Internal audit key compliance attributes – April 2021

The objective of publishing departmental internal audit performance results, in the form of key compliance attributes, is to provide pertinent information to Canadians and parliamentarians regarding the professionalism, performance and impact of the function in departments.

The compliance attributes detailed below have been selected to show an external audience that an internal audit function is in place and operating as intended.

Key Compliance AttributesResults as at June 30, 2020
1.(a). % of staff with an internal audit or accounting designation (Certified Internal Auditor [CIA], Chartered Professional Accountant [CPA]).

1.(b). % of staff with an internal audit or accounting designation in progress (CIA, CPA).

1.(c). % of staff holding other designations (Certified Government Auditing Professional [CGAP], Certification in Risk Management Assurance [CRMA], etc.).		1.(a) 39% of staff have an internal audit or accounting designation.

1.(b) 43% of staff with an internal audit or accounting designation in progress.

1.(c) 27% of staff holding other designations
2.(a). Date of last comprehensive briefing to the Departmental Audit Committee on the internal processes, tools, and information considered necessary to evaluate conformance with the Institute of Internal Auditors (IIA) Code of Ethics and the Standards and the results of the Quality Assurance and Improvement Program (QAIP).

2.(b). Date of last external assessment.		2.(a). The last briefing to Departmental Audit Committee (DAC) on the internal processes, tools, information necessary to evaluate conformance with the IIA Standards and the Quality Assurance and Improvement Program (QAIP) was on June 30, 2020.

2.(b). The last external assessment was completed in March 2016. Planned external assessment for 2020-21.
3.Risk-Based Audit Plan (RBAP) and related information:
  1. name/status of audit for the current fiscal year of the RBAP
  2. date the audit report was approved
  3. date the audit report was published
  4. original planned date for completion of all management action plan (MAP) items
  5. status of MAP items
Approved 2020-21 RBAP and related information (see table 1):

See table 2 for the audits from 2019-20 (additions and adjustments to the internal audits listed in the Plan may have occurred in order to address emerging risks and priorities of the organization).
4. Average overall usefulness rating from senior management (ADM-level or equivalent) of areas audited.4.Senior management of areas audited rated the overall usefulness of our work as "Good".

Table 1- 2020-21 Risk Based Audit Plan – as at June 30, 2020

#Internal AuditAudit StatusReport Approved DateReport Published DateOriginal Planned MAP Completion DateImplementation Status
1.Carry Over from 2019-2020:
Audit of Peace and Stabilization Operations Program		In progress

-

-

-

-

2.Carry Over from 2019-2020:
Audit of Management Practices of Missions -  Bamako, Mali		In progress

-

-

-

-

3.Carry Over from 2019-2020:
Audit of Grants & Contributions Part I – Oversight & Monitoring		In progress

-

-

-

-

4.Carry Over from 2019-2020:
Audit of Foreign Service Directive - Relocation		In progress

-

-

-

-

5.Advisory - COVID – 19  Emergency Repatriations to CanadaIn progress

-

N/A

N/A

N/A

6.Advisory - Duty of Care – Governance & SpendingIn progress

-

N/A

N/A

N/A

7.Advisory - COVID – 19 Remote Work Risk AssessmentPlanned

-

N/A

N/A

N/A

8.Audit of Real Property – Strategic Investment & Portfolio ManagementPlanned

-

-

-

-

9.Advisory - Innovative Programming – Design FrameworkPlanned

-

N/A

N/A

N/A

10.Audit of Privacy PracticesPlanned

-

-

-

-

11.Advisory - IT Risk Assessment Part IPlanned

-

N/A

N/A

N/A

12.Audit of Costing MethodologyPlanned

-

-

-

-

13.Ongoing Data AnalyticsPlanned

-

N/A

N/A

N/A

14.Remote Mission AuditPlanned

-

-

-

-

Table 2 – 2019-20 Internal Audit Status and Related Information – as of June 30, 2020

#Internal AuditAudit StatusReport Approved DateReport Published DateOriginal Planned MAP Completion DateImplementation Status
1.Audit of Grants and Contributions Monitoring and OversightCarry Over to 2020-2021

-

-

-

-

2.Audit of Field Support ServicesCompletedDecember 2019

-

December 2020

50%

3.Audit of Information ManagementCompletedJune 2020

-

June 2021

20%

4Audit of Business Management OfficesCompletedDecember 2019July 2020September 2019

100%

5.Audit of Training Management FrameworkCompletedDecember 2019July 2020September 2020

80%

6.Audit of Peace and Stabilization Operations ProgramCarry Over to 2020-2021

-

-

-

-

7.Audit of International BankingCompletedDecember 2019

-

September 2020

60%

8.Emergency Preparedness and Response (changed from audit to advisory due to COVID-19)CompletedJune 2020

N/A

N/A

N/A

9.Advisory - Continuous Auditing Strategy – Acquisition CardsCompletedJune 2020

N/A

N/A

N/A

10.Audit of Management Practices of Missions – Abidjan, Côte d’IvoireCompletedJune 2020

-

October 2020

70%

11.Audit of Management Practices of Missions – Beirut, LebanonCompletedDecember 2019July 2020March 2020

100%

12.Audit of Management Practices of Missions – Manila, PhilippinesCompletedDecember 2019July 2020March 2020

80%

13.Audit of Management Practices of Missions – Bamako, Mali (replacement for Port-au-Prince, Haiti)Carry Over to 2020-2021

-

-

-

-

14.Advisory: Digital Data StrategyPlanned

-

-

-

-

15.Audit of Foreign Service Directive – RelocationCarry Over to 2020-2021

-

-

-

-

16.Audit of Foreign Service Directive – EducationCompletedDecember 2019July 2020June 2020

80%

17.Audit of Fleet ManagementCompletedDecember 2019

-

March 2021

40%

18.Advisory: Global Affairs Canada Renovation ProjectCompletedDecember 2019

N/A

N/A

N/A

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