Multi-year Risk-based Audit and Evaluation Plan
- Introduction
- Internal Audit and Evaluation Directorate Services
- Internal Audit and Evaluation Directorate
- Multi-year Risk-based Audit and Evaluation Plan Methodology
- 2019-20 Multi-year Risk-based Audit and Evaluation Plan Methodology.
- Audit Project Schedule (From 2019- 20 to 2021-22)
- Five-year Evaluation Schedule (2019-20 to 2023-24)
- Annex 1: Public Safety Canada Departmental Core Responsibilities and Program Inventory
- Annex 2: Public Safety Canada Audit and Evaluation Coverage (Past 5 Years and planned 2019-20)
- Annex 3: Public Safety 2019-22 Risk Categories and Coverage
- Footnotes
2019-2020
MESSAGE FROM THE CHIEF AUDIT AND EVALUATION EXECUTIVE
Public Safety’s Internal Audit and Evaluation Directorate (IAED) adds value by being an agent of positive change and innovation. We bring a systematic, disciplined approach to evaluate and improve the effectiveness and efficiency of the Department’s risk management, controls, governance, programs and initiatives.
Our Mission: To foster and influence management excellence, performance and accountability by providing objective and independent insights.
Our Vision: To be a trusted advisor to management and to our stakeholders.
MULTI-YEAR RISK-BASED AUDIT AND EVALUATION PLAN
As the Chief Audit and Evaluation Executive, I am pleased to present the 2019-20 Multi-year Risk-based Audit and Evaluation Plan (RBAEP) that describes the internal audit and evaluation priorities and activities in support of Public Safety’s strategic priorities.
The RBAEP details the assurance, evaluation and consulting services that the IAED will provide, independent of line management, to sustain a strong, credible regime that supports the Deputy Minister in the role of accounting officer and contributes directly and proactively to sound performance measurement, risk management, control and governance.
The Plan guides the allocation of our financial and human resources to achieve our objectives. It takes into account the necessary alignment with organizational risks and priorities. The audit and evaluation coverage proposed in the Plan strives to achieve senior management’s expectations and high risk areas for the department. IAED is currently undergoing a strategic resourcing analysis exercise that will further position the function to effectively and efficiently deliver its suite of services.
Our Plan sets out an exciting and innovative year ahead. I look forward to contributing to advancing the Department’s priorities.
Daniel Giroux
Chief Audit and Evaluation Executive
Introduction
Purpose and Scope of the Plan
The Risk-based Audit and Evaluation Plan (RBAEP) describes the planned engagements to be undertaken by the Internal Audit and Evaluation Directorate (IAED) (see “Audit and Evaluation Project Schedule”), allocates audit and evaluation resources to the areas that represent the greatest risk and priority to Public Safety (PS) and, as such, ensures that the IAED adds value to the department and to Canadians. The Plan is a rolling, multi-year instrument that is developed and updated annually in compliance with applicable Treasury Board of Canada policies and professional standards, most notably the Policy on Internal Audit and the Policy on Results.
The audit and evaluation project schedule has been reviewed and recommended by both the Departmental Audit Committee (DAC) and Performance Measurement and Evaluation Committee (PMEC).
Public Safety Operating Environment and Key Risks
PS operates in an ever-changing environment with a wide array of internal and external factors that have the potential to significantly affect the Department’s operations and programs. As a result, the Department requires a high level of adaptability and flexibility, and must remain at the forefront of threats and developments that can affect its ability to deliver on its broad mandate and results for Canadians.
PS has identified four corporate risks that address the ever-changing environment and organizational pressures. The 2019-20 corporate risks are:
- There is a risk that some program outcomes relying on the actions of partners will not be met;
- There is a risk that Public Safety will be unable to keep pace with and take advantage of technological advances;
- There is a risk that the Department may not respond effectively to the pace and magnitude of change in the evolving all-hazards threat environment; and,
- There is a risk that the Department will not attract and retain the employees required to achieve its organizational objectives.
Internal Audit and Evaluation Directorate Services
The IAED has three main functions: internal audit, evaluation and professional practices.
Internal Audit
In line with the Treasury Board Policy on Internal Audit and the Institute of Internal Auditors (IIA) Professional Standards, IAED offers two types of services:
- Assurance engagements:
- Internal Audits: Internal audit is an independent, objective, assurance and consulting activity designed to add value and improve an organization’s operation. It helps an organization accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes.
- Laser Audits: Comparable to a typical internal audit, but focuses on providing assurance that core controls within an entity are working as intended. Scope is narrower and defined using a less intensive approach.
- Consulting Services:
- Control Self-Assessment: to support a work team in its self-assessment of the performance of key governance, risk management and control processes (through a facilitated workshop or survey).
- Consulting Engagements: to support management in any area related to controls, risk management or governance, including enterprise risk management, advice during program or systems development, etc.
Evaluation
Evaluation is the systematic and neutral collection and analysis of evidence to judge merit, worth or value. Evaluations typically focus on programs, policies and priorities and examine questions related to relevance, effectiveness and efficiency.
In line with the Treasury Board Policy on Results, IAED offers two types of evaluation services:
- Program Improvement Services:
- Delivery Evaluations: Focus on the implementation of a program or policy, the production of outputs and ways to improve efficiency.
- Impact Evaluations: Assess the results and outcomes of a program or policy, the department’s influence on the observed changes, and issues such as alternatives and improvements.
- Consulting Services:
- Performance Measurement: to support the creation of logic models and performance measures as part of Performance Information Profiles to outline intended outputs and outcomes.
- Targeted research: to offer management insights on global trends or practices. May be based on management needs for information to guide changes to program design or delivery.
Professional Practices
The Professional Practices Unit is a key function within IAED as it is mainly responsible for the Quality Assurance and Improvement Program, Corporate Strategic report, external liaison and the DAC and PMEC Secretariat. It complements the work of the internal audit and evaluation functions and contributes to the overall value-added services.
- Quality Assurance and Improvement Program (QAIP)
- Pursuant to the Treasury Board Policy on Internal Audit, the Government of Canada adopted the Institute of the Internal Auditors International Professional Practices Framework as part of the Government of Canada Internal Audit Standards. As part of the Standards, the Chief Audit Executive is responsible to develop and maintain a QAIP. Although not required by the Treasury Board Policy on Results and associated Directive, the QAIP also applies to the evaluation function.
- Liaison with the Office of the Auditor General (OAG) and other External Assurance Providers
- The Professional Practices Unit is also responsible for liaison activities with the OAG, the Office of the Comptroller General (OCG), and other external assurance providers. The unit helps ensure that the activities of the Department are represented accurately, fairly and in a balanced manner. Various activities are carried out to ensure positive working relationships and effective coordination of all external audit work. Specifically, this includes providing assistance and advice to departmental officials throughout the conduct of audits, negotiating acceptable timeframes for providing requested material, as well as collaborating with others when validating the factual content of audit reports and preparing departmental responses. Ongoing communication occurs with these external assurance providers and the extent of their activities within the department is considered as part of the development of the RBAEP.
- Liaison with Treasury Board Secretariat and participation in the OCG Horizontal Audits
- In accordance with the Treasury Board (TB) Policy on Internal Audit and Policy on Results, IAED is required to submit performance measure and data, completed annual capacity assessments, and the approved RBAEP to Treasury Board and the OCG. The coordinated information gathering and response to the corporate requests and required submissions to TB and OCG are managed by the Professional Practices Unit within IAED.
- Furthermore, as outlined in the TB Policy on Internal Audit, the IAED must consider government-wide audits led by the Comptroller General when developing the RBAEP. Horizontal audits planned by the OCG were taken into account in the RBAEP. The OCG process for these includes flexibility for each department to expand the scope of the audit to address matters of significance specific to their identified risk or concerns. To ensure effective and efficient delivery of the audit, the Internal Audit groups of the participating departments are required to provide audit resources.
- As the responsible group for liaison activities with the OCG, the Professional Practices Unit is the coordinator of any upcoming horizontal internal audits where Public Safety would be identified as a participating department or where IAED would have an interest to participate in order to increase efficiency and avoid duplication.
- Follow-up on Management Action Plans
- Monitoring and reporting on the implementation of approved Management Action Plans that address internal audit and evaluation recommendations, as well as recommendations stemming from external audits performed by other external assurance providers, such as the OAG is performed by the Professional Practices Unit. As part of the follow-up process, the Unit requests updates from management, assesses and validates corrective measures that have been taken and determines whether the actions carried out are appropriate.
- Departmental Audit Committee and Performance Measurement and Evaluation Committee Secretariat
- The Professional Practices Unit also provides administrative and logistical support to the DAC and PMEC external members in order to coordinate and organize the meetings. This includes the preparation of the Committee meeting agenda, and the collecting and assembling of meeting material into electronic binders for submission to DAC and PMEC two weeks in advance of each meeting.
Internal Audit and Evaluation Directorate
Organizational Structure
As indicated previously, the IAED has three main functions: internal audit, evaluation and professional practices. It comprises 18 indeterminate positions: the Chief Audit and Evaluation Executive, the Director of Internal Audit and Evaluation Division, two administrative support positions, six internal auditors, five evaluators, and three professional practices positions.
Figure 1: IAED Organizational Chart
Image Description
The figure illustrates the organizational structure of IAED. IAED is led by the Chief Audit and Evaluation Executive (CAEE) who is supported by one Executive Assistant and one Administrative Assistant. The Director, Internal Audit and Evaluation and Manager, Professional Practices Unit (PPU) report directly to the CAEE. Within the Internal Audit and Evaluation Division, the Manager, Evaluation and Manager, Internal Audit report directly to the Director, Internal Audit and Evaluation. The Manager, Evaluation has two direct reports: one Senior Evaluation Advisor and one Evaluation Advisor. The Senior Evaluation Advisor and Evaluation Advisor each have a Senior Evaluation Analyst as a direct report.
The Manager, Internal Audit has two Internal Audit Project Team Leads as direct reports. One Internal Audit Project Team Lead has an Internal Auditor as a direct report. The second Internal Audit Project Team Lead has a Senior Internal Auditor as a direct report, who in turn has an Internal Auditor as a direct report.
Within PPU, the Senior Professional Practice Officer and Professional Practice Officer report directly to the Manager.
Directorate Human and Financial Resources
IAED’s 2019-20 Notional Budget includes $1.7M in salary and $816K in Operations & Maintenance (O&M) for a total of $2.5M. Based on this budget IAED can fund a total of 18 indeterminate positions (as indicated in the chart below). The O&M budget is $605K that is supplemented with TB Submissions, which vary from fiscal year to the next.
Unit |
#FTE |
#Term/Members |
Salary ($000) |
O&M ($000) |
Total ($000) |
|---|---|---|---|---|---|
Office of the Chief Audit & Evaluation Executive |
3 |
3 (DAC Members) |
$324 |
$36 |
$360 |
Internal Audit Unit |
6.50 |
N/A |
$516 |
$380 |
$896 |
Evaluation Unit |
5.50 |
1 Term (1 year) |
$530 |
$300 |
$830 |
Professional Practices Unit |
3 |
N/A |
$360 |
$100 |
$ 460 |
Total |
18 |
|
$1,730 |
$ 816 |
$2,546 |
Multi-year Risk-based Audit and Evaluation Plan Methodology
To inform the identification and prioritization of audit projects, IAED has developed a two year rotational approach. During the first year an extensive and comprehensive assessment of established risk categories is performed. This exercise consists of elaborate consultations with senior management complemented with a review of corporate documents such as the Departmental Plan, Corporate Risk Profile and Departmental Results Report; trend analysis of previously conducted audit and evaluation projects across government, and a review of the study of high risk areas provided by industry best practices. Figure 2 below contains an overview of the process.
Figure 2: RBAEP Methodology (Year 1)
Image Description
The figure portrays the step by step approach followed by IAED for the development of the departmental RBAEP during the first year of its two-year rotational approach. The first-year approach is extensive and comprehensive.
The first step involves a detailed review of the Audit and Evaluation Universe. The next step is a detailed document review. This is followed by consultations with departmental senior management. The next step is the development of both audit risk assessments and evaluation assessments, and then the identification and prioritization of internal audit and evaluation projects. The final step is the approval and reporting of the RBAEP which includes the internal audit and evaluation projects.
The second year of the rotational approach consists of validating the need and timelines of the already identified projects and revising where required. The validation and updates are done through consultations with senior management. Specifically, a survey is sent out to Directors General (DGs) for their review of project list and timelines. DG feedback is incorporated in a revised document and shared with ADMs for their input and confirmation. Figure 3 below contains an overview of the process.
Figure 3: RBAEP Methodology (Year 2)
Image Description
The figure portrays the step by step approach followed by IAED for the development of the departmental RBAEP during the second year of its two-year rotational approach. The second-year approach is a follow up validation and update of the first-year RBAEP exercise.
The first step involves a light review of the Audit and Evaluation Universe. The next step is a document review, which is followed by surveys with departmental senior management to validate the information. The next step is the revision and update of internal audit and evaluation projects. The final step is the approval and reporting of the RBAEP which includes the internal audit and evaluation projects.
