Key compliance attributes of internal audit

This information is being reported in compliance with section A.2.2.3 of the Treasury Board Directive on Internal Audit. For additional information, please see the Treasury Board Secretariat of Canada guidance.

Results for Key Compliance Attributes of Internal Audit as of June 30, 2021

Performance indicators Key compliance attributes Results as of June 30, 2021

Do internal auditors in departments have the training required to do the job effectively?

Are multidisciplinary teams in place to address diverse risks?

Percentage of staff with an internal audit or accounting designation (Certified Internal Auditor (CIA), Chartered Professional Accountant (CPA)) 38%
Percentage of staff with an internal audit or accounting designation (CIA, CPA) in progress 21%
Percentage of staff holding other designations (for example, CGAP, CISA, etc.) 21%
Is internal audit work performed in conformance with the international standards for the profession of internal audit as required by Treasury Board policy? 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) March 2021
Date of last external assessment March 2021

Are the risk-based audit plans submitted to audit committees and approved by deputy heads implemented as planned with resulting reports published?

Is management acting on audit recommendations for improvements to departmental processes?

Risk-based audit plan and related information Refer to Table 1: Risk-based audit plan and related information
Is internal audit credible and adding value in support of the mandate and strategic objectives of the organization? Average overall usefulness rating from senior management (assistant deputy minister-level or equivalent) of areas audited 75%

Table 1: Risk-based Audit Plan (RBAP) and related informationFootnote *

2018-19 RBAP
Internal audit title Audit status Report approved date Report published date Original planned MAP completion date Implementation status
Audit of Foreign Service Development Program Published – MAP fully implemented October 25, 2018 March 1, 2019 May 31, 2019 100%
Audit of System of Internal Controls Over Financial Reporting Published – MAP fully implemented October 25, 2018 March 1, 2019 March 31, 2019 100%
Audit of Health Screening Process Published – MAP fully implemented October 25, 2018 March 1, 2019 June 30, 2020 100%
Audit of Access to Information and Privacy Management Published – MAP not fully implemented February 21, 2019 June 17, 2019 June 30, 2020 80%
Audit of Resettlement Assistance Program – Income Support Published – MAP not fully implemented June 11, 2019 November 12, 2019 March 31, 2021 60%
Audit of Passport Program for Official Travel Published – MAP not fully implemented June 11, 2019 August 26, 2019 July 30, 2020 71%
2019-20 RBAP
Internal audit title Audit status Report approved date Report published date Original planned MAP completion date Implementation status
Audit of Data Governance Published – MAP not fully implemented October 17, 2019 January 10, 2020 March 31, 2020 66%
Advisory: Review of IT System Practices Not Published – MAP not fully implemented October 17, 2019 n/a June 30, 2021 36%
Audit of International Student Program (Phase 1) Completed – Not Published November 30, 2020 n/a n/a n/a
Audit of Management and Oversight of Visa Application Centres and Implementation of Biometrics Project Completed – Not Published Yet November 30, 2020 TBD November 02, 2026 13%
2020-21 RBAP
Internal audit title Audit status Report approved date Report published date Original planned MAP completion date Implementation status
Advisory Risk Assessment of the Service Transformation Strategy & “Close-out Review” of Lean in New Delhi Completed – Not Published November 30, 2020 n/a n/a n/a
Advisory - Risk Assessment for Business Reintegration Completed – Not Published November 30, 2020 n/a n/a n/a
Advisory - IRCC COVID-19 Response – Lessons Learned Completed – Not Published March 30, 2020 n/a n/a n/a
Lessons Learned Review of Contract Management Completed – Not Published March 30, 2020 n/a n/a n/a
Advisory - Risk Assessment of the Randomized Selection Procedures for the Parents and Grandparents Sponsorship Program (PGP) Completed – Not Published March 30, 2020 n/a n/a n/a
Advisory - Safe Third Country Agreement Completed – Not Published June 28, 2021 n/a n/a n/a
Audit of the Digital Platform Modernization (DPM) In Progress n/a n/a n/a n/a
Audit of the Management Control Framework for the Completed – Not Published June 28, 2021 TBD December 12, 2022 n/a
Advisory – Public Service Commission HR Staffing Cyclical Assessment In Progress n/a n/a n/a n/a
2021-22 RBAP
Internal audit title Audit status Report approved date Report published date Original planned MAP completion date Implementation status
Audit of the Management Control Framework for the Development and Oversight of Immigration Pilot Programs In Progress n/a n/a n/a n/a
Audit of IRCC Service Transformation In Progress n/a n/a n/a n/a
Transformation Risk Assessment Update / Health Check In Progress n/a n/a n/a n/a
Advisory of the Multi-Year Levels Plan In Progress n/a n/a n/a n/a
Advisory of the Management Control Framework for implementation of GCMS Release Change Requests In Progress n/a n/a n/a n/a
Advisory of the Advanced Analytics in Family Class Inland Spousal In Progress n/a n/a n/a n/a
Advisory of the Anti-racism, Diversity and Inclusion (OPPB Pilot and Citizenship Branch) Not Started n/a n/a n/a n/a
Advisory of the Employment Systems Review Not Started n/a n/a n/a n/a
Audit of the Settlement Program (Settlement Provider Organizations Administrative Rate) Not Started n/a n/a n/a n/a
Audit of the Passport Program Modernization Initiative (PPMI) Not Started n/a n/a n/a n/a
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