Performance Results for the Internal Audit Function

Performance Results for the Internal Audit Function As of June 30, 2021
Compliance Attributes Key Compliance Attribute Results
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]). 41%
Percentage of staff with an internal audit or accounting designation (CIA, CPA) in progress. 44%
Percentage of staff holding other designations (CGAP, CISA, CFE, etc.) 29%
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 IIA Code of Ethics and the Standards, as well as the results of the quality assurance and improvement program (QAIP). May 28, 2021 for HC
June 15, 2021 for PHAC
  Date of last external assessment. May 2021
Are the RBAPs 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? RBAPs and related information:
  • name / status of audit for the current fiscal year of the RBAP
  • date the audit report was approved
  • date the audit report was published
  • original planned date for completion of all management action plan (MAP) items
  • status of MAP items
See Status of FY 2020-21 Projects table below.
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 (ADM-level or equivalent) of areas audited. Consolidated Results - Client Satisfaction = 89%
Status of FY 2020-21 Projects
Audit Project Organization Audit Status Date Report Approved Date Report Published Date Planned for Original MAP Completion Implementation Status
Audit of Controlled Substances HC Approved - published January 14, 2021 May 20, 2021 December 31, 2020 25%
Joint Audit and Evaluation on the Medical Devices Program HC Approved - published Nov. 23, 2020 March 31, 2021 December 31, 2022 0%
Audit of Inspection Activities HC Approved - published May 10, 2020 August 6, 2020 June 30, 2021 75%
Audit of IT Systems Development HC and PHAC Approved - published May 10, 2020 May 13, 2020 May 31, 2021 75%
Audit of the Multi-Sectoral Partnership Program PHAC Approved - published April 29, 2020 July 31, 2020 April 1, 2021 0%
Audit of Surveillance Activities PHAC Approved - published July 16, 202 September 17, 2020 November 30, 2021 0%
Audit of IT Asset Management HC and PHAC In Progress TBD TBD TBD TBD
Audit of Investment Planning HC In Progress TBD TBD TBD TBD
Consulting Engagement for Antimicrobial Resistance HC In Progress TBD TBD TBD TBD
Readiness Assessment for the Wellness Together Canada Initiative HC In Progress TBD TBD TBD TBD
Readiness Assessment of Contracts Phase I - Consulting Engagement HC Completed N/A N/A N/A N/A
Readiness Assessment of Contracts Phase II - Consulting Engagement HC In Progress N/A N/A N/A N/A
PHAC Data Strategy - Program Under Development Audit (Cycles 1 & 2) PHAC Completed N/A N/A N/A N/A
Review of the Framework for Science and Research Excellence Implementation HC On hold N/A N/A N/A N/A
Consulting Engagement for Compensation Support Services HC Completed N/A N/A N/A N/A
Consulting Engagement of National Microbiology Laboratory Staffing Practices PHAC Completed N/A N/A N/A N/A
Updated: June 30, 2020
Compliance Attributes Key Compliance Attribute Results

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]).

27%

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

50%

Percentage of staff holding other designations (CGAP, CISA, CFE, etc.)

27%

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 IIA Code of Ethics and the Standards, as well as the results of the quality assurance and improvement program (QAIP).

June 16, 2020 for HC

July 6, 2020 for PHAC

 

Date of last external assessment.

June 2016

Are the RBAPs 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?

RBAPs and related information:

· name / status of audit for the current fiscal year of the RBAP

· date the audit report was approved

· date the audit report was published

· original planned date for completion of all management action plan (MAP) items

  • status of MAP items

See Status of FY 2019-20 Projects and Status of FY 2020-21 Projects table below.

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 (ADM-level or equivalent) of areas audited.

Consolidated Results - Client Satisfaction = 90%

Status of FY 2019-20 Projects
Audit Project Organization Audit Status Date Report Approved Date Report Published Date Planned for Original MAP Completion Implementation Status *

Audit of the Determination of Recoverable Amounts for Grants and Contributions

PHAC

Approved - published

September 13, 2019

January 14, 2020

December 31, 2019

40%

Audit of the Multi-Sectoral Partnerships (MSP) Program to Promote Healthy Living and Prevent Chronic Disease

PHAC

Approved - to be published

April 29, 2020

In progress

July 2021

TBD

Audit of Surveillance

PHAC

In progress

TBD

TBD

TBD

TBD

HR's monitoring of staffing practices at the National Microbiology Lab (Consulting Engagement)

PHAC

Approved

April 26, 2020

N/A

N/A

N/A

Data Strategy Program Under Development Audit (audits performed in three-month cycles throughout the program's lifecycle)

PHAC

In progress

TBD

TBD

TBD

TBD

Audit of Inspection Activities

HC

Approved - to be published

May 10, 2020

In progress

June 2021

TBD

Audit of Controlled Substances

HC

In progress

TBD

TBD

TBD

TBD

Program Implementation of the Cannabis Act (Consulting Engagement)

HC

In progress

TBD

N/A

N/A

N/A

Audit of the Management of Grants and Contributions - Phase II

HC

Approved - published

November 9, 2019

March 17, 2020

December 2020

TBD

Joint Audit and Evaluation of the Medical Devices Program

HC

In progress

TBD

TBD

TBD

TBD

Governance Review (Consulting Engagement)

HC

Approved

March 13, 2020

N/A

N/A

N/A

Audit of IT Asset Management

HC and PHAC

In Progress

TBD

TBD

TBD

TBD

Audit of Procurement and Contracting

HC and PHAC

Approved - published

October 21, 2019

February 28, 2020

September 30, 2020

16%

Audit of the Management of Privacy Practices

HC and PHAC

Approved - published

December 2, 2019

April 3, 2020

December 2020

TBD

Audit of Information Technology Systems Development

HC and PHAC

Approved - to be published

May 7, 2020

In progress

May 2021

TBD

Status of FY 2020-21 Projects
Audit Project Organization Audit Status Date Report Approved Date Report Published Date Planned for Original MAP Completion Implementation Status *

Audit of the Management of Scientific Research

HC and PHAC

In progress

TBD

TBD

TBD

TBD

Audit of Staffing Service Delivery

HC and PHAC

In progress

TBD

TBD

TBD

TBD

Compensation Support Services (Consulting Engagement)

HC

In progress

TBD

N/A

N/A

N/A

Antimicrobial Resistance Readiness Review (Consulting Engagement)

PHAC

In progress

TBD

TBD

TBD

TBD

* In light of the COVID-19 situation, and to be respectful of the need for branches to focus on the response, the Office of Audit and Evaluation (OAE) did not perform a status update on the implementation of Management Action Plans in March 2020, as originally planned. The information presented in the table above is from the status update conducted in October 2019 for Health Canada and in September 2019 for PHAC. The OAE will conduct a status update in October 2020 and will update the information as necessary.