The rotational approach does not apply to the planning processes for evaluation. Evaluation projects are validated and revised where required as per the Financial Administration Act (FAA) requirements, program renewal cycles, and the newly established programs.
2019-20 Multi-year Risk-based Audit and Evaluation Plan Methodology
The development of the 2019-20 RBAEP is based on the Treasury Board Policy on Internal Audit and Policy on Results, the 2013 COSO Internal Control - Integrated Framework and guidance provide by the Office of the Comptroller General. The following steps describe the process that was applied as part of this year’s exercise:
Review of the Audit and Evaluation Universe
To develop the Audit and Evaluation Universe the IAED used the Departmental Core Responsibilities and Program Inventory (Annex 1), which is updated when required. The Inventory supports the Department in achieving its strategic objective and priorities, which are included in the Departmental Results Framework (DRF). Each of the programs listed in the Inventory constitute an audit and evaluation entity within the Universe.
Document Review
IAED conducted document reviews to understand departmental context and key corporate and program risks and priorities. Key departmental reports included: the 2018-19 Departmental Plan; the available Branch Business Plans; the 2019-20 Corporate Risk Profile; the 2017-18 Departmental Results Report; both Ministers’ Mandate Letter; and the Departmental Results Framework (DRF). In addition, IAED reviewed previous IAED audits and evaluations, as well as reports on Public Safety from other assurance providers such as the OAG, the OCG, and the Public Service Commission.
Management Consultations
IAED sought input from DGs across PS in order to validate the need and timelines of the already identified projects and revising where required. The validation and updates were done through consultations with senior management. Specifically, a survey was sent out to DGs for their review of the project list and timelines and the identification of any risk areas not covered as part of the current list. DG feedback was incorporated into a revised document and shared with ADMs for their input and confirmation. IAED then met with each ADM to discuss the program needs, priorities and risk areas.
In addition, IAED met with all Branch Management Committees in order to discuss the suite of services offered by both the audit and evaluation functions for Branches to consider as part of the consultation process.
IAED also consulted with external assurance providers (e.g. OAG and OCG) to minimize duplication of effort and impact on programs. External members of the Departmental Audit committee were also consulted to discuss risks and proposed projects.
Finally, the draft audit and evaluation project schedule was presented to senior management for review and comments at the Internal Policy Committee meeting held on January 22, 2019.
4. Audit Risk Assessment
The information obtained in the document review and consultations, along with the previous year’s assessment of risks were included in the development of the audit project schedule. Risk categories that were assessed as part of last year’s first of our two year rotational approach were based on the 2013 COSO Framework, OCG guidance and audit community best practices. The results of this assessment were reviewed and used to ensure coverage of high risk areas (Annex 3). The risk categories and their definition are as follows:
Risk Categories |
Risk Definition |
|---|---|
Business processes and project management |
Threats and opportunities associated with business process design or implementation (consider complexity of operations, level of centralization) and/or those associated with processes and practices of developing and managing projects. |
Financial Management |
Threats and opportunities associated with the structures and processes of an organization to ensure sound management and safeguarding of financial resources and its compliance with financial management policies and standards. |
Fraud |
Threats and opportunities associated with any illegal act characterized by deceit, concealment, or violation of trust to obtain money, property, or services; to avoid payment or loss of services; or to secure personal or business advantage (i.e. fraudulent reporting, asset misappropriation, corruption, or management override). |
Governance and strategic direction |
Threats and opportunities associated with an organization's approach to leadership, decision-making and management capacity. |
HR Management |
Threats and opportunities associated with staff/management turnover; employment/work culture; recruitment, retention and staffing processes and practices; HR and succession planning and talent management; employee development, training and capacity building; and employee engagement. |
Information management |
Threats and opportunities associated with an organization's capacity and sustainability of information management procedures and practices, including privacy consideration and security of information. |
Information technology |
Threats and opportunities associated with an organization's capacity and sustainability of information technology, both the infrastructure and utilization of technological applications (consider also reliance on SSC) as well as the safeguarding of IT assets. |
Organizational transformation and change management |
Threats and opportunities associated with significant structural, cultural or behavioural change within an organization related to mandate, operating context, leadership and strategic direction. |
Political agenda and other environmental changes |
Threats and opportunities associated with the potential changes in the political agenda and/or the environmental operating context, which are outside of the Department's control. |
Stakeholders and partnerships (e.g. clients, FPT) |
Threats and opportunities associated with an organization's partners and stakeholder demographics, characteristics and activities as well as those associated with program delivery. |
5. Evaluation Assessment
The information obtained through document review and consultation, along with the department’s priorities, allowed the assessment of the evaluation entities. Commitments made in submissions approved by the Treasury Board of Canada and other corporate reports were used to determine the schedule for the evaluation projects. The timing of all mandatory evaluations were considered, prior to the discretionary evaluations being proposed and scheduled.
Discretionary evaluation projects were also examined through the lens of feasibility, alignment (between audit and evaluation and with other, external audits and evaluations), workload and burden on the program areas. The goal was to ensure optimum efficiency of projects while making every effort to minimize “oversight fatigue” on the part of Public Safety management.
6. Project Identification and Prioritization
To identify and prioritize the potential audit and consulting engagements for the next three years, the following factors were examined:
- Results of consultations with senior management;
- Coverage of the audit and evaluation universe (Annex 2);
- Coverage of identified risk categories (Annex 3)
- Departmental priorities including Mandate letters;
- DAC priorities;
- Previous audit and evaluation outstanding recommendations;
- Maturity of program/process and their audit readiness; and,
- Audits by external assurance providers.
Public Safety’s Five-year Evaluation Plan (2019-20 to 2023-24), fulfills the requirements of subsection 42.1 of the Financial Administration Act, which stipulates that all ongoing programs of grants and contributions with five-year average actual expenditures of $5 million or greater per year are evaluated at least once every five years.
7. Approval and Reporting
The schedule of planned audits and evaluations were presented to the Internal Policy Committee on January 22, 2019 for review and comments. It was also presented to the DAC on February 25, 2019, and to the PMEC on the March 27, 2019. The DAC and PMEC have recommended the schedule for approval. The RBAEP was finalized by IAED for Deputy Minister’s approval.
The RBAEP will be submitted to the Results Division of the Treasury Board Secretariat as required by the Policy on Results and to the OCG as required by the Policy on Internal Audit.
Audit Project Schedule (From 2019- 20 to 2021-22)
Audit Title |
Objective and Scope |
Rationale |
Date |
Resources |
Organization Level Involved |
|
|---|---|---|---|---|---|---|
FTE |
O&M |
|||||
Audit of Governance |
Objective: |
PS Strategic Priority:
Risk Category:
Past Coverage:
|
Start: Estimated completion: June 2019 |
2 FTE |
$105K |
Department; |
Laser Audit of the application of gender-based analysis (GBA+) |
Objective: |
PS Strategic Priority:
Risk Category:
Past Coverage:
|
Start: Estimated completion: |
2 FTE |
N/A |
Department; |
Laser Audit: Follow-up on Implementation of the Commissioner of the Environment and Sustainable Development (CESD) |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
1.5 FTE |
N/A |
Department; |
Laser Audit: Follow-up on Implementation of the OAG Recommendations on Payroll Management |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
1.5 FTE |
N/A |
Department; |
OCG Horizontal Internal Audit of IT Security |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Start: Estimated completion: |
.5 FTE |
N/A |
CMB or National and Cyber Security Branch (NCSB) (TBC) |
Audit of IT Security |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
1 FTE |
$120K |
Department; |
Consulting engagement on Staffing Monitoring Framework |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
1.5 FTE |
N/A |
CMB Lead |
Laser Audit of Secure Handling of Classified Documents (secret and above) |
Preliminary Objective: Preliminary Scope: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
1.5 FTE |
N/A |
Department; |
EMPB Control Self-Assessment Consulting Engagement |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
.5 FTE |
$60K |
Emergency Management and Programs Branch (EMPB) Lead |
Audit of Information Management (IM) |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
1.5 FTE |
$120K |
CMB Lead |
Consulting Engagement of Continuity |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
TBD |
1 FTE |
60K |
EMPB Lead |
Audit Title |
Objective and Scope |
Rationale |
Preliminary Date |
Organization Level Involved |
National Security Policy and Operations Control Self-Assessment Consulting Engagement |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
NCSB Lead |
Audit of Procurement |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
Department; |
OCG Audit of Departmental Performance Measurement in Large and Small Departments |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
Department; |
Strategic Policy, Research, Planning, and International Affairs Control Self-Assessment Consulting Engagement |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
PACB Lead |
Audit Title |
Objective and Scope |
Rationale |
Preliminary Date |
Organization Level Involved |
|---|---|---|---|---|
Joint Audit and Evaluation of the Disaster Financial Assistance Arrangements Program |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage
|
Preliminary start date: Estimated completion date: |
EMPB Lead |
Audit of Project Management |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
Department; |
Laser Audit of Public Consultation |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
Community Safety and Countering Crime Branch (CSCCB) & PACB |
Audit of Training Expenditures |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: Estimated completion date: |
Department |
Laser Audit of the Implementation of the Labour Code |
Preliminary Objective: |
PS Strategic Priority:
Corporate Risk Profile (2019-20):
Risk Category:
Past Coverage:
|
Preliminary start date: |
Department; |
Five-year Evaluation Schedule (2019-20 to 2023-24)
The following table presents the five year evaluation schedule included in the Plan. It provides information on when evaluation results are planned to be available to support decision making, as well as the type of evaluation planned. Resources for each evaluation will be determined as part of the annual operational planning.
