Social Sciences and Humanities Research Council: 2023-2024 Key Compliance Attributes of the Corporate Internal Audit Division
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Departments with internal audit functions are required to publish key attributes of compliance as per section A.2.2.3.1 of the Treasury Board Directive on Internal Audit. It is important that the public be aware that heads of governmental organizations are receiving assurance and that activities are managed in a way that demonstrates responsible stewardship.
More information about the rationale for publishing these attributes can be found on the Office of the Comptroller General’s website through the following link: “Why publish key compliance attributes of internal audit?”
| Performance indicators | Key compliance attributes | Results |
|---|---|---|
1. Do internal auditors in departments have the training required to do the job effectively? Are multidisciplinary teams in place to address diverse risk? |
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 (CIA, CPA) in progress 1(c) % of staff holding other professional designations (CGAP, CISA, etc.) |
(a)100% of internal audit staff have either a CIA or a CPA. (b) Not applicable (c) 50% of internal audit staff have other professional designations (CGAP, CRMA, CISA, CFE). |
2. Is internal audit work performed in conformance with the international standards for the profession of internal audit as required by Treasury Board policy? |
2(a) Date of last comprehensive briefing to the Departmental Audit Committee on the internal processes, tools and information considered to evaluate conformance with the IIA Code of Ethics and the Standards and the results of the quality assurance and improvement program 2(b) Date of last external assessment |
(a) The last comprehensive briefing to the Audit Committee was in April 2024. (b) The last external assessment was completed in April 2024. |
3. Are 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? |
3. RBAPs and related information (a) name of engagement for the current fiscal year of the RBAP (b) status of engagement for the current fiscal year of the RBAP (c) date the engagement report was approved (d) date the engagement report was published (e) original planned date for completion of all Management Action Plan (MAP) items (f) status of MAP items |
The 2023-26 RBAP was submitted to the audit committee on June 22, 2023 and approved by the deputies in July 2023. For a) to f), refer to Table 2. |
4. Is internal audit credible and adding value in support of the mandate and strategic objectives of the organization? |
4. Average overall usefulness rating of areas audited |
Senior management of areas audited rated the overall usefulness of our work as excellent (100%). |
| Internal audit | Engagement status | Report approved date | Report published date | Original planned MAP completion date | Implementation StatusFootnote * | |
|---|---|---|---|---|---|---|
1. |
Audit of the Tri- Agency Grants Management System |
Published: MAP not fully implemented |
December 2021 |
April 2022 |
December 2022 |
33% |
2. |
Consulting Engagement — Departmental Security Plan |
Approved: not published |
November 2022 |
n/a |
July 2023 |
100% |
3. |
IT Security |
Published: MAP not fully implemented |
July 2021 |
October 2021 |
July 2022 |
80% |
4. |
Canada First Research Excellence Fund |
Published: MAP fully implemented |
July 2021 |
October 2021 |
September 2022 |
100% |
5. |
Implementation of the 2019 Addendum |
Published: MAP implementation in progress |
July 2023 |
December 2023 |
March 2025 |
n/a |
6. |
Consulting engagement – Workplace Renewal |
Approved: not published |
May 2024 |
n/a |
n/a |
n/a |
7. |
Consulting Engagement – Governance |
Approved: not published |
July 2024 |
n/a |
n/a |
n/a |
8. |
Audit of Procurement |
In progress |
n/a |
n/a |
n/a |
n/a |
9. |
Consulting engagement – Tri-Agency Grants Management System |
Planned |
n/a |
n/a |
n/a |
n/a |
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