Updated: June 30, 2019
Compliance Attributes Key Compliance Attribute Results
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]). 31%
Percentage of staff with an internal audit or accounting designation (CIA, CPA) in progress. 62%
Percentage of staff holding other designations (CGAP, CISA, CFE, etc.) 27%
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 IIA Code of Ethics and the Standards, as well as the results of the quality assurance and improvement program (QAIP). July 2019
- Date of last external assessment. June 2016
Are the RBAPs 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? RBAPs and related information:
  • name / status of audit for the current fiscal year of the RBAP
  • date the audit report was approved
  • date the audit report was published
  • original planned date for completion of all management action plan (MAP) items
  • status of MAP items
See Status of FY 2018-19 Projects and Status of FY 2019-20 Projects tables below.
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 (ADM-level or equivalent) of areas audited. Consolidated Results - Client Satisfaction = 89%
Status of FY 2018-19 Projects
Internal Audit Title Department Audit Status Date Report Approved Date Report Published Date Planned for Original MAP Completion Implementation Status
Consulting Engagement - Review of the Global Public Health Intelligence Network PHAC Approved -not to be published June 5, 2018 N/A N/A N/A
Consulting Engagement - Review of the Joint External Evaluation Process PHAC Approved -not to be published June 5, 2018 N/A N/A N/A
Audit of Biologics and Radiopharmaceuticals HC Approved- published Sept. 25, 2018 Nov. 16, 2018 March 31, 2019 100%
Audit of the Biosecurity Program PHAC Approved- published March 28, 2019 May 17, 2019 April 1, 2020 40%
Consulting Engagement - Review of the Opioid Crisis Response HC Approved - not to be published Feb. 28, 2019 N/A N/A N/A
Audit of Contracting and Procurement HC and PHAC In progress - - - -
Audit of Grants and Contributions Phase II HC In progress - - - -
Status of FY 2019-20 Projects
Internal Audit Title Department Audit Status Date Report Approved Date Report Published Date Planned for Original MAP Completion Implementation Status
Acquisition Cards PHAC and HC Approved- published March 29, 2019 May 17, 2019 Dec. 31, 2018 100%
Determination of Recoverable Amounts PHAC In progress - - - -
Multi-sectoral Partnerships PHAC In progress - - - -
Surveillance Activities PHAC In progress - - - -
Inspection Activities HC In progress - - - -
Controlled Substances HC In progress - - - -
Medical Devices Program HC In progress - - - -
Program for Implementation of the Cannabis Act (Consulting Engagement) HC In progress - - - -
Management of Privacy Practices PHAC and HC In progress - - - -
IT Systems Development PHAC and HC In Progress - - - -
Shared Services Partnership Agreement PHAC and HC In Progress - - - -
Asset Management PHAC and HC In Progress - - - -
Updated: September 30, 2018
Compliance Attributes Key Compliance Attribute Results
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]). 27%
Percentage of staff with an internal audit or accounting designation (CIA, CPA) in progress 64%
Percentage of staff holding other designations (CGAP, CISA, CFE, etc.) 45%
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 IIA Code of Ethics and the Standards, as well as the results of the quality assurance and improvement program (QAIP). June 2018
- Date of last external assessment June 2016
Are the RBAPs 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? RBAPs and related information
  • name / status of audit for the current fiscal year of the RBAP
  • date the audit report was approved
  • date the audit report was published
  • original planned date for completion of all management action plan (MAP) items
  • status of MAP items
See Status of FY 2018-19 Projects table below.
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 (ADM-level or equivalent) of areas audited. Consolidated Results - Client Satisfaction = 86%
Status of FY 2018-19 Projects
Internal Audit Title Department Audit Status Date Report Approved Date Report Published Date Planned for Original MAP Completion Implementation Status
Consulting Engagement - Review of the Global Public Health Intelligence Network PHAC Approved - not to be published June 5, 2018 N/A N/A N/A
Consulting Engagement - Review of the Joint External Evaluation Process PHAC Approved - not to be published June 5, 2018 N/A N/A N/A
Audit of Biologics and Radiopharmaceuticals HC Approved - not yet published August 29, 2018 - - -
Fraud Risk Assessment HC and PHAC In progress - - - -
Consulting Engagement - Review of the Opioid Crisis Response HC In progress - - - -
Audit of the Biosecurity Program PHAC In progress - - - -
Audit of Contracting and Procurement HC and PHAC In progress - - - -
Audit of Grants and Contributions Phase II HC In progress - - - -
Updated: June 30, 2018
Compliance Attributes Key Compliance Attribute Results
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)] 40%
Percentage of staff with an internal audit or accounting designation (CIA, CPA) in progress 45%
Percentage of staff holding other designations (CGAP, CISA, CFE, etc.) 50%
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 IIA Code of Ethics and the Standards, as well as the results of the quality assurance and improvement program (QAIP) June 2018
- Date of last external assessment June 2016
Are the RBAPs 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? RBAPs and related information
  • name / status of audit for the current fiscal year of the RBAP
  • date the audit report was approved
  • date the audit report was published
  • original planned date for completion of all management action plan (MAP) items
  • status of MAP items
See Status of FY 2018-19 Projects table below.
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 (ADM-level or equivalent) of areas audited. Consolidated Results - Client Satisfaction = 86%
Status of FY 2018-19 Projects
Internal Audit Title Department Audit Status Date Report Approved Date Report Published Date Planned for Original MAP Completion Implementation Status
Consulting Engagement - Review of the Global Public Health Intelligence Network PHAC Approved - not to be published June 5, 2018 N/A N/A N/A
Consulting Engagement - Review of the Joint External Evaluation Process PHAC Approved - not to be published June 5, 2018 N/A N/A N/A
Audit of Biologics and Radiopharmaceuticals HC In progress - - - -
Fraud Risk Assessment HC and PHAC In progress - - - -
Consulting Engagement - Review of the Opioid Crisis Response HC In progress - - - -
Audit of the Biosecurity Program PHAC In progress - - - -
Audit of Contracting and Procurement HC and PHAC In progress - - - -
Audit of Grants and Contributions Phase II HC In progress - - - -
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