Evaluation Title |
Program Inventory |
Type of Evaluation |
Branch |
Mandatory or Discretionary |
Horizontal or Thematic Evaluation |
Last Evaluated |
Date |
|
|---|---|---|---|---|---|---|---|---|
Evaluations underway or planned to start in fiscal year 2019-20 |
||||||||
DNA Analysis Activities |
Border Policy |
Impact |
CSCCB |
Mandatory: Required by the FAA |
No |
February 2014 |
Start |
$ 6.9M |
Aboriginal Community Safety Planning Initiative |
Corrections |
Impact |
CSCCB |
Discretionary: Program renewal |
No |
November 2014 |
Start |
$ 1.9M |
National Disaster Mitigation Program |
Emergency Prevention/ Mitigation |
Impact |
EMPB |
Mandatory: Required by the FAA |
No |
Never |
Start |
$ 57.1M |
Immigration and Refugee Protection Act Division 9/National Security Inadmissibility |
National Security Leadership |
Impact |
NCSB |
Mandatory: TB Commitment |
Horizontal |
June 2016 |
Start |
N/A |
Nation’s Capital Extraordinary Policing Costs Program |
Law Enforcement and Policing |
Impact |
CSCCB |
Mandatory: Program Renewal |
No |
Never |
Start |
$2.0M |
Canada Centre - Office for Community Outreach and Counter Radicalization to Violence |
Crime Prevention |
Delivery |
PACB |
Mandatory: [Redacted] |
No |
Never |
Preliminary start date: Expected Completion: |
$ 4.4M |
Search and Rescue New Initiatives Fund |
Emergency Response/ Recovery |
Impact |
EMPB |
Mandatory: FAA requirement |
No |
N/A (was evaluated by DND in 2014-15) |
Preliminary start date: Expected Completion: |
$7.2M |
Major Events and Summitry, including G7 |
Law Enforcement and Policing |
Horizontal Evaluation led by Global Affairs Canada |
CSCCB |
Mandatory: |
Yes |
N/A |
Preliminary start date: Expected Completion: |
$77.5M |
Evaluations planned to start in fiscal year 2020-21 |
||||||||
Indigenous Policing (Formerly, First Nation Policing) |
Indigenous Policing |
Delivery |
CSCCB & EMPB |
Mandatory: Required by the FAA |
No |
January 2016 |
Preliminary start date: Expected Completion: |
$ 146M |
Memorial Grant Program for First Responders |
Law Enforcement and Policing |
Delivery |
CSCCB |
Mandatory: Required by the FAA |
No |
Never |
Preliminary start date Expected Completion: |
$ 21.6M |
Indigenous Community Corrections Initiative |
Corrections |
Delivery |
CSCCB |
Mandatory: TB Commitment as part of Addressing the Need of Vulnerable Offenders |
No |
Never |
Preliminary start date: Expected Completion: |
N/A |
Strategy to Prevent and Address Gender Based Violence – led by Status of Women Canada |
Serious and Organized Crime |
TBD by SWC |
CSCCB |
Mandatory: TB Commitment |
Horizontal |
Never |
Preliminary start date: Expected Completion |
$ 2.0M |
Cyber Security Strategy |
Cyber Security |
Delivery |
NCSB |
Mandatory: TB Commitment |
No |
September 2017 |
Preliminary start date: Expected Completion: |
$ 0.3M |
Evaluations planned to start in fiscal year 2021-22 |
||||||||
Joint Audit and Evaluation of the Disaster Financial Assistance Arrangements Program |
Emergency Prevention/ Mitigation |
Impact |
EMPB |
Mandatory: Required by the FAA |
No |
March 2017 |
Preliminary start date: Expected Completion: |
$ 609M |
Canadian Drugs and Substances Strategy (including the Substance Use and Addictions Program, and Opioid Response) - led by Health Canada |
Law enforcement and Policing |
TBD by Health Canada |
CSCCB |
Mandatory: Required by the FAA |
Horizontal |
N/A |
Preliminary start date: Expected Completion: |
N/A |
Search and Rescue |
Emergency Prevention/ Mitigation |
Impact |
EMPB |
Mandatory: Requested by TBS |
No |
Never |
Preliminary start date: Expected Completion: |
$ 10.2M |
Federal Terrorism Response Plan |
