Performance results for the internal audit function

December 14, 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]) 66.5%
Percentage of staff with an internal audit or accounting designation (CIA, CPA) in progress 0%
Percentage of staff holding other designations (CGAP, CISA, etc.) 17%
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 IIA’s Standards, with the results of the quality assurance and improvement program Nov. 2014
Date of last external assessment July 2013
Are the risk-based audit plans (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" 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 Overall satisfaction
90%

Table 1 – Risk-based audit plan and related information

Status of FY 2018-19 projects

December 14, 2018

Audit title Status Report approval date Report publication date Original management action plan completion date Implementation status
Audit of Financial Guarantees Approved Jul. 3, 2018 Nov. 8, 2018 Dec. 2018 On track
Audit of Contracting and Procurement Approved Aug. 1, 2018 Nov. 8, 2018 Feb. 2019 On track
Management Audit of the Western (Calgary) Regional Office Approved Jul. 3, 2018 Nov. 8, 2018 Sep. 2018 New date Dec. 2018
Audit of the Nuclear Emergency Management Program Approved Jul. 3, 2018 Nov. 8, 2018 Apr. 2018 Delayed
Follow-up audit of CNSC’s MAP to address OAG audit recommendations Approved Nov. 19 2018      
Audit of the management of inspection processes (non-NPP – phase II) DNCFR In progress Nov. 19 2018      
Audit of the management of inspection processes (non-NPP – phase II) DNSR In progress Nov. 19 2018      
Audit of the management of personal information In progress        
Audit of the management of inspection processes (non-NPP – phase II) DSS Planned        
OCG horizontal audit of IT Security (Phase II) TBD        
OCG horizontal audit of Project Management TBD        
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