Internal audit key compliance attributes – August 2023
| Key Compliance Attributes | Results as at August 2023 |
|---|---|
1. (a). % of staff with an internal audit or accounting designation (Certified Internal Auditor [CIA], Chartered Professional Accountant [CPA]). | 1. (a) 39% of staff have an internal audit or accounting designation. 1. (c) 21% 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. (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 December 16th 2022. |
3. Risk-Based Audit Plan (RBAP) and related information:
| Approved 2023-2025 RBAP and related information (see table 1). |
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- 2023-25 Risk Based Audit Plan – as at August, 2023
| # | Internal Audit | Audit Status | Report Approved Date | Report Published Date | Original Planned MAP Completion Date | Implementation Status |
|---|---|---|---|---|---|---|
1. | Carry Over from 2022-2023: | Approved – Not published | 2023/06/29 | TBD | 2023/10/31 | 0% |
2. | Carry Over from 2022-2023: | Approved – Not published | 2023/06/29 | TBD | 2024/07/31 | 0% |
3 | Carry Over from 2022-2023: Audit of Management Practices of Mission - Dhaka | Approved – Not published | 2023/06/29 | TBD | N/A | N/A |
4. | Carry Over from 2022-2023: | Approved – Not published | 2023/06/29 | TBD | 2023/12/31 | 0% |
5. | Carry Over from 2022-2023: Audit of Management Practices of Mission - Dakar | In progress | - | - | - | - |
6. | Carry Over from 2022-2023: Audit of Management Practices of Mission – Brazil Network | In Progress | - | - | - | - |
7. | Carry Over from 2022-2023: Cybersecurity - Governance | In Progress | - | - | - | - |
8. | Audit of Procurement of Consulting Services | In Progress | - | - | - | - |
9. | Review of Information Management | In Progress | - | - | - | - |
10. | Large Transformation Project: Grants & Contributions Transformation | In Progress | - | - | - | - |
11. | Review of IT Hardware and Software Investment Oversight | Planned | - | - | - | - |
12. | Mission Audit #1 – Mission to be selected | Planned | - | - | - | - |
13. | Mission Focused Audit - Human Resources and Workforce Capacity | Planned | - | - | - | - |
14. | Review of Foreign Service Directives | Planned | - | - | - | - |
15. | Review of the Locally Engaged Staff Program – Governance | Planned | - | - | - | - |
16. | Mission Focused Audit - Security, Crisis Events and Emergency Management | Planned | - | - | - | - |
17. | Mission Audit #2 – Mission to be selected | Planned | - | - | - | - |
Table 2 –Internal Audit Status and Related Information – as at August 2023
| # | Internal Audit | Audit Status | Report Approved Date | Report Published Date | Original Planned MAP Completion Date | Implementation Status |
|---|---|---|---|---|---|---|
1. | Audit of repayable contributions | Published: MAP not fully implemented | 2018/10/31 | 2019/02/27 | 2019/12/31 | 80% |
2. | Audit of management practices of missions - Singapore | Published: MAP not fully implemented | 2019/02/18 | 2019/05/31 | 2021/03/21 | 87% |
3. | Audit of Common Services Delivery Points | Published: MAP not fully implemented | 2019/08/21 | 2019/12/19 | 2020/03/01 | 40% |
4. | Audit of IT security: Threat and vulnerability management | Published: MAP not fully implemented | 2019/08/21 | 2019/12/19 | 2020/09/01 | 86% |
5. | Audit of Occupational Health and Safety | Published: MAP not fully implemented | 2019/08/21 | 2019/12/19 | 2020/03/01 | 18% |
6. | Audit of the Vehicle Fleet Management | Published: MAP not fully implemented | 2019/12/12 | 2021/04/01 | 2021/03/31 | 75% |
7. | Audit of Foreign Service Directives – Education | Published: MAP not fully implemented | 2019/12/12 | 2020/07/31 | 2020/06/01 | 83% |
8. | Audit of Foreign Service Directive 15 - Relocation | Published: MAP not fully implemented | 2021/01/25 | 2021/04/26 | 2021/12/31 | 64% |
9. | Audit of Grants and Contributions - Oversight and Monitoring | Published: MAP not fully implemented | 2021/05/18 | 2021/11/15 | 2022/07/31 | 30% |
10. | Audit of Privacy Practices | Published: MAP not fully implemented | 2021/07/16 | 2021/11/15 | 2022/06/31 | 33% |
11. | Audit of Real Property - Strategic Portfolio and Investment Planning | Published: MAP not fully implemented | 2021/11/09 | 2022/02/11 | 2023/06/31 | 35% |
12. | Audit of Use of Acquisition Cards at Missions | Published: MAP not fully implemented | 2021/12/15 | 2022/02/11 | 2024/03/31 | 25% |
13. | Audit of Cabinet and Treasury Board Submission Costing Practices | Published: MAP not fully implemented | 2022/06/23 | 2022/10/28 | 2022/12/31 | 64% |
14. | Audit of Procurement at Missions supported by CSDP Mexico | Published: MAP not fully implemented | 2022/06/23 | 2022/10/28 | 2023/03/31 | 92% |
15. | Audit of Internal Controls over Financial Management | Published: MAP not fully implemented | 2022/06/23 | 2022/10/28 | 2023/06/31 | 75% |
16. | Audit of IT Application Portfolio Management | Published: MAP not fully implemented | 2022/12/16 | 2023/04/06 | 2024/09/31 | 23% |
17. | Audit of the Management of the Honorary Consul Program | Published: MAP not fully implemented | 2022/12/16 | 2023/04/06 | 2023/08/31 | 33% |
18. | Audit of the Trade Commissioner Service’s Regional Operations | Published: MAP not fully implemented | 2022/12/16 | 2023/04/06 | 2023/10/31 | 13% |
19. | Audit of Mission Procurement - Port-au-Prince | Approved – Not published | 2023/06/29 | TBD | 2023/10/31 | 0% |
20. | Audit of Management Practices of Missions - Islamabad | Approved – Not published | 2023/06/29 | TBD | 2023/12/31 | 0% |
21. | Audit of International Assistance to Tanzania | Approved – Not published | 2023/06/29 | TBD | 2023/12/31 | 0% |
22. | Audit of Management Practices of Mission - Dhaka | Approved – Not published | 2023/06/29 | TBD | N/A | N/A |
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