National Security Leadership |
Delivery |
NCSB |
Discretionary: Departmental Priority |
No |
Never |
Preliminary start date: Expected Completion: |
N/A |
Initiative to Enhance the National Security Framework |
National Security Leadership |
Delivery |
NCSB |
Mandatory: TB Commitment |
No |
Never |
Preliminary start date: Expected Completion: |
N/A |
Government Operations Centre |
Emergency Prepared-ness |
Delivery |
EMPB |
Discretionary: Departmental Priority |
No |
Never |
Preliminary start date: Expected Completion: |
N/A |
Evaluations planned to start in fiscal year 2022-23 |
||||||||
Human Trafficking |
Serious and Organized Crime |
Delivery |
CSCCB |
Mandatory: TB Commitment |
No |
December 2017 |
Preliminary start date: Expected Completion: |
$ 2.0M |
Workplace Wellness |
HR Management |
Impact and Delivery |
CMB |
Discretionary: Government priority and Corporate Risk |
Thematic |
Never |
Preliminary start date: Expected Completion: |
N/A |
Critical Infrastructure |
Critical Infrastructure |
Impact |
NCSB |
Discretionary: Departmental Priority |
No |
January 2018 |
Preliminary start date: Expected Completion: |
N/A |
Enhanced Passenger Protect Program |
National Security Leadership |
Delivery |
NCSB |
Mandatory: TB Commitment |
Horizontal |
Never |
Preliminary start date: Expected Completion: |
N/A |
National Crime Prevention Strategy |
Crime Prevention |
Impact |
CSCCB & EMPB |
Mandatory: Required by the FAA |
No |
May 2018 |
Preliminary start date: Expected Completion: |
$ 44.5M |
Funding for First Nation and Inuit Policing Facilities |
Indigenous Policing |
Impact |
CSCCB & EMPB |
Mandatory: Required by the FAA |
No |
Never |
Preliminary start date: Expected Completion: |
$9.95 M |
Implementing the New Framework for Medical Marijuana – Cannabis - led by Health Canada |
Law Enforcement and Policing |
TBD by Health Canada |
CSCCB |
Mandatory: TB Commitment |
Horizontal |
Never |
Preliminary start date: Expected Completion: |
N/A |
Evaluations planned to start in fiscal year 2023-24 |
||||||||
Addressing Drug-Impaired Driving and Communication |
Law Enforcement and Policing |
Impact |
CSCCB & PACB |
Mandatory: Required by the FAA |
Horizontal |
Never |
Preliminary start date: Expected Completion |
N/A |
Initiative to Take Action Against Guns and Gangs |
Serious and Organized crime |
Impact |
CSCCB& EMPB |
Mandatory: TB Commitment |
Horizontal |
Never |
Preliminary start date: Expected Completion: |
N/A |
Strategy to Prevent and Address Gender Based Violence – led by Status of Women Canada |
Serious and Organized Crime |
TBD by SWC |
CSCCB |
Mandatory: TB Commitment |
Horizontal |
Never |
Preliminary start date Expected Completion: |
N/A |
Annex 1: Public Safety Canada Departmental Core Responsibilities and Program Inventory
Image Description
The figure illustrates the department’s core responsibilities, as well as the components of its program inventory. The program inventory identifies all departmental programs and describes how resources are organized to contribute to the department's core responsibilities and results.
The department has three core responsibilities: National Security; Community Safety; and, Emergency Management.
The department also has four program inventory areas: National Security; Community Safety; Emergency Management; and, Internal Services.
The following are the components of the program inventory within each of the above areas:
National Security: National Security Leadership; Critical Infrastructure; and, Cyber Security.
Community Safety: Crime Prevention; Serious and Organized Crime; Indigenous Policing; Law Enforcement and Policing; Corrections; and, Border Policy.
Emergency Management: Emergency Prevention/Mitigation; Emergency Response/Recovery; and, Emergency Preparedness.
Internal Services: Management and Oversight; Legal; Financial Management; Information Technology; Materiel; Communications; Human Resources Management; Information Management; Real Property; and, Acquisitions.
Annex 2: Public Safety Canada Audit and Evaluation Coverage (Past 5 Years and planned 2019-20)
Program Inventory |
Audit Coverage |
Evaluation Coverage |
|---|---|---|
|
Performance Measurement (2016) |
2015-16 Evaluation of the Policy Development Contribution Program |
1.2 National Security Leadership |
N/A |
2019-20 Evaluation of the Immigration and Refugee Protection Act Division 9/National Security Inadmissibility |
1.3 Cyber Security |
N/A |
2016-17 Horizontal Evaluation of Canada's Cyber Security Strategy |
1.4 Critical Infrastructure |
Control Self-Assessment – Regional Resilience Assessment Program (2018) |
2017-18 Evaluation of the Regional Resilience Assessment Program and the Virtual Risk Analysis |
|
Grants and Contributions (2017) |
2015-16 Evaluation of the Policy Development Contribution Program |
2.1 Crime Prevention |
Control Self-Assessment – Crime Prevention and Aboriginal Community Safety Division (2018) |
2019-20 Evaluation of the Canada Centre - Office for Community Outreach and Counter Radicalization to Violence |
2.2 Serious and Organized Crime |
N/A |
2016-17 Horizontal Evaluation of the National Action Plan to Combat Human Trafficking |
2.3 Corrections |
Control Self-Assessment – Crime Prevention and Aboriginal Community Safety Division (2018) |
2018-19 Evaluation of the Aboriginal Community Safety Planning Initiative |
Program Inventory |
Audit Coverage |
Evaluation Coverage |
2.4 Law Enforcement and Policing |
N/A |
2019-20 Evaluation of the Nation’s Capital Extraordinary Policing Costs Program |
2.5 Indigenous Policing |
N/A |
2016-17 INAC-led Horizontal Evaluation of the Implementation and Enforcement Supports for the Family Homes on Reserves and Matrimonial Interests or Rights Act |
2.6 Border Policy |
Beyond the Boarder (OAG 2016) |
2018-19 Evaluation of the Akwesasne Organized Crime Initiative |
|
EMPB Control Self-Assessment Consulting Engagement (2020) |
2015-16 Evaluation of the Policy Development Contribution Program |
3.1 Emergency Prevention Mitigation |
Performance Audit of Adapting to Climate Change Impacts (CESD 2017) |
2019-20 Evaluation of the National Disaster Mitigation Program |
Program Inventory |
Audit Coverage |
Evaluation Coverage |
3.2 Emergency Preparedness |
Horizontal Internal Audit of Business Continuity Planning in Large and Small Departments (OCG 2018) |
N/A |
3.3 Emergency Response /Recovery |
Government Operations Centre (2016) |
2019-20 Evaluation of the Search and Rescue New Initiatives Fund |
|
Audit of Governance (2019) |
2015-16 Evaluation of the Policy Development Contribution Program |
4.1 Management & Oversight |
Advisory Engagement of Enterprise Risk Management (2019) |
N/A |
4.2 Communications |
N/A |
N/A |
Program Inventory |
Audit Coverage |
Evaluation Coverage |
4.3 Legal |
Not assessed |
Not assessed |
4.4 HR Management |
Consulting engagement on Staffing Monitoring Framework (2020) |
N/A |
4.5 Financial Management |
Grants and Contributions (2017) |
N/A |
4.6 Information Management |
Audit of Information Management (IM) (2020) |
N/A |
4.7 Information Technology |
Audit of IT Security (2020) |
N/A |
4.8 Real Property |
N/A |
N/A |
4.9 Material |
N/A |
N/A |
4.10 Acquisitions |
N/A |
N/A |
Annex 3: Public Safety 2019-22 Risk Categories and Coverage
Audit Risk Category |
Assurance/Consulting Engagements |
|---|---|
Business Processes and Project Management |
|
Financial Management |
|
Fraud |
|
Governance and Strategic Direction |
|
HR Management |
|
Information Management |
|
Information Technology |
|
Organizational Transformation and Change Management |
|
Stakeholders and Partnerships (e.g. clients, FPT) |
|
Footnotes
- 1
From 2018-19 Main Estimates
- Date modified: