I.4.4

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Parks Canada

Internal Audits and Evaluations


A. Internal Audits
Name Audit Type Status Completion Date Electronic Link
Audit of Key Financial Processes at:        
Cape Breton Key financial and administrative processes Completed May 28, 2007 www.pc.gc.ca/docs/pc/rpts/rve-par/index_E.asp#a1
Western Quebec Completed May 28, 2007
Follow-up Audit of Key Financial Processes at the Nunavut Field Unit Completed May 28, 2007
Hot Springs Enterprise Unit Completed March 31, 2008
Follow-up Audit Northern Ontario Field Unit In-progress    
Director General East In-progress    
Director General West and Northern In-progress    
Director General National Parks In-progress    
Audit of Pay and Benefits Compliance Completed May 28, 2007 www.pc.gc.ca/docs/pc/rpts/rve-par/index_E.asp#a1
400th Quebec Anniversary Compliance Completed December 10, 2007
Audit of Staffing Compliance Completed March 31, 2008
B. Evaluations  
Name Evaluation Type Status Completion Date Electronic Link
Evaluation of Parks Canada Oceans Action Plan Phase One Implementation Completed September 24, 2007 www.pc.gc.ca/docs/pc/rpts/rve-par/index_E.asp - a2
Ecological Integrity Funds Evaluation Framework Framework for Evaluation Completed* September 24, 2007  
Evaluation of Capital Programs Implementation/Relevance and Performance In-progress    
Learning Strategy Evaluation Framework Framework for Evaluation In-progress
Evaluation of Issues Related to National Historic Sites of Canada Cost-Sharing Program Relevance and Importance of Program In-progress  
Electronic Link to Parks Canada’s Internal Audit and Evaluation Plan: www.pc.gc.ca/docs/pc/rpts/rve-par/32/index_e.asp

*  In its 2007-2010 Audit and Evaluation Plan the Agency’s approach to evaluation changed to focus on program activities as a whole.  This framework, which focused only on new funding to support ecological integrity in national parks, was tabled for information purposes but was not approved as a basis for future evaluations and not published as an evaluation product.     

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Privy Council Office

Table 7: Internal Audits and Evaluations

Internal Audits (current reporting period)


1. Name of Internal Audit 2. Audit Type 3. Status 4. Completion Date 5. Electronic Link to Report
Audit of Information Technology Security at the Privy Council Office Information technology controls Audit terminated following Preliminary Survey Phase – no final audit report prepared May 15, 2007  n/a
Audit of Selected Contracting Activities at the Privy Council Office Contracting Completed May 15, 2007 English
http://www.pco-bcp.gc.ca/index.asp?lang=eng&page=information&sub=publications&doc=audit-verification/audit-verification_e.htm

French
http://www.pco-bcp.gc.ca/index.asp?lang=fra&page=information&sub=publications&doc=audit-verification/audit-verification_f.htm
Audit of Delegation of Financial Authorities Financial management controls In progress September 25, 2008 (expected) To be posted once approved
Follow-up Audit of the Process for Responding to Parliamentary Order Paper Questions Follow-up audit In progress September 25, 2008 (expected) To be posted once approved

Evaluations (current reporting period)


1. Name of Evaluation 2. Program Activity 3. Evaluation Type 4. Status 5. Completion Date 6. Electronic Link to Report
N/A N/A N/A N/A N/A N/A
           
7. Electronic Link to Evaluation Plan: nil

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Public Health Agency of Canada



Name of Internal Audit
Audit Type* Status Completion Date Electronic Link to Report
Proactive Disclosure of Position Reclassifications Continuous Auditing and Monitoring Completed November 8, 2007 link http://www.phac-aspc.gc.ca/about_apropos/audit/reports-eng.php
Audit of Contracts under $10K Continuous Auditing and Monitoring Completed November 8, 2007 link http://www.phac-aspc.gc.ca/about_apropos/audit/reports-eng.php
Procurement and Contracting Activities Performance Audit Completed November 8, 2007 link http://www.phac-aspc.gc.ca/about_apropos/audit/reports-eng.php
Proactive Disclosure of Travel and Hospitality Expenses Continuous Auditing and Monitoring Completed March 26, 2008 link http://www.phac-aspc.gc.ca/about_apropos/audit/reports-eng.php
Proactive Disclosure of Grants and Contributions Awards Over $25K Continuous Auditing and Monitoring Completed March 26, 2008 link http://www.phac-aspc.gc.ca/about_apropos/audit/reports-eng.php
Travel and Hospitality Expenditures Performance Audit Reporting June 2008  
Office of Public Health Practice Performance Audit Reporting June 2008  
Financial Delegation of Authority Continuous Auditing and Monitoring Reporting June 2008  
Human Resources Management Performance Audit Reporting June 2008  
Information Management and Information Technology Governance Continuous Auditing and Monitoring In-Progress October 2008  
Property Management Including Life Cycle Management Performance Audit Planned October 2008  
Payroll, Leave and Overtime Administration Continuous Auditing and Monitoring Planned October 2008  
Management of Interchange Agreements Continuous Auditing and Monitoring Planned October 2008  
Health Promotion Programs Performance Audit Planned March 2009  
Infectious Disease Prevention and Control Program Performance Audit Planned June 2009  
Information Technology Assets Management (Life Cycle) Continuous Auditing and Monitoring Planned June 2009  
Security of Labs/Scientific and Related Inventories Continuous Auditing and Monitoring Planned June 2009  

* Types of auditing:

  • Performance auditing reviews the activities of an organization to assess whether resources are being managed with due regard for economy, efficiency and effectiveness and whether accountability requirements are being met reasonably.
  • Continuous auditing and monitoring examines whether an organization complies with Government Policies, has the necessary controls in place and provides reliable and relevant information for accountability purposes.

