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Internal audit key compliance attributes – June 2022

 

Key Compliance AttributesResults as at June 30, 2022
1. (a). % of staff with an internal audit or accounting designation (Certified Internal Auditor [CIA], Chartered Professional Accountant [CPA]).
1. (b). % of staff with an internal audit or accounting designation in progress (CIA, CPA).
1. (c). % of staff holding other designations (Certified Government Auditing Professional [CGAP], Certification in Risk Management Assurance [CRMA], etc.).		1. (a) 32% of staff have an internal audit or accounting designation.

1. (b) 36% of staff with an internal audit or accounting designation in progress.
1. (c) 20% 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. (b). Date of last external assessment.		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 January 25, 2021.
2. (b). The last external assessment was completed in January 2021.
3. Risk-Based Audit Plan (RBAP) and related information:
  • a. name/status of audit for the current fiscal year of the RBAP
  • b. date the audit report was approved
  • c. date the audit report was published
  • d. original planned date for completion of all management action plan (MAP) items
  • e. status of MAP items
Approved 2022-2023 RBAP and related information (see table 1):

See table 2 for the audits from 2021-2022 (additions and adjustments to the internal audits listed in the Plan may have occurred in order to address emerging risks and priorities of the organization).
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 "Excellent".

Table 1- 2022-23 Risk Based Audit Plan – as at June 23, 2022

#Internal AuditAudit StatusReport Approved DateReport Published DateOriginal Planned MAP Completion DateImplementation Status
1. Carry Over from 2020-2021:
Audit of Costing Methodology		CompletedJune 23, 2022--0%
2. Carry Over from 2021-2022:
Procurement at Missions Supported CSDP Mexico		CompletedJune 23, 2022--0%
3. Carry Over from 2021-2022:
Audit of Internal Controls Over Financial Management		CompletedJune 23, 2022--0%
4. Carry Over from 2021-2022:
Audit of Management of Honorary Consuls		In Progress----
5. Carry Over from 2021-2022:
Audit of IT Application Portfolio Management		In Progress----
6. Carry Over from 2021-2022:
Audit of Trade Services – Regional Operations		In Progress----
7. Audit of IT Project ManagementIn Progress----
8. Audit of Departmental Sustainable Development StrategyIn Progress----
9. Audit of Country Program - International Assistance to TanzaniaIn Progress----
10. Procurement at Missions Supported CSDP WashingtonPlanned for 2022-2023----
11. Procurement at Missions Supported CSDP BrusselsPlanned for 2022-2023----
12. Follow-up on Audit of Repayable ContributionsPlanned for 2022-2023----
13. Audit of Real Property – Minor Capital Projects and MaintenancePlanned for 2022-2023----
14. OCG Horizontal Audit of Departmental Adoption of Digital StandardsPlanned for 2022-2023----
15. Procurement at Missions Supported CSDP BerlinPlanned for 2022-2023
16. Audit of Management Practices of Mission - IslamabadPlanned for 2022-2023----
17. Audit of Management Practices of Mission - DhakaPlanned for 2022-2023----
18. Audit of Management Practices of Mission - DakarPlanned for 2022-2023----
19. Audit of Management Practices of Mission - AccraPlanned for 2022-2023----
20. Cybersecurity (CSE Top 10 risks)Planned for 2022-2023----

Table 2 – 2021-22 Internal Audit Status and Related Information – as of June 30, 2022

#Internal AuditAudit StatusReport Approved DateReport Published DateOriginal Planned MAP Completion DateImplementation Status
1.Carry Over from 2019-2020:
Audit of Grants & Contributions Part I – Oversight & Monitoring		CompletedMay 2021November 2021September 202250%
2.Carry Over from 2020-2021:
Advisory: Feminist International Assistance Policy		CompletedMay 2021N/AN/AN/A
3.Carry Over from 2020-2021:
Advisory: IT Risk Assessment		CompletedMay 2021N/AN/AN/A
4.Carry Over from 2020-2021:
Advisory: COVID – 19 Remote Work Risk Assessment		CompletedJune 2021N/AN/AN/A
5.Carry Over from 2020-2021:
Audit of Privacy Practices		CompletedJune 2021November 2021June 20220%
6.Carry Over from 2020-2021:
Audit of Real Property –Portfolio Management		CompletedNovember 2021February 2022June 202380%
7.Carry Over from 2020-2021:
Audit of Mission Acquisition Cards (Data Analytics)		CompletedDecember 2021February 2022March 202440%
8.Carry Over from 2020-2021:
Advisory: Duty of Care – Governance & Spending		CompletedDecember 2021N/AN/AN/A
9.Carry Over from 2020-2021:
Advisory: International Assistance Innovation Program		CompletedDecember 2021N/AN/AN/A
Date Modified: