Micro Audit – Firearm Review

Office of the Chief Audit Executive
December 2019

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List of acronyms and abbreviations

ADM
Assistant Deputy Minister
CCI
Canadian Conservation Institute
CHIN
Canadian Heritage Information Network
OCAE
Office of the Chief Audit Executive
PCH
Department of Canadian Heritage
RCMP
Royal Canadian Mounted Police

Context and observations

The Office of the Chief Audit Executive (OCAE) undertook an audit earlier in 2019 of the Canadian Conservation Institute (CCI) and the Canadian Heritage Information Network (CHIN); special operating agencies co-located at 1030 Innes Rd, Ottawa, Ontario. As special operating agencies of the Department of Canadian Heritage (PCH), CCI-CHIN operate with a business-oriented corporate culture focused on service delivery with clients including Canadian museums, heritage institutions, and Canadians through Artefacts Canada, a national inventory of museum objects. CCI and CHIN activities are grouped under three main business lines:

In the course of the planning activities for this engagement, it was reported to the audit team that a firearm was being stored at the CCI-CHIN facility. Further inquiry revealed that this firearm was for the protection of the CCI conservator when they traveled in the northern parts of Canada (activities under the research and development and expert services lines of business). The team was informed that the last time the firearm was used was in the 1990s. Discussions with CCI-CHIN management and PCH Security determined that the firearm was stored unloaded with a locking device, and in a vault with limited access. The audit team did not find any documented safety procedures for the firearm nor was a firearm safety officer identified.

In light of these findings, a management letter was issued in January 2019 to the ADM of Citizenship, Heritage, and Regions highlighting the required steps that CCI-CHIN would have to take to comply with RCMP requirements pertaining to ownership of a firearm by a public agency. It was also recommended that a cleaning and maintenance plan be developed and that security procedures be reviewed and documented as they pertain to training, licensing, storage, maintenance, transportation, and handling of a firearm. The letter concluded with the commitment that the OCAE would follow up with a micro audit within six months of the issuance of the final audit report.

Prior to the launch of the Micro Audit – Firearm Review, management at CCI-CHIN decided to dispose of the firearm and contacted the RCMP to determine what steps should be taken. The matter was referred to the Ottawa Police (matter of jurisdiction) who, on September 20th, 2019 removed the firearm (a Remington Model 870 Wingmaster) from the premises of CCI-CHIN at 1030 Innes Road, Ottawa, Ontario. A dated and signed Disposal of the Canadian Conservation Institute’s Firearm form was provided to the OCAE as evidence of the removal and disposition. In order to provide the necessary assurance, the Director of Internal Audit validated the evidence.

Assessment opinion and conclusion

Based on the micro audit finding, my opinion is that the Department of Canadian Heritage has taken the necessary steps to properly dispose of the firearm and no further action is required.

Statement of conformance

In my professional judgment as Chief Audit Executive, this review was conducted in conformance with the Institute of Internal Auditors' International Standards for the Professional Practice of Internal Auditing and with the Policy and Directive on Internal Audit of the Government of Canada, as supported by the results of the quality assurance and improvement program. Sufficient and appropriate review procedures were conducted, and evidence gathered, to support the accuracy of the findings and conclusion in this report. The finding and conclusion are based on a comparison of the conditions, as they existed at the time, against pre-established review criteria that were agreed with management and are only applicable to the entity examined and for the scope and time period covered by the review.

Original signed by

Bimal Sandhu
Chief Audit Executive
Department of Canadian Heritage

Review Team Members
Dylan Edgar, Director, Internal Audit

©Her Majesty the Queen in Right of Canada, 2020
Catalogue Number: CH6-63/2020E-PDF
ISBN: 978-0-660-34456-0

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