Name of Evaluation

Program Activity

Evaluation Type*

Status

Completion Date

Electronic Link to Report

Formative Evaluation for the Community Action Program for Children

Health Promotion

Formative

Completed**

December 2007

Link to Treasury Board of Canada Secretariat Audit and Evaluation Database: link http://www.tbs-sct.gc.ca/rma/database/newdeptview_e.asp?id=129

Fetal Alcohol Spectrum Disorder

Health Promotion

Summative

In-progress

July 2008

Mid-term Review of the Community Capacity Building Component of the Canadian Breast Cancer Initiative

Disease Prevention and Control

Formative

Completed

January 2008

National Immunization Strategy

Disease Prevention and Control

Formative

In-progress

July 2008

Federal Initiative to Address HIV/AIDS

Disease Prevention and Control

Formative

In-progress

December 2008

Evaluation of the Hepatitis C Prevention, Support and Research Program 1999-2006

Disease Prevention and Control

Summative

Approved***

May 2007

Summative Evaluation of the National Health Surveillance Infostructure

Disease Prevention and Control

Summative

Approved

June 2007

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


* In the Government of Canada, evaluation is the systematic collection and analysis of evidence on the outcomes of policies and programs to make judgements about their relevance, performance and alternative ways to deliver programs or to achieve the same results.
** Completed:  Evaluation report has been drafted and is awaiting Approval.
***Approved:  The final evaluation report has been approved by the Chief Public Health Officer.

Evaluations are typically categorized as formative or summative:

  • Formative evaluations provide information mid-way through a policy or program by examining its delivery, the quality of its implementation and the assessment of the organizational context, personnel procedures and inputs; and 
  • Summative evaluations determine the overall impact a policy or program has had by examining its achievement of outcomes.  The three primary concerns of a summative evaluation are relevance, success and cost-effectiveness.
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Public Safety Canada

Table 8: Internal Audits and Evaluations

Internal Audits (current reporting period)

Name of Internal Audit Audit Type Status Completion Date Electronic Link to Report
Audit of the First Nations Policing Program Assurance Completed November 2007 http://www.publicsafety.gc.ca/prg/le/ap/re/fnpp_200703-eng.aspx

Evaluations (current reporting period)

Name of
Evaluation
Program Activity Evaluation Type Status Completion Date
Chemical, Biological, Radiological and Nuclear Evaluation Emergency Management and National Security Summative Completed November 2007
Chemical, Biological, Radiological and Nuclear, First Responder Training Program Integrated Evaluation Emergency Management and National Security Summative Completed November 2007
Heavy Urban Search and Rescue Evaluation Emergency Management and National Security Summative Completed February 2008
Public Security and Anti-Terrorism Critical Infrastructure Protection/ Emergency Preparedness Initiative Evaluation Emergency Management and National Security Summative Completed February 2008

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Public Service Commission of Canada

Internal Audits and Evaluations


Internal Audits 2007-2008
Name of Internal Audit Audit Type Status Completion Date Electronic Link to Report
Budgeting Audit Financial controls In progress Estimated approval October 2008 n/a
Financial Statements – Cyclical Audit Financial reporting and management controls In progress Estimated approval August 2008 n/a
Public Service Resourcing System, Stream 1 – Final Status Report Project management and financial controls Completed Approved May 2007 www.psc-cfp.gc.ca/abt-aps/inta-veri/2007/psrs-rsfp/index-eng.htm
Audit of Information Technology Security IT security Completed Approved August 2007 www.psc-cfp.gc.ca/abt-aps/inta-veri/2007/mits-vsti/index-eng.htm
Regional Operations Audit Administrative and program management controls Completed Approved February 2008 www.psc-cfp.gc.ca/abt-aps/inta-veri/2008/roa-vor/index-eng.htm

The following are the main Internal Audits conclusions:

  • the three completed audits provided information on PSC's management of riskier operations.
  • for the Public Service Resourcing System, the audit found that project management and financial controls had been considerably strengthened over a half-year. This would help partly manage the considerable risks this project entailed.
  • for the area of Information Technology Security, the PSC was found to be making progress towards establishing an environment compliant to government standards. Nonetheless, the needed oversight, integration and planning mechanisms were still not all in place.
  • the Regional Operations audit determined that most management procedures and controls were operating satisfactorily. However, work was still needed, to establish procedures for cost-recovery and to improve reporting on performance and service standards.

Where Internal Audit made recommendations for improving the operations described above, branch management provided sound action plans to address them.


Internal Evaluation 2007-2008
Name of Evaluation Program Activity Evaluation Type Status Completion Date Electronic Link to Report
Recruitment of Policy Leaders (RPL) Program 1.3.0 Impact Completed February 2008 www.psc-cfp.gc.ca/abt-aps/inev-evin/2008/rpl-rlp-eval-eng.htm
Public Service Resourcing System (PSRS) 1.3.0 Targeted Completed July 2008 N/A
Electronic Link to Evaluation Plan: www.psc-cfp.gc.ca/abt-aps/inev-evin/plan-eng.htm

The Executive Management Committee of the Public Service Commission approved the impact evaluation report of the Recruitment of Policy Leaders (RPL) Program.

The main Internal Evaluation conclusions are as follows:

  • the RPL Program is consistent with the human resources renewal priorities of the Government of Canada;
  • the RPL Program responds to an actual hiring need of departments for policy specialists; and
  • the RPL Program has made progress in achieving its objectives.

The executive summary and the management action plan in response to the recommendations are available on the PSC's Web site at www.psc-cfp.gc.ca/abt-aps/inev-evin/2008/rpl-rlp-eval-eng.htm

The PSRS targeted evaluation was completed in July and approved in August 2008. The Executive summary will be available on the PSC Web site in the fall 2008.

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Public Works and Government Services Canada

Table 14: Internal Audits and Evaluations

Internal Audits (2007-2008)


1. Name of Internal Audit 2. Audit Type 3. Status 4. Completion Date 5. Electronic Link to Report
Audit of the Contract Related to the Business Transformation Initiative Assurance Completed (carry forward from 2006-2007) May 18, 2007 http://www.tpsgc-pwgsc.gc.ca/aeb/text/archive/06-747-e.html
Annual Attest Audits of the Financial Statements of Revolving Funds for the fiscal year ended March 31, 2007:
  • 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 2007-2008 internal audit) September 28, 2007 http://www.tpsgc-pwgsc.gc.ca/recgen/pdf/51-eng.pdf
Annual Attest Audit of the Financial Report of Administrative Costs Chargeable to the Canada Pension Plan Account for the Year Ended March 31, 2006 Annual Financial Attest Audit Completed (planned 2007-2008 internal audit) September 28, 2007 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb

 

Audit of Contract Quality Control and Quality Assurance Functions, Acquisitions Business Line Assurance Completed (carry forward from 2005-2006) September 28, 2007 http://www.tpsgc-pwgsc.gc.ca/aeb/text/archive/pfd/05-715-e.pdf
Audit of Contract Management – Roles and Responsibilities - Acquisitions Business Line Assurance Completed (carry forward from 2005-2006) September 28, 2007 http://www.tpsgc-pwgsc.gc.ca/aeb/text/archive/pfd/05-718-e.pdf
Audit of the Real Property Branch Revolving Fund Drawdown Authority Assurance Completed (carry forward from 2005-2006) October 31, 2007 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb
Follow-up Audit of PWGSC Compliance to Departmental Policy 078 on Workplace Emergency Evacuation Assurance Completed (2007-2008 follow-up internal audit) November 1, 2007 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb
Audit of Management Practices Related to PWGSC Bridges Assurance Completed (carry forward from 2006-2007) December 20, 2007 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb
System-Under-Development Audit of the Financial Systems Transformation Project (SIGMA) Assurance Completed (planned 2007-2008 internal audit) May 2, 2008 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb
Audit of Project Management Applicable for Major IT Projects Assurance Integrated into System-Under-Development Audit of the Financial Systems Transformation Project (SIGMA) as this is a Major IT Project    
Audit of Risk Management in Human Resources Assurance Completed (planned 2007-2008 internal audit) June 25, 2008 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb
Audit of the Administration of the Public Service Pension Plan (selected issues) Assurance In-progress
(carry forward from 2007-2008)
March 2009  
Compliance Audit of Receiver General Settlement System Security Standards Assurance Planned
(deferred to 2009-2010)
March 2010  
Audit of Pension Modernization – Project Methodology Assurance In-progress
(carry forward from 2007-2008)
March 2009  
Audit of Major Crown Projects Assurance Integrated into the Audit of Pension Modernization as this is a Major Crown Project    
Audit of Materiel Management Assurance In-progress
(carry forward from  2007-2008)
March 2009  
Audit of Cost Management – Cost Allocation Model Assurance Planned
(deferred to 2009-2010)
March 2010  
Audit of Revenue Management Cycle Assurance Planned
(carry forward from 2007-2008)
March 2009  
Audit of Environmental Liabilities Assurance In-Progress
(carry forward from 2007-2008)
March 2009  
Audit of Succession Planning in Acquisitions and Accounting, Banking and Compensation Branches Assurance In-progress (carry forward from 2007-2008) March 2009  
Audit of Configuration Management Assurance In-Progress
(carry forward from 2007-2008)
March 2009  
Audit of Access Management Assurance In-Progress
(carry forward from 2007-2008)
March 2009  
Audit of Designated Properties – Project Management in Parliamentary Precinct Assurance Planned
(deferred from 2007-2008)
March 2009  
Audit of Office Facilities – Lease and Lease Escalations Assurance In-Progress
(carry forward from 2007-2008)
March 2009  

Evaluations (2007-2008)


1. Name of Evaluation 2. Program Activity 3. Evaluation Type 4. Status 5. Completion Date 6. Electronic Link to Report
Evaluation Framework for the Policy on Green Procurement   Evaluation Framework Completed (carry forward from 2006-2007) September 28, 2007 http://www.tpsgc-pwgsc.gc.ca/aeb/text/archive/pfd/06-606-e.pdf
Evaluation Framework for the Office of Small and Medium Enterprises   Evaluation Framework Completed (planned 2007-2008 evaluation) October 31, 2007 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb
Interim Evaluation of the 2005 Alternative Forms of Delivery Initiative for Real Property Services – Phase 2   Impact Evaluation Completed (carry forward from 2006-2007) October 31, 2007 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb
Targeted Evaluation of the 2005 Alternative Forms of Delivery Initiative   Impact Evaluation Completed (planned 2007-2008 evaluation) May 2, 2008 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb
Strategic Evaluation of Publishing and Depository Services Programs   Impact Evaluation Completed (carry forward from 2007-2008) May 2, 2008 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb
Evaluation of PWGSC’s Moveable Crown Assets Distribution Program   Impact Evaluation Completed (carry forward from 2007-2008) May 2, 2008 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb
Evaluation Framework for the Information Technology Shared Services   Evaluation Framework Completed (carry forward from 2007-2008) June 25, 2008 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb
Evaluation Framework for Real Property Optional Services   Evaluation Framework Completed (carry forward from 2007-2008) June 25, 2008 Report will be available at: http://www.tpsgc-pwgsc.gc.ca/aeb
Evaluation Framework for PWGSC’s Government of Canada Marketplace Initiative   Evaluation Framework In-progress (carry forward from 2007-2008) March 2009  
Impact Evaluation for PWGSC’s involvement in the Federal Contaminated Sites Action Plan   Impact Evaluation In-progress
(carry forward from 2007-2008)
March 2009  
Evaluation Framework for PWGSC’s Vendor Performance Policy   Evaluation Framework Planned
(deferred from 2007-2008)
March 2009  

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RCMP External Review Committee

Table - Internal Audits


Name of Internal Audit Audit Type Status Expected Completion Date Electronic Link to Report
1. Participating in a One Pass Planning exercise with the Office of the Auditor General pertaining to an overall One Pass Planning for Public Safety and Emergency Preparedness Canada

audit

Start date: January 2006

2006

n/a

2. The Committee is in the process of an audit by the Office of the Auditor General as part of the ongoing Small Agencies audit

audit

Start date: January 2006

June 7, 2007

n/a

3. The Office of the Comptroller General conducted a horizontal audit of a number of small agencies including the RCMP External Review Committee

audit

Start date:
October 2006

unknown

n/a


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Royal Canadian Mounted Police

Table 11-A: Internal Audits (current reporting period)


