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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