Internal Audit Risk Assessment

INTERNAL AUDIT AND EVALUATION PRIORITIES

Risk Assessment Exercise

Planning, Internal Audit and Evaluation Division Corporate Services Branch Final October 4, 24 !Approved by the Intern! A"dit # Ev!"tion $ommittee on September %&' (&&) "

SE$TION * *+*

P"rpose

#he purpose o$ this e%ercise is to assist the Planning, Internal Audit and Evaluation $unction in the preparation o$ the Co&&ission' Co&&ission'ss (Internal Audit, Audit, Evaluation and )is* +anage&ent three -ear plan.

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De,n De,nit itio ion n oo- Ris Risk k Re! Re!t ted ed Terms erms Resid"! Risk #he ris* re&aining a$ter response or &itigation !e%isting &easures and incre&ental strategies"

Risk Co&bination o$ the li*elihood o$ an event and its i&pact / Source0 International Standards Organi1ation !ISO". or #he uncertaintuncertaint- that surrounds surrounds $uture $uture events and outco&es. outco&es. It is the e%pression e%pression o$ the li*elihood and i&pact o$ an event ith the potential to in$luence the achieve&ent o$ an organi1ation's ob3ectives. / Source0 Integrated )is* +anage&ent Fra&eor*, #reasurBoard o$ Canada Secretariat !#BS".

Risk Assessment Overall process o$ identi$ication, &easuring i&pact, li*elihood and ris* evaluation.

Risk./sed A"dit 0rme1ork 2R/A03 )is*/Based Audit Fra&eor* is a &anage&ent processtool that e%plains ho ris* concepts are integrated into the strategies and approaches used $or &anaging progra&s that are $unded through trans$er pa-&ents.

Risk $riteri Standards b- hich the ris*s are to be assessed.

Risk Ev!"tion Process o$ co&paring the esti&ated ris* against ris* criteria. 2

Risk 4n5ement Overall application o$ policies, processes and practices dealing ith ris*. Note6 )is* &anage&ent &a- include identi$ication, assess&ent, response, &onitoring, revie and co&&unications.

So"rces o- Risk An event, circu&stance or activit- ith a potential $or conse5uences6 $or ris* assess&ent purposes sources o$ ris* need to be converted tocategori1ed as i&pact or li*elihood ris* $actors.

SE$TION ( (+ *

Approch To P!nnin5

#he ris* assess&ent e%ercise is based on the Tres"ry /ord Secretrit Risk.bsed Intern! A"dit Priorities Too!set -or Sm!! Deprtments nd A5encies dated +arch 27. 8sing the #oolset, the Planning, Internal Audit 9 Evaluation Division !the Division" has identi$ied sources o$ ris*s through the $or& o$ potential pro3ects6 conducted a ris* assess&ent $or each potential pro3ect based on a series o$ assess&ent criteria and de$ined the internal audit priorities. #hese priorities are re$lected in the three/-ear ris*/based plan o$ the Division. #he $olloing assess&ent criteria ere used to identi$- priorities $or audit and evaluation pro3ects0 :

$"rrent P!n6 Identi$ies hether the co&ponentactivit- as included in the 27/24 Internal Audit and Evaluation Plan.

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7overnment Priorities nd Inititives6 #he co&ponentactivit- is a re5uire&ent or o$ a greater interest to the $ederal govern&ent !i.e. #BS, OA;, Speech $ro