Name of Internal Audit
Audit Type
Status
Completion Date
Electronic link to Report
IT Security Framework (Changed from: Technical Departmental Security)
IT Security – Assurance Engagement
Completed May 2007 See Note 1
Pension Plan Financial Statements FY 2005-06
Financial – Assurance Engagement
Completed June 2007 See Note 1
National Security Operations – Criminal Intelligence Management Framework
Operational – Assurance Engagement
Completed July 2007 See Note 1
Real Time Identification (RTID)
IT Project – Assurance Engagement
In Progress Dec. 2008 N/A
Canadian Air Carrier Protection Program
Operational – Assurance Engagement
Completed June 2008 N/A
Recruiting
Operational – Assurance Engagement
In Progress Dec 2008 N/A
PRIME BC
IT Project – Assurance Engagement
Completed Feb. 2008 See Note 1
TEAM
IT Operational – Assurance Engagement
Completed Jan. 2008 See Note 1
Operational Communications Centres Audit
Operational –Assurance Engagement
Completed June 2008 N/A
Staff Relations Representative Program
Operational –Assurance Engagement
In Progress Dec. 2008 N/A
Health Benefit Program

Human Resources – Assurance Engagement

Completed Jan. 2008 See Note 1
Canada Firearm Centre – Financial Statements FY 2006-07

Financial – Assurance Engagement

Completed Jan. 2008 See Note 2
Canada Firearm Centre – Management Control Framework
Operational – Assurance Engagement
In Progress Dec. 2008 N/A

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 web site.

Table 11-B: Evaluations (current reporting period)


1. Name of Evaluation 2. Program Activity 3. Evaluation Type 4. Status 5. Completion Date 6. Electronic link to Report
Balanced Score Card SPPD Impact Evaluation Completed Feb. 2008 N/A
Forensic Imaging Services Review Policing Support Services Program Review Completed Feb.2008 N/A
Integrated National Security Enforcement Teams (INSET) Federal Policing Summative Evaluation Completed June 2008 N/A
Source Development Units (SDU) Policing Support Services / Federal Policing Summative Evaluation Completed June 2008 N/A
Full Potential Program Human Resources Formative Evaluation Completed June 2008 N/A
Shiprider II Federal Policing Summative Evaluation Completed June 2008 N/A
National Anti-Drug Strategy Federal Policing (Advisory) RMAF14 Development – Led by Department of Justice In Progress May 2008 N/A
2010 Olympics Federal Policing (Advisory) RMAF Development – Led by Heritage Canada Completed May 2008 N/A

Customs & Excise (C&E) Program
Federal Policing (Advisory) Formative Evaluation – Advisory to Customs and Excise Program In Progress TBD N/A
Marine Security Operations Center – Coastal Federal Policing (Advisory) RMAF Development – Led by DND In Progress Sept. 2008 N/A
National Child Exploitation on the Internet Policing Support Services (Advisory) Summative Evaluation – Led by Public Safety Canada In Progress July 2008 N/A

Horizontal Performance Framework for Marine Security
Federal Policing (Advisory) Horizontal Evaluation led by Transport Canada In Progress 2009/2010 N/A

Marine Security Enforcement Teams (MSET)
Federal Policing Implementation Evaluation In Progress Dec. 2008 N/A
Canada Firearms Program Policing Support Services Formative Evaluation In Progress Oct. 2008 N/A
RCMP Reserve Program Contract Policing Summative Evaluation In Progress Oct.2008 N/A
Critical Infrastructure Protection (CIP) Program Policing Support Services Summative Evaluation In Progress Oct. 2008 N/A
Aboriginal Policing Services – Contract Divisions Contract Policing Formative Evaluation On-hold TBD N/A
Peacekeeping Re-Entry Program Federal Policing Advisory Withdrawn from Evaluation Plan N/A N/A
Public Safety and Anti-Terrorism Initiatives Federal Policing Strategic Evaluation Planned TBD N/A
Citizenship Inventory Federal Policing Formative Evaluation Risked-out of Evaluation Plan N/A N/A
Recruitment and National Advertising Campaign Human Resources Formative Evaluation Planned March 2010 N/A
Aboriginal Policing Services – Federal Divisions and the North Contract Policing Formative Evaluation Planned 2010 N/A
Community Safety Officer Pilot Contract Policing Formative Evaluation Planned June 2009 N/A
National Counterfeit Enforcement Strategy (NCES) Federal Policing Formative Evaluation Planned March 2009 N/A
7. Electronic Link to Evaluation Plan: Evaluation Plan is not available on the RCMP web site.
Notes:
10The evaluation is in final stage of completion and will be forwarded to the Treasury Board Secretariat once approved by the Audit and Evaluation Committee in June 2008.
11Ibid
12Ibid
13Ibid
14RMAF: Results based Management &Accountability Framework
15May 2008- RMAF has been submitted to TBS by the Department of Justice
16May 2008 RMAF input provided to Heritage Canada to update previous 2006 RMAF
17TBD – Pending availability of C&E Program Personnel
18Advice on framework design has been provided to Transport Canada, with horizontal evaluation anticipated in 2009/2010
19To Be Determined: Writing of this evaluation is currently on hold due to other competing priorities.
20Evaluation agreed to provide consultative services on conducting a survey for the Peacekeeping Re-Entry Program, as a management request. However, the Program determined that the information sought would not be required as initially planned, resulting in the request being withdrawn.

The table below lists significant findings from the above completed evaluations and a synopsis of lessons learned or actions that are being taken as a result:


Finding Lessons
Learned or Corrective Action being taken
Evaluation Report from Table 15-B
In 2007, the Internal Audit, Evaluation and Review Directorate, at the request of the Senior Executive Committee (SEC), conducted an Evaluation of the Balanced Scorecard (BSC). The overwhelming consensus of the Senior Managers interviewed led to the primary recommendation “that the BSC be maintained as the RCMP’s strategic performance management tool.” In total, the BSC Evaluation put forward nine recommendations, which were approved by the Audit and Evaluation Sub-Committee of SEC on February 11, 2008.

 

 

RCMP Commissioner Elliott endorsed the recommendation that the RCMP continue to use the BSC as its performance management tool at a meeting of the Senior Management Team (SMT) on February 20, 2008.
In 2008-2009, the RCMP’s Strategic Policy and Planning Directorate (SPPD) will continue to work to address the remaining recommendations, all of which provide support to the continued use of the BSC.
Balanced Score Card
In 2007, the Internal Audit, Evaluation and Review Directorate, at the request of the Forensic Laboratory Services, provided guidance in conducting a review of the Forensic Science and Identifications Services. The review was in response to a recommendation contained in the May 7, 2007 Report by the Office of the Auditor General of Canada.

The review found that the Laboratories provide excellent service to their clients in a cost-efficient manner and that Forensic Imaging Services be included in the long term vision for Forensic Identification Services Review, remaining under the umbrella of Forensic Identification Service, Forensic Science and Identifications Services.

That a national study be undertaken on the use of Digital photography within the RCMP. The study will evaluate the risks to the organization resulting from
  • Untrained members taking, storing and archiving photographs contrary to policy
  • Printing on a local printer and using these photographs for court purposes
  • Use of digital photography only and eliminating the use of 35mm cameras.
  • Not using colour correction in developing photographs for official purposes
  • The non-maintenance of legacy equipment
Forensic Imaging Services Review

Canada Firearms Centre

Table 8: Internal Audits and Evaluations

Background

The CAFC administers two Contributions Program Funds, the Firearms Funding Program (for Opt-in Provinces) and the Aboriginal and/or Other Communities and Organizations Program (not-for-profit). Terms and Conditions for both of these programs were renewed by TBS in April 2005 for a five year period.

As per the TBS Guidelines, CAFC is required to provide detailed information on transfer payments programs that exceed $5 million for the reporting year. Only the Firearms Funding Program (for Opt-in Provinces) meets this criterion.

Expected Results

The CAFC is committed to providing funding to provinces that choose to administer the Firearms Program on their own. CAFC has developed service delivery models with the provinces for delivery of the Program activities within their jurisdiction. Funding priorities and activities focus on the delivery and administration of the Firearms Act and the associated Canadian Firearms Program. The delivery of the Program includes, but is not limited to, the following activities:

  • Issuance, renewal and revocation of firearms licences
  • Approval of certain transfers of firearms
  • Issuance of authorization to transport (ATT) and authorization to carry (ATC)
  • Inspection of firearms related businesses
  • Approval of shooting ranges
  • Safety education and training.

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

 

Name of Internal Audit Audit Type Status Completion Date Electronic link to Report
Canada Firearm Centre – Financial Statements FY 2006-07 Financial – Assurance Engagement Completed Jan 2008 See Note 1
Canada Firearm Centre – Management Control Framework Operational – Assurance Engagement In Progress Dec 2008 N/A

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

Table 9-C: Evaluations (current reporting period)


1. Name of Evaluation
2. Program Activity
3. Evaluation Type
4. Status
5. Completion Date
6. Electronic link to Report
Canada Firearms Program Policing Support Services Formative Evaluation In Progress Oct 2008 N/A

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Social Sciences and Humanities Research Council

Table 6: Internal Audits and Evaluations

Table 6a) Internal Audits (current reporting period)


Name of Internal Audit Audit Type Status Completion Date ElectronicLink to Report1
Audit of Controls over the Integrity of Information in the Report on Plans and Priorities Internal controls Completed 2007-08  
Audit of the Adequacy, Effectiveness and Efficiency of the Non-Financial Administration of the Fellowships, Scholarships and Prizes Program Transfer payments Completed 2007-08  

Table 6b) Evaluations (current reporting period)


Name of Evaluation Program Activity Evaluation Type Status Completion Date ElectronicLink to Report2
Doctoral Fellowships Fellowships, Scholarships and Prizes Formative/Summative In progress 2008-09  
Canada Graduate Scholarships (CGS) Fellowships, Scholarships and Prizes Formative/Summative In progress 2008-09  
Aboriginal Research Pilot Program Targeted Research and Training Initiatives Formative/Summative Completed 2008 http://www.sshrc-crsh.gc.ca/site/about-crsh/publications/pub_evaluations-eng.aspx
Joint Initiatives Program Mechanism Targeted Research and Training Initiatives Formative/Summative Completed 2007-08 http://www.sshrc-crsh.gc.ca/site/about-crsh/publications/pub_evaluations-eng.aspx
Research/Creation Grants in Fine Arts Pilot program Targeted Research and Training Initiatives Formative/implementation Completed 2007-08 http://www.sshrc-crsh.gc.ca/site/about-crsh/publications/pub_evaluations-eng.aspx
Initiative on the New Economy (INE) Targeted Research and Training Initiatives Summative In progress 2008-09  
Networks of Centres of Excellence (NCE) Research Communication and Interaction Summative Completed 2007-08 http://www.nce.gc.ca/pubs_e.htm

Evaluation Plan: http://www.sshrc-crsh.gc.ca/site/about-crsh/publications/pub_evaluations-eng.aspx

Notes:

1 Recently completed external audit reports will be posted once approved. All posted audit reports can be found in the Publications section of SSHRC’s Web site: http://www.sshrc.ca/web/about/publications/publications_e.asp.

2 Evaluation reports are posted once approved. All posted reports can be found in the Publications section of SSHRC’s website: http://www.sshrc.ca/web/about/publications/publications_e.asp.

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Statistics Canada


Table 4.1 Internal audits
Name of internal audit Audit type Status Completion date Electronic link to report
Audit of 2006 Census Related to Selected Security, Administrative and Quality Practices Financial management

Quality

Human resources
Completed October 2007 http://www.statcan.gc.ca/about-apercu/june-juin2007-eng.htm
Audit of Central Regional Office (Toronto) Administrative Processes Human resources Completed December 2007 http://www.statcan.gc.ca/about-apercu/aug-aout2006-eng.htm
Audit of Asset Protection and Life Cycle Management Financial management In progress Fall 2008
Audit of Confidentiality of Sensitive Statistical Information Protection of sensitive statistical information In progress Winter 2008
… not applicable


Table 4.2 Statistics Canada schedule of quadrennial program reviews (QPRs) and biennial program reports (BPRs)
Program 2007/2008 Status 2008/2009 2009/2010 2010/2011
1. Economic Statistics
1.1.1.1 Agriculture BPR Complete QPR
1.1.1.2 Science, Innovation and Electronic Information BPR Complete QPR
1.1.1.3 Small Business and Special Surveys BPR QPR
1.1.1.4 Transportation BPR Complete QPR BPR
1.1.2.1 Manufacturing, Construction and Energy BPR QPR
1.1.2.2 Distributive Trades QPR Complete ... BPR
1.1.2.3 Service Industries QPR BPR
1.1.3.1 Prices BPR In progress QPR
1.1.3.2 International Trade BPR Complete  … QPR
1.1.3.3 Investment and Capital Stock QPR Complete BPR
1.1.3.4 Industrial Organization and Finance  QPR BPR
1.2.1.1 Income and Expenditure Accounts BPR Complete QPR BPR
1.2.1.2 Industry Measures QPR BPR
1.2.1.3 Balance of Payments QPR In progress BPR
1.2.1.4 Public Institutions QPR Complete BPR
1.2.1.5 Input–Output QPR  BPR
1.2.1.6 Environment Accounts and Statistics BPR ... QPR
1.2.2 Analytical Studies  QPR BPR
2. Social Statistics
2.1.1.1 Culture, Tourism and the Centre for Education Statistics BPR QPR
2.1.1.2 Health Statistics1  … BPR QPR
2.1.1.2 Physical Health Measures1 BPR QPR
2.1.2.1 Special Surveys QPR Complete BPR
2.1.2.2 Income Statistics BPR Complete QPR
2.1.2.3 Labour and Household Surveys Analysis BPR QPR
2.1.2.4 Labour Statistics QPR Complete BPR
2.1.3 Small Area Data2 BPR QPR
2.1.4 Canadian Centre for Justice Statistics QPR Complete BPR
2.1.5 Socio-Economic and Business Analysis QPR In progress BPR
3. Census Statistics
3.1.1 Census of Agriculture BPR Complete QPR
3.1.2 Demography BPR Complete QPR
3.1.3 Small Area Data2 BPR QPR
3.1.4 Housing, Family and Social Statistics BPR Complete QPR
3.1.5 Census Operations and Management3
3.1.6 Aboriginal Statistics BPR Complete QPR
4. Corporate Services
4.1.1 Human Resources BPR Complete QPR
4.1.2 Data Access and Control Services BPR QPR
4.1.3 Finance, Planning and Evaluation4 QPR Complete ... BPR ...
4.1.3 Internal Audit4  … QPR  BPR
4.1.4 Communications and Library  … BPR  QPR
4.1.5 Administrative Support Services  … QPR  BPR
5. Corporate Infrastructure Services5
Enterprise Statistics QPR Complete BPR
Methodology BPR Complete QPR
Tax Data BPR QPR
Informatics Technology Services BPR QPR
Business Register QPR BPR
Standards BPR QPR
Geography QPR Complete BPR
Systems Development QPR BPR
Operations and Integration BPR Complete QPR
Operations Research and Development QPR BPR
Marketing and Information Services BPR QPR
Regional Operations QPR BPR
… not applicable
QPR = quadrennial program review.
BPR = biennial program report.
1. Sub-sub activity 2.1.1.2 is covered by two separate evaluations.
2. The Small Area Data subactivity is linked to both the Social Statistics and Census Statistics program activities.
3. The Census of Population is evaluated in many ways. For example, the most recent Census was the subject of an in-depth audit performed by the Office of the Auditor General; it was also the subject of an internal audit; and the robustness of the security of its information technology systems was assessed by independent contractors.
4. Sub-activity 4.1.3 is covered by two separate evaluations.
5. This grouping comprises costs that cannot be linked to a specific program subactivity as all the corporation benefits from these services.
Notes: Programs are from the Program Activity Architecture.

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Supreme Court of Canada

Internal Audits and Evaluations


Name of
Internal Audit 
Audit
Type
Status
Audit of Information
Technology Infrastructure
Assurance Audit
In-process


Name of
Internal Audit 
Completion
Date
Electronic Link to Report
Audit of Information
Technology Infrastructure
May 31, 2008

The purpose of this audit was to provide the Registrar with an independent and objective assessment of the Court’s IT (Information Technology) Infrastructure. Criteria used to assess the audit objectives were taken from Control Objectives for Information and related Technology (COBIT® - Version 4.0).

The scope of the audit included all aspects of the Court’s IT infrastructure, except for application development and maintenance; security penetration was covered by the audit in that auditors concluded that a reasonable level of reliance could be put on internally conducted intrusion detection/penatration testing. The audit was conducted between December 20, 2007 and March 31, 2008, and the report was approved in May 2008.

The key findings of this audit included:

1. The IM/T Business Plan is linked to the LISS Sector Business Plan and therefore auditors conclude that the vision and strategy for IT supports the Court’s business strategy and government-wide directions.

2. Accountabilities, roles and responsibilities relating to the Court’s IT infrastructure are defined, understood and effectively acted upon however the IT Security Coordinator currently performs two contradictory roles: one role is to establish firewall rules and the other role is to monitor the firewall activity.

3. There is an effective IT governance structure. Auditors conclude that the Court’s governance structure for managing its IT infrastructure is established and effective in setting priorities for IT investments and resources, and IT investment plans are integrated into the corporate pland ans processes.

4. The Court’s IT infrastructure is reliable since backups are performed on a regular schedule and network monitorintg is being conducted. However there is no approved documented Business Continuity Plan and although network monitoring is being conducted auditors noticed that there is a third party allowed to access the SCC network.

5. Some risks to the IT infrastructure are appropriately identified and managed with a Draft Modernization Risk Management Plan. However, there have been not Threat and Risk Assessments conducted on systems, services and programs.

6. IT policies have been created to support the IT strategy and these policies were communicated to Court staff. Therefore auditors conclude that effective controls are in place such that activities and actions supporting the management of the IT infrastructure are in compliance with some applicable Treasury Board Secretariat and Court policies, directives, standards and procedures, particularly the new Policy on Management of IT promulgated on July 1, 2007, the Enhanced Framework for the Management of Information Technology Projects, and the MITS Policy. However since no Threat and Risk Assessments have been conducted the SCC is not in full compliance with MITS.

7. Performance related to the Court’s managment of IT is measured on an ongoing basis however there are no reports showing IT service preformance compared to approved service levels.

8. There are Quality Management (QM) items currently being implement but there is no documentation to ensure that IT has adequate measurements for monitoring Quality Management Systems and there is no distinct development, testing and production environment at SCC. Therefore auditors conclude that some aspects of quality and continuous improvement to the management of IT are fostered in the Court’s control process.

Except as noted above, auditors can provide assurance that the Court’s infrastructure management and control framework is effective. There are some areas where current practices and processes could be improved to further strengthen the Court’s IT infrastructure. The observations and recommendations of the report address these areas of concern. The Court management has accepted all of the recommendations and has put in place an action plan to implement them in the short-term.

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The National Battlefields Commission

Table 6: Internal Audits and Evaluations

Table "Internal Audits and Evaluations"

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. There are no other current or planned internal audits or verifications by the Office of the Comptroller General or the NBC.

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.

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Transport Canada

Table 14: Internal Audits and Evaluations

Internal Audits (current reporting period)
Name of Internal Audit Audit Type Status Completion Date Electronic Link to Report
Audit of Departmental Vehicle Use Core Management Controls Completed June 2007 http://www.tc.gc.ca/corporate-services/aas/audit/2005/1577-05-007/menu.htm
Audit of the Quality Assurance Function
Within Safety and Security
Core Management Controls Completed June 2007 http://www.tc.gc.ca/corporate-services/aas/audit/2006/1577-06-107/menu.htm
Audit of Airports Capital

Assistance Program (ACAP)

Audit of selected ACAP Projects

Transfer

Payment

Completed December 2007 http://www.tc.gc.ca/corporate-services/aas/audit/2006/1577-06-101/menu.htm
Audit of Acquisition Cards Core Management Controls Completed December 2007 http://www.tc.gc.ca/corporate-services/aas/audit/2005/1577-05-006/menu.htm
Audit of Account Verification Practices Governing payments to CN Pursuant to the Victoria Bridge Contribution Agreement Transfer Payment In Progress 2008-2009 Not applicable
Audit of Information for Decision Making Core Management Controls In Progress 2008-2009 Not applicable
Audit of Travel Core Management Controls In Progress 2008-2009 Not applicable
Audit of Marine Security Contribution Program Transfer Payment In progress 2008-2009 Not applicable
Audit of Rail and Urban Transit Security Contribution Program Transfer Payment In progress 2008-2009 Not applicable

Completed Evaluations (current reporting period)


Name of Evaluation Program Activity Completion Date Electronic Link to Report
Evaluation of the Rail Safety Program Policies, Rulemaking, Monitoring and Outreach in support of a safe and secure transportation system April 2007 http://www.tc.gc.ca/corporate-services/des/reports/2007/railsafety/
menu.htm
Marine Security Policies, Rulemaking, Monitoring and Outreach in support of a safe and secure transportation system 2007 http://www.tc.gc.ca/corporate-services/des/reports/2007/marine/menu.htm
Confederation Bridge Policing Service Program Policies, Programs and Infrastructure in support of a market-based framework August 2007 http://www.tc.gc.ca/programevaluation/
reports/confederation/confederation_bridge
_2007.htm
Labrador Coast Airstrips Restoration Program Policies, Programs and Infrastructure in support of a market-based framework August 2007 http://www.tc.gc.ca/programevaluation/
reports/labrador/menu.htm
Port Divestiture Program Policies, Programs and Infrastructure in support of a market-based framework October 2007 http://www.tc.gc.ca/programevaluation/
reports/port_divestiture/menu.htm
Air Cargo Security Program Policies, Rulemaking, Monitoring and Outreach in support of a safe and secure transportation system March 2008 Available soon
Passenger Rail and Urban Transit Security Policies, Rulemaking, Monitoring and Outreach in support of a safe and secure transportation system December 2007 Available soon
Link to Departmental Evaluation Services Reports: http://www.tc.gc.ca/corporate-services/des/menu.htm

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Transportation Safety Board of Canada

Financial Table 6: Response to Internal Audits


Title of the Internal
Audit
Status Date completed Electronic Link to the Report
Value for Money Audit of Air France Investigation Deployment Phase Completed December 2006 Air France
Compliance Audit of
Availability of Work Tools
in Both Official Languages
Completed April 2007 Availability of Bilingual Work Tools
Audit of Overtime
Expenditures
In Progress Planned for
August 30, 2008
 

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Treasury Board of Canada Secretariat

Table 9: Internal Audits and Evaluations

Internal Audits (current reporting period)

Over the past year, the Secretariat undertook significant efforts to strengthen and stabilize internal audit capacity and delivery processes. An annual review of the three-year Risk-Based Audit Plan was approved in the spring of 2008. Internal audit engagements, as identified in the 2008-09 Report on Plans and Priorities, are underway.

Other projects include a review of Translation and Editing Services and selected testing of Accounts Payable.

Evaluations (current reporting period)

A one-year Risk-Based Evaluation Plan was approved in September 2007. The Secretariat has focussed much attention on strengthening evaluation capacity in anticipation of requirements under the proposed Treasury Board Policy on Evaluation.

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Veterans Affairs Canada

Table 14a: Internal Audits (reporting period 2007- 08)



Name of Internal Audit Audit Type Status Completion Date Electronic Link to Report
Administered Accounts Phase II Assurance Audit Completed November 2007 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Management of Information Technology Security - MITS Information Technology Security Controls Audit Completed November 2007 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Contracting Contract Administration - Financial Management Completed December 2007 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Assessment of the 2004-2006 Sustainable Development Strategy Assessment of SDS Completed October 2007 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Follow-up to the Audit/Evaluation of Residential Care - Ontario Region VAC Program Audit Completed December 2007 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Follow-up to the July 2006 Administered Accounts Phase I Follow-up Completed November 2007 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Management Letter of the OAG Public Accounts 2005-06 Follow-up Completed November 2007 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Post Payment Verification Assurance Audit In progress August 31, 2008  
Financial Management and Controls - Phase II Assurance Audit In progress August 31, 2008  
Outsourcing of Health Claims Administration Enhanced Follow-up In progress September 30, 2008  
Residential Care - Phase II Atlantic Region VAC Program Audit In progress December 31, 2008  
Ste. Anne's Hospital - Capital Renovation Assurance audit In progress December 31, 2008  
Conflict of Interest Assurance audit In progress March 31, 2009  

Significant findings from Audits

A Contracting Audit Report was released in December 2007. In addition to examining traditional contracts, the audit scope also included other forms of procurement used within the Portfolio such as local purchase orders, call-ups against standing offers, temporary help and acquisition card purchases.

Some of the more significant recommendations contained in the audit report included a need to:

  • develop clear policies and procedures for the various procurement tools used;
  • conduct a review and improve overall administration of contracting for medical services;
  • establish a process to allow for improved tracking of contract expenditures;
  • establish a process to ensure that appropriate security clearances are obtained for all service contracts;
  • redefine the role of the Contract Review Board;
  • enhance functional management of procurement and contracting activities; and
  • review systems used for recording procurement information.

A follow up audit has not yet been carried out to assess the corrective action taken to address the audit findings. Managers responsible for addressing the recommendations have indicated that they accept the audit findings and that steps are being taken to implement the Management Action Plans. The audit report will result in improved contracting and procurement practices throughout the Portfolio.


Table 14b: Evaluations (reporting period 2007- 08)



Name of Evaluation Program Activity Evaluation Type Status Completion Date Electronic Link to Report
Organizational Governance Volume III - Western Region 1.1 Pensions, Awards, and Allowances for Disability and Death; and Financial Support

1.2 Health Care and Re-establishment Benefits and Services
Review Completed October 2007 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Organizational Governance Volume IV - Veterans Review & Appeal Board 3.1 Veterans Review and Appeal Board redress process for disability pensions and awards Review Completed November 2007 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Evaluation Framework for the New Veterans Charter 1.1 Pensions, Awards, and Allowances for Disability and Death; and Financial Support

1.2 Health Care and Re-establishment Benefits and Services
Evaluation Framework Completed March 2008 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Canada Remembers - Partnerships Contribution Program 2.1 Remembrance Programming Summative Evaluation In progress May 31, 2008  
War Veterans Allowance 1.1 Pensions, Awards, and Allowances for Disability and Death; and Financial Support Targeted Evaluation (Limited Scope) In progress August 2008  
SAU/TAC Business Case 1.1 Health Care and Re-establishment Benefits and Services Management Assist In progress August 2008  
Canada Remembers - Funerals and Burials 2.1 Remembrance Programming Targeted Evaluation (Summative) In progress September 2008  
Operational Stress Injury Clinics 1.2 Health Care and Re-establishment Benefits and Services Targeted Evaluation (Formative) In progress September 30, 2008  

Table 14b: Evaluations (reporting period 2007- 08)



Name of Evaluation Program Activity Evaluation Type Status Completion Date Electronic Link to Report
Organizational Governance Volume III - Western Region 1.1 Pensions, Awards, and Allowances for Disability and Death; and Financial Support

1.2 Health Care and Re-establishment Benefits and Services
Review Completed October 2007 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Organizational Governance Volume IV - Veterans Review & Appeal Board 3.1 Veterans Review and Appeal Board redress process for disability pensions and awards Review Completed November 2007 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Evaluation Framework for the New Veterans Charter 1.1 Pensions, Awards, and Allowances for Disability and Death; and Financial Support

1.2 Health Care and Re-establishment Benefits and Services
Evaluation Framework Completed March 2008 www.vac-acc.gc.ca/general/sub.cfm?source=department/reports/deptaudrep
Canada Remembers - Partnerships Contribution Program 2.1 Remembrance Programming Summative Evaluation In progress May 31, 2008  
War Veterans Allowance 1.1 Pensions, Awards, and Allowances for Disability and Death; and Financial Support Targeted Evaluation (Limited Scope) In progress August 2008  
SAU/TAC Business Case 1.1 Health Care and Re-establishment Benefits and Services Management Assist In progress August 2008  
Canada Remembers - Funerals and Burials 2.1 Remembrance Programming Targeted Evaluation (Summative) In progress September 2008  
Operational Stress Injury Clinics 1.2 Health Care and Re-establishment Benefits and Services Targeted Evaluation (Formative) In progress September 30, 2008  

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Western Economic Diversification Canada

Table 10: Internal Audits and Evaluations

Internal Audits (current reporting period)


Name of Internal Audit Audit Type Status Expected Completion Date Electronic Link to Report
Audit of Hospitality Management Audit Completed November 2007 http://www.wed.gc.ca/eng/9887.asp
Audit of travel Management Audit Completed November 2007 http://www.wed.gc.ca/eng/9872.asp
Audit of the administration of grants and contributions Management Audit Completed July 2007 http://www.wed.gc.ca/eng/9597.asp
Follow up on completed audits Follow up review Completed May 2008 http://www.wed.gc.ca/eng/10458.asp
Audit of Loan and Investment Program Program Audit Completed February 2008 http://www.wed.gc.ca/eng/10485.asp
Audit of Women’s Enterprise Initiative Program Audit Completed February 2008 http://www.wed.gc.ca/eng/10443.asp
Governance and performance audit Management Audit Completed August 2008 http://www.wed.gc.ca/eng/10709.asp
Audit of International Trade Personnel Program Management Audit Completed August 2008 http://www.wed.gc.ca/eng/10700.asp
Audit of First Jobs in Science and Technology Management Audit Completed August 2008 http://www.wed.gc.ca/eng/10683.asp
Key Financial Controls Audit Management Audit In progress Fall 2008  
Electronic link to three-year risk-based Audit Plan:  http://www.wed.gc.ca/eng/10533.asp

Evaluations (current reporting period)


Name of Evaluation Program Activity Evaluation Type Status Completion Date Electronic Link to Report
Community Futures Program - Business Development and Entrepreneurship

- Community Economic Planning, Development and Adjustment

Summative In-progress - December 2008

- National roll up report: March 2009.

 
Western Diversification Program - Business Development and Entrepreneurship

- Innovation

- Community Economic Planning, Development and Adjustment

-  Advocacy; Collaboration and Coordination; Research and Analysis

Summative Completed and approved by management November 2008 Not posted on the web yet
Asia Pacific Initiative-Horizontal Initiative led by Transport Canada - Research and Analysis.

- Infrastructure

Implementation Review In progress October 2008

 

U.S Enhanced Representation Initiative-Horizontal Initiative led by DFAIT - Business Development and Entrepreneurship -  Advocacy; Collaboration and Coordination Summative evaluation of the U.S. Enhanced Representation Initiative.  Completed and approved by management Completed and approved Feb. 08 Not posted on the web yet.
Municipal Rural Infrastructure Fund-Horizontal Initiative Led by INFC. - Infrastructure Formative Completed March 2008 http://www.infrastructure.gc.ca/pd-dp/eval/ffe-mrif-2008-eng.html
Electronic link to  five-year risk-based Evaluation Plan:  http://www.wed.gc.ca/eng/10519.asp