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April, 2010
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The CAE reports directly to the Deputy Minister. The Internal Audit division consists on one Director, six current audit managers, two senior auditors, three auditors and one administrative assistant. This year’s plan assumes the recruitment of one financial audit manager by September 2010 and one assignment to replace the IM/IT audit manager who will be on language training for five months in 2010-2011.
There are now five (35.7 percent) employees of the internal audit group who have a professional designation i.e., two Certified Internal Auditor (CIA), one Certified Internal Auditor/Certified Government Auditing Professional (CIA/CGAP), one Certified Information Systems Auditor (CISA) and one Certified Accountant/Certified Information Systems Auditor/Certified Information Security Manager (CA/CISA/CISM). One employee is also currently completing a CIA designation.
The Evaluation division consists of one director reporting to the Director General of Evaluation, one associate director, three evaluation managers, three senior evaluators, five evaluation officers and one administrative assistant. This year’s plan assumes that one evaluation manager will be on paternity leave for five months and another senior evaluator will be on maternity leave for nine months in 2010-2011.
The SPC division consists of one director, who is a Certified Internal Auditor, with a Certification in Control Self-Assessment (CIA, CCSA), one planning manager and one administrative assistant with a fourth officer position currently being staffed.
Integrated workforce planning is important for the AEB Branch as it assists in ensuring that the organization is equipped with the HR capacity required to deliver on Branch priorities and the RBAEP. The Branch HR plan is aligned to the departmental HR Plan priorities. It examines the current and future HR requirements and identifies strategies and activities to help achieve Branch HR priorities and the RBAEP. The AEB HR priorities and strategies are being implemented to help build and sustain a skilled, knowledgeable, engaged and productive workforce.
The AEB ensures that staff has appropriate professional qualifications and skills, and opportunities for sufficient training and development to maintain and develop their competencies. Training is made available to support professional accreditation and development. The Branch also provides coaching sessions to help employees determine their career objectives and the steps to achieve those objectives. Each employee develops a personal learning and development plan to acquire and maintain the knowledge, skills and competencies related to their level and functions, departmental business priorities and career aspirations.
For 2010-2011, Professional resources requirements to carry out audit engagements, evaluation projects and planning and coordination are 205 person months (PM) and $ XXX. For the same period, there are 197 person months available. There is a shortfall of 8 PM in SPC which will be offset by utilizing professional contractors and students to assist in the delivery of work. SPC will review its processes to identify potential alternatives to reduce the shortfall.
A breakdown of the person month allocation and professional services by service lines is shown below in Figure 1. This figure does not include resources dedicated to management activities.
| Service Lines | Person Month (PM) * Required |
Professional Services ** ($ K) |
|---|---|---|
| Audit | 853 | XXX |
| Evaluation | 85 | XXX4 |
| Sub-total | 170 | XXX |
| Available Staff Resources | 170 | |
| Strategic Planning & Coordination | 35 | XXX5 |
| Available Staff Resources | 27 | |
| Total | 205 | XXX |
* Person month description by service lines:
** Professional services include:
The number of person months required for each of the projects is based on historical data from the Time Recording System.
The following figure provides a breakdown of all AEB activities and resources by service lines for 2010-2011, including resources dedicated to the EAAC/DEC. This figure also includes management activities.
Based on the planned resources shown in Figure 2, it is estimated that the AEB will have the capacity to deliver on its plan for 2010-2011. Figure 3 provides the number of full-time employees and the budget details by service lines.
| Service Lines | FTEs | Salary*** | O&M | Total |
|---|---|---|---|---|
| Audit | 12 | $1,026,083 | $244,000 | $1,270,083 |
| Evaluation | 14 | $984,559 | $393,486 | $1,378,045 |
| DGO | 3 | $289,211 | $88,105 | $377,316 |
| Strategic Planning & Coordination | 4 | $299,266 | $131,161 | $430,427 |
| EAAC | $170,000 | $170,000 | ||
| Total | 33 | $2,599,120 | $1,026,751 | $3,625,871 |
*** Training budget is equal to 1.5% of the salary envelope
It is expected that AEB will achieve coverage of its highest audit and evaluation priorities over the planning horizon. When the feasibility of conducting an audit or evaluation is in question, owing to factors such as major changes, new priorities, lack of resources or subject matter expertise, the CAE/DG AEB will bring this to the attention of the EAAC/DEC for formal consideration and approval by the Deputy Minister.
3 Includes 2 PM for conducting special investigations and 6 PM for conducting unplanned audits.
4 Includes $XXXK from TB submissions for evaluation activities.
5 Includes $XXXK for EAAC.
