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Executive Vice-President's Transition Binder 2019
Internal Audit and Program Evaluation
Resource profile
| IAPED budget for fiscal year 2019 to 2020 | Salary | O&M | Total |
|---|---|---|---|
| Initial allocation | $4,363,298 | $899,198 | $5,262,496 |
| Collective agreements: Ongoing funding | $253,082 | N/A | $253,082 |
| Projects now A-base | $79,369 | $4,500 | $83,869 |
| FIMC November 26 adjustment | $−5,541 | N/A | $−5,541 |
| Policy funding: Temporary | $274,155 | $35,455 | $309,610 |
| Grand total | $4,964,363 | $939,153 | $5,903,516 |
Mandate / Vision / Context
Directorate mandate
To provide objective and evidence-based advice to support the Agency’s continuous improvement and achievement of results.
Vision statement
To be a valued partner and contributor to Agency strategic and management decision making.
Context
Key challenges in our current operating environment include:
- The IAPED has limited resources which impacts the ability to deliver on the Risk-Based Audit and Evaluation Plan (RBAEP), along with responding to requests for other consulting services from various areas within the Agency.
- The IAPED draws from a limited government-wide pool of internal auditors and program evaluators who are in significant demand. This translates to high turnover of staff (17%) which impacts knowledge of the Agency’s business.
Claudette Blair: Chief Audit and Evaluation Executive and Senior Officer for Internal Disclosure
Claudette was appointed as the Chief Audit and Evaluation Executive at the Canada Border Services Agency (CBSA) in . In her role, she oversees Internal Audit Operations, Program Evaluation and Professional Practices. She was also appointed as the CBSA’s Senior Officer for Internal Disclosure in 2017. In this capacity, Claudette oversees the disclosure of wrongdoing allegations. Prior to this, Claudette worked at the CBSA as the Senior Director, Internal Audit Division for four years. Before joining the CBSA in 2011, Claudette held internal audit positions at Public Works and Government Services Canada (PWGSC) and the Office of the Auditor General (OAG).
Claudette holds a Bachelor in Science degree, a Master’s of Engineering Management and a Master’s in Business Administration (MBA) degrees from University of Ottawa. She is a Certified Internal Auditor (CIA), a Certified Government Audit Professional (CGAP) and also holds a Certification in Risk Management Assurance (CRMA).
Risks, mitigation strategies and key milestones
Risk 1: Quality and value of products
The Directorate’s products may not provide value to the client or be responsive enough to address their needs.
Related improvement activity 1: Finalizing and implementing a data analytics strategy for the IAPED.
Milestones and expected completion date:
- Strategy complete: June 2019
- Capacity development through group training for data analytics software
- Expected completion date: March 2020
Related improvement activity 2: Update of Evaluation Manual to streamline existing processes for timelier products.
Milestones and expected completion date:
- Initial process mapping and validation
- Expected completion date: August 2019
Related improvement activity 3: Upgrade of TeamMate audit software to ensure the audit team is able to work more efficiently with improved functionality (example: version control) and to ensure the application is compatible with Windows 10.
Milestones and expected completion date:
- Upgrade the TeamMate application to recent version, and verify compatibility with Windows 10
- Expected completion date: January 2020
Risk 2: Human resources
The Directorate may not be able to obtain and retain a workforce with the right skills and experience to support evolving business needs.
Related improvement activity: Update Roadmap / Guide with an aim to help onboard staff members from non-traditional audit and evaluation backgrounds and support them in career development.
Milestones and expected completion date:
- Roadmap / Guide update to be completed
- Expected completion date: March 2020
Staffing plan
| Planned staffing | Number | Forecasted spending |
|---|---|---|
| AS-07 | 1 | $89,682 |
| AS-06 | 1 | $80,384 |
| EC-04Footnote 1 | 1 | $66,028 |
| EC-03 | 1 | $59,807 |
| EC-02Footnote 1 | 2 | $109,730 |
| Total | 6 | $405,631 |
| Planned staffing | Number | Forecasted spending |
|---|---|---|
| EC-06 | 2 | $125,134 |
| FI-03 | 1 | $63,981 |
| EC-07 | 1 | $69,977 |
| AS-06 | 1 | $56,268 |
| AS-05 | 1 | $50,626 |
| EC-02Footnote 1 | 1 | $38,405 |
| SU-04 (student) | 1 | $13,525 |
| Total | 8 | $417,916 |
| Planned staffing | Number | Forecasted spending |
|---|---|---|
| EC-07 | 1 | $59,981 |
| AS-05 | 1 | $43,394 |
| AS-04 | 1 | $36,330 |
| SU-04 (student) | 1 | $11,593 |
| SU-03 (student) | 1 | $10,549 |
| Total | 5 | $161,847 |
| Planned staffing | Number | Forecasted spending |
|---|---|---|
| EC-04 | 1 | $19,808 |
| AS-04 | 1 | $18,165 |
| EC-02 | 1 | $16,459 |
| SU-03 (student) | 1 | $5,274 |
| Total | 4 | $59,706 |
- The IAPED’s average yearly attrition rate is 17.7% (over the past 5 years) according to CAS figures. Therefore, IAPED needs to staff positions on an ongoing basis.
- Additional salary funding will not be required – expected staffing actions will be covered within our existing funding envelope.
- The positions listed above include some anticipatory staffing actions (for example: replacements for unexpected departures).
Procurement / O&M plan
| Item | Description and estimated cost | Estimated totalFootnote 2 |
|---|---|---|
| Directorate procurement planning forecast |
|
$127,040 |
| Directorate non-salary (O&M) planning forecast |
|
$74,191.75 |
| Item | Description and estimated cost | Estimated totalFootnote 2 |
|---|---|---|
| Directorate procurement planning forecast |
|
$151,660 |
| Directorate non-Salary (O&M) planning forecast |
|
$88,194 |
| Item | Description and estimated cost | Estimated totalFootnote 2 |
|---|---|---|
| Directorate procurement planning forecast |
|
$147,700 |
| Directorate non-salary (O&M) planning forecast |
|
$92,344.75 |
| Item | Description and estimated cost | Estimated totalFootnote 2 |
|---|---|---|
| Directorate procurement planning forecast |
|
$126,050 |
| Directorate non-salary (O&M) planning forecast |
|
$86,719.75 |
Efficiency planning 1 to 2% savings
Potential area of savings
Relying more on internal staff rather than consultants would save $60,000 within our non-salary budget for internal audit projects.
Anticipated impact
Less capacity for internal audit projects may result in changes to the risk-based audit plan schedule. With the efficiencies gained through the use of internal staff, we could focus on re-investing in data analytics:
- Training
- Hardware
- Software
- Date modified: