Aboriginal Affairs and Northern Development Canada (AANDC) and Canadian Polar Commission



Upcoming Internal Audits and Evaluations over the next three fiscal years

A. All Upcoming Internal Audits (2012-2015)


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Income Assistance Program audit Planned 2012-2013
Audit of Management of Negotiated Loans Program audit Planned 2012-2013
Audit of Housing Certification and Ministerial Loan Guarantee Processes Program audit Planned 2012-2013
Audit of Northern Contaminated Sites Program audit Planned 2012-2013
Audit of AANDC Support to the Specific Claims Process Program audit Planned 2012-2013
Audit of Post-Secondary Education Program audit Planned 2013-2014
Audit of the Management of the Strategic Policy Process Internal management Planned 2012-2013
Audit of the Financial Budgeting and Forecasting Internal management Planned 2013-2014
Follow-up audit of INAC implementation of Government of Canada Payroll Interface IT audit Planned Planned
OCG Horizontal Audit of G&Cs MCF Phase 2 Transfer payment Planned 2012-2013
Preliminary Survey of Lands Management Program audit Planned 2012-2013
Audit of Elementary and Secondary Schools Program audit Planned 2013-2014
Post Implementation Audit of Education Information System IT audit Planned 2014-2015
Audit of Community Focused Economic Development Programming Program audit Planned 2013-2014
AANDC Horizontal Audit of Grants and Contribution Transfer payment Planned 2014-2015
Audit of Information Technology Security IT audit Planned 2014-2015
Audit of Financial Reporting Internal Management Planned 2014-2015
Audit of Nutrition North Program audit Planned 2013-2014
Audit of Capacity Development Programs Program audit Planned 2014-2015
Audit of Management of Moneys Program audit Planned 2014-2015
Preliminary Survey of Northern Oil and Gas Program audit Planned 2013-2014

Electronic Link to Internal Audit Plan.

B. All Upcoming Internal Evaluations to be completed over the next three fiscal years (2012-2015)

2012-2013


Name of Evaluation Program Activity Status Expected Completion Date
Impacts of Comprehensive Land Claims Agreements and Self-Government Agreements Treaty Management Planned 2012-2013
Specific Claims Action Plan Co-operative Relationships Planned 2012-2013
Consultation and Engagement Initiatives Consultation and Engagement Planned 2012-2013
Negotiation and Implementation of Self-Government Agreements and Comprehensive Land Claim Agreements Negotiation of Claims and Self Government Planned 2012-2013
Elementary and Secondary Education Elementary and Secondary Education Carry over 2012-2013
Carry over Post-Secondary Education Carry Over 2012-2013
Income Assistance, National Child Benefit Reinvestment and Assisted Living Income Assistance
National Child Benefit Reinvestment Assisted Living		 Planned 2012-2013
Enhanced Prevention Focused Approach for the First Nations Child and Family Services Program in Nova Scotia and Saskatchewan First Nations Child and Family Services Carry Over 2012-2013
Enhanced Prevention Focused Approach for the First Nations Child and Family Services Program in Quebec and Prince Edward Island First Nations Child and Family Services Planned 2012-2013
Indian Moneys, Estates and Treaty Annuities Management of Moneys
Estates Management
Treaty Annuities		 Carry over 2012-2013
Aboriginal Entrepreneurship Aboriginal Entrepreneurship Planned 2012-2013
Activation of Community Assets Activation of Community Assets Planned 2012-2013
First Nations Water and Wastewater Infrastructure Water and Wastewater Infrastructure Planned 2012-2013
International Polar Year Science Initiatives Carry Over 2012-2013
Northern Contaminants Program and Northern Scientific Training Program Northern Contaminants Carry Over 2012-2013
Northern Nutrition Contribution (Implementation Evaluation Nutrition North Planned 2012-2013
Federal Contaminated Sites Action Plan (Horizontal Evaluation with EC lead) Contaminated Sites Planned 2012-2013
Advancing Conservation Interests in the NWT Environmental Management Carry Over 2012-2013
Federal Interlocutor's Contribution Program and Powley: Reconciliation and Management of Métis Aboriginal Rights Métis and Non-Status Indian Organizational Capacity Development
Métis Rights Management		 Planned 2012-2013

2013-2014


Name of Evaluation Program Activity Status Expected Completion Date
Support for First Nations Governments First Nations Governments Planned 2013-2014
Support for Institutions and Organizations including Métis and Non-Status Indian Organizations Institutions and Organizations
Métis and Non-Status Indian Organizational Capacity Development		 Planned 2013-2014
National Aboriginal Achievement Foundation Education Planned 2013-2014
Enhanced Prevention Focused Approach for the First Nations Child and Family Services Program in Manitoba First Nations Child and Family Services Planned 2013-2014
Procurement Strategy for Aboriginal Business Procurement Opportunities Planned 2013-2014
The Aboriginal Economic Development Framework and Strategic Federal Investments and Partnerships Strategic Federal Investments and Partnerships Planned 2013-2014
Environmental Sustainability and Contaminated Sites on Reserve Contaminated Sites on Reserve
Environmental Sustainability		 Planned 2013-2014
Capital Facilities and Maintenance Education Facilities
Housing
Community Infrastructure Assets and Facilities		 Planned 2013-2014
First Nations Infrastructure Fund Community Infrastructure Assets and Facilities Planned 2013-2014
NWT Devolution Political Development and Intergovernmental Relations Planned 2013-2014
Northern Contaminated Sites Contaminated Sites Planned 2013-2014

2014-2015


Name of Evaluation Program Activity Status Expected Completion Date
Impact of Self-Government Agreements Implementation of Modern Treaty Obligations Planned 2014-2015
BC Treaty Related Measures Negotiations of Claims and Self-Government Planned 2014-2015
Treaty Commissions Management of Treaty Relationships Planned 2014-2015
Emergency Management Assistance for Activities On-Reserve Emergency Management Assistance Planned 2014-2015
Northern Governance – Support for Territorial relations and Northern Organizations Political Development and Intergovernmental Relations Planned 2014-2015
Northern Nutrition Contribution (Impact Evaluation) Nutrition North Planned 2014-2015

Electronic Link to Evaluation Plan.

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Agriculture and Agri-Food Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Horizontal Internal Audit of Grants and Contributions II – Recipient Audit Transfer Payment In Progress June 2012
Audit of the Canadian Agriculture Adaptation Program Transfer Payment Planned March 2013 (tentative date)
Deficit Reduction Action Plan-Related Engagement Corporate Planned March 2013 (tentative date)
Audit of Information Management - Records Management Corporate Planned June 2013 (tentative date)
Audit of the AgriMarketing Program Transfer Payment Planned June 2013 (tentative date)
Information Management and Information Technology (IM/IT) Disaster Recovery Audit Corporate Planned March 2014 (tentative date)
Audit of the AgriInsurance Program Transfer Payment Planned March 2014 (tentative date)
Audit of Growing Forward - Federally Funded Programs Transfer Payment Planned March 2014 (tentative date)
Audit of Grants and Contributions Delivery Project Corporate Planned March 2014 (tentative date)
Audit of the Agricultural Greenhouse Gases Program Transfer Payment Planned March 2014 (tentative date)
Audit of AgriRecovery - Agricultural Disaster Relief Program Transfer Payment Planned March 2015 (tentative date)
Audit of Initiatives under the Agricultural Marketing Programs Act Transfer Payment Planned March 2015 (tentative date)
Audit of IM/IT Security Corporate Planned March 2015 (tentative date)
Audit of Business Continuity Planning Corporate Planned March 2015 (tentative date)

Note: The planned audits included in this table are based on the Department's 2012-15 Risk Based Audit Plan which is revised and updated annually.

Electronic Link to Internal Audit Plan (if publicly available): Not available

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
2012-13
Evaluation of Production Insurance (AgriInsurance and Private Sector Risk Management Partnership) (carry-over from 2011-12) Business Risk Management In Progress June 2012
Evaluation of Market Growth
(carry-over from 2011-12)		 Trade and Market Development In Progress June 2012
Evaluation of Environmental Performance Measurement and Reporting Programs Environmental Knowledge, Technology, Information and Measurement In Progress June 2012
Evaluation of Water Infrastructure On-Farm Action In Progress October 2012
Evaluation of Agri-Environmental Science Programs Environmental Knowledge, Technology, Information and Measurement In Progress October 2012
Meta-Evaluation of Cost-Shared Programming (Growing Forward, the Agriculture and Agri-Food Policy Framework) On-Farm Action; Food Safety and Biosecurity Risk Management Systems; Science, Innovation and Adoption; Agri-Business Development In Progress December 2012
Evaluation of Agriculture and Agri-Food Canada Regulatory Programs Regulatory Efficiency Facilitation Planned March 2013
Evaluation of Agri-Innovation and Commercialization Science, Innovation and Adoption Planned March 2013
2013-14
Evaluation of Canadian Agricultural Loans Act Business Risk Management Planned June 2013
Traceability Evaluation Food Safety and Biosecurity Risk Management Systems Planned June 2013
Evaluation of Cattle Slaughter Industry Assistance Agri-Business Development, Food Safety and Biosecurity Risk Management Systems Planned June 2013
Evaluation of Food Safety and Science Food Safety and Biosecurity Risk Management Systems Planned October 2013
Evaluation of Food Safety System Programs Food Safety and Biosecurity Risk Management Systems Planned October 2013
Evaluation of Farm Debt Mediation Service Agri-Business Development Planned October 2013
Evaluation of Canadian Agricultural Adaptation Program Science, Innovation and Adoption Planned March 2014
2014-15
Evaluation of Trade Negotiations and Market Access Trade and Market Development Planned June 2014
Evaluation of Support to Rural Communities and the Development of Co-operatives Rural and Co-operatives Development Planned June 2014
Evaluation of Knowledge and Information Tools Environmental Knowledge, Technology, Information and Measurement Planned June 2014
Evaluation of Slaughter Improvement Program Agri-Business Development Planned October 2014
Evaluation of Sector Competitiveness Trade and Market Development Planned October 2014
Evaluation of Science and Technology Support for Agricultural Innovation Science, Innovation and Adoption Planned October 2014
Evaluation of Hog Related Programs Food Safety and Biosecurity Risk Management Systems Planned March 2015

Note: The planned evaluations included in this table are based on the Department’s 2011-16 Evaluation Plan which is revised and updated annually. The Evaluation Plan may be revised following review and approval by the Departmental Evaluation Committee at the beginning of the upcoming fiscal year.


Electronic link to Evaluation Plan (if available on the departmental Website): Not available

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Atlantic Canada Opportunities Agency



Upcoming Internal Audits and Evaluations over the next three fiscal years (2012-13, 2013-14, 2014-15)

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Atlantic Innovation Fund – Monitoring of Commercial and Non-commercial Projects  Transfer payment  Planned  2012-13 
Community Futures Transfer payment  Planned  2012-13 
Financial Statement Presentation and Supporting Policies  Financial management controls  Planned  2012-13 
Management of Unconditionally Repayable Contributions  Transfer payment  Planned  2012-13 
Performance Management Framework (Horizontal Audit)  Performance measurement  Planned  2012-13 
Internal Control Framework  Financial management controls  Planned  2012-13 
Planning, Budgeting and Forecasting (grants and contributions, operating and maintenance)  Financial management controls  Planned  2012-13 
Post-payment Verification  Transfer payment  Planned  2012-13 
Business Development Program – Monitoring of Commercial Projects  Transfer payment  Planned  2012-13 
International Business Development  Horizontal initiative  Planned  2013-14 
Productivity and Business Skills Initiative  Transfer payment  Planned  2013-14 
Information Management – Record Keeping  Information management  Planned  2013-14 
Regional Economic Development Organizations  Community transfer payment  Planned  2013-14 
Year-end Spending  Financial management controls  Planned  2013-14 

Electronic Link to Internal Audit Plan:  Not available

All upcoming Evaluations over the next three fiscal years

ICF - Innovative Communities Fund
BDP - Business Development Program
CF - Community Futures
AIF - Atlantic Innovation Fund

Name of Evaluation Program Activity Status Expected Completion Date
Evaluability Assessment of Program Sub-activities under Enterprise Development Enterprise Development  Carried over from 2011-12  2012-13 
Evaluation of Community Investment (ICF/BDP)  Community Development  Planned  2012-13 
Evaluation of Community-based Business Development (BDP/CF/ICF)  Community Development  Planned  2012-13 
Evaluation of Innovation and Commercialization (AIF/BDP)  Enterprise Development  Planned  2013-14 
Evaluation of Community Mobilization (BDP/ICF)  Community Development  Planned  2013-14 
Meta-evaluation of Tourism  Enterprise Development, Community Development  Planned  2014-15 
Evaluation of Productivity and Growth (BDP)  Enterprise Development  Planned  2014-15 
Evaluation of International Business Development (BDP)  Enterprise Development  Planned  2014-15 
Evaluation of Atlantic Policy Research Initiative (APRI)  Policy, Advocacy and Coordination  Planned  2014-15 
External Assessment of Evaluation Function  Internal Services  Planned  2014-15 

Electronic link to evaluation plan:  Not available

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Canada Border Services Agency



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Audit reports expected before March 31, 2012
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Process Monitoring Framework Audit In progress 2011-12
Management of IT Security Standards (MITS) – Phase I Audit In progress 2011-12

Audit reports expected in 2012-13
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Training and Learning Audit In progress 2012-13
HR Staffing      Audit In progress 2012-13
Compliance Audit of Staffing Audit In progress 2012-13
Management of Overtime   Control Focus In progress 2012-13
National Targeting Implementation Project Status In progress 2012-13
Trusted Traveller   Control Focus  In progress 2012-13
Refugee Reform Initiative Project Status Planned 2012-13
Marine (Commercial) Control Focus In progress 2012-13
Trade Compliance Preliminary Survey  Planned 2012-13
IT Architecture Audit/Management Planned 2012-13
IT Services Audit/Management Planned 2012-13
Control and Disposal of Goods Seized Under the Customs Act  Follow-up Planned 2012-13

Audit reports expected in 2013-14
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Processes to Share Intelligence Information Internally Audit/Management Planned 2013-14
International Officer Network    Audit/Management Planned 2013-14
Lookout Procedures Control Focus  Planned 2013-14
Courier Programs Audit/Management Planned 2013-14
Immigration Enforcement –Hearings Audit/Management Planned 2013-14
Project Management Audit/Management Planned 2013-14
Arming Initiative Project Status Planned 2013-14
Organization and Classification Control Focus Planned 2013-14
Financial Budgeting, Forecasting and Resource Allocation  Audit/Management Planned 2013-14
Information Technology Pre-requisites Post-Implementation Planned 2013-14
Security Management Framework  Audit/Management Planned 2013-14
eManifest – Phase III   Project Status Planned 2013-14
Ports of Entry Capacity Check Capacity Check Planned 2013-14

Audit reports expected in 2014-15
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Advance Passenger Information Control Focus Planned 2014-15
Traveller Telephone Reporting Control Focus Planned 2014-15
Air Cargo Control Focus Planned 2014-15
Criminal Investigations Audit/Management Planned 2014-15
Values and Ethics Audit/Management Planned 2014-15
HR Systems Information Planned 2014-15
Implementation of Official Languages Action Plan  Follow-up Planned 2014-15
Expenditure Management Compliance Planned 2014-15
Protection and Privacy of Personal Information       Compliance Planned 2014-15
MITS – Phase II            Audit Planned 2014-15
Procurement Service Standards Audit/Management Planned 2014-15
Other Government Departments Single Window Project Status Planned 2014-15
Ports of Entry Capacity Check Capacity Check Planned 2014-15

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Trade Compliance, Tariffs, Origin and Valuation 1.7.2 In progress November 2012
Traveller Processing (Highway and Rail) 1.3 In Progress December 2012
Traveller Processing (Air) 1.3 In Progress December 2012
Doubling Up (Addressing Work Alone Situations) Internal Services Planned March 2013
Trusted Traders 1.2.2 Planned December 2013
Intelligence 1.1.1 Planned December 2013
Postal Program 1.3.5 Planned March 2014
Trade Incentives, Licensing and Registration 1.7.2 Planned March 2014
Assisted Voluntary Returns Pilot 1.5.4 Planned June 2014
Targeting: Traveller 1.1.2 Planned December 2014
Targeting: Commercial 1.1.2 Planned December 2014
Security Screening 1.1.3 Planned December 2014
Export Programs 1.3 Planned December 2014
International and Partnerships Internal Services Planned March 2015
Courier Low-Value Shipments Program 1.3.6 Planned March 2015
Commercial Processing (Air and Marine Modes) 1.3 Planned March 2015
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Canada Industrial Relations Board



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Organizational Audit of Staffing Activities (Public Service Commission) Accountabilities under the Public Service Employment Act Ongoing Report expected to be tabled in the Fall 2012
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Canada Revenue Agency



Internal Audit

Note

An annual risk-based review and update on planned audit engagements may result in modifications to audits to be conducted in 2012-2015.

The following link gives access to all completed audit reports as posted.

Name of the Internal Audit
Audit Type
Status
Expected Completion Date
2011-2012 Selected Fiscal Year-End Procedures
Assurance
In Progress
2012-2013
User Access Management
Assurance
In Progress
2012-2013
2012 Integrated Follow up Report
Follow-up
In Progress
2012-2013
Payments Application
Assurance
In Progress
2012-2013
Financial Monitoring for Administrated Activities
Assurance
In Progress
2012-2013
Audit of Supplier Contracts
Assurance
In Progress
2012-2013
Procurement Accountability Framework
Assurance
In Progress
2012-2013
Electronic Commerce
Assurance
In Progress
2012-2013
IT Change Management
Assurance
In Progress
2012-2013
Management of Accounts Receivable
Assurance
In Progress
2012-2013
Financial Monitoring for Administered Activities
Assurance
In Progress
2012-2013
MOU Revenue Quebec
Assurance
In Progress
2012-2013
Management of Discipline
Assurance
In Progress
2012-2013
Personnel Security Screening Program
Assurance
In Progress
2012-2013
Matching Program for T1 Confidence Validities
Assurance
Planned
2012-2013
Audit of Contract Management
Assurance
Planned
2012-2013
Underground Economy
Follow-up
Planned
2012-2013
Enterprise Risk Management
Assurance
Planned
2012-2013
Internal Investigations
Assurance
Planned
2012-2013
CPP/EI Base Year 2011-2012 Administrative Costs
Assurance
Planned
2012-2013
DCE Server Lifecycle Management
Follow-up
Planned
2012-2013
Local Solutions
Follow-up
Planned
2012-2013
Management of Taxpayer Bankruptcy and Insolvency Workload
Assurance
Planned
2012-2013
Taxpayer Outreach Programs
Assurance
Planned
2012-2013
2012-2013 Fiscal Year End Procedures
Assurance
Planned
2013-2014
Trust Returns Processing (T3)
Assurance
Planned
2013-2014
Risk Assessment in Workload Management
Assurance
Planned
2013-2014
Monitoring Initiatives and Programs
Assurance
Planned
2013-2014
Speciality Audits
Assurance
Planned
2013-2014
Compliance System Redesign
Assurance
Planned
2013-2014
Financial Monitoring Controls – Agency Assets
Assurance
Planned
2013-2014
Data Exchanges with CRA Partners
Assurance
Planned
2013-2014
IT Asset Disposal
Assurance
Planned
2013-2014
Secure Remote Access
Assurance
Planned
2013-2014
Social Media
Assurance
Planned
2013-2014
Financial Monitoring Controls – Agency Activities – Liabilities
Assurance
Planned
2014-2015
2013-2014 Fiscal Year End Procedures
Assurance
Planned
2014-2015
Audit of Procurement Monitoring and Reporting
Assurance
Planned
2014-2015
Procurement Vendor Post Contract Audit
Assurance
Planned
2014-2015
Audit of Contract Bidding and Awards Processes
Assurance
Planned
2014-2015
Certification and Accreditation
Assurance
Planned
2014-2015
Management of Illness and Injury Policy
Assurance
Planned
2014-2015
IT Hardware and Software Procurement
Assurance
Planned
2014-2015
Management of the Agency Intranet
Assurance
Planned
2014-2015
Accounts Receivable – Government Programs
Assurance
Planned
2014-2015
Official Languages Training Contracts – Supplier Compliance
Assurance
Planned
2014-2015

Evaluations

An annual risk-based review and update on planned evaluations may result in modifications to evaluations to be conducted in 2012-2015.

Completed evaluation reports

Name of Evaluation
Program Activity
Status
Expected Completion Date
Business Registration
Assessment of Returns Payment Processing
In Progress
2012-2013
Tax and Charities Appeals
Appeals
In Progress
2012-2013
2012 CAEB Integrated Follow-up
Horizontal
In Progress
2012-2013
External Administrative Correspondence
Horizontal
Planned
2012-2013
Horizontal Compliance Management
Horizontal
Planned
2013-2014
Taxpayer Outreach Programs
Horizontal
Planned
2013-2014
Tax Free Savings Account
Assessment of Returns Payment Processing
Planned
2013-2014
Trust Returns Processing (T3)
Reporting Compliance
Planned
2013-2014
Taxpayer Relief and Service Complaints
Assessment of Returns Payment Processing
Planned
2014-2015
Employer Compliance
Accounts Receivable and Returns Compliance
Planned
2014-2015
Canada Child Tax Benefit
Benefit Programs
Planned
2014-2015
Registered Plans
Assessment of Returns Payment Processing
Planned
2014-2015
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Canada School of Public Service



Upcoming Internal Audits and Evaluations over the next three fiscal years

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


Name of Internal Audit Internal Audit Type Status Expected Completion Date*
Internal Audit of the School's Memorandum of Understanding (Examination and Reporting Phases) Program Planning phase completed 2012-13
Internal Audit of the School's Curriculum Review (full cycle) Program Not started 2012-13
Internal Audit of Leadership Program (full cycle) Program Not started 2012-13
Ongoing Monitoring and Follow-up of Management Action Plans Follow-up Not started 2012-13

* Internal audit plans for 2013-14 will be presented at the DAC meeting planned for May 2012.

B. All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of the Advanced Leadership Program 2.2.0.4 Pending approval of the report Not available
Broadening Access to Canadian Universities 1.3.2.2 Pending approval of the report April/May 2012
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Canadian Centre for Occupational Health and Safety


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

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Canadian Environmental Assessment Agency



Upcoming Internal Audits and Evaluations over the Next Three Fiscal Years



All Upcoming Internal Audits over the Next Three Fiscal Years


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



All Upcoming Evaluations over the Next Three Fiscal Years


Name of Evaluation Program Activity Status Expected Completion Date
No evaluations are planned over the next three fiscal years.
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Canadian Food Inspection Agency



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


2011-2012
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Federal Assistance Program Assurance Completed March, 2011
Fast Track Staffing Process Assurance Completed March, 2011
Resource Management Forecasting Assurance (Review) Completed June, 2011
Real Property Audit Assurance Completed October, 2011
IM/IT Survey and Audit Universe Survey Completed October, 2011
Quarterly Financial Report (Financial Statement Overview) Assurance (Review) Completed October, 2011
IT Operations Audit (CIO Operational Controls) Assurance Completed December, 2011
Federal Assistance Program (FAP) Follow-up Audit Assurance Completed December, 2011
Policy on Internal Control Assurance (Review) Completed December, 2011
Food Safety Action Plan Assurance In progress March, 2012
Safeguarding of 3rd Party Data held by CFIA Assurance Deferred TBD
Traceability Assurance (SUD) Cancelled N/A
HR Survey and Audit Universe Survey In progress March, 2012
HR Audit Assurance Deferred N/A
Contracting & Procurement (Assets and Security Management) Assurance In progress September, 2012
Atlantic Area Office Audit Assurance Suspended N/A
Corrective Action Requests Assurance In progress September, 2012
Export Certificates Audit Assurance In progress March, 2012
Survey of Policy Management Survey In progress March, 2012
Growing Forward MOU Assurance In progress March, 2012
2012-2013 (*)
Quality Management (CVS) Assurance Planned TBD
IM/IT Governance Governance – Follow-Up Audit Assurance Planned TBD
FSAP Assurance (SUD) Planned TBD
Occupational Safety and Health Performance Audit Planned TBD
HR Audit Assurance Planned TBD
Investment Planning – Assets and Acquired Services Assurance Planned TBD
Area TBD Assurance Planned TBD
2013-2014 (*)
Food Labelling Assurance Planned TBD
Feed (CVS) Assurance Planned TBD
IM/IT Assurance Planned TBD
Management of Web Content Assurance Planned TBD
Project Management Framework Assurance Planned TBD
CFIA Data Centre Assurance Planned TBD
HR Audit Assurance Planned TBD
Values, Integrity and Conflict Resolution Assurance Planned TBD
Environment Management System Assurance Planned TBD

Note (*): Audits identified as 'planned' may be subject to change due to shifting of priorities based on the annual evaluation of risk elements. New proposed audit projects for fiscal years 2012-13, 2013-14 and 2014-15 will be approved in 2012.

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of the Regulatory Impact Analysis Statement & Triage Statement Process

Food Safety Program

Animal Health and Zoonotics Program

Plant resources Program

 Cancelled  
Evaluation of the Continuing a Comprehensive Strategy for Managing BSE in Canada, 5-year Funding (mid-term) Animal Health and Zoonotics Program Cancelled  
Evaluation of CFIA's Imported Food Activities1 Food Safety Program Cancelled  
Evaluation of CFIA's Research & Development Programming

Food Safety Program

Animal Health and Zoonotics Program

Plant resources Program

 Delayed  
Lessons Learned: Pandemic H1N1 2009 Pig Farm Outbreak - CFIA Animal Health and Zoonotics Program Completed March 2011
Evaluation of the Food Vulnerability Assessment Capacity-building Project (FVACBP)2 Food Safety Program Completed June 2011
Evaluation of Stakeholders Consultation Processes3 Internal Services Completed October 2011

Interdepartmental Interfaces:

Listeria / Food Borne Illnes

(CFIA Lead)

 Food Safety Program Completed October 2011
Evaluation of Administrative Monetary Penalties (AMPs)

Food Safety Program

Animal Health and Zoonotics Program

Plant resources Program

 Completed December 2011
Evaluation of the Food Consumer Safety Action Plan (CFIA component) Food Safety Program In progress June 2012
Evaluation of CFIA's Enhanced Feed Ban (BSE)

Food Safety Program

Animal Health Zoonotics Program

 In Progress June 2012
Evaluation of CFIA Regulations

Food Safety Program

Animal Health Zoonotics Program

Plant Resources Program

 Planned 2012-2013
Continuing a Comprehensive Strategy for Managing BSE in Canada, 5-year Funding Animal Health and Zoonotics Program Planned 2012-2013
Evaluation of the CFIA Evaluation Function as per Evaluation Policy Internal Services Postponed 2012-2013

Interdepartmental
Lessons learned: Plum Pox Eradication Program (AAFC Lead)4 Plant Resource Program Completed October 2011
Evaluation of the Vancouver 2010 Olympic and Paralympics Winter Games (Canadian Heritage Lead)

Food Safety Program

Animal Health and Zoonotics Program

Plant Resources Program

 In Progress March 2012
BSE I and II Evaluation (Health Canada Lead) Animal Health and Zoonotics Program In progress June 2012

Evaluation of Health Canada's Food Safety Nutrition Quality Program (FSNQ)

(Health Canada Lead)

 Food Safety Program In Progress June 2012
Evaluation of the Federal Contaminated Sites Action Plan (Environment Canada Lead)

Food Safety Program

Animal Health and Zoonotics Program

Plant Resources Program

 In progress March 2013
Evaluation of the Food and Consumer Safety Action Plan (Health Canada lead Department) Food Safety Program Planned 2012-2013

1 Subsumed under the Evaluation of CFIA's Food Safety Action Plan (FSAP)

2 Will not be posted for security reasons

3 This project incorporates the previously planned Evaluation of Regulatory Development Process

4 Formerly the Evaluation of the Plum Pox Eradication Program

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Canadian Grain Commission



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years

The CGC's Internal Audit activity is completing its second year of operation in 2011-12. In the fourth quarter of 2011-12, the first three-year risk-based audit plan is being prepared for approval by the Departmental Audit Committee and Chief Commissioner. The current one-year risk based audit plan includes the following upcoming audits:


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Grain Research Laboratory – Administration Assurance In progress First Quarter 2012-13
Human Resources – Overtime Process Assurance In progress First Quarter 2012-13
Executive – Values and Ethics Code Advisory In progress First Quarter 2012-13
Industry Services – Invoicing Process Assurance Planned Second Quarter 2012-13
Grain Research Laboratory – Breeder Line Testing Assurance Planned Second Quarter 2012-13
Finance – Policy on Internal Control Advisory/Assurance (varies by phase) In progress Fourth Quarter 2012-13
Finance – Financial System Renewal Advisory/Assurance (varies by phase) In progress Fourth Quarter 2013-14

All upcoming Evaluations over the next three fiscal years

The CGC is in the process of establishing a Program Evaluation function, reporting to the Chief Audit Executive, that aligns with the Treasury Board Policy on Evaluation. Commencing a risk-based Evaluation Plan continues to be deferred due to other priorities within the CGC. During the current and next two years, the focus is on enhancing Performance Measurement Strategies to support existing and new program activities, establishing baseline measurements, and developing data sources. Completion of those activities strongly supports the future benefits from the Evaluation function.


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



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

All upcoming Internal Audits (over the next three fiscal years)

This audit list is based on the current March 2012 approved 2012-13 to 2014-15 risk-based audit plan. The plan is revised annually based on departmental needs and emerging priorities. As such, the content of this list could evolve and be subject to change.

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Canada’s Participation in the World Exposition Shanghai 2010 (Expo 2010) Internal Audit In progress 2012-13
Toronto 2015 Pan/Parapan American Games Organizing Committee Contribution Agreements Recipient Compliance Audit Internal Audit In progress 2012-13
Canadian Heritage Information Network (CHIN) Internal Audit In progress 2012-13
Canada Media Fund Internal Audit Planned 2012-13
Management Control Framework of Programs Delivered by Third Parties Internal Audit Planned 2012-13
Compliance to Policy on Internal Control - Phase 2 Internal Audit Planned 2012-13
Departmental Security Audit and Business Continuity Planning Internal Audit Planned 2012-13
Information Technology Security Internal Audit Planned 2012-13
Corporate Services Delivery Strategy (Service Hubs) Internal Audit Planned 2013-14
Major Games and Hosting Unit Internal Audit Planned 2013-14
Aboriginal Affairs Branch Branch Audit Planned 2013-14
Corporate Risk Management Internal Audit Planned 2013-14
Implementation of Grants and Contributions Modernization Internal Audit Planned 2013-14
Compliance to Policy on Internal Control - Phase 3 Internal Audit Planned 2013-14
Celebrations and Commemoration Program Program Audit Planned 2013-14
Toronto 2015 Pan/Parapan American Games Organizing Committee Contribution Agreement Recipient Audit Program Audit Planned 2014-15
Pay Systems Audit Internal Audit Planned 2014-15
Arts Policy Branch Branch Audit Planned 2014-15
Integrated Business Planning Internal Audit Planned 2013-14
Building Communities through Arts and Heritage Program Program Audit Planned 2014-15
Compliance with Policy on Investment Planning and Management of Projects Internal Audit Planned 2014-15
Information Management/Information Technology Governance and Strategic Planning Internal Audit Planned 2014-15
Office of the Comptroller General of Canada Horizontal Audit of the Grants and Contributions Management Control Framework - Phase 2 Horizontal Audit Planned 2014-15

Electronic Link to Internal Audit Plan:

All upcoming Evaluations (over the next three fiscal years)

This evaluation list is based on the current March 2011 approved 2011-12 to 2015-16 risk-based, rolling multi-year evaluation plan. The Plan is revised annually based on departmental needs and emerging priorities. As such, the content of this list could evolve and be subject to change.

Name of Evaluation Program Activity Status Expected Completion Date
Canada Arts Presentation Fund PA 1: Arts Planned 2013-14
Canada Cultural Spaces Fund PA 1: Arts Planned 2013-14
Canada Arts Training Fund PA 1: Arts In progress 2012-13
Canadian Cultural Investment Fund PA 1: Arts Planned 2013-14
Canada Media Fund PA 2: Cultural Industries Planned 2014-15
Canada Interactive Fund PA 2: Cultural Industries Planned 2014-15
Canada Music Fund PA 2: Cultural Industries Planned 2013-14
Canada Book Fund PA 2: Cultural Industries Planned 2013-14
Canada Periodical Fund PA 2: Cultural Industries Planned 2014-15
TV5 PA 2: Cultural Industries In progress 2012-13
Museum Assistance Program and Canadian Museum Association Support PA 3: Heritage Planned 2013-14
Canadian Heritage Information Network PA 3: Heritage Planned 2013-14
Movable Cultural Property PA 3: Heritage Planned 2014-15
Canadian Studies Program PA 4: Promotion of and Attachment to Canada Planned 2014-15
Exchanges Canada Program PA 4: Promotion of and Attachment to Canada Planned 2014-15
Katimavik Program PA 4: Promotion of and Attachment to Canada Planned 2014-15
Youth Take Charge PA 4: Promotion of and Attachment to Canada Planned 2014-15
Celebration and Commemoration Program PA 4: Promotion of and Attachment to Canada In progress 2012-13
International Expositions PA 4: Promotion of and Attachment to Canada Planned 2012-13
Aboriginal Peoples' Program PA 5: Engagement and Community Participation Planned 2014-15
Human Rights Program PA 5: Engagement and Community Participation Planned 2014-15
Official Languages Support Programs (including Development of Official-Languages Communities Program; Enhancement of Official Languages Program; and Young Canada Works - Youth Employment Strategy) PA 6: Official Languages In progress 2012-13
Official Languages Coordination Program (Roadmap) PA 6: Official Languages In progress 2012-13

Electronic link to evaluation plan:

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Canadian Institutes of Health Research



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years

In accordance with Treasury Board Policy on Internal Audit, the Chief Audit Executive performs an annual risk assessment of the CIHR audit universe in order to produce the CIHR Risk-Based Audit Plan. Historically, this plan was based on a five-year period, with the most recent period ending March 31, 2012.  Consistent with policy, at the end of the five year period, the CAE must reconsider the audit universe (which may include adding, deleting or clustering of units) and perform a renewed risk assessment.

The Risk Based Audit Plan for the period from 2012-13 to 2014-15 was approved at the March 21, 2012 meeting of the Audit Committee.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
IT Security Audit Assurance audit of Operations Completed May 2012
Audit of Research Reporting System Assurance audit of Operations In progress November 2012
Core Management Controls Assurance audit of Operations Planned March 2013
Management, Resources and Results Structure Policy Compliance In progress December 2012
Peer Review Process – Scientific Officer Notes Assurance audit of Operations In progress December 2012
Research Commercialization Programs Assurance audit of Operations Planned 2012-13
Information Management Assurance audit of Operations Planned 2013-14
Institute Support Grants Management Framework Assurance audit of Operations Planned 2013-14
Grants & Awards Standard Operating Procedures Assurance audit of Operations Planned 2013-14
Financial Forecasting (OCG Horizontal Audit) Assurance audit of Operations Planned 2013-14
Responsible Conduct of Research Policy Compliance Planned 2013-14
Research Projects and Personal Support Grant Program Assurance audit of Operations Planned 2014-15
Patient-Oriented Research Networks and Support Units Assurance audit of Operations Planned 2014-15
Compliance with Occupational Health and Safety Policy Compliance Planned 2014-15
Grants and Contributions Management Control Framework (OCG Horizontal Audit) Assurance audit of Operations Planned 2014-15

Electronic Link to Internal Audit Plan - N/A

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Research Commercialization Programs Evaluation 1.3.1 Research Commercialization Programs Planned 2012-13
HIV/AIDS Clinical Trials Network Evaluation 1.4.1.1 Strategic Initiatives Planned 2012-13
Evaluation of the Pandemic Preparedness Strategic Research Initiative 1.4.1.4 Pandemic Preparedness Research Initiative In-progress 2012-13
Evaluation of Knowledge Translation Programs 1.4.2 Knowledge Translation In-progress 2012-13
Canada Excellence Research Chairs Evaluation (SSHRC Lead) 1.2.1.3 Canada Excellence Research Chairs Planned 2012-13
Canada Graduate Scholarships Program Evaluation (CIHR Lead) 1.2.2.2 Canada Graduate Scholarships Program Planned 2012-13
Vanier Program Evaluation (CIHR Lead) 1.2.2.3 Vanier Program Planned 2012-13
Networks of Centers of Excellence Program Evaluation (NSERC Lead) 1.3.2.1 Networks of Centers of Excellence Program Planned 2012-13
Business-Led Networks of Centers of Excellence Program Evaluation (NSERC Lead) 1.3.2.2 Business-Led Networks of Centers of Excellence Program Planned 2012-13
Evaluation of the HIV/AIDS Research Initiative (PHAC Lead) 1.4.1.3 HIV/AIDS Research Initiative In-progress 2012-13
Evaluation of the National Anti-Drug Strategy Treatment Research Initiative (Justice Canada Lead) 1.4.1.5 National Anti-Drug Strategy In-progress 2012-13
CIHR Fellowships Program Evaluation 1.2.2.1 Training Support Programs Planned 2013-14
Canadian Longitudinal Study on Aging Evaluation 1.4.1.1 Strategic Initiatives Planned 2013-14
Strategic Training Initiative in Health Research Evaluation 1.4.1.1 Strategic Initiatives Planned 2013-14
Institute Support Grants Evaluation 1.4.1.2 Institute Support Grants Planned 2013-14
Teams and Groups Program Evaluation 1.2.2.1 Training Support Programs Planned 2014-15
International Strategy and Initiatives Evaluation 1.4.1.1 Strategic Initiatives Planned 2014-15

Electronic link to evaluation plan - N/A

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Canadian International Development Agency



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Expected
Completion Date
Corporate governance processes and structures Performance audit September 2012
Values and ethics Performance audit September 2012
Business continuity planning Performance audit March 2013
Change management (decentralization) Performance audit June 2013
Directive project process Compliance audit September 2013
Business systems to support field presence Performance audit September 2013
Integrated risk management Performance audit December 2014
Compliance with contracting policy and regulations Performance audit December 2013
Responsive project process Performance audit March 2014

Internal Audit Plan

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Expected Completion Date
Economic growth and environmental sustainability Canadian engagement for development 2013-2014
Governance Canadian engagement for development 2012-2013
Human development Canadian engagement for development 2014-2015
Afghanistan program Fragile states and crisis-affected communities 2014-2015
Haiti program Fragile states and crisis-affected communities 2012-2013
West Bank/Gaza Fragile states and crisis-affected communities 2013-2014
Bangladesh program Low-income countries 2013-2014
Benin, Burkina Faso, Guinea, and Niger Low-income countries 2014-2015
Bolivia program Low-income countries 2012-2013
DR Congo, Rwanda Low-income countries 2014-2015
Eastern and Southern Africa regional program Low-income countries 2013-2014
Ghana program Low-income countries 2013-2014
Indonesia program Low-income countries 2012-2013
Kenya, Malawi, Nigeria, Zambia, Zimbabwe, South Africa Low-income countries 2014-2015
Mali program Low-income countries 2012-2013
Pakistan program Low-income countries 2012-2013
Pan-African program Low-income countries 2013-2014
Tanzania program Low-income countries 2012-2013
West and Central Africa regional program Low-income countries 2013-2014
Canadian Investment Fund For Africa Low-income countries 2013-2014
Colombia program Middle-income countries 2012-2013
China program Middle-income countries 2014-2015
Cuba, Guatemala, Nicaragua Middle-income countries 2014-2015
Egypt, Jordan, Lebanon, Morocco Middle-income countries 2014-2015
Philippines, Sri Lanka, Nepal and Cambodia Middle-income countries 2014-2015
Regional institutional partnerships / broader Middle East/ North Africa program Middle-income countries 2013-2014
South East Asian regional program Middle-income countries 2013-2014
Caribbean regional program Middle-income countries 2012-2013
African Development Bank Global engagement and strategic policy 2012-2013
Caribbean Development Bank Global engagement and strategic policy 2013-2014
Consultative Group on International Agricultural Research (CGIAR) Global engagement and strategic policy 2014-2015
Global Environmental Facility (GEF) Global engagement and strategic policy 2014-2015
Global Fund for Aids, Tuberculosis and Malaria (GFATM) Global engagement and strategic policy 2013-2014
Inter-American Development Bank Global engagement and strategic policy 2013-2014
International Fund for Agriculture Development Global engagement and strategic policy 2013-2014
Office of the United Nations High Commissioner for Refugees (UNHCR) Global engagement and strategic policy 2014-2015
UNICEF Global engagement and strategic policy 2012-2013
United Nations Population Fund (UNFPA) Global engagement and strategic policy 2014-2015
World Bank Global engagement and strategic policy 2014-2015

Evaluation plan

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Canadian Northern Economic Development Agency



Upcoming Internal Audits and Evaluations over the next three fiscal years

Upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Financial Forecasting Internal Management Planned October 2013
Audit of the Protection of Personal Information Internal Management Planned October 2013

Upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Aboriginal Business Development Program  - Input to Aboriginal Affairs and Northern Development’s (AANDC’s) Evaluation Business Development Planned 2012-2013
Community Economic Development Programs – Input to AANDC’s Evaluation Community Development Planned 2012-2013
CanNor Support for Northern Federal Councils

Community Development

 Planned 2012-2013
Strategic Investments in Northern Economic Development (SINED) – Summative Evaluation  Business Development Planned 2013-2014

Community Adjustment Fund – Review

 Community Development Planned 2013-2014

Canada Business Network

 Community Development Planned 2013-2014
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Canadian Nuclear Safety Commission



Upcoming Internal Audits and Evaluations over the next three fiscal years

Internal Audits

The following activities are included in the CNSC risk-based Audit Plan for the period 2011-12 to 2013-14. This plan is in the process of being reviewed and updated.

The updated plan will be submitted to the CNSC’s Audit Committee in May 2012 for review and recommendation for approval by the CNSC’s President. It is based on the current capacity of the CNSC’s audit function, risk assessments of proposed audit projects, and management responses and action plans for prior audits for follow-up. The revised plan will outline the projects planned for the upcoming three years. Projects undertaken depend on factors such as resources available to the audit function, the scope and complexity of projects, and the CNSC’s emerging issues and priorities.

The Commission has an Audit Committee with three members who are external to the government and two members internal to the Commission. The Committee is chaired by an external member.

Additional information on the CNSC Internal Audits is available on the CNSC Web site.

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date

Participant Funding Program

Recipient Audit

Planned

2012-2013

Compliance-Class I Nuclear Power Plants

Compliance and Management Audit

Planned

2012-2013

Waste and Decommissioning

Compliance and Management Audit

Planned

2012-2013

Expenditure Management-Acquisition Card

Financial and Management Audit

Planned

2012-2013

Public Communication and Outreach

Management Audit

Planned

2012-2013

Inspector Qualification and Training

Management Audit

Planned

2012-2013

Monitoring of action plans from past audits

Monitoring

Ongoing

2012-2013

Continuous Auditing

Financial Audit

Planned

2012-2013

Evaluations

The following evaluations are included in the Evaluation plan approved by the CNSC’s Management Committee in April 2011.  This plan is in the process of being updated for 2012, but is not expected to incorporate significant changes.

As a small agency under the current Treasury Board policy, the CNSC is required to evaluate all transfer payment programs every five years, and to undertake other evaluations directed by the President or by Treasury Board. These evaluations are based on an assessment or management needs and other factors such as risk.

Evaluations are undertaken internally by staff of the Head of Evaluation (the Director-General of Strategic Planning), who reports directly to the President on matters pertaining to evaluation. The President is advised by members of the Evaluation Committee, who are members of the CNSC’s Management Committee.

All upcoming Evaluations over the next three fiscal years


Evaluation Planned 2012-2013 2013-2014 2014-2015

Contribution to Nuclear Standards Program

     Evaluation
NEA Contribution Agreement Evaluation    
Research and Support Program Transfer Payments   Evaluation  
Multinational Design Evaluation Program Contribution Evaluation    
Power Reactor Regulatory Program   Evaluation  
Uranium Exploration Evaluation    
Participant Funding Program     Evaluation
DNSR Inspection Program   Evaluation  
Inspection Program     Evaluation
Corporate/Business Planning Process   Evaluation  
IM/IT Program     Evaluation

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

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Canadian Space Agency



Upcoming Internal Audits and Evaluations over the next three fiscal years

Audits


Name of Internal Audit Type Status Completion Date Electronic Link to Report
International Space Station Assembly and Maintenance Operations Program Compliance / Management Framework In Progress June 2013 N/A
Intellectual Property and Technology Transfer Compliance / Management Framework Planned March 2013 N/A
Elaboration Process of the Investment Plan Compliance / Management Framework Planned March 2013 N/A
Grants and Contributions Compliance Planned March 2013 N/A
Earth Observation Missions Program – RCM Management Framework Planned March 2013 N/A
Corporate Office of Project management Management Framework Planned March 2013 N/A
Risk Management Framework Management Framework Planned March 2013 N/A
IT Security Management Framework Planned March 2013 N/A
Advanced Exploration Technology Development Program – Economic Action Plan Management Framework Planned March 2013 N/A
Governance Processes (monitoring and review of priorities) Management Framework Planned March 2014 N/A
Work Relation Management Framework Planned March 2014 N/A
Space Astronomy Missions and Planetary Missions Programs Management Framework Planned March 2014 N/A
Satellite Operations Program Compliance / Management Framework Planned March 2014 N/A
Contracting and Acquisition Management Management Framework Planned March 2014 N/A
Management Framework of the Grants and Contributions Phase 2 Horizontal Internal Audit Planned March 2014 N/A
Budgeting, Oversight and Reallocation of Resources Processes Management Framework Planned March 2014 N/A
Elaboration Process of the Performance Measurement Framework Management Framework Planned March 2014 N/A
The Risk Based Audit Plan is presently under revision; therefore, the audits that will be undertaken in fiscal year 2014-2015 have not yet been identified.

Evaluations


Name of Evaluation Program Activity Status Completion Date Electronic Link to Report
Evaluation Scientific Missions and Scientific Data utilization programs 1.1.1.3 / 1.1.3.3 In progress March 2013 N/A
Evaluation of Communication Missions and Communication Services Utilization programs 1.1.1.2 / 1.1.3.2 Planned March 2014 N/A
Evaluation of Earth Observation Missions Program 1.1.1.1 Planned March 2014 N/A
Evaluation of Class Grant and Contribution Program to support Research, Awareness and Learning in Space Science and Technology 1.3.1.1 Planned March 2015 N/A
Evaluation of International Market Access Program 1.3.2.1 Planned March 2015 N/A
Evaluation of ISS Assembly and Maintenance Operations program 1.2.1.1 Planned March 2015 N/A
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Canadian Transportation Agency



Upcoming Internal Audits and Evaluations over the next three fiscal years

Upcoming Internal Audits

The Agency has no plans to undertake any internal audits over the next three fiscal years.  The Agency will participate in one or more Small Departments and Agencies horizontal audits undertaken by the Office of the Comptroller General (OCG). The Agency also expects to be selected for a core control audit in the next three fiscal years.  The Agency's Internal Audit Advisory Committee assesses the Agency's audit requirements, reviews OCG horizontal audit findings and recommendations, and directs and oversees implementation of corrective actions.

Upcoming Evaluations


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of the performance of all program business processes. Organizational Planned 4th Quarter of 2012–2013
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Citizenship and Immigration Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

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

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

In accordance with the Policy on Internal Audit, the Department carries out audits based on plans approved by the Departmental Audit Committee. The list of planned audit projects included here are from the 2011–2014 approved multi-year risk-based audit plan and are therefore subject to change as the 2012–2015 multi-year risk-based audit plan is finalized.

Audits that are currently under way or planned for 2012–13 include the following:


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Contracting Practices within CIC Audit of Functional Area In progress 2012–13
Audit of the Immigration Program in Missions Abroad (Bogotá) Mission Audit In progress 2012–13
Audit of the Immigration Program in Missions Abroad (Mexico) Mission Audit In progress 2012–13
Audit of Information Technology Business Continuity Planning Audit of Administrative Process Planned 2012–13
Enhanced Follow-up of the Audit of the Administration of the Settlement Program Program Audit Planned 2012–13
Enhanced Follow-up of the Audit of the Administration of the Resettlement Assistance Program Program Audit Planned 2012–13
Audit of the Immigration Program in Missions Abroad (Nairobi) Mission Audit Planned 2012–13
Follow-up and Monitoring of Prior Year Audit Recommendations related to:
  • reports by the Office of the Auditor General of Canada;
  • reports by the Office of the Comptroller General of Canada; and
  • reports by Internal Audit.
 Other Audit-related Activities Planned 2012–13

Electronic Link to Internal Audit Plan: CIC has not publicly released its internal audit plan.

B. All upcoming Evaluations over the next three fiscal years

CIC maintains an effective evaluation function to provide the Department with objective, timely and evidence-based findings, conclusions and recommendations on the relevance and performance of programs, policies and initiatives, including conducting evaluations of the main grants and contributions programs. The following list of planned evaluations is based on CIC’s multi-year departmental evaluation plan and is organized according to the CIC Program Activity Architecture. The departmental evaluation plan is updated annually and has been developed according to Treasury Board policies and standards.


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of Ministerial Instructions 1.1 Permanent Economic Residents In progress 2011–12∗
Evaluation of the Business Immigration Program
(includes Quebec Business Immigrants)		 1.1 Permanent Economic Residents In planning 2012–13
Evaluation of the Canadian Experience Class Program 1.1 Permanent Economic Residents Planned 2013–14
Evaluation of the Temporary Foreign Worker Program
(joint with Human Resources and Skills Development Canada) (includes Live-in Caregiver Program)		 1.2. Temporary Economic Residents In progress 2012–13
Evaluation of Family Reunification—Spouses, Partners and Children 2.1 Family and Discretionary Immigration In planning 2013–14
Evaluation of Family Reunification—Parents and Grandparents 2.1 Family and Discretionary Immigration In planning 2015–16
Evaluation of Humanitarian and Compassionate and Public Policy Considerations 2.1 Family and Discretionary Immigration Planned 2015–16
Evaluation of the Recruitment and Integration of French-speaking Immigrants to Francophone Minority Communities Program 3.1 Settlement and Integration of Newcomers In progress 2011–12*
Evaluation of the Grant to Quebec 3.1 Settlement and Integration of Newcomers In progress 2011–12*
Evaluation of the Foreign Credentials Referral Office 3.1 Settlement and Integration of Newcomers In progress 2012–13
Evaluation of Orientation Abroad activities
(including Canadian Orientation Abroad program)		 3.1 Settlement and Integration of Newcomers In progress 2012–13
Evaluation of the Settlement Program 3.1 Settlement and Integration of Newcomers Planned 2016–17
Evaluation of Citizenship Awareness 3.2 Citizenship for Newcomers and All Canadians In planning 2012–13
Evaluation of Citizenship Acquisition, Confirmation and Revocation 3.2 Citizenship for Newcomers and All Canadians In planning 2012–13
Evaluation of the Multiculturalism Program 3.3 Multiculturalism for Newcomers and All Canadians In progress 2011–12*
Evaluation of Historical Recognition Programs 3.3 Multiculturalism for Newcomers and All Canadians In planning 2012–13
Evaluation of Health Screening 4.1 Health Management Planned 2014–15
Evaluation of Visitors Visa (including Visa Policy) 4.2 Migration Control and Security Management In progress 2011–12*
Evaluation of the Permanent Resident Card Program 4.2 Migration Control and Security Management Planned 2014–15
Evaluation of the Biometrics Initiative 4.2 Migration Control and Security Management Planned 2016–17
Evaluation of the Migration Policy Development Program 4.3 Canadian Influence in International Migration and Integration Agenda Planned 2012–13
Evaluation of Canada’s Membership in the International Organization for Migration 4.3 Canadian Influence in International Migration and Integration Agenda Planned 2015–16

Horizontal Initiatives

Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of the Roadmap for Canada’s Linguistic Duality 2008–2013
(Canadian Heritage lead)		 Operating Fund/ Contribution Planned 2012–13
Evaluation of the War Crimes and Crimes Against Humanity Program
(Justice Canada lead)		 Operating Fund/ Contribution Planned 2014–15

* Report to be published in fall of 2012.

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Correctional Service Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

Audit Plan 2012-13 – 2014-15

Upcoming Internal Audits over the next three fiscal years.

The plan will be revised periodically taking into account potential changes in the risk environment.

All upcoming Internal Audits over the next two fiscal years

1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Audit of Training Activities (carryover) HR Management In progress April 2012
Audit of Aboriginal Corrections Accountability Framework (carryover) Management and Oversight In progress April 2012
Audit of IT Security – Intrusion Detection (carryover) Information Technology In progress April 2012
Audit of Release Process (carryover) Offender Case Management In progress September 2012
Audit of Offender Population Management (carryover) Institutional Security In progress September 2012
Audit of the HR Grievance Process HR Management Planned September 2012
Continuous Auditing of Internal Controls over Financial Reporting Financial Management In progress September 2012
Audit of Detention Process (carryover) Offender Case Management In progress November 2012
Audit of Medication Management Institutional Health Services In progress November 2012
National Emergency Preparedness Management and Oversight Planned January 2013
Follow up Audit of Exit and Entry Institutional Security Planned January 2013
Audit of the Investigation Process Management and Oversight Planned April 2013
Audit of Employability Skills Programs for Offenders CORCAN Employment and Employability Planned April 2013
Audit of Machinery and Equipment Acquisitions Real Property Planned April 2013
Audit of the Institutional Management Structure Institutional Management and Support Planned April 2013
Audit of Contraband Control in Institutions Institutional Security Planned June 2013
Audit of Construction Contracting Real Property Planned June 2013
Management of Security Incidents Institutional Security Planned November 2013
Audit of Citizen Engagement Strategy Community Engagement Planned November 2013
Audit of Relocation of Staff Travel / Administrative Services Planned November 2013
Continuous Auditing of Internal Controls over Financial Reporting Financial Management Planned November 2013
Audit of Inmate Movement Institutional Security Planned January 2014
Audit of Aboriginal Reintegration Program Correctional Reintegration Program Planned April 2014
Official Languages and Employment Equity HR Management Planned April 2014
Audit of Long Term Supervision Orders Community Management and Security Planned September 2014
Audit of Community Correctional Centres / Community Based Residential Facilities Community – Based Residential Facilities Planned September 2014
Audit of Accommodation and Infrastructure Planning Real Property Planned September 2014
Audit of Repairs and Maintenance Materiel Planned December 2014
Audit of Strategic Planning / Integrated Risk Management Management and Oversight Planned March 2015
Review of Truth in Sentencing Act Implementation Financial Management Planned March 2015

Electronic Link to Internal Audit Plan:
http://www.csc-scc.gc.ca/text/pa/iapp-toc-eng.shtml#p2

Evaluation Plan 2012-13 – 2014-15

All upcoming Evaluations over the next three fiscal years (2012-13 – 2014-15)*

1. Name of Evaluation 2. Program Activity 3. Status 4. Expected Completion Date
Community Corrections Operations Community Supervision In progress September 2012
Strategic Plan for Aboriginal Corrections Custody In progress May 2012
Federal Contaminated Sites Action Plan Horizontal Evaluation Internal Services In progress March 2013
Federal Initiative to Address HIV/AIDS in Canada Custody In progress December 2013
Institutional Security – Intelligence & Supervision Custody In progress December 2013
Institutional Security – Perimeter and Visitors Control Custody Planned April 2014
Offender Education Correctional Interventions Planned December 2013
Institutional Mental Health and Community Health Services Custody Planned December 2014

*Note: Scheduled evaluations and dates subject to change

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Courts Administration Service



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years

The following audits are planned for the upcoming year (2012-13). The Risk-Based Audit Plan 2012-2017 will be presented for approval in May 2012 and will include other audits of areas identified to be at risk. The plan will be reviewed annually. The annual update, audit and or review may result in modifications of the plan.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Horizontal Internal Audit of Management, Resources and Results Structure (MRRS) * OCG Horizontal Audit In Progress April 2012
Audit of Procurement and Contracting Internal Services Planned October 2012

* In the 2011-12 RPP, this audit was identified as the Horizontal Internal Audit of Performance Management. The name was changed to adopt the title given to that audit by the Office of the Comptroller General.

All upcoming Evaluations over the next three fiscal years

The Program Evaluation Plan 2012-2015* will be presented for approval in May 2012. The plan will be reviewed annually and modifications of the plan will be made as required.


Name of Evaluation Program Activity Status Expected Completion Date
Delivery of Registry Services for the four Courts Registry Services Planned March 2013
Law Clerk Program
Judicial Library Service		 Judicial Services Planned March 2014

* The Program Evaluation Plan 2012-2015 is in a draft format and will be presented for approval in May 2012.

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Department of Finance Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

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


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of the Access to Information Process Assurance In progress 2012
Audit of the Business Continuity Plan Assurance In progress 2012
Audit of Contracting and Procurement Assurance In progress 2012
Audit of the Control Framework for Transfer Payments Assurance Planned 2012
Audit of the Control Framework for Crown Borrowing Assurance Planned 2013
Audit of Pay and Benefits – Severance Payouts Assurance Planned 2013
Audit of the Control Framework for Domestic Debt Assurance Planned 2013
Audit of the Control Framework for Foreign Debt Assurance Planned 2013
Audit of IT Security Assurance Planned 2014
Review of the Control Framework for Acquisition Cards Advisory Planned 2014
Audit of Security of Information Assurance Planned 2014
Audit of the Ministerial Correspondence Process Assurance Planned 2014
Review of Control Framework for Travel and Hospitality Advisory Planned 2015

Electronic Link to Internal Audit Plan: not applicable

B. All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of the International Trade and Finance Branch Economic and Fiscal Policy Framework In progress 2012
Evaluation of the Tax Policy Branch Economic and Fiscal Policy Framework In progress 2012
Evaluation of the Coinage System Composition Treasury and Financial Affairs Planned 2013
Evaluation of the Crown Borrowing Program Treasury and Financial Affairs Planned 2013
Evaluation of the Toronto Waterfront Revitalization Initiative Transfer and Taxation Payment Programs Planned 2013
Evaluation of the Funds Management Governance Treasury and Financial Affairs Planned 2013
Evaluation of the Harbourfront Centre Funding Program Transfer and Taxation Payment Programs Planned 2013
Evaluation of the Research and Policy Initiatives Assistance Program Internal Services Planned 2014
Evaluation of the International Debt Relief Initiatives Transfer and Taxation Payment Programs Planned 2014
Evaluation of the Communications Function Internal Services Planned 2014
Evaluation of  the Funding of Special Transactions Treasury and Financial Affairs Planned 2014
Evaluation of the Financial Sector Policy Branch Economic and Fiscal Policy Framework Planned 2015

Electronic link to evaluation plan: not applicable

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Department of Justice Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
IMB Records Services Functional Planned 31 March 2013
Aboriginal Affairs Portfolio Organizational Planned 31 March 2014
FAA Compliance – Delegation of Financial Authorities Transactional Planned 31 March 2013
IT Security Functional Planned 31 March 2014
Travel and Hospitality Transactional Planned 31 March 2013
Values & Ethics Functional Planned 31 March 2014
Family Law Assistance Organizational Planned 31 March 2014
Cost Recovery (Transactions) Transactional Planned 31 March 2015
Knowledge Management Functional Planned 31 March 2015
Contracting Functional Planned 31 March 2015
Integrated Financial and Material System (IFMS) System Planned 31 March 2015

Electronic Link to Internal Audit plan:
http://www.justice.gc.ca/eng/dept-min/pub/aud-ver/index.html

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Access to Justice in Both Official Languages A1: Stewardship of the Canadian Legal Framework In progress 2012-13
Accountability and Coordination Framework of the Roadmap for Canada’s Linguistic Duality – Department of Justice Component B1: Legal Services to Government Program In progress 2012-13
Aboriginal Courtwork Program A1: Stewardship of the Canadian Legal Framework In progress 2012-13
Criminal Law Policy A1: Stewardship of the Canadian Legal Framework Not started 2012-13
National Anti-Drug Strategy A1: Stewardship of the Canadian Legal Framework In progress 2012-13
Legislative Services B1: Legal Services to Government Program In progress 2012-13
Public Law Sector B1: Legal Services to Government Program In progress 2012-13
Tax Law Portfolio B1: Legal Services to Government Program In progress 2012-13
Aboriginal Affairs Portfolio B1: Legal Services to Government Program Not started 2013-14
Supporting Families Initiative A1: Stewardship of the Canadian Legal Framework Not started 2013-14
International Legal Programs A1: Stewardship of the Canadian Legal Framework Not started 2013-14
Drug Treatment Court Funding Program A1: Stewardship of the Canadian Legal Framework Not started 2014-15
Litigation Branch B1: Legal Services to Government Program Not started 2014-15
Public Safety, Defence and Immigration Portfolio B1: Legal Services to Government Program Not started 2014-15
Special Advocates Program A1: Stewardship of the Canadian Legal Framework Not started 2014-15

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

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Economic Development Agency of Canada for the Regions of Quebec



Upcoming Internal Audits and Evaluations (next three fiscal years)

Upcoming Internal Audits


Name of internal audit Internal audit type Status Expected completion date
2012-13
Audit of the financial management control framework for regular programs Management mechanism Planned 3rd quarter
Annual audit of the Municipal Rural Infrastructure Fund Management mechanism Planned 3rd quarter
Audit of the Building Canada Fund – Communities component Management mechanism Transfer payment Planned 3rd quarter
Review of the level of preparedness for certification of financial statements Management mechanism Planned 4th quarter
Follow-up audit of audit recommendations from recent years Follow-up Planned 4th quarter
Management audit of the Agency’s major or recurring contribution agreements Management mechanism Transfer payment Planned To be determined
2013-14
To be determined
2014-15
To be determined

Upcoming Evaluations


Name of evaluation Program activity Status Expected completion date
Economic Development Initiative (EDI) Strengthening community economies In progress Fiscal year 2012-13
Business Support Fund and Business Startup and Succession Fund in the regions of Quebec Strengthening community economies Planned Fiscal year 2012-13
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Environment Canada



Upcoming internal audits and evaluations over the next three fiscal years

All upcoming internal audits over the next three fiscal years

This list of internal audits is based on the 2011–2012 Risk-based (3-year) Audit Plan Update presented to the External Audit Advisory Committee in November 2011. Projects for 2014–2015 will be determined as the 2012–2013 Audit Plan is developed and approved, which may also have an impact on the projects included below.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
PeopleSoft Assurance In progress Q1 2012–2013
Corporate Accountability and Administrative Renewal (CAAR)/ Internal Control over Financial Reporting (ICFR) Assurance In progress Q1 2012–2013
Grants and Contribution Process Assurance In progress Q1 2012–2013
Capital Asset Maintenance and Renewal Assurance Planned 2013–2014
Protected Areas Management Assurance In progress Q2 2012–2013
Governance Framework Assurance Planned 2012–2013
Ecosystem Assessment and Approaches Assurance Planned 2012–2013
Compliance Promotion and Enforcement Assurance Planned 2012–2013
Financial Management Framework Assurance Planned 2012–2013
Change Control and Configuration Management Assurance Planned 2012–2013
Management of Temporary HR/Staff Requirements Assurance Planned 2012–2013
Habitat Conservation Partnerships Assurance Planned 2013–2014
Waste Reduction and Management Assurance Planned 2013–2014
Transportation Sector Emissions Assurance Planned 2013–2014
HR Service Delivery Assurance Planned 2013–2014
Expenditure Management Assurance Planned 2013–2014

Electronic link to internal audit plan: http://www.ec.gc.ca/ae-ve/

All upcoming evaluations over the next three fiscal years

This list of evaluation projects is based on the 2011–2012 Risk-based (5-year) Evaluation Plan Update presented to the Departmental Evaluation Committee in November 2011.  As the 2012–2013 Evaluation Plan is developed and approved, the projects included below may change.


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of the Transportation Sector Emissions Transportation Sector Emissions (3.2.1.3) In progress 2012-2013
Evaluation of the Federal Contaminated Sites Action Plan Contaminated Sites (3.1.4) In progress 2012-2013
Evaluation of the Biodiversity Policy and Priorities Biodiversity Policy and Priorities (1.1.1) In progress 2012–2013
Evaluation of the Contaminated Sites Program Contaminated Sites (3.1.4) In progress 2012–2013
Evaluation of the International Climate Change and Clean Air Partnerships Program International Climate Change and Clean Air Partnerships (3.2.2) In progress 2012–2013
Evaluation of Advancing Conservation Interests in the Northwest Territories Plan Protected Areas (1.1.4.3) Planned 2012–2013
Evaluation of Health of the Oceans Protected Areas (1.1.4.3) In progress 2012-2013
Evaluation of Natural Areas Conservation Program Component of  Habitat Conservation Partnerships (1.1.4.1) In progress 2012-2013
Evaluation of the Montreal Protocol and Multilateral Fund Part of International Climate Change and Clean Air Partnerships (3.2.2) In progress 2012-2013
Evaluation of the Commission for Environmental Cooperation Part of International Climate Change and Clean Air Partnerships (3.2.2) In progress 2012-2013
Evaluation of the Migratory Birds Conservation Program Migratory Birds (1.1.3) deferred 2012–2013
Evaluation of the Protected Areas Program Protected Areas (1.1.4.3) Planned 2012–2013
Evaluation of the Water Quality and Aquatic Ecosystems Health Program Water Quality and Aquatic Ecosystems Health (1.2.1) Planned 2012–2013
Evaluation of the Sustainability and Reporting Indicators Program Sustainability and Reporting Indicators (1.3.1) Planned 2012–2013
Evaluation of the EcoAction Community Funding Program EcoAction Community Funding (1.3.3.1) Planned  2012–2013
Evaluation of the Environmental Damages Fund Program Environmental Damages Fund (1.3.3.2) Planned 2012–2013
Evaluation of the Environmental Emergencies Program Environmental Emergencies (3.1.3) Planned 2012–2013
Evaluation of the Invasive Alien Species Strategy for Canada Invasive Alien Species Partnerships (1.1.4.2) Planned 2013–2014
Evaluation of the Water Resource Management and Use Program Water Resource Management and Use (1.2.2) Planned 2013–2014
Evaluation of the Hydrological Service and Water Survey Program Hydrological Service and Water Survey (1.2.3) Planned 2013–2014
Evaluation of the Environmental Youth Employment Program Environmental Youth Employment (1.3.3.3) Planned 2013–2014
Evaluation of the Community Ecosystem Partnerships Program Community Ecosystem Partnerships (1.3.4.5) Planned 2013–2014
Evaluation of the Compliance Promotion and Enforcement – Wildlife Program Compliance Promotion and Enforcement – Wildlife (1.4) Planned 2013–2014
Evaluation of Canada’s Meteorological and Navigational Warning Services Program Meteorological and Ice Services in Support of Marine Navigation (2.2.2) Planned 2013–2014
Evaluation of the Consumer and Commercial Products Sector Program Consumer and Commercial Products Sector (3.2.1.3) Planned 2013–2014
Evaluation of the Market Mechanisms Program Market Mechanisms (3.2.1.4) Planned 2013–2014
Evaluation of the Environmental Technology Innovation Program Environmental Technology Innovation (3.2.3.2) Planned 2013–2014
Evaluation of the Compliance Promotion and Enforcement – Pollution Program Complaisance Promotion and Enforcement – Pollution (3.3) Planned 2013–2014
Evaluation of Environment Canada Umbrella Terms and Conditions Other Planned 2013–2014
Joint Audit-Evaluation of the Habitat Conservation Partnerships Program Habitat Conservation Partnerships (1.1.4.1) Planned 2014–2015
Evaluation of the Great Lakes Basin Ecosystem Initiative Great Lakes (1.3.4.1) Planned 2014–2015
Evaluation of the St. Lawrence Ecosystem Initiative St. Lawrence (1.3.4.2) Planned 2014–2015
Evaluation of the Lake Winnipeg Ecosystem Initiative Lake Winnipeg (1.3.4.4) Planned 2014–2015
Evaluation of the Health-related Meteorological Information Program Health-related Meteorological Information (2.1.2) Planned 2014–2015
Evaluation of the Meteorological Services in Support of Air Navigation Program Meteorological Services in Support of Air Navigation (2.2.1) Planned 2014–2015
Evaluation of the Sustainable Development Technologies Program Sustainable Development Technologies (3.2.3.1) Planned 2014–2015

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

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Federal Economic Development Agency for Southern Ontario



Upcoming Internal Audits and Evaluations over the next three fiscal years

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


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Workforce Planning and Staffing/ Onboarding-Exit Management Internal Services In Progress 2012–2013
Governance and Accountability Governance and Accountability In Progress 2012–2013
Recreational Infrastructure Canada (RINC) Transfer Payment Program Planned 2012–2013
Facility Planning and Operations Internal Services Planned 2012–2013
Community Futures Program Transfer Payment Program Planned 2012–2013
Financial Reporting and Forecasting Processes Internal Services Planned 2012–2013
Southern Ontario Development Program – Intake and Selection Process Transfer Payment Program Planned 2012–2013
Southern Ontario Development Program – Monitoring and Reporting Process Transfer Payment Program Planned 2012–2013
Delegation of Authority (Follow-Up) Governance and Accountability Planned 2012–2013
Records Management Governance and Accountability Planned 2013–2014
Acquisition Cards Internal Services Planned 2013–2014
Workplace Health and Safety Internal Services Planned 2013–2014
Eastern Ontario Development Program (EODP) Transfer Payment Program Planned 2013–2014
Business Continuity and Emergency Management Internal Services Planned 2013–2014
Performance Management and External Reporting (Follow-Up) Governance and Accountability Planned 2013–2014
Procurement (Follow-Up) Internal Services Planned 2013–2014
Effectiveness of Corporate Risk Management Governance and Accountability Planned 2014–2015
Access to Information Internal Services Planned 2014–2015
Southern Ontario Development Program (SODP) Transfer Payment Program Planned 2014–2015
Follow up Audits of Financial Forecasting and Workforce Planning and Staffing. Governance and Accountability and Internal Services Planned 2014–2015

B. All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Community Adjustment Fund (CAF)  South – Final Evaluation Business and Innovation Development In Progress 2011–2012
Economic Development Initiative (EDI) – Results Report Community Economic Development In Progress 2011–2012
Eastern Ontario Development Program (EODP) – Final Evaluation Community Economic Development Planned 2012–2013
Community Futures Program – Final Evaluation Community Economic Development Planned 2013–2014
Infrastructure Canada Program – Final Evaluation Community Economic Development Planned 2013–2014
Southern Ontario Development Program (SODP) – Final Evaluation Technological Innovation; Business Development Planned 2014–2015
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Financial Transactions and Reports Analysis Centre of Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years


All upcoming evaluations over the next three fiscal years
Name of Evaluation Program Activity Status Expected Completion Date
Office of the Privacy Commissioner of Canada Audit

The Privacy Commissioner is mandated under section 72(2) of the PCMLTFA to review “the measures taken by the Centre to protect the information it receives or collects” and report to Parliament on those measures every two years.

Financial Intelligence Program

Compliance Program

Internal Services 		In-Progress Fall 2012
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Fisheries and Oceans Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

Internal Audits over the next three fiscal years

The following table provides a tentative list of all planned internal audits for the reporting period fiscal years 2012-15 that pertain to the Department's work.

Name of Internal Audit Internal Audit Type Status Expected Completion Date
2012-13
Fleet Operational Readiness Part 2 – Fleet Operational Capability (carry-over from fiscal year 2011-12) Assurance Audit Ongoing 2012-13
British Columbia Aquaculture Regulatory Program (carry-over from fiscal year 2011-12) Consulting Services - Information Technology Process Mapping Ongoing 2012-13
Contracting Practices Follow-up (carry-over from 2011-12) Assurance Audit Ongoing 2012-13
Canadian Coast Guard Revenue Management Assurance Audit Planned 2012-13
Internal Controls - Acquisition Cards Assurance Audit Planned 2012-13
Salmonid Enhancement Program – Special Contracting Authority Assurance Audit (follow up) Planned 2012-13
International Travel Assurance Audit Planned 2012-13
2013-14
Internal Controls - Inventory Management Assurance Audit Planned 2013-14
Legal Risk Management Assurance Audit Planned 2013-14
Fuel Management Assurance Audit Planned 2013-14
Environmental Management Framework Assurance Audit Planned 2013-14
Catch Certification Program Assurance Audit Planned 2013-14
Records Management Assurance Audit Planned 2013-14
2014-15
Fisheries and Oceans Canada Governance Structure Assurance Audit Planned 2014-15

Fisheries and Oceans Canada's Internal Audit Plan can be accessed electronically at http://www.dfo-mpo.gc.ca/ae-ve/audits-verifications/11-12/rbap-pvbr-eng.htm.


Evaluations over the next three fiscal years

The following table lists all planned evaluations for the reporting period fiscal years 2012-15 that pertain to the Department's work.

Name of Evaluation /
Program Activity		 Evaluation Type Status Expected Completion Date
2012-13
Federal Contaminated Sites Action Plan (Interdepartmental Evaluation) Direct Program Spending In Progress 2012-13
Regulatory Improvement for Major Resource Projects (Interdepartmental Evaluation) Direct Program Spending In Progress 2012-13
Evaluation of Health of the Oceans (Interdepartmental Evaluation) Direct Program Spending In Progress 2012-13
Species at Risk Management (Interdepartmental Evaluation) Direct Program Spending In Progress 2012-13
Pacific Salmon Endowment Fund/Fraser Basin Initiative Transfer Payment Program In Progress 2012-13
Canadian Coast Guard College Direct Program Spending In Progress 2012-13
Aquaculture Regulatory Reform, Aquaculture Regulatory Science Program and Aquaculture Certification and Sustainability Reporting Direct Program Spending In Progress 2012-13
Aquaculture Innovation and Market Access Program Transfer Payment Program In Progress 2012-13
Aquaculture Environmental and Biological Science Program and Aquaculture Collaborative Research & Development Program Direct Program Spending In Progress 2012-13
Hydrographic Products and Services Direct Program Spending In Progress 2012-13
Small Craft Harbours Direct Program Spending Planned 2012-13
Marine Communications and Traffic Services Direct Program Spending Planned 2012-13
2013-14
Ocean Forecasting Direct Program Spending Planned 2013–14
Habitat Management Direct Program Spending Planned 2013–14
Maritime Security Operation Centre - Coastal (Interdepartmental Evaluation) Direct Program Spending Planned 2013–14
Fleet Operational Readiness: Fleet Maintenance; Fleet Procurement Direct Program Spending Planned 2013–14
2014-15
Biotechnology and Genomics Direct Program Spending Planned 2014–15
Aquatic Animal Health Direct Program Spending Planned 2014–15
Territorial Delineation Direct Program Spending Planned 2014–15
Integrated Fisheries Resource Management: Atlantic Lobster Sustainability Measures Program Transfer Payment Program Planned 2014–15
Aquatic Invasive Species Direct Program Spending Planned 2014–15
Aboriginal Strategies and Governance: Strategies and Governance Direct Program Spending Planned 2014–15
Aboriginal Strategies and Governance: Aboriginal Fisheries Strategy; Aboriginal Aquatic Resource and Oceans Management Transfer Payment Program Planned 2014–15
Environmental Response Services Direct Program Spending Planned 2014–15

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

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Foreign Affairs and International Trade Canada



Audits, Evaluations and Inspections


All upcoming Internal Audits over the next three fiscal years

FY 2012-13
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Management of transfer payment Assurance: transfer payment (Carry over from 2011-12) September 2012
Records management Assurance: information management (Carry over from 2011-12) September 2012
Strategic and operating review (SOR) implementation audit Assurance: governance Planned November 2012
Mission security Assurance: operations Planned November 2012
Delivery of legal services Assurance: operations Planned February 2013
General revenue controls Assurance: financial management Planned November 2012
Annual financial statement Assurance: financial management Planned July 2012
Emergency management Assurance: operations In reserve TBD
Mission financial and banking services Assurance: financial management In reserve TBD
FY 2013-14
Name of Internal Audit Internal Audit Type Status Expected Completion Date
SOR progress report implementation audit Assurance: governance Planned July 2013
Common services delivery Assurance: operations Planned TBD
Information management

(Phase II)		 Assurance: information management Planned TBD
Passport fee structure Assurance: operations Planned TBD
Management of leaves and overtime Assurance: HR/compensation management Planned TBD
Management of locally engaged staff Assurance: HR/compensation Planned TBD
SOR implementation audit Assurance: governance Planned May 2014
Annual financial statement Assurance: financial management Planned TBD
FY 2014-15
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Financial reporting controls Assurance: financial management Planned TBD
Foreign services directives Assurance: HR/compensation Planned TBD
International security evaluation and analysis Assurance: operations Planned TBD
Annual financial statement Assurance: financial management Planned TBD
Values and ethics Assurance: operations Planned TBD
Delegation of authority Assurance: accountability Planned TBD
Protocol services Assurance: operations Planned TBD

Electronic link to internal audit plan (if publicly available): Not yet available

Notes/comments: The risk-based Audit Plan for 2012-15 described above is not yet final. Consultations continue with senior management to ensure that proposed audits address the department's highest risks and priorities. The Plan will be reviewed by the Departmental Audit Committee early in the new fiscal year, and recommended to deputies for approval and implementation. In the interim, the mission security audit and the strategic and operating review audit are approved and will proceed in the first quarter of 2012-13. Note, too, that the internal audit team has the capacity to conduct five internal audits each year, and that two audits are identified as "in reserve" should resources be available to conduct them.

All upcoming Evaluations over the next three fiscal year

FY 2012-13
Name of evaluation Program Activity Status Expected Completion Date
Consular Affairs and Emergency Management Program Consular Affairs and Emergency Management Program Ongoing June 2012
North American Platform Program (NAPP) governance framework Diplomacy and Advocacy/ International Commerce Ongoing June 2012
Global Commerce Support Program (GCSP) International Commerce Ongoing June 2012
Passport Canada activity-based management Passport Canada Ongoing June 2012
Anti-Crime Capacity Building Program Diplomacy and Advocacy Ongoing October 2012
Investment Cooperation Program (DFAIT Inc.) Diplomacy and Advocacy Ongoing October 2012
Mission security (critical infrastructure)
Safety and security of personnel at missions		 Governance, Strategic Direction and Common Service Delivery Ongoing October 2012
Global Partnership Program Diplomacy and Advocacy Planned February 2013
Passport issuance program abroad Passport Canada Planned February 2013
Information management/information technology secure network Governance, Strategic Direction and Common Service Delivery Planned February 2013
Property management Governance, Strategic Direction and Common Service Delivery Planned February 2013
Regional service centres Governance, Strategic Direction and Common Service Delivery Planned TBD
Import-export controls International Commerce Planned TBD
Performance management agreements and learning plans for executives and employees Internal Services Planned TBD
Assessed contributions Diplomacy and Advocacy Planned TBD
Andean Unit for Democratic Governance (Lima, Peru) and Canadian International Centre for the Arctic Region (Oslo, Norway) Diplomacy and Advocacy Planned TBD
FY 2013-14
Name of evaluation Program Activity Status Expected Completion Date
Treaty Policy Evaluation International Policy Advice and Integration Planned TBD
Rights and Democracy Diplomacy and Advocacy Planned TBD
Softwood Lumber Agreement Diplomacy and Advocacy Planned TBD
Trade regional offices International Commerce Planned TBD
Corporate social responsibility Diplomacy and Advocacy Planned TBD
Anti-Crime and Counter Terrorism Capacity Building programs Diplomacy and Advocacy Planned TBD
Canada Foreign Service Institute Internal Services Planned TBD
Management of locally engaged staff Governance, Strategic Direction and Common Service Delivery Planned TBD
Global Commerce Strategy (GCS) International Policy Advice and Integration Planned TBD
Canada Fund for Local Initiatives (CFLI) Diplomacy and Advocacy Planned TBD
Passport Canada Evaluation Passport Canada Planned TBD
FMA Model Internal Services Planned TBD
Integrated Corporate Business Planning (New Business Model) Internal Services Planned TBD
FY 2014-15
Name of evaluation Program Activity Status Expected Completion Date
Federal-provincial-territorial relations Diplomacy and Advocacy Planned TBD
Francophonie Promotion Fund Diplomacy and Advocacy Planned TBD
Investment Visibility Program Diplomacy and Advocacy Planned TBD
UNCLOS - Extended Continental Shelf Diplomacy and Advocacy Planned TBD
International Education and Youth Program Diplomacy and Advocacy Planned TBD
Common Services Abroad International Policy Advice and Integration Planned TBD
Clean Energy Dialogue International Policy Advice and Integration Planned TBD
Sector practices International Commerce Planned TBD
Passport Canada evaluation Passport Canada Planned TBD
Crisis management Consular Services and Emergency Management Planned TBD
Regional market plans International Commerce Planned TBD
JLAC: Authentication of documents Governance, Strategic Direction and Common Service Delivery Planned TBD

The Five-Year DFAIT Evaluation Plan (May 2009) can be viewed at: www.international.gc.ca/about-a_propos/oig-big/2009/evaluation/5yep_pep09.aspx?lang=eng&view=d

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Hazardous Materials Information Review Commission



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Performance Measurement OCG Internal Horizontal Audit for SDAs In Progress July 2012
Core Control Audit OCG Internal Core Control Audit for SDAs Planned FY 2013-14 - dependant on start date
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Health Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years (2012-2013 - 2014-2015)

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


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Fiscal Year 2011 - 2012
Audit of the investment plan Corporate Performance Framework In progress June 2012
Audit of information technology application development and maintenance Information Technology Management In progress June 2012
Audit of the management of scientific research Quality or Program and Policy Analysis In progress June 2012
Audit of transfer payments to the Canadian Agency for Drugs and Technologies in Health Financial Management and Control Planned March 2013
Follow-up audit - Medical transportation Quality or Program and Policy Analysis Planned September 2012
Audit of regional operations Corporate Performance Framework Planned June 2013
Audit of key financial controls (annual) Financial Management and Control Planned September 2012
Audit of financial statement readiness Financial Management and Control Planned March 2013
Audit of privacy Information Management Planned December 2012
Audit of natural health products Quality or Program and Policy Analysis Planned December 2012
Audit of performance reporting/Office of the Comptroller General (OCG) Horizontal internal audit of compliance with the Policy on Management, Resources and Results Structure OCG Horizontal Audits Planned March 2013
Audit of public service health program Quality or Program and Policy Analysis Planned December 2012
Fiscal Year 2013 - 2014
Audit of the implementation of the Chemical Management Plan Quality of Program and Policy Analysis Planned June 2013
Audit of Non-insured Health Benefits - Vision care, medical supplies, mental health Quality of Program and Policy Analysis Planned 2013-2014
Audit of information technology planning Information Technology Management Planned 2013-2014
Audit of user fees for health products Quality of Program and Policy Analysis Planned 2013-2014
Audit of transfer payments for First Nations and Inuit public health protection Financial Management and Control Planned 2013-2014
Audit of regulatory compliance and enforcement activities Quality of Program and Policy Analysis Planned 2013-2014
Follow-up audit - Emergency management Integrated Risk Management Framework Planned 2013-2014
Audit of project management Project Management Planned 2013-2014
Audit of PeopleSoft Information Technology Management Planned 2013-2014
Audit of key financial controls (annual) Financial Management and Control Planned 2013-2014
Audit of budgeting, expenditure monitoring and forecasting/OCG Horizontal internal audit of financial forecasting OCG Horizontal Audits Planned 2013-2014
Audit of strategic operational review commitments Managing Organizational Change Planned 2013-2014
OCG Horizontal internal audit of the efficiency of procurement and contracting practices Procurement Planned 2013-2014
Fiscal Year 2014 - 2015
Audit of transfer payments to First Nations and Inuit health promotion and disease prevention Financial Management and Control Planned 2014-2015
Audit of transfer payments for home and community care Financial Management and Control Planned 2014-2015
Audit of transfer payments for First Nations and Inuit health system capacity Financial Management and Control Planned 2014-2015
Audit of the implementation of the Consumer Product Safety Act Quality of Program and Policy Analysis Planned 2014-2015
Audit of the grants and contributions Centre of expertise/OCG Horizontal internal audit of the grants and contributions management control framework - Phase 2 OCG Horizontal Audits Planned 2014-2015
Follow-up audit - Pharmaceutical drugs Quality of Program and Policy Analysis Planned 2014-2015
Audit of the departmental evaluation function Corporate Performance Framework Planned 2014-2015
Audit of key financial controls (annual) Financial Management and Control Planned 2014-2015
Audit of business continuity planning for mission critical systems Security and Business Continuity Planning Planned 2014-2015
Audit of outsourced information technology services Information Technology Management Planned 2014-2015
Audit of strategic operational review commitments Managing Organizational Change Planned 2014-2015
Audit of biologics and radiopharmaceuticals Quality of Program and Policy Analysis Planned 2014-2015

B. All upcoming Evaluations over the next three fiscal years


Name of Evaluation Evaluation Type Status Expected Completion Date
Fiscal Year 2012 - 2013
Health Care Policy Contribution Program - Evaluation 1.1 Canadian Health System Ongoing December 2012
International Health Grants Program including the contribution to the Pan-American Health Organization - Evaluation 1.1.4 International Health Partnerships Planned December 2012
Official Languages Health Contribution Program -Evaluation 1.3 Official Language Minority Community Development Ongoing September 2012
Roadmap for Canada's Linguistic Duality 2008-13: Acting for the Future - Horizontal Evaluation (Heritage lead) 1.3 Official Language Minority Community Development Planned March 2013
Implementation of the Agricultural Regulatory Action Plan element of Growing Forward - Horizontal Evaluation (AAFC lead) 2.1.1 Pharmaceutical Drugs
2.2 Food Safety and Nutrition		 Planned March 2013
Veterinary Drugs Program - Evaluation 2.1.1 Pharmaceutical Drugs
2.2.1 Food Safety		 Ongoing March 2013
Organ and Tissue Donation and Transplantation Program - Evaluation 2.1.2 Biologics & Radiopharmaceuticals Planned December 2012
Medical Devices Program - Evaluation 2.1.3 Medical Devices Ongoing March 2013
Federal Contaminated Sites - Horizontal Evaluation (EC and TBS lead) 2.3 Environmental Risks to Health
3.1.2.2 First Nations and Inuit Environmental Health		 Planned March 2013
Consumer and Pesticide Products - Evaluation 2.4 Consumer Products Safety
2.6.2 Radiation Emitting Devices
2.7 Pesticide Safety		 Ongoing September 2012
Enhancing Access to Pest Management Tools - Evaluation 2.7 Pesticide Safety Planned March 2013
Drug Treatment Funding Program of the National Anti-Drug Strategy - Evaluation 2.5.2 Controlled Substances Planned March 2013
First Nations and Inuit Mental Health and Addictions - Cluster Evaluation 3.1.1.2 First Nations and Inuit Mental Wellness Ongoing September 2012
First Nations Water and Wastewater Action Plan - Horizontal Evaluation (INAC lead) 3.1.2.2 First Nations and Inuit Environmental Health Planned March 2013
First Nations and Inuit Clinical and Client Care - Evaluation 3.1.3.1 First Nations and Inuit Clinical and Client Care Planned March 2013
First Nations and Inuit Home and Community Care - Evaluation 3.1.3.2 First Nations and Inuit Home and Community Care Planned March 2013
First Nations and Inuit BC Tripartite Implementation Funding - Evaluation 3.3.1.1 First Nations and Inuit Nursing Innovation Ongoing March 2013
First Nations and Inuit Health Human Resources -Evaluation 3.3.1.2 First Nations and Inuit Health Human Resources Planned March 2013
First Nations and Inuit Nursing Innovation -Evaluation 3.3.2.3 First Nations and Inuit Nursing Innovation Planned March 2013
Fiscal Year 2013 - 2014
Food and Consumer Safety Action Plan (FCSAP) - Horizontal Evaluation (HC Lead) 1.1 Canada Health System
2.1 Health Products
2.2 Food Safety and Nutrition
2.4 Consumer Products Safety
2.6 Radiation Protection
2.7 Pesticide Safety		 Planned March 2014
Women's Health Contribution Program - Evaluation 1.1.1 Health System Priorities Planned December 2013
Cabinet Directive on Streamlining Regulation (CDSR) - Horizontal Evaluation (TBS lead) 2. Canadian are informed of and protected from health risks associated with food, products, substances and environments, and are informed of the benefits of healthy eating Planned March 2014
Human Drugs Program -Evaluation 2.1.1 Pharmaceutical Drugs Planned September 2013
Strategy for Managing BSE in Canada - Evaluation (CFIA lead) 2.1.1 Pharmaceutical Drugs
2.1.2 Biologics & Radiopharmaceuticals
2.1.4 Natural Health Products
2.2.1 Food Safety		 Planned March 2014
Biologics Program - Evaluation 2.1.2 Biologics & Radiopharmaceuticals Planned June 2013
Implementation of an action plan to protect human health from environmental contaminants - Horizontal Evaluation (Health Canada lead) 2.3.1 Climate Change
2.3.2 Air Quality
2.3.4 Health Impacts of Chemicals
3.1.2.2 First Nations and Inuit Environmental Health		 Planned December 2013
Water Quality Program - Evaluation 2.3.3 Water Quality Planned March 2014
First Nations and Inuit Healthy Child Development - Evaluation 3.1.1.1 First Nations and Inuit Healthy Child Development Planned March 2014
First Nations and Inuit Mental Wellness - Evaluation 3.1.1.2 First Nations and Inuit Mental Wellness Planned March 2014
First Nations and Inuit Healthy Living - Evaluation 3.1.1.3 First Nations and Inuit Healthy Living Planned March 2014
Fiscal Year 2014 - 2015
Genomics Research and Development Initiative - Horizontal Evaluation (NRC lead) 1.1.3 Emergent Health Issues Planned December 2014
Drug Strategy Community Initiative Fund (DSCIF) - Evaluation 2.5.2 Controlled Substances Planned March 2015
First Nations and Inuit Communicable Disease Control and Management - Evaluation 3.1.2.1 First Nations and Inuit Communicable Disease Control and Management Planned March 2015
First Nations and Inuit Supplementary Health Benefits - Evaluation 3.2 First Nations and Inuit Supplementary Health Benefits Planned March 2015

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Human Resources and Skills Development Canada



Please note that this document was prepared prior to Budget 2012 and therefore does not reflect Budget announcements.

Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
2012-2013
Audit of Section 34 of the Financial Administration Act Assurance Engagement Underway June 2012
Audit of Management of Call Centre Operations Assurance Engagement Underway October 2012
Employment Insurance Phase I – Intake Processes Assurance Engagement Underway October 2012
Audit of the Tier 1 Service Delivery Channels Assurance Engagement Underway October 2012
Audit of IT Security – Phase II Assurance Engagement Underway October 2012
Audit of the Implementation of the Aboriginal Skills and Employment Training Strategy Assurance Engagement Underway October 2012
Management Control Framework Audit of Information Management Assurance Engagement Planned December 2012
Audit of the Consolidated Statement of Administrative Costs Charged to the Canada Pension Plan Account by HRSDC and Service Canada, March 31, 2012 Assurance Planned October 2012
Review of the Departmental Financial Statements for HRSDC for the year ending, March 31, 2012 Review Planned October 2012
Compliance Review of the Evaluation Function Review Planned March 2013
Audit of the Common Experience Payment Trust Fund Assurance Planned June 2013
Audit of Employment Insurance Phase II - Processing and Adjudication Assurance Planned June 2013
Audit of Canada Pension Plan / Old Age Security Modernization Assurance Planned March 2013
Continuous Auditing of Key Financial Controls Assurance Planned Ongoing
Strategic Support for the Implementation of SAP Advisory Planned Ongoing
Strategic Support for the Implementation of PeopleSoft Advisory Planned Ongoing
Control Self-Assessment of Key Management Controls Across Regions Review Planned N/A
Strategic Support for the Implementation of Strategic and Operating Review Initiatives Advisory Planned TBD
Strategic Support for the Implementation of Strategic and Operating Review Initiatives Assurance Planned TBD
Audit of IT Security – Phase III Assurance Planned June 2013
Audit of Employment Insurance Phase III – Payment and Claim Maintenance Assurance Planned October 2013
Audit of Section 33 of the Financial Administration Act Assurance Planned TBD
Review of the Implementation of the Service Management Structural Model in Service Canada Review Planned October 2013
Audit of the Management of Intellectual Property Assurance Planned June  2013
2013-2014
Audit of the Consolidated Statement of Administrative Costs Charged to the Canada Pension Plan Account by HRSDC and Service Canada, March 31, 2013 Assurance Planned -
Review of the Departmental Financial Statements for HRSDC for the year ending March 31, 2013 Review Planned -
Audit of the Opening Balance for Financial Reporting Purposes Assurance Planned -
Strategic Support for the Implementation of Strategic and Operating Review Initiatives Assurance Planned -
Strategic Support for the Implementation of SAP Assurance Planned -
Strategic Support for the Implementation of PeopleSoft Assurance Planned -
Audit of Employment Insurance Phase IV – Integrity Operations and Appeals Assurance Planned -
Horizontal Engagement of the Grants & Contributions Process* Assurance Planned -
Privacy: Management of Personal Information Assurance Planned -
Procurement Practices** Assurance Planned -
Integrated Risk Management Assurance Planned -
Quality Assurance Framework for Occupational Health & Safety Assurance Planned -
IT Security – Phase IV Assurance Planned -
Canada Student Loans Program Assurance Planned -
2014-2015
Audit of the Consolidated Statement of Administrative Costs Charged to the Canada Pension Plan Account by HRSDC and Service Canada, March 31, 2014 Assurance Planned -
Review of the Departmental Financial Statements for HRSDC for the year ending March 31, 2014 Review Planned -
Strategic Support for the Implementation of Strategic and Operating Review Initiatives Assurance Planned -
Strategic Support for the Implementation of SAP Assurance Planned -
Strategic Support for the Implementation of PeopleSoft Assurance Planned -
Benefit Realization of the Strategic and Operating Review Assurance Planned -
Investment Planning Process Assurance Planned -
Business Continuity Planning Assurance Planned -
Values and Ethics Assurance Planned -
Administration of the Government Employment Compensation Act Assurance Planned -
Legal Process Management Assurance Planned -
In-Reserve ***
Audit of IT Asset Management Assurance - -
Audit of the Management of Projects within HRSDC Assurance - -
Audit of the Use of Social Media within HRSDC Assurance - -

Please Note:
Once approved, HRSDC internal audit reports are posted on the website listed below.

Website of HRSDC

* The OAG has announced a Performance Audit of the Management of Grants and Contributions Programs; the Department has been scoped into the audit. IASB will reassess this engagement once the full scope of the OAG audit is known.

** The OCG has proposed an audit of Procurement Practices for the 2013-2014 fiscal year. The OAG has also launched an audit of the Use of Professional Service Contracting in the Public Service. IASB will pay close attention to the conduct and results of these engagements to determine the level and timing of audit intervention.

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


All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
2012-2013
Aboriginal Skills and Employment Partnerships– Phase II Summative Draft Report 2012-2013
Adult Learning Literacy and Essential Skills Program Summative Draft Report 2012-2013
Canada Disability Savings Plan:
  • Canada Disability Savings Bonds
  • Canada Disability Saving Grant
 Formative Planning 2012-2013
Career Transition Assistance Initiative Summative In-progress 2012-2013
Common Experience Payment Evaluation In-progress 2012-2013
Evaluation of Early (2001-2008) and Post (2009-2011) Employment Insurance Automation and Modernization – Phase II Evaluation In-progress 2012-2013
Manitoba Labour Market Development Agreement Summative Draft Report 2012-2013
National Child Benefit Summative Draft Report 2012-2013
Old Age Security Pensions Summative Draft Report 2012-2013
Ontario Labour Market Development Agreement Formative Draft Report 2012-2013
Strategic Evaluation of the Employment Equity Programs Summative Draft Report 2012-2013
Temporary Foreign Worker Program Summative In-progress 2012-2013
Voluntary Sector Strategy Summative Draft Report 2012-2013
Wage Earner Protection Program Summative In-progress 2012-2013
Workplace Dispute Prevention and Resolution Summative In-progress 2012-2013
Workplace Skills Initiative Summative Draft Report 2012-2013
2010 Winter Games Horizontal Evaluation1 Evaluation (interdepartmental) Draft Report 2012-2013
2013-2014
Aboriginal Skills and Training Strategic Investment Fund Formative In-progress 2012-2013
Canada Pension Plan Disability Benefits – Appeals Process Summative Planning 2013-2014
Canada Pension Plan – Retirement Pensions Summative Planning 2013-2014
Enabling Fund for Official Language Minority Communities Summative In-progress 2012-2013
Extension of EI Part I Benefits for Long Tenured Workers Summative In-progress 2013-2014
Homelessness Partnering Strategy Summative In-progress 2013-2014
Labour Market Agreements2 Summative In-progress 2013-2014
Labour Market Information Summative In-progress 2013-2014
Passport Receiving Agents and Documented Evidence of Citizenship Validation Evaluation Planning 2013-2014
Targeted Initiative for Older Workers Summative In-progress 2013-2014
Three Pilot Projects – Seasonal Workers Summative In-progress 2013-2014
Work Sharing Benefits Summative In-progress 2013-2014
2014-2015
Aboriginal Skills and Employment Training Strategy Summative Planning 2014-2015
Apprenticeship Grant Summative In-progress 2014-2015
Canada Education Savings Program Summative In-progress 2014-2015
EI Sickness Benefits Summative Not started 2014-2015
EI Special Benefit for Self-Employed Formative and Summative In-progress 2014-2015
Enabling Accessibility Fund Summative Planning 2014-2015
New Horizons for Seniors Program Summative Planning 2014-2015
Opportunities Fund for Persons with Disabilities Summative Not started 2014-2015
Social Development Partnership Program Summative In-progress 2014-2015
Universal Child Care Benefit Summative Not started 2014-2015
Youth Employment Strategy Summative In-progress 2014-2015
Evaluations:
  • EI Processing Accuracy and Employment Insurance
  • Canada Pension Plan and Old Age Security Payment Accuracy
 Evaluation Planning 2014-2015
Cluster Evaluation:
  • Foreign Credential Recognition Program
  • Inter-Provincial Labour Mobility
 Summative Planning 2014-2015
Cluster Evaluation:
  • Extended Duration of EI Regular Benefits Initiative
  • Pilot Project 15 relating to Extended Benefits
 Summative In-progress 2014-2015
Cluster Evaluation:
  • OAS Pensions – International agreements
  • Canada Pension Plan
 Summative Not started 2014-2015
Cluster Evaluation:
  • OAS Pensions – Allowances
  • Canada Pension Plan – Survivor Benefits
 Summative Planning 2014-2015

1 Evaluation report to be tabled to HRSDC Departmental Evaluation Committee for information following Canadian Heritage's review and approval (expected presentation to PCH's Evaluation Committee in February 2012)

2 2010-2011 Report on Plans and Priorities – referred to as Labour Market Agreements and Strategic Training and Transition Fund

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Immigration and Refugee Board of Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Case Management and Tribunal Support (IAD and ID) Audit engagement In progress 2012–13
Case Management and Tribunal Support (RPD) Review engagement Completed 2011–12
IRB Backlog Audit engagement In progress 2011–12
Follow-up Audit on IRB Regional Offices Audit Follow-up audit engagement In progress 2012–13
Human Resources Monitoring Framework Review engagement Planned 2012–13
OCG Horizontal Audit of Compliance to the Policy on Management, Resources and Results Structures in Large Departments and Agencies Audit engagement In progress 2012–13
Information Management & Information Technology Audit engagement Planned 2012–13
Follow-up Audit on OCG Contracting Information Systems and Monitoring Audit Follow-up audit engagement Planned 2012–13

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Performance measurement of decision quality Refugee Protection, Refugee Appeal, Detention Reviews and Admissibility Hearings, Immigration Appeal Ongoing April 2013
Three-year horizontal evaluation of reformed asylum system (led by Citizenship and Immigration Canada, to which the IRB will be providing input) Refugee Protection, Refugee Appeal Planned 2015
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Industry Canada



Upcoming Internal Audits and Evaluations in the Next Three Fiscal Years

Internal Audits

Proposed* Internal Audit Projects in 2012–13
Name of Internal Audit Internal Audit Type Status Expected Completion Date
*These projects and their corresponding expected completion dates will be confirmed as part of the annual audit planning process, which begins in Q4 of 2011–12.
Collection of Repayments Audit Planned 2012–13
Electronic Filing—Office of the Superintendent of Bankruptcy Audit/IT Audit Planned 2012–13
Bombardier C Series Audit Planned 2012–13
Corporations Canada Audit Planned 2012–13
Computer for Schools Audit Planned 2012–13
IT Project Management—Spectrum Application Modernization Audit/IT Audit Planned 2012–13

 

Proposed* Internal Audit Projects in 2013-14
Name of Internal Audit Internal Audit Type Status Expected Completion Date
*These projects and their corresponding expected completion dates will be confirmed as part of the annual audit planning process, which begins in Q4 of 2012–13.
Contribution Management Information System Audit/IT Audit Planned 2013–14
Business Continuity Management Audit Planned 2013–14
Spectrum Management Audit Planned 2013–14
Communications Research Centre Audit Planned 2013–14
Canada Business Network Audit Planned 2013–14
Office of the Superintendent of Bankruptcy—National Framework Audit Planned 2013–14

Evaluations

Proposed* Projects in 2012–13
Name of Evaluation Link to Program Activity Architecture Program Type Status Expected Completion Date
*These projects and their corresponding expected completion dates will be confirmed as part of the annual evaluation planning process, which begins in Q4 of 2011–12.
Organisation for Economic Co-operation and Development  Grant Program 2.1.2—Science and Technology Partnerships Grant Planned 2012–13
Automotive Innovation Fund 2.3.1—Automotive Innovation Contribution Planned 2012–13
Canada Business Network 3.1.2—Canada Business Network Program Planned 2012–13
Strategic Activities Program 4.1.1.1—Management and Oversight Contribution Planned 2012–13
Office of the Superintendent of Bankruptcy 1.1.2—Bankruptcy and Insolvency Program Planned 2013–14
Corporations Canada 1.1.3—Federal Incorporations Program Planned 2013–14
Canadian Intellectual Property Office 1.1.5—Intellectual Property Program Planned 2013–14
Spectrum Management and Telecommunications 1.2.1—Spectrum Management and Telecommunications Program Planned 2013–14

 

Proposed* Projects in 2013–14
Name of Evaluation Link to Program Activity Architecture Program Type Status Expected Completion Date
*These projects and their corresponding expected completion dates will be confirmed as part of the annual evaluation planning process, which begins in Q4 of 2012–13.
Ivey Centre for Health Innovation and Leadership 2.1.2—Science and Technology Partnerships Contribution Planned 2013–14
Small Business Internship Program 3.1. —Small Business Internship Contribution Planned 2013–14
Community Futures 3.3.1—Community Futures Contribution Planned 2013–14
Institute for Quantum Computing 2.1.2—Science and Technology Partnerships Grant Planned 2013–14
Competition Law Enforcement 1.4—Competition Law Enforcement Program Planned 2014–15
Small Business Growth and Prosperity 3.1.4—Small Business Growth and Prosperity Program Planned 2014–15
Industry-Specific Policy and Analysis 3.2.1—Industry-Specific Policy and Analysis Program Planned 2014–15
Industrial and Regional Benefits 3.2.3—Industrial and Regional Benefits Program Planned 2014–15
Measurement Canada 1.1.1—Trade Measurement Program Planned 2014–15

 

Proposed* Projects in 2014–15
Name of Evaluation Link to Program Activity Architecture Program Type Status Expected Completion Date
*These projects and their corresponding expected completion dates will be confirmed as part of the annual evaluation planning process, which begins in Q4 of 2013–14.
Spectrum Management and Telecommunications 1.2.1—Spectrum Management and Telecommunications Grant Planned 2014–15
Non-Profit Consumer and Voluntary Organizations Contribution Program 1.3 —Consumer Affairs Contribution Planned 2014–15
Canada Small Business Financing 3.1.1— Canada Small Business Financing Contribution Planned 2014–15
Paperwork Burden Reduction Initiative 3.1.4—Small Business Growth and Prosperity Program Planned 2014–15
Canadian Youth Business Foundation 3.1.4—Small Business Growth and Prosperity Contribution Planned 2014–15
Electronic Commerce 1.2.2—Electronic Commerce Program Planned 2015–16

Note: The Evaluation Directorate is responsible for evaluating the performance and effectiveness of departmental programs, policies and initiatives.

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Infrastructure Canada



Upcoming Internal Audits and Evaluations over the Next Three Fiscal Years

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

1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Assurance Audit of Human Resources Management Internal Service – Human Resources In Progress April 2012
Readiness Assessment – Environmental Assessment Process Readiness Assessment In Progress April 2012
Assurance Audit of the Infrastructure Stimulus Fund (ISF) Transfer Payment Program (Economic Action Plan) Start Q3 of 2011-12
End Q1 of 2012-13		 July 2012
Assurance Audit of the Corporate Management and Decision-Making Structure Governance and Strategic Direction Start Q4 of 2011-12
End Q2 of 2012-13		 October 2012
Assurance Audit of the Green Infrastructure Fund (GIF) and Building Canada Fund – Major Infrastructure Component (BCF-MIC) Transfer Payment Program (Economic Action Plan) Start Q1 of 2012-13
End Q3 of 2012-13		 January 2013
Assurance Audit of Information Management Internal Service – Information Management Start Q1 of 2012-13
End Q3 of 2012-13		 January 2013
Assurance Audit of Security (Departmental IT, Business Continuity) Internal Service – Security Start Q2 of 2013-14
End Q4 2013-14		 April 2014
Assurance Audit of Financial Planning and Reporting Internal Service – Finance Start Q2 of 2012-13
End Q4 of 2012-13		 April 2014
Assurance Audit of Information Technology Internal Services – IMIT Start Q4 of 2012-13
End Q2 of 2013-14		 October 2013
Assurance Audit of Federal Delivery Partners Citizen-Focused Service Start Q1 of 2012-13
End Q2 of 2012-13		 October 2012
Assurance Audit on Implementation of the Policy on Internal Control Internal Service – Finance Start Q1 of 2013-14
End Q3 of 2013-14		 January 2014
Assurance Audit of Human Resources Management (HRM) Framework Internal Services – HR Start Q1 of 2013-14
End Q3 of 2013-14		 January 2014
Assurance Audit of Proactive Disclosure of Access to Information (ATIP) Requests Citizen-Focused Service Start Q2 of 2013-14
End Q4 of 2013-14		 April 2014

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

B. All Upcoming Evaluations over the Next Three Fiscal Years

1. Name of Evaluation and Link to Report 2. Program Activity 3. Status 4. Expected Completion Date
Joint Evaluation of the Border Infrastructure Fund (BIF) and the Canada Strategic Infrastructure Fund (CSIF) Border Infrastructure Fund and Canada Strategic Infrastructure Fund Planned 2012-13
Evaluation of the Gas Fund Tax (GTF) Gas Tax Fund Planned 2012-13
Evaluation of the Building Canada Fund-Communities Component (BCF-CC) Building Canada Fund-Communities Component Planned 2013-14
Evaluation of the Municipal Rural Infrastructure Fund (MRIF) Municipal Rural Infrastructure Fund Planned 2013-14
Evaluation the Green Infrastructure Fund (GIF) Green Infrastructure Fund Planned 2014-15

5. Electronic link to evaluation plan: N/A

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Library and Archives Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

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


1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Holding Management Management control Planned 2012–2013
Communication / Engagement Framework Management control Planned 2012–2013
Succession Planning Management Management control Planned 2012–2013
Digital Preservation Management control Planned 2013–2014
IT Governance Management control Planned 2013–2014
Policy Management Framework Management control Planned 2013–2014

B. All upcoming Evaluations over the next three fiscal years


1. Name of Evaluation 2. Program Activity 3. Status 4. Expected Completion Date
Formative Evaluation of Documentation of the Canadian Experience 2.1 Planned 2012–2013
Formative Evaluation of LAC Modernization 1.0 & 2.0 Planned 2012–2013
Formative Evaluation of Preservation of the continuing memory 2.2 Planned 2013–2014
Formative Evaluation of Exploration of documentary resources 2.3 Planned 2013–2014
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National Defence



Upcoming Internal Audits and Evaluations over the next three fiscal years

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


Name of Internal Audit1 Internal Audit Type Status Expected Completion Date
Sanitization and Destruction of IM/IT Assets Audit - Security Management Active FY 2012/13
Foreign Military Acquisitions Audit - Security Management Planned FY 2012/13
Security-Related Audits Follow-Up Audit - Security Management Active FY 2012/13
Capital Project Costing Audit - Capital Acquisition Planned FY 2012/13
Capital Project Risk Management Practices Audit - Capital Acquisition Planned FY 2012/13
Major Capital Acquisition-Related Audits Audit Follow-Up - Capital Acquisition Planned FY 2012/13
Commercial Pattern Vehicle Life Cycle Management Audit - Asset Management Active FY 2012/13
Unforecasted Operational Requirements Audit - Procurement and Contract Management Active FY 2012/13
CP-140 Avionics Contract Audit - Procurement and Contract Management Active FY 2012/13
Selected Contract-Related Audits Audit Follow-Up - Procurement and Contract Management Planned FY 2012/13
HRMS (Human Resource Management System) Capabilities and Functionalities Audit - IM/IT Systems and Management Active FY 2012/13
IM/IT Systems and Management Planning Study - IM/IT Systems and Management Planned FY 2012/13
Accuracy of Defence Civilian Personnel Data Audit - Civilian People Management Active FY 2012/13
Civilian Overtime Audit - Civilian People Management Active FY 2012/13
Civilian People Management Planning Study - Civilian People Management Planned FY 2012/13
Military Support & Personnel Management Planning - Military Support and People Management Planned FY 2012/13
Departmental Budget Management Audit - Financial Management Active FY 2012/13
Hazardous Materials Management Audit - Environmental Management Active FY 2012/13
Grants and Contributions Risk Analysis - Other Active FY 2012/13
Business Continuity Planning - Phase I Audit - Security Management Planned FY 2013/14
Security Program Governance Audit - Security Management Planned FY 2013/14
Selected Capital Acquisition Project Audit - Capital Acquisition Planned FY 2013/14
Capital Acquisition Program Governance Audit - Capital Acquisition Planned FY 2013/14
Analysis of Capital Acquisition (Equipment) Analysis - Capital Acquisition Planned FY 2013/14
Selected Capital Infrastructure Project Audit - Capital Acquisition Planned FY 2013/14
Warehouse Management Audit - Asset Management Active FY 2013/14
Weapon Effects Simulation Contract Audit - Procurement and Contract Management Planned FY 2013/14
Analysis of Contracts Analysis - Procurement and Contract Management Planned FY 2013/14
Selected IM/IT Project Audit - IM/IT Systems and Management Planned FY 2013/14
Selected Civilian People Management Project Audit - Civilian People Management Planned FY 2013/14
Selected Military Support & People Management Project Audit - Military Support and People Management Planned FY 2013/14
Financial Management - CF Health Services Group Audit - Financial Management Planned FY 2013/14
Management, Resources, Results and Accountability Structure (MRRS) Audit - Corporate Systems Planned FY 2013/14
Chemical Biological Radiological & Nuclear (CBRN) Material Management Audit - Environmental Management Planned FY 2013/14
Business Continuity Planning - Phase II Audit - Security Management Planned FY 2014/15
System and Application Access Controls Audit - Security Management Planned FY 2014/15
Canada Surface Combatant Project Audit - Capital Acquisition Planned FY 2014/15
Capital Project Life-Cycle Support Estimates Audit - Capital Acquisition Planned FY 2014/15
Performance-Based Contracts Audit - Procurement and Contract Management Planned FY 2014/15
Contract Cost Escalation Audit - Procurement and Contract Management Planned FY 2014/15
Selected IM/IT Systems and Management Project Audit -IM/IT Systems and Management Planned FY 2014/15
Selected Civilian People Management Project Audit - Civilian People Management Planned FY 2014/15
Selected Military Support & People Management Project Audit - Military Support and People Management Planned FY 2014/15
DND Financial Governance Audit - Financial Management Planned FY 2014/15
Financial Management & Contract Management Practices: Royal Canadian Navy Audit - Financial Management Planned FY 2014/15
Accounting for Capital Assets Audit - Financial Management Planned FY 2014/15
Corporate Risk Profile Audit - Corporate Systems Planned FY 2014/15
Contaminated Sites and Unexploded Ordnance Audit - Environmental Management Planned FY 2014/15
Arctic Operations - Governance Audit - Environmental Management Planned FY 2014/15
Electronic Link to Internal Audit Plan: N/A

Notes:

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

B. All upcoming Evaluations over the next three fiscal years


Name of Evaluation and Link to Report1 Program Activity Status2 Expected Completion Date
Evaluation of CF Recruiting and Basic Individual Military Qualification (BIMQ) Training Recruiting of Personnel and Initial Training Active Sep 2012
Evaluation of Aerospace Initial Occupational Training Recruiting of Personnel and Initial Training Active Sep 2012
Evaluation of Aerospace Equipment Maintenance Aerospace Readiness Active Dec 2012
Evaluation of the Cadet Program Canadian Identity Active Mar 2013
Evaluation of Military Family Support Defence Team Personnel Support Active Mar 2013
Evaluation of Security and Public Safety for G8 and G20 Summits Canadian Peace Stability and Security Active TBD (RCMP-led)
Evaluation of the DND/CF Contribution to Humanitarian Assistance and Disaster Relief (HADR) Operations Canadian Peace Stability and Security
Continental Peace Stability and Security
International Peace Stability and Security
Joint and Common Readiness		 Active Jun 2013
Evaluation of the Federal Contaminated Sites Action Plan (FCSAP) Environment Protection and Stewardship Active TBD (Environment Canada-led)
Evaluation of Maritime Equipment Maintenance Maritime Readiness Planned (2012 start) Mar 2014
Evaluation of Aerospace Readiness and Advanced Training Aerospace Readiness Planned (2012 start) Mar 2014
Evaluation of the CF Contribution to Coalition Operations International Peace Stability and Security Planned (2012 start) Mar 2014
Evaluation of Maritime Training Recruiting of Personnel and Initial Training Maritime Readiness Planned (2012 start) Jun 2014
Evaluation of DND/CF Search and Rescue (SAR) Canadian Peace Stability and Security Planned (2012 start) Jun 2014
Evaluation of Military Diplomacy International Peace Stability and Security Planned (2012 start) Jun 2014
Evaluation of Contributions in support of the Capital Assistance Program (CAP) Real Property and Informatics Infrastructure Acquisition and Disposal Planned (2013 start) Jun 2014
Evaluation of the Named Grant to the Institute of Environmental Monitoring and Research Aerospace Readiness Planned (2013 start) Jun 2014
Evaluation of the Contribution to the Biological and Chemical Defence Review Committee (BCDRC) Defence Science & Technology Planned (2013 start) Jun 2014
Evaluation of the Benevolent Fund Class Grant Program: Royal Canadian Naval Benevolent Fund Defence Team Personnel Support Planned (2013 start)   Jun 2014
Evaluation of DND/CF Environmental Protection and Stewardship Environment Protection and Stewardship Planned (2013 start) Dec 2014
Evaluation of DND/CF Organizational Learning Strategy N/A Planned (2014 start) Mar 2015
Evaluation of the DND/CF Equipment Acquisition and Disposal Activities Equipment Acquisition and Disposal Internal Services Planned (2013 start) Mar 2015
Evaluation of the Readiness of Maritime Force Elements Maritime Readiness Planned (2013 start) Dec 2014
Evaluation of Land Equipment Maintenance Land Readiness Planned (2013 start) Jun 2015
Evaluation of Canadian Sovereignty Operations Canadian Peace Stability and Security Planned (2014 start) Dec 2015
Evaluation of Canadian Peace Stability and Security Operations Canadian Peace Stability and Security Planned (2014 start) Dec 2015
Evaluation of Intelligence, Surveillance and Reconnaissance (ISR) Situational Awareness Planned (2014 start) Dec 2015
Evaluation of Casualty Support Defence Team Personnel Support Planned (2014 start) Mar 2016
Evaluation of Common Professional Development Defence Team Personnel Support Planned (2014 start) Mar 2016
Electronic link to evaluation plan: N/A

Notes:

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

2. This forecast could be impacted by any amendments to the DND/CF Program Activity Architecture.

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National Energy Board



Upcoming Internal Audits and Evaluations over the next three fiscal years

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


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Integrated Business and Human Resources Planning Integrated Business and Human Resources Planning In Progress October 2012

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

B. All upcoming Evaluations over the next three fiscal years

The evaluation function is under development. The schedule of future evaluations will be released in the next Report on Plans and Priorities.

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National Research Council Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years

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


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Follow-up to the 2007-08 Audit of the Industrial Research Assistance Program (NRC-IRAP) Transfer Payments Final Approval Pending 2011-12
Follow-up to the 2007-08 Audit of IT Security Management Corporate Governance Final Approval Pending 2011-12
Audit of Human Resources Management – Planning Corporate Governance Final Approval Pending 2011-12
Audit of NRC's Financial Management Control Framework – Revenue Financial Management and Controls Final Approval Pending 2011-12
2010-11 Continuous Audits – NRC-IRAP, Contracts, Acquisition Cards, Hospitality and Travel Financial Management and Controls DAC Review Pending 2011-12
Audit of NRC's Financial Management Control Framework – Budgeting and EDP Purchases Financial Management and Controls Ongoing – report drafting 2012-13
Audit of Capital Investment and Planning Financial Management and Controls Planned 2012-13
Audit of Human Resources Management – Staffing Corporate Governance Planned 2012-13
OCG Horizontal Audit of Performance Management Corporate Governance Planned 2012-13
2011-12 Continuous Audits – NRC-IRAP, Contracts, Acquisition Cards, Hospitality and Travel Financial Management and Controls Planned 2012-13
OCG Horizontal Audit of Grants & Contributions MCF – Phase II (NRC-IRAP) Transfer Payments Planned 2012-13
Audit of Research Program Management Financial Management and Controls Planned 2013-14
2012-13 Continuous Audits – NRC-IRAP, Contracts, Acquisition Cards, Hospitality, Travel and Capital Planning & Investment Financial Management and Controls Planned 2013-14
Follow-up to the 2009-10 Audit of Integrated Risk Management Corporate Governance Planned 2013-14
Review of NRC's Values and Ethics Management Framework Corporate Governance Planned 2013-14
Audit of Travel and Hospitality Financial Management and Controls Planned 2013-14
Follow-up to the 2009-10 Audit of Acquisition Cards Financial Management and Controls Planned 2013-14
Follow-up to the 2009-10 Audit of Facilities Management Corporate Governance Planned 2013-14
2013-14 Continuous Audits – NRC-IRAP, Contracts and Capital Investment & Planning Financial Management and Controls Planned 2014-15
Audit of Operational Security Corporate Governance Planned 2014-15

Electronic link to Internal Audit plan and reports

All upcoming Evaluations over the next three fiscal years

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


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of the Interactive Language Technologies Group (Roadmap for Canada's Linguistic Duality) ICT & Emerging Technologies In progress 2011-12
Evaluation of the Industrial Research Assistance Program Industrial Research Assistance In progress 2012-13
Evaluation of the Construction Portfolio Manufacturing Technologies Planned 2013-14
Evaluation of the Medical Devices Portfolio Health & Life Science Technologies Planned 2013-14
Evaluation of Surface Transportation Portfolio Manufacturing Technologies Planned 2013-14
Implementation Evaluation of the Digital Technology Adoption Pilot Program Industrial Research Assistance Planned 2013-14
Evaluation of the Energy and Environment Portfolio Energy & Environmental Technologies Planned 2014-15
Evaluation of TRIUMF National Science & Technology Infrastructure Planned 2014-15
Evaluation of the Nanotechnology Portfolio ICT & Emerging Technologies Planned 2014-15
Implementation Evaluation of the Wheat Flagship Program Health & Life Science Technologies Planned 2014-15

Electronic Link to Evaluation plan

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Natural Resources Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

Upcoming Internal Audits over the next three fiscal years


2011-2012
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Strategic Review Implementation Core Financial In progress June 2012
CANMET - Materials Technology Laboratory (MTL) Relocation Other Audits In progress March 2012
Regional Offices — Shared Services Office (SSO) Support Services Other Audits In progress March 2012
United Nations Convention on the Law of the Sea (UNCLOS) Other Audits Completed N/A
Electronic Payment System (E-payment) Core Information Management/Technology (IM/IT) In progress June 2012
ecoENERGY Technology Initiative (ecoETI) Core Grant and Contribution (G&C) Completed N/A
Investments in Forest Industry Transformation (IFIT) Program Core Grant and Contribution (G&C) Deferred to 2012-2013 N/A
Information Management Core Information Management/Technology (IM/IT) In progress March 2012
Geo-Mapping for Energy and Minerals (GEM) Initiative Other Audits In progress March 2012
Leadership for Environmental Advantage In Forestry (LEAF) Program Core Grant and Contribution (G&C) Completed N/A
Non-Competitive Contracting Core Financial Completed N/A
Follow-up Audit on Repayable Contributions Core Grant and Contribution (G&C) Completed N/A
Audit of Real Property Other Audits In progress March 2012


2012-2013*
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Investments in Forest Industry Transformation (IFIT) Program Core Grant and Contribution (G&C) Planned N/A
ecoENERGY for Renewable Power Core Grant and Contribution (G&C) Planned N/A
Internal Controls Over Quarterly Financial Reporting Core Financial Planned N/A
SAP Functionalities Other Audits Planned N/A


2013-2014*
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Access to Information and Privacy Other Audits Planned N/A
Budgeting and Forecasting / Annual Reference Level Update (ARLU) Other Audits Planned N/A
Automated Pay Interface (PeopleSoft 8.9 Update) Core Information Management/Technology (IM/IT) Planned N/A
Business Continuity and Disaster Recovery Planning Core Information Management/Technology (IM/IT) Planned N/A
Polar Continental Shelf Project (PCSP) Other Audits Planned N/A
Offshore Statutory Transfer Payments Core Financial Planned N/A

Electronic Link to Internal Audit Plan: http://www.nrcan.gc.ca/audit/annual-plans/1182

*The current plan will be reviewed in the next 2012-2015 Risk-Based Audit Plan (RBAP) for the second and third fiscal year audit projects to ensure that they remain aligned to government-wide risk exposures, objectives and other assurance activities.

Upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Alternative Transportation Fuels 2.1 Energy-efficient Practices and Lower-carbon Energy Sources In progress May 2012
Gunnar Mine Site 2.3 Environmentally-responsible Natural Resource Management In progress May 2012
Class Grants and Contributions Program 4.1 Internal Services In progress May 2012
Minerals & Metals Markets, Innovation and Investment 1.1 Market Access & Diversification;
1.2 Innovation for New Products & Processes;
1.3 Investment in Natural Resources Sectors		 In progress June 2012
Geo-Mapping for Energy and Mineral Exploration 1.3 Investment in Natural Resources Sectors In progress June 2012
Clean Energy S&T: Clean Energy Systems for Industry 2.2 Technology Innovation In progress June 2012
Clean Energy S&T: Sustainable Bioenergy 2.2 Technology Innovation In progress June 2012
Polar Continental Shelf 3.2 Landmass Management In progress September 2012
Domestic and International Energy Policy — (Evaluation Assessment only) 1.1 Market Access and Diversification;
2.1 Energy-efficient Practices and Lower-carbon Energy Sources		 Work not begun December 2012
Energy S&T: Clean Transportation Energy 2.2 Technology Innovation Work not begun June 2013
Energy S&T: Clean Energy Systems for Buildings and Communities 2.2 Technology Innovation Work not begun June 2013
Pulp and Paper Green Transformation Program Program was under PA 2.1 in 2011-12 and ends March 31, 2012. Work not begun June 2013
Forest Ecosystems Science and Application 2.3 Environmentally-responsible Natural Resource Management Work not begun June 2013
Geohazards and Public Safety 3.1 Protection for Canadians and Natural Resources Work not begun June 2013
Groundwater Geoscience 2.3 Environmentally-responsible Natural Resource Management Work not begun June 2013
Environmental Studies and Assessments 2.3 Environmentally-responsible Natural Resource Management Work not begun June 2013
Youth Employment Strategy 4.1 Internal Services Work not begin 2013 — TBD by HRSDC
Federal Contaminated Sites Action Plan 4.1 Internal Services Work not begun 2013 — TBD by EC
Clean Energy Fund 2.2 Technology Innovation Work not begun 2014
Forest Sector Innovation 1.2 Innovation for New Products and Processes Work not begun 2014
Targeted Geoscience Initiative 4 1.3 Investment in Natural Resource Sectors Work not begun 2014
Canada's Legal Boundaries 3.2 Landmass Management Work not begun 2014
Green Mining Initiative 2.2 Technology Innovation Work not begun 2014
Renewable Energy Deployment 2.1 Energy-efficient Practices and Lower-carbon Energy Sources Work not begun 2015
Clean Energy S&T: Oil & Gas 2.2 Technology Innovation Work not begun 2015
Clean Energy S&T: Clean Electric Power Generation 2.2 Technology Innovation Work not begun 2015
Energy Efficiency: Industry, Housing, Buildings, Equipment, Transportation 2.1 Energy-efficient Practices and Lower-carbon Energy Sources Work not begun 2015
Alternative Transportation Fuels 2.1 Energy-efficient Practices and Lower-carbon Energy Sources Work not begun 2015
Forest Disturbances Science & Application 3.1 Protection for Canadians and Natural Resources Work not begun 2015
Genomics R&D Initiative Horizontal evaluation lead by National Research Council Canada (NRC) Work not begun 2015 - TBD by NRC
Geomatics Innovation 1.2 Innovation for New Products and Processes Work not begun 2015
Essential Geographic Information & Support 3.2 Landmass Management Work not begun 2015
Extended Continental Shelf Program Horizontal initiative lead by Department of Fisheries and Oceans (DFO). Work not begun 2015 — To be determined by DFO or DFAIT
Materials for Energy 2.2 Technology Innovation Work not begun 2015
Mining Infrastructure & Explosives Safety 3.1 Protection for Canadians and Natural Resources Work not begun 2015

Electronic link to evaluation plan: http://www.nrcan.gc.ca/evaluation/reports/3006

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Natural Sciences and Engineering Research Council of Canada



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

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of IT Security (joint with SSHRC) Assurance audit Completed Q4 of 2011-12
Audit of Budget Management Assurance audit Planned Q4 of 2012-13
Horizontal Audit of the Grants and Contributions Framework – Phase II OCG Horizontal Audit Planned Q2 of 2012-13
Audit of Strategic Partnerships Program Assurance audit Planned Q3 of 2013-14
Audit of Strategic Human Resources Practices (simultaneously with SSHRC) Assurance audit Planned Q2 of 2013-14
Audit of Progress in Addressing Policy on Internal Controls Requirements (joint audit with SSHRC) Compliance audit Planned Q4 of 2013-14
Audits for 2014-15 are not yet approved.

Upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Tri-Agency Evaluation of the Centres of Excellence for Commercialization and Research PA 3.3 Support Commercialization In progress 2012-13
Evaluation of the Postdoctoral and Industrial Research and Development Fellowships PA 1.2 Support Students and Fellows; and PA 3.2 Fund University-Industry-Government Partnerships In progress 2012-13
Evaluation of the Collaborative Health Research Projects PA 3.1 Fund Research in Strategic Areas In progress 2012-13
Tri-Agency Evaluation of the Industrial R&D Internship Program PA 3.2 Fund University-Industry-Government Partnerships In progress 2012-13
Tri-Agency Evaluation of the College and Community Innovation Program PA 3.3 Support Commercialization In progress 2012-13
Joint Evaluation of the Tri-Agency Canada Graduate Scholarships and Vanier Canada Graduate Scholarships Programs PA 1.2 Support Students and Fellows Planned 2012-13
Joint Evaluation of the Tri-Agency Business-Led Networks of Centres of Excellence and Networks of Centres of Excellence PA 3.2 Fund University-Industry-Government Partnerships Planned 2013-14
Tri-Agency Evaluation of the Canada Excellence Research Chairs PA 1.3 Attract and Retain Faculty Planned 2013-14
Evaluation of Postgraduate and Industrial Postgraduate Scholarships PA 1.2 Support Students and Fellows Planned 2013-14
International Review of Discovery Grants PA 2.1 Fund Basic Research Planned 2013-14
Joint Evaluation of Major Resources Support (MRS) and Research Tools and Instruments (RTI) PA 2.2 Support for Research Equipment and Major Resources Planned 2014-15
Evaluation of Collaborative Research and Training Experience (CREATE) Grants PA 1.2 Support Students and Fellows Planned 2014-15
Evaluation of Collaborative Research and Development (CRD) Grants PA 3.2 Fund University-Industry-Government Partnerships Planned 2014-15
Tri-Agency Evaluation of the Banting Postdoctoral Fellowships PA 1.2 Support Students and Fellows Planned 2014-15

Electronic link to evaluation plan: NSERC Program Evaluations

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Office of the Auditor General of Canada



Internal audits planned for 2012–13 to 2014–15

Name Type Status Expected completion date
Internal audits1
Financial management and budgeting Management controls In progress April 2012
Follow-up on the implementation of previous internal audit recommendations Financial and management controls Planned To be determined
Management performance information Management controls Planned In 2012–13, date to be determined
Practice reviews—recurring and periodic
Periodic reviews1
Application of Canadian Auditing Standard 600 Compliance—audit practices In progress April 2012
Follow-up on the implementation of previous practice review recommendations Compliance—audit practices Planned In 2012–13, date to be determined
The role of the information technology team in assisting annual audit teams Review focusing on annual audit practice Planned In 2013–14, date to be determined
Annual reviews
Report on the Review of the Annual Audit Practice of the Office of the Auditor General of Canada Compliance—annual audit practice Winter 2013
Report on the Review of the Performance Audit practice of the Office of the Auditor General of Canada Compliance—performance audit practice Spring 2013
Report on the Review of the Special Examination practice of the Office of the Auditor General of Canada Compliance—special examination practice
1 The Office has a rolling three-year Practice Review and Internal Audit Plan. Specific audits for 2012–13 and 2013–14 have not yet been approved by the Auditor General. They will be posted on our website after they are approved.

The Practice Review and Internal Audit Plan 2011–12 to 2013–14 can be found on the Office of the Auditor General website.

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Office of the Chief Electoral Officer



Internal Audits Planned for 2012–2013

Elections Canada is currently in the last year of its three-year audit plan. In 2012–2013, the agency will continue its progress in implementing previous audit recommendations and the internal audits currently under way; it will also evaluate its internal audit function in the context of fiscal restraint. This will drive a new approach in the development of a 2013–2016 Risk-Based Audit Plan that will fully align with the agency's corporate risk profile.

2012–2013
Internal Audit Name Internal Audit Type Status Expected Completion Date
Security Management Assurance Audit In Progress 2012–2013
Performance Management Assurance Audit Planned 2012–2013
Financial Policies and Controls Continuous Audits Planned 2012–2013
Quality Assurance of Political Financing Audits Continuous Audits Planned 2012–2013
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Office of the Commissioner of Lobbying of Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years


Upcoming Internal Audits over the next three fiscal years
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Registration and client services/Lobbyists Registration System Operational Planned December 2012
Reviews and investigations/Case management system Operational Planned To be determined
Financial management Financial Planned March 2014
Procurement and contracting Compliance Planned March 2014

The Internal Audit Plan for fiscal years 2011-12 to 2013-14 can be found on the Office of the Commissioner of Lobbying website.

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Office of the Commissioner of Official Languages



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Strategic Communications and Promotion Assurance To take place in 2012–13 2012–13

Electronic Link to Internal Audit Plan:

The Internal Audit Plan can be found on OCOL's Web site.

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Office of the Privacy Commissioner of Canada



Upcoming Internal Audits Over The Next Three Fiscal Years

1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Finance and Administration – Procurement and Contract Management Assurance audit of a functional area Planned March 31, 2013
Information Sharing Processes Management Practices Review Planned March 31, 2013
Service Standards (including review of Call Centre)* Assurance audit of a program Planned March 31, 2014
Investigating Complaints and Responding to Inquiries – Follow-up on various audits conducted in 2010/11 and 2011/12* Assurance audit of a program Planned March 31, 2014
Values and Ethics Implementation* Assurance audit of an area of management Planned March 31, 2015
Common Services for Officers of Parliament * Assurance audit of a functional area Planned March 31, 2015

* These projects will be confirmed as part of the annual risk-based audit planning process scheduled to take place in Q4 of each fiscal year.

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Office of the Public Sector Integrity Commissioner of Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Security Governance In Progress March 2012
Contribution Program Transfer Payments 2012-13 Planned September 2012
Contracting and Acquisition Cards Assurance/Compliance 2012-13 Planned December 2012
Travel and Hospitality Assurance/Compliance 2013-14 Planned September 2014
Information Management Governance 2013-14 Planned March 2014

The Office has shared service agreements with the Canadian Human Rights Commission, and Public Works and Government Services Canada who provide administrative services to the Office on a contractual basis. These arrangements supplement internal resources of the Office and allow the pooling of expertise in specific management areas. The Canadian Human Rights Commission provides services in the areas of financial management (namely transaction processing and reporting), security clearances and building security arrangements, procurement and contracting, telecommunications, information management, information technology and human resources information systems. Public Works and Government Services Canada provides services in the areas of human resources management, namely planning, staffing, classification, labour relations, policies and procedures, and human resources reporting requirements to central agencies.

All upcoming Evaluations over the next three fiscal years

In accordance with provisions of the PSDPA, Treasury Board Secretariat must have an independent review of the Act and its administration and operation conducted five years after it came into effect on April 15, 2007. The Office will also provide information and legislative recommendations to Treasury Board to support their review of the Act. A report on the results of the review must then be presented before each House of Parliament within 15 sitting days after the review is completed.

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Office of the Superintendent of Financial Institutions



Upcoming Internal Audits and Evaluations over the next three fiscal years

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


1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
Superintendent's Office: Risk Management Risk Management Completed  
Supervision Sector: Life Insurance Group - Conglomerates Risk Assessment & Intervention In Progress April 2012
Supervision Sector: Deposit Taking Institutions – Conglomerates Risk Assessment & Intervention 2011-2012 Planned November 2012
Corporate Services: Finance Travel & Hospitality In Progress February 2012
Corporate Services: Human Resources Training & Development 2011-2012 Planned November 2012
Corporate Services: Information Management / Information Technology Governance 2011-2012 Planned November 2012
Superintendent's Office: Internal Audit Quality Assurance 2012-2013 Planned Q4 2012/13
Supervision Sector: Property & Casualty Group Risk Assessment and Intervention 2012-2013 Planned Q4 2012/13
Supervision Sector: Supervision Support Group, Capital Markets Division Risk Assessment and Intervention 2012-2013 Planned Q4 2012/13
Regulation Sector: Capital Division Rule-Making and Approvals 2012-2013 Planned Q4 2012/13
Regulation Sector: Private Pension Plans Division Risk Assessment and Intervention (Supervision) 2014-2015 Planned Q4 2014/15
Corporate Services: Finance Governance 2013-2014 Planned Q4 2013/14
Corporate Services: Security Services Unit Governance 2012-2013 Planned Q4 2012/13
Supervision Sector: Deposit-Taking Group – Non-Conglomerates Risk Assessment & Intervention 2013-2014 Planned Q4 2013/14
Supervision Sector: Life-Insurance Group – Non-Conglomerates Risk Assessment & Intervention 2013-2014 Planned Q4 2013/14
Supervision Sector: Deposit-Taking Group – Risk Measurement Analytics and Assessment Risk Assessment & Intervention 2013-2014 Planned Q4 2013/14
Supervision Sector: Supervision Support Group – Practices Supervisory Support 2013-2014 Planned Q4 2013/14
Regulation Sector: Actuarial Division Risk Assessment & Intervention 2013-2014 Planned Q4 2013/14
Corporate Services Sector: Communications and Public Affairs Division Governance 2014-2015 Q4 2014/15
Corporate Services Sector: FRFI Data Management Information Management 2014-2015 Q4 2014/15
Supervision Sector: Supervision Support Group – Anti-Money Laundering & Compliance Supervisory Support 2014-2015 Q4 2014/15
Supervision Sector: Supervision Support Group – Operational Risk and Capital Assessment Services Supervisory Support 2014-2015 Q4 2014/15
Supervision Sector: Supervision Support Group – Risk Surveillance and Analytics Supervisory Support 2014-2015 Q4 2014/15
Office of the Chief Actuary – IT Models and Data Management Information Management 2014-2015 Q4 2014/15

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

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Parks Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Management of Dams Safety Assurance Planned March 2013
Horizontal Audit of Use of Acquisition Cards Assurance In progress June 2012
Financial Management Framework Assurance On-going September 2012
Audit of Stakeholders and Partners Engagement Assurance Planned March 2013
Audit of Parks’ Branding Program Assurance Planned March 2013
Information in PeopleSoft Assurance Planned March 2013
Audit of Revenue — Canals Assurance Planned January 2013
Audit of MCF for Information Management Assurance Planned March 2013
Audit of Acceptable Use of Electronic Network Assurance Planned March 2013
Audit of Business Continuity and Emergency Preparedness Assurance Planned March 2013
Audit Management of Parks’ Staff Housing Assurance Planned December 2012
Audit of Management of Long Arms Assurance Planned March 2014
Audit of Visitor Safety Program Assurance Planned March 2014
Audit of Internal Communication Assurance Planned March 2014
Audit of Official Languages Assurance Planned March 2014
Audit of Compliance with Policy on Internal Control Assurance Planned March 2014
Audit of IT Investment Assurance Planned March 2014

Electronic Link to Internal Audit Plan: http://www.pc.gc.ca/docs/pc/rpts/rve-par/iap-2011-2012_e.asp

All upcoming Evaluations over the next three fiscal years


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

Electronic link to evaluation plan: http://www.pc.gc.ca/docs/pc/rpts/rve-par/ep-2011-2012_e.asp

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Parole Board of Canada



Upcoming Internal Audits[1] and Evaluations

Subject Status Expected Completion Date Electronic Link to Report
Horizontal Audit of Integrated Business and HR Planning and Analysis Planned October 31, 2012 will be provided when available

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

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Patented Medicine Prices Review Board



Upcoming Internal Audits and Evaluations over the next three fiscal years

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


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Horizontal Audit of Integrated Business and Human Resources Planning in Small Departments and Agencies Integrated business and human resources planning activities. In-progress Fall 2012
Audit by the Public Service Commission of Canada Organizational Audit of the delegated staffing system Planned 2013

B. All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of the PMPRB’s Programs

Program Activity 1:
Patented Medicines Price Regulation Program

Program Activity 2:
Pharmaceutical Trends Program

 In-progress Final Report – Spring 2012
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Privy Council Office



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit1 Internal Audit Type Status Expected Completion Date2
Audit of Occupational Health and Safety Assurance - Internal Service Planned 2012/13
Audit of Financial Planning and Forecasting Assurance - Internal Service Planned 2012/13
Audit of Information Technology (IT) Management and Service Delivery Assurance - Internal Service Planned 2012/13
Audit of Security Assurance - Internal Service Planned 2013/14
Audit of Human Resources Classification Assurance - Internal Service Planned 2013/14
Audit of Accommodation Management and Building Services Assurance - Internal Service Planned 2013/14
  1. Audits as identified in the PCO multi-year Risk Based Audit Plan 2011-2012, covering the three fiscal years 2011-2012, 2012-2013, and 2013-2014 (all audits subject to change and rescheduling due to changes in priority or availability of resources).
  2. Actual/planned date of Deputy Head (Clerk) approval.

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
There are no evaluations planned. n/a n/a n/a

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

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Public Health Agency of Canada



Upcoming Internal Audits and Evaluations for the Next Three Fiscal Years


A. Upcoming Internal Audits Over the Next Three Fiscal Years


The following audits were included in the Risk Based Audit Plan 2011-2014 approved in June 2011. The plan is reviewed annually. The annual review and update on planned audits may result in modification to audits conducted.

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Immunization Program Program In Progress June 2012
Audit of Values and Ethics and Conflict of Interest Internal Services Planned September 2012
OCG Horizontal Audit on Compliance to the Policy on Management, Resources and Results Structures Internal Services Planned December 2012
Audit of Financial Resources Allocation Process Internal Services Planned December 2012
Audit of Observatory of Best
Practices
 Program Planned March 2013
Audit of Coordination of Surveillance
Activities
 Program Planned June 2013
Audit of Business Continuity Planning Internal Services Planned September 2013
Audit of Risk Management
Framework
 Internal Services Planned December 2013
Audit of Regional Operations Program Planned December 2013
Audit of Talent Management in Public
Health
 Program Planned March 2014
Audit of Surveillance Systems Program Planned March 2014

Electronic Link to Internal Audit Plan: N/A

B. All Upcoming Evaluations Over the Next Three Fiscal Years


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of Public Health Surveillance 1.2.1 – Public Health Surveillance In Progress March 2013
Evaluation of Community Associated Infections Program 1.5.3.3 – Community Associated Infections Planned March 2013
Evaluation of Mental Health Promotion Program 1.4.1.3 – Mental Health Promotion Planned March 2013
Evaluation of Injury Prevention and Mitigation Program 1.5.2 – Injury Prevention and Mitigation Planned March 2013
Evaluation of Canadian Public Health Service 1.3.1 – Public Health Capacity Planned March 2013
Evaluation of Travel and Migration Health Program 1.3 – Public Health Preparedness and Capacity
1.6 – Regulatory Enforcement and Emergency Response		 Planned March 2014
Evaluation of Antimicrobial Resistance 1.5 – Disease and Injury Prevention and Mitigation Planned March 2014
Evaluation of the Fetal Alcohol Spectrum Disorder Program 1.4.3.4 – Fetal Alcohol Spectrum Disorder Planned March 2014
Evaluation of Public Health Tools Program 1.3.1.2 – Public Health Tools Planned March 2014
Evaluation of the Federal Initiative on HIV/AIDS 1.2 – Surveillance and Population Health Assessment
1.3 – Public Health Preparedness and Capacity
1.5 – Disease and Injury Prevention and Mitigation		 Planned March 2014
Evaluation of Immunization and Respiratory Infections 1.5.3.1 – Immunization
1.5.3.2 – Respiratory Infections		 Planned March 2014
Evaluation of the Pathogens and Toxins Program 1.6.1.3 – Pathogens and Toxins Planned March 2014
Evaluation of the Population Health Assessment Program 1.2.2 – Population Health Assessment Planned March 2015
Evaluation of the Integrated Strategy for Healthy Living and Chronic Disease Programs 1.5.1 – Chronic Disease Prevention and Mitigation
1.4.1.1 – Health Living		 Planned March 2015
Evaluation of Emerging Priorities in Chronic Disease Prevention and Mitigation Program 1.5.1.5 – Emerging Priorities in Chronic Disease Prevention and Mitigation Planned March 2015
Evaluation of Innovative Interventions 1.4.2.2 – Innovative Interventions Planned March 2015
Evaluation of Stakeholder Engagement 1.3.3 – Public Health Networks Includes additional funding areas Planned March 2015
Evaluation of the Field Services Program 1.2.1.3 – Surveillance of Infectious Disease
1.3.1 – Public Health Capacity
1.3.2.2 – Emergency Preparedness
1.5.3.1 – Immunization
1.6.1.1 – Quarantine
1.6.2.3 – Mobile Laboratories
 Planned March 2015

Electronic Link to Evaluation Plan: N/A

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Public Prosecution Service of Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

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

Note: Audits listed as planned may be subject to change due to shifting priorities based on annual evaluation of risk elements. The new proposed audit projects for fiscal years 2013-14 and 2014-15 will be approved in 2013.

1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected Completion Date
2012-13
Audit of Governance and Integrated Planning Assurance In progress June 2012
Audit of the Alberta Regional Office Assurance In progress November 2012
Audit of the Atlantic Regional Office Assurance Planned March 2013
Audit of Security Assurance Planned October 2013
Audit of the National Capital Regional Office Assurance *In reserve To be determined
Review of Fine Recovery Review *In reserve To be determined
2013-14
Audit of Nunavut Regional Office Assurance Planned To be determined
Audit of Information Management Assurance Planned To be determined
Audit of HQ Contracting Assurance Planned To be determined
Audit of British Columbia Regional Office Assurance Planned To be determined
2014-15
Audit of Values & Ethics Assurance Planned To be determined
Audit of Learning, Training, and Professional Development Assurance Planned To be determined
Review of HQ Counsel Group & Regulatory and Economic Crime Sections Review Planned To be determined

5. Electronic Link to Internal Audit Plan (if publicly available):

N/A

Please Note: Once approved, PPSC internal audit reports are posted on the website shown below:

http://www.ppsc-sppc.gc.ca/eng/pub/index.html#s030

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

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Public Safety Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Internal Audits
Name of Internal Audit Internal Audit Type Status Expected Completion Date
Business Continuity Planning Assurance Planned 2012-2013
Information Technology Security Assurance Planned 2012-2013
Disaster Financial Assistance Arrangements Program Assurance Planned 2013-2014
Implementation of the Departmental Security Plan Assurance Planned 2013-2014
Lessons Learned from the RCMP Contract Negotiations Process Advisory Planned 2013-2014

Electronic Link to Internal Audit Plan: Public Safety Canada’s Risk-based Internal Audit Plan will be available here.

Note: Internal Audit is in the second year of a three-year plan. No audits have yet been planned for FY 2014-15. The plan is currently under review.

All upcoming Evaluations over the next three fiscal years


Evaluations
Name of Evaluation Program Activity Status Expected Completion Date
Initiative to Combat Contraband Tobacco Countering Crime Planned March 31, 2013
Security Cost Framework Policy Countering Crime Planned March 31, 2013
National Crime Prevention Strategy Countering Crime Planned March 31, 2013
Aboriginal Community Safety Development Contribution Countering Crime Planned March 31, 2014
National Strategy for the Protection of Children from Sexual Exploitation on the Internet Countering Crime Planned March 31, 2014
Joint Emergency Preparedness Program Emergency Management Planned March 31, 2014
Biology Casework Analysis Contribution Program Countering Crime Planned September 30, 2014
First Nations Policing Program Countering Crime Planned March 31, 2015
Security Infrastructure Program Countering Crime Planned March 31, 2015
Renewal of the Strengthening Community Safety Initiative (National Office for Victims funding only) Countering Crime Planned March 31, 2015
Integrated Market Enforcement Team Initiative Countering Crime Planned March 31, 2015

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Public Service Commission of Canada



All upcoming Internal Audits over the next three fiscal years

The PSC has an established internal audit function, working within an environment bounded by professional standards and TBS policies. The function also receives guidance and input from its independent Internal Audit Committee. The PSC posts all completed audits on its Web site.

The table below gives the status of audits planned for 2012-2013 and those not yet complete. It also shows the outlook for audits to be completed over the next three years. We reassess risks annually as part of our audit planning process. Consequently, the outlook may be revised to reflect changes to overall risks, controls and commitments over this time frame.


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Access to Information and Privacy Fundamental controls Planned Q2 – 2012-2013
Cost-Recovery Operations Fundamental controls Planned Q3 – 2012-2013
Cyclical Financial Controls (Revenue) Fundamental controls Planned Q3 – 2012-2013
Information Management Fundamental controls Planned Q1 – 2013-2014
Time Accounting and Reporting Fundamental controls Planned Q1 – 2013-2014
Cyclical Financial Controls (Contracting) Fundamental controls Outlook Q2 – 2013-2014
Business Intelligence and Enterprise Data Warehouse Fundamental controls Outlook Q3 – 2013-2014
Staffing Accountability Monitoring and Reporting Program management Outlook Q4– 2013-2014
Priority Appointment Administration Program management Outlook Q1 – 2014-2015
Cyclical Financial Controls (To be determined) Fundamental controls Outlook Q2 – 2014-2015
PSRS Operations Program management Outlook Q3 – 2014-2015

All upcoming Evaluations over the next three fiscal years

The PSC has an established evaluation function governed by professional standards and TBS policies. The function also receives guidance and input from its departmental Evaluation Committee.

The rolling PSC 5-Year Evaluation Plan is updated annually. It takes into consideration emerging issues and priorities and shows progress towards increased evaluation coverage. Upon approval, the 5-Year Evaluation Plan 2012-2017 will be strategically integrated into the organization’s overall management activities and will support decision-making with the generation of timely, strategically focussed, objective and evidence-based information on the performance of PSC’s policies, programs and initiatives as an organization.

The table below gives the status of frameworks and evaluations planned for 2012-2013 and for the following two years. We reassess risks and priorities annually as part of our evaluation planning process. Consequently, activities planned for the 2013-2015 period may be revised to reflect changes in priority and resources level.

The PSC posts its 5-Year Evaluation Plan and all completed evaluation reports on its Web site.


Name of Evaluation Program Activity Status Expected Completion Date
ADSB Learning Strategy (Evaluation) Direct Program Spending Planned 2012-2013
Student Employment Programs:
Federal Student Work Experience Program (FSWEP), Research Affiliate Program (RAP), and Cooperative Education and Internship Program (Evaluation)		 Direct Program Spending Planned 2012-2013
EX Resourcing (Framework) Direct Program Spending Planned 2012-2013
Political Activities (Evaluation) Direct Program Spending Planned 2012-2013
Information Management
Records, Documents and Information Management System (RDIMS) Project and Strategy (Evaluation)		 Direct Program Spending Planned 2012-2013
Personnel Psychology Center (PPC) (Evaluation) Direct Program Spending Planned 2012-2013
Library (Framework) Direct Program Spending Planned 2012-2013
Data Management Services (Framework) Direct Program Spending Planned 2012-2013
Investigations (Framework) Direct Program Spending Planned 2012-2013
Recruitment of Policy Leaders (Evaluation) Direct Program Spending Planned 2012-2013
Post-Secondary Recruitment Program (Framework) Direct Program Spending Planned 2012-2013
EX Resourcing (Evaluation) Direct Program Spending Planned 2013-2014
Delegated Authorities and Strategic Staffing (Evaluation) Direct Program Spending Planned 2013-2014
Staffing and Assessment Services Branch Business Plan - Action Plan (Framework) Direct Program Spending Planned 2013-2014
Appointment Policies and Tools (Framework) Direct Program Spending Planned 2013-2014
Annual Report (Framework) Direct Program Spending Planned 2013-2014
Staffing Management Accountability Framework (SMAF) and Departmental Staffing Accountability Report (DSAR)  PAA 611 (Framework) Direct Program Spending Planned 2013-2014
Public Service Resourcing System (Framework) Direct Program Spending Planned 2013-2014
Cost Recovery Operations (Framework) Direct Program Spending Planned 2013-2014
Information Technology (Framework) Direct Program Spending Planned 2014-2015
Oversight Coordination (Framework and Evaluation) Direct Program Spending Planned 2014-2015
Library (Evaluation) Direct Program Spending Planned 2014-2015
Annual Report (Evaluation) Direct Program Spending Planned 2014-2015
Annual Report on the State of Performance Measurement at the PSC presented to the Executive Management Committee Direct Program Spending Planned Recurring
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Public Service Labour Relations Board



Upcoming Internal Audits and Evaluations over the next three fiscal years

The PSLRB may be participating in the following Office of the Comptroller General horizontal internal audits:


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Financial Forecasting (2012-13) Financial forecasting opportunities and challenges Planned TBD
Protection of Personal Information (2012-13) Personal information and privacy Planned TBD
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Public Service Staffing Tribunal



Upcoming Internal Audits and Evaluations over the next three fiscal years

The PSLRB may be participating in the following Office of the Comptroller General horizontal internal audits:

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Financial Forecasting (2012–13) Financial forecasting opportunities and challenges Planned TBD
Protection of Personal Information (2012–13) Personal information and privacy Planned TBD

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Public Works and Government Services Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Internal Audit Plan: Not available.

Internal audit reports: Can be viewed at: www.tpsgc-pwgsc.gc.ca/bve-oae/rapports-reports/2010-2011-eng.html

All upcoming Evaluations over the next three fiscal years


Evaluation Plan: Not available.

Evaluation reports: Can be viewed at: www.tpsgc-pwgsc.gc.ca/bve-oae/rapports-reports/2010-2011-eng.html

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RCMP External Review committee



Upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
1. The Office of the Comptroller General is conducting a horizontal internal audit of Governance in Small Departments and Agencies including the RCMP External Review Committee. governance ongoing to be determined
2. The Office of the Comptroller General is conducting a horizontal internal audit of Financial Forecasting in Small Departments and Agencies including the RCMP External Review Committee. planning planned Sept. 2013

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Royal Canadian Mounted Police



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Human Resources Personnel Data Operational – Assurance Engagement In Progress March 2012
Canadian Police Information Centre (CPIC) Information Operational – Assurance Engagement In Progress March 2012
Business Continuity Planning Operational – Assurance Engagement In Progress June 2012
Intelligence Coordination and Sharing Operational – Assurance Engagement In Progress June 2012
Annual Audit of Sensitive Expenditures 2011-12 Operational – Assurance Engagement Planned September 2012
Human Resources Planning Framework Operational – Assurance Engagement Planned September 2012
Integrated Risk Management Framework Operational – Assurance Engagement Planned December 2012
Performance of Professional Standards and Public Complaints Investigations Operational – Assurance Engagement Planned December 2012
Information to Support Aboriginal Policing Operational – Assurance Engagement Planned March 2013
Executive Officer Development and Resourcing Program Operational – Assurance Engagement Planned March 2013
Information Technology Follow-up – Management Action Plans Operational – Assurance Engagement Planned June 2013
Annual Audit of Sensitive Expenditures 2012-13 Operational – Assurance Engagement Planned September 2013
Information Management / Information Technology General Controls Operational – Assurance Engagement Planned September 2013
Financial Allocation and Senior Executive Committee Prioritization Processes and Controls Financial Assurance Engagement Planned December 2013
Labour Relations and Grievance Process Operational – Assurance Engagement Planned December 2013
Implementation of Performance Measurement Operational – Assurance Engagement Planned December 2013
Internal Controls for Financial Reporting Financial Assurance Engagement Planned March 2014
Provincial/Territorial Policing Contracts Operational – Assurance Engagement Planned March 2014
Follow-up to the Public Service Commission Audit of Appointments under the Public Service Employment Act Operational – Assurance Engagement Planned June 2014
Capital Assets Operational – Assurance Engagement Planned June 2014
Contracting for Goods and Services Operational – Assurance Engagement Planned September 2014

Electronic Link to Internal Audit Plan: N/A

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Treasury Board Secretariat (TBS): Vancouver 2010 Olympic and Paralympic Games (Horizontal Initiative, RCMP led)

1.1 Police Operations
1.1.2 Federal Policing

Pending Approval

TBS Mandated

 March 2012
TBS: G8/G20 Summits (Horizontal Initiative, RCMP led) 1.1 Police Operations
1.1.2 Federal Policing

In Progress

TBS Mandated

 March 2012
TBS: National Counterfeit Enforcement Strategy (Horizontal Initiative, RCMP led) 1.1 Police Operations
1.1.2 Federal Policing

Pending Approval

TBS Mandated

March 2012

Carry-over from 2010-11
Community Safety Officer - Pilot 1.2 Canadian Law Enforcement Services

Pending Approval

Requested by Senior Management

 March 2012
Border Integrity Pilot - Lacolle, Quebec (Horizontal Initiative, RCMP led) 1.1 Police Operations
1.1.2 Federal Policing		 In Progress March 2012
Canadian Policing Agreement (Horizontal Initiative, led by the Department of Foreign Affairs and International Trade [DFAIT]) 2.1 International Operations Pending Approval March 2012

TBS: Great Lakes Marine Security Operations Centre

 1.1 Police Operations
1.1.2 Federal Policing

Planned

TBS Mandated

 March 2013

TBS: Recruitment and National Advertising Campaign

 4.1 Internal Services

Planned

TBS Mandated

  
Aboriginal Shield 1.1 Police Operations
1.1.2 Technical Services and Operational Support

Planned

Requested by Senior Management

 2012-13

The RCMP five-year Departmental Evaluation Plan has yet to be approved. The current list of planned evaluations will be revised in future Departmental Performance Reports and Reports on Plans and Priorities as the National Program Evaluation Services updates the five-year risk-based Departmental Evaluation Plan on an annual basis.

Electronic link to evaluation plan: N/A

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Social Sciences and Humanities Research Council



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Canada Research Chairs Transfer payment program In progress June 2012
Audit of Insight Grants Program Transfer payment program Planned 2012-13 fourth quarter
Audit of Budget Management Business management Planned 2012-13 third quarter
Audit of Progress in Addressing Policy on Internal Control Requirements Business management Planned 2012-13 third quarter
Follow-up Audit of Procurement and Contracting Management Business management Planned 2013-14 fourth quarter
Audit of Integrated Planning Business management Planned 2013-14 third quarter
Audit of Change Management Business management Planned 2013-14 third quarter
Audit of Individual and Team Partnerships Knowledge Mobilization Grants Transfer payment program Planned 2013-14 fourth quarter
Audit of Canada Graduate Scholarships Program Transfer payment program Planned 2014-15 second quarter
Audit of Human Resources Practices Business management Planned 2014-15 fourth quarter

Electronic Link to Internal Audit Plan:

SSHRC internal audits

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Knowledge Mobilization—Summative Cluster Evaluation

1.3.1
Individual, team and partnership knowledge mobilization grants

 In progress March 2013
Canada Excellence Research Chairs Evaluation

1.1.1
Canada Research Chairs

 Planned March 2013
Vanier Canada Graduate Scholarships Evaluation

1.1.3
Vanier Canada Graduate Scholarships

 Planned December 2013
College and Community Innovation Program Evaluation

1.3.1
Individual, Team and Partnership Knowledge Mobilization Grants

 Planned March 2013
Canada Graduate Scholarships Program (CGS) Evaluation

1.1.2
Canada Graduate Scholarships

 Planned December 2013
Networks of Centres of Excellence (NCE) Evaluation

1.3.3
Networks of Centres of Excellence

 Planned March 2014
Business-led Networks of Centres of Excellence Evaluation

1.3.3
Networks of Centres of Excellence

 Planned March 2014
Indirect Costs Program Evaluation

2.1
Indirect Costs of Research

 Planned March 2014
SSHRC Doctoral Fellowships Evaluation

1.1.5
SSHRC Doctoral and Postdoctoral Fellowships program

 Planned December 2014
Institutional Research Capacity Grants Evaluation

1.2.2
Institutional research capacity grants

 Planned March 2015

Electronic link to evaluation plan: http://www.sshrc-crsh.gc.ca/about-au_sujet/publications/Evaluation_Plan_2011-12_FinalE.pdf

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Statistics Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Internal audits over the next three fiscal years – based on Risk-based Audit Plan 2011–2014
Name of internal Audit Type of internal audit Status Expected completion date
Audit of infrastructure services tax data Program audit Planned 2013-2014
Audit of a program survey—focus on confidentiality Program audit Planned 2012-2013 and
2013-2014
Audit of a program survey—focus on quality Program audit Planned 2012-2013 and
2013-2014
Audit of a program survey—official release Program audit Planned 2012-2013
Audit of travel expenditures and proactive disclosure Program audit Planned 2012-2013
Audit of census Program audit Planned 2012-2013
Audit of accounts payable at year -end Financial audit Planned 2013-2014
Audit of information management Core control audit Planned 2012-2013
Audit of capital investment plan and project management Financial/core control audit Planned 2012-2013

Program Evaluations
Name of internal audit Type of evaluation Status Expected completion date
Action Plan to Protect Human Health from Environmental Contaminants Horizontal evaluation led by Health Canada Planned June 2013

Evaluations

Statistics Canada always had a unique system of continually evaluating its statistical and corporate services programs. Prior to 2010, quadrennial program reviews identified accomplishments, challenges and future priorities along with users' satisfaction with services provided. Biennial program reports updated the quadrennial program reviews at mid-cycle.

In 2010, the Agency began working towards meeting the TBS Policy on Evaluation, and requested that programs complete a program performance report, including a program profile, logic model, update on past priorities, current priorities and strategic overview, and the top priorities for the coming three to five years. These components form the foundation of the TBS Performance Management Strategy: they ensure that the performance measures selected and developed produce useful and comprehensive information for monitoring and evaluating programs. The transition to full implementation of the Policy on Evaluation will be completed by April 2013; thus, the following table lists planned program performance reports up to 2012-13.

Name of program performance report Expected completion date
2011-12 2012-13
1 Economic Statistics
1.1.1. Income and Expenditure Accounts March 2012 …
1.1.2 Environment Accounts and Statistics Approved …
1.1.3 Balance of Payments March 2012 …
1.1.4 Public Institutions Statistics March 2012 …
1.1.5. Industry Accounts March 2012 …
1.2.0 Analytical Studies Approved …
1.3.1 Manufacturing, Construction and Energy Statistics March 2012 …
1.3.2 Distributive Trades Statistics March 2012 …
1.3.3 Service Industries Statistics March 2012 …
1.4.1 Prices Statistics … √
1.4.2 International Trade Statistics March 2012 …
1.4.4 Industrial Organization and Finance Statistics … √
1.5.1 Agriculture Statistics … √
1.5.2 Centre for Special Business Projects … √
1.5.3 Investment, Science and Technology Statistics … √
1.5.4 Transportation Statistics Approved √
2 Social Statistics
2.1.1 Justice Statistics March 2012 …
2.1.2 Culture Statistics … √
2.1.3 Tourism Statistics Approved …
2.1.4 Education Statistics Approved …
2.2.0 Health Statistics Approved …
2.3.0 General Social Characteristics Statistics March 2012 …
2.4.1 Special Surveys March 2012 …
2.4.2 Income Statistics January 2012 …
2.4.3 Labour and Household Surveys Analysis February 2012 …
2.4.4 Labour Statistics February 2012 …
2.5.0 Socioeconomic Analysis Approved …
3 Census, Demography and Aboriginal Statistics
3.1.0 Census of Agriculture … √
3.2.0 Demography March 2012 …
3.3.0 Aboriginal Statistics … √
3.4.0 Census of Population … √
4 Internal Services
4.1.1 Management and Oversight Services February 2012 …
4.1.2 Communications Services Approved …
4.2.1 Human Resources Management Services Approved …
4.2.2 Financial Management Services and Planning March 2012 …
4.2.3 Information Management Services Approved …
4.3.1 Materiel Services February 2012 …
4.3.2 Acquisition Services February 2012 …
5 Corporate Infrastructure Services1
Methodology Approved …
Standards Approved …
Geography … √
Collection and Regional Services … √
Collection Systems and Infrastructure Approved …
Systems Development … √
Information Technology Systems (now with Shared Services Canada) … √
Operations and Integration March 2012 …
Tax Data and Business Register Approved …
Enterprise Statistics March 2012 …
Microdata Access Approved …
International Relations … √
… not applicable
√ program evaluation is planned
1. Corporate infrastructure services are costs that cannot be linked to a specific program subactivity.

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Supreme Court of Canada



Upcoming Internal Audits over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Financial Forecasting OCG Horizontal Audit Planned September 2013
Core Control Audit Small Departments and Agencies’ core controls’ assurance Planned 2013-14
Integrated Business and Human Resources Planning OCG Horizontal Audit in progress January 2013

Electronic Link to Internal Audit Plan:

Will be provided when available.

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The National Battlefields Commission



Upcoming Internal Audits


The National Battlefields Commission 2012-13
1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Expected completion Date
Audit of Financial Forecasting The Office of the Comptroller General’s Three Year Risk-Based Internal Audit Plan for Small Departments and Agencies (SDAs) Planning
Examination
Reporting		 August to December 2012
January to March 2013
April to September 2013
Audit of the Protection of Personnal Information Planning
Examination
Reporting		 October 2012 to February 2013
March to May 2013
June to October 2013
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Transport Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years

Internal Audit 2012-2013


Name of Internal Audit Internal Audit Type Status Expected Completion Date
System Under Development Audit Assurance In progress July 2012
Review of IT Procurement Assurance In progress July 2012
Review of Temporary Help Services Assurance In progress July 2012
Planning Review of Implementation of Safety Management Systems Oversight Assurance In progress July 2012
Audit of Gateways and Border Crossings Fund To be confirmed*
Audit of Ports and Airports Operations To be confirmed*
Audit of Workplace Management To be confirmed*
Audit of Accommodation and Stewardship of Assets To be confirmed*
Audit of Risk Management To be confirmed*

* The current Risk-Based Audit Plan (RBAP) is being revised for 2012-2013. The revised RBAP will be discussed at the February Audit Committee (AC) meeting and a final plan will be presented/approved at the April 2012 AC meeting. The current projects listed for 2013-2014 will reviewed and confirmed in 2012-2013.

Electronic Link to Internal Audit Reports

Potential Internal Audit Projects 2013-2014

The following lists potential projects to be considered for 2013-14. Individual projects will be selected and audit resources will be assigned to the highest audit priority areas at the completion of next year’s audit planning exercise:

Name of Evaluation Program Activity Status Expected Completion Date
Marine Security Management Control Framework (MCF) Audit To be confirmed*
Marine Safety MCF Audit To be confirmed*
Audit of Financial Management Governance and Financial Budgeting and Forecasting To be confirmed*
Audit of Asia-Pacific Gateway and Corridor Initiative To be confirmed*
Project Under Development Audit of the Detroit River International Border Crossing To be confirmed*
Audit of Security Screening Programs To be confirmed*
Follow-Up of the Audit of Aviation Security To be confirmed*
Audit of Staffing To be confirmed*
Organizational Design and Classification To be confirmed*
Audit of Fraud Risk Management Control Framework To be confirmed*
Audit/Review of Corporate Governance To be confirmed*
TC Emergency Preparedness MCF Audit To be confirmed*
Surface Infrastructure and Security MCF Audit To be confirmed*

* The current Risk-Based Audit Plan (RBAP) is being revised for 2012-2013. The revised RBAP will be discussed at the February Audit Committee (AC) meeting and a final plan will be presented/approved at the April 2012 AC meeting. The current projects listed for 2013-2014 will reviewed and confirmed in 2012-2013.

Electronic Link to Internal Audit Reports

All upcoming Evaluations over the next three fiscal years

2012-2013


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of Environmental Stewardship 2.3 Underway 2012-2013
Evaluation of Marine Infrastructure Stewardship activities 1.3.2.1; 1.3.2.2 Planned 2012-2013
Evaluation of the Blue Sky International Air Transportation Policy 1.1.1 Underway 2012-2013
Evaluation of Clean Water from Transportation Program Activity 2.2 Planned 2012-2013
Evaluation of Marine Security (Regulatory and Oversight) 4.2 Underway 2012-2013
Evaluation of Surface and Intermodal Security 4.3 Planned 2012-2013
Evaluation of Aircraft Services 3.1.3 Underway 2012-2013
Evaluation of Navigable Waters Protection 3.2.3 Planned 2013-2014
Evaluation of  Rail Safety Outreach Sub-Activity 3.3.3 Planned 2012-2013
Evaluation of Federal Bridge Stewardship Sub Sub Activity 1.3.3.2 Planned 2012-2013
Evaluation of Aviation Security – Regulatory Framework and Oversight 4.1.1;
4.1.2		 Planned 2013-2014
Evaluation of Airport Policing Assistance 4.1.3 Planned 2012-2013
Evaluation of Gateways and Border Crossings Fund (GBCF) 1.2.2 Planned 2013-2014
Evaluation of Contribution in Support of Boating Safety 3.2.2 Planned 2012-2013
Evaluation of Outaouais Roads Agreement 1.3.3.3 Planned 2012-2013

Electronic Link to Internal Evaluation Reports

2013-2014


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of Motor Carrier Safety Sub-Activity 1.1.3 Planned 2013-2014
Evaluation of Transportation Marketplace Frameworks 1.1 Planned 2013-2014
Evaluation of Rail Safety Regulatory Framework and Oversight 3.3.1;
3.3.2		 Planned 2013-2014
Evaluation of Surface and Intermodal Security 4.3 Planned 2013-2014
Evaluation of Contribution to International Civil Aviation Organization (ICAO) 3.1.1 Planned 2013-2014

Electronic Link to Internal Evaluation Reports

2014-2015


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of Rail Passenger Stewardship and Support 1.3.3.1 Planned  
Evaluation of Airports Operations and Maintenance 1.3.1.1 Planned  
Evaluation of Ferry Services Stewardship and Support 1.3.2.3 Planned  
Evaluation of Highway and Border Infrastructure 1.3.3.3 Planned  
Evaluation of Airport Capital Assistance Program 3.1.3 Planned  
Evaluation of Contribution to Danish and Icelandic  (den-ice) Joint Financing Agreements 3.1.1 Planned  

Electronic Link to Internal Evaluation Reports

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Treasury Board of Canada Secretariat



Upcoming Internal Audits and Evaluations Over the Next Three Fiscal Years

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

The following audits were included in the Risk-Based Audit Plan 2011–14, which was approved in May 2011, as well as in a subsequent adjustment to the Plan approved in November 2011. Periodic updates to the Risk-Based Audit Plan may result in modifications to planned audit engagements.


Name of Internal Audit Internal Audit Type Status Expected
Completion Date
Audit of the Interdepartmental Settlements Process Assurance In planning June 2012
Audit of Human Resources Planning Assurance In planning June 2012
Audit of the Administration of the External Expert Contract on the Strategic and Operating Review Assurance In planning June 2012
Audit of the Secretariat's Integrated Risk Management Framework Assurance Planned December 2012
Audit of IT Governance Assurance Planned December 2012
Audit of Contracting Assurance Planned December 2012
Audit of Values and Ethics Assurance Planned March 2013
Audit of the Expenditure Management Component Assurance Planned March 2013
Audit of the Secretariat's Management Control Framework of the Public Service Health Care Plan Assurance Planned December 2013
Audit of the Security Investigations Process Assurance Planned December 2013
Audit of the Secretariat's Framework of Internal Control over Financial Management Assurance Planned December 2013
Audit of IT Security Assurance Planned March 2014
Audit of Disaster Recovery Planning Assurance Planned June 2014

Electronic link to Internal Audit Plan: Not available

B. All upcoming Evaluations over the next three fiscal years

The following evaluations were included in the Departmental Evaluation Plan 2011–12, which was approved in December 2011.


Name of Evaluation Program Activity Status Expected
Completion Date
Joint Learning Program People Management In progress May 2012
Management of Compensation People Management Evaluability assessment in progress To be determined (TBD)
Results-Based Expenditure Management Policy Centre Expenditure Management Evaluability assessment planned TBD
Official Languages Centre of Excellence Initiative People Management In progress May 2012
Cabinet Directive on Streamlining Regulation Management Frameworks In progress December 2012
Internal Audit Human Resources Management Framework Financial Management Planned TBD
Expenditure Management Advice and Estimates Expenditure Management Evaluability assessment planned TBD
Right of First Refusal for Guard Services Financial Management Planned April 2014
Research and Policy Initiatives Assistance Program Internal Services Planned January 2014
People Management Policy Centres People Management Evaluability assessment planned TBD
Information Management Policy Centres Management Frameworks Evaluability assessment planned TBD

Note: Evaluability assessments are conducted to systematically gauge a program area's readiness and capacity to furnish data for an evaluation and to identify areas where performance measures are still required to achieve this. The results of the evaluability assessments inform the evaluation planning process in terms of the feasibility, timing and resourcing of evaluations over the five-year cycle and are used to credibly address evaluation issues pertaining to relevance and performance.

Electronic link to Evaluation Plan: Not available

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Veterans Affairs Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

Internal Audits

Internal Audit commitments April 1, 2012 to March 31, 2015

Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Remissions Financial Report Finalization May 2012
Audit of Service Standards Compliance Reporting Phase July 2012
Audit of the Federal Health Claims Processing System National Investigative Unit Compliance Fieldwork Phase August 2012
Management Intervention Plans Compliance Begins March 2012 November 2012
Vocational Rehabilitation Compliance Begins March 2012 February 2013
Earnings Loss Financial Begins April 2012 March 2013
Health Care Benefits - Program of Choice Operational Begins September 2012 August 2013
Scanning of Service Health Records Compliance Begin October 2012 May 2013
Acquisition Cards Investigative Begin September 2012 April 2013
Risk Management Compliance   2013/14
Health Care Benefits - Program of Choice Operational   2013/14
Delegated Decision Making Operational   2013/14
Centralized Mail Operational   2013/14
Veterans Independence Program Eligibility - Frailty Compliance   2013/14
Overpayments Financial   2013/14
Health Care Benefits - Program of Choice Operational   2014/15
Attendance Allowance Compliance   2014/15
Long Term Care Billing Investigative   2014/15
Professional Service Contracts Compliance   2014/15
Conflict of Interest Compliance   2014/15
Federal Health Claims Processing System - Special Authorization Unit Operational   2014/15

Link to Audit and Evaluation Reports: http://www.veterans.gc.ca/eng/department/reports/deptaudrep


All upcoming Evaluations over the next three fiscal years

Evaluation commitments April 1, 2012 to March 31, 2015

Name of Evaluation Program Activity Status Expected Completion Date
Canada Remembers - Partnerships (carry over) 2.1.3 Partnerships Briefing Stage July 2012
Memorials and Cemetery/Grave Maintenance Evaluation (carry over) 2.2.2 Memorials and Cemetery/Grave Maintenance Report Writing Stage October 2012
Case Management (carry over) 1.1 Compensation and Financial Support Report Writing Stage June 2012
Long Term Care 1.3.5 Intermediate and LTC

1.3.5.1 Non-departmental Institutions VIP

1.3.5.2 Non-departmental Institutions LTC		 Begin April 2012 June 2013
Health Care Benefits 1.3.3 Health Care Benefits

1.3.3.1 Health Care Benefits and Services

1.3.3.2 HCB Program - Public Service Health Care Plan		 Begin May 2012 July 2013
Disability Awards Program 1.1.2 Disability Awards Program

1.1.2.1 Disability Awards

1.1.2.2 Educational Assistance		   November 2013
NVC - Financial Benefits Program 1.2.1 Financial Benefits

1.2.1.1 Earnings Loss

1.2.1.2 Canadian Forces Income Support

1.2.1.3 Supplementary Retirement Benefit

1.2.1.4 Permanent Impairment Allowance		   January 2014
Canada Remembers - Funeral and Burials 2.1.5 Funeral and Burial Program   January 2014
Canada Remembers - Public Education and Awareness 2.1.1 Public Education and Awareness   February 2014
WVA and Assistance Fund 1.2.2 War Veterans Allowance   October 2014
Canada Remembers - Ceremonies and Events 2.1.2 Ceremonies and Events   February 2015
Disability Pension Program 1.1.1 Disability Pension Program

1.1.1.1 Disability Pension

1.1.1.2 Exceptional Incapacity allowance

1.1.1.3 Treatment Allowance

1.1.1.4 Other Allowances		   March 2015

Link to Audit and Evaluation Reports: http://www.veterans.gc.ca/eng/department/reports/deptaudrep

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Western Economic Diversification Canada



Upcoming Internal Audits and Evaluations over the next three fiscal years

All upcoming Internal Audits over the next three fiscal years*


Name of Internal Audit Internal Audit Type Status Expected Completion Date
Audit of Grants and Contributions - Due Diligence and Approval Processes Transfer Payment Planned September 2012
Audit of Succession Planning Human Resources Planned December 2012
Audit of Quarterly Financial Statement Controls Financial Controls and Reporting Planned December 2012
Audit of Canada Business Service Centres Management Controls Planned March 2013
Audit of Resource Planning and Allocation Management Controls Planned March 2013
Audit of Information Management Information Management Planned June 2013
Audit of IT System Development Life Cycle (Change Management) Information Technology Planned September 2013
Audit of Policy and Strategic Direction Corporate Management Planned December 2013
Follow-Up Audit of Governance Corporate Governance Planned December 2013
Audit of Western Diversification Program Management Controls Planned March 2014
Audit of Repayable Contributions Financial Management Controls Planned March 2014

* WD’s Risk-Based Audit Plan is a rolling three-year plan. The above list of audits is based on the 2011-14 Plan and it covers the first two years of the Report on Plans and Priorities reporting period.

Electronic Link to Internal Audit Plan: http://www.wd-deo.gc.ca/images/cont/12850a-eng.pdf

All upcoming Evaluations over the next three fiscal years


Name of Evaluation Program Activity Status Expected Completion Date
Evaluation of the Women's Enterprise Initiative Business Development Planned March 2013
Evaluation of WD Investments in Business Development* Business Development Planned  March 2013 
Evaluation of Community Futures Program · Business Development
· Community Economic Development		 Planned March 2014
Evaluation of Community Economic Development* Community Economic Development Planned March 2014
Evaluation of Francophone Economic Development Organizations · Business Development
· Community Economic Development		 Planned March 2015

* These evaluations include Western Diversification Program projects.

Electronic link to evaluation plan: http://www.wd-deo.gc.ca/images/cont/13116-eng.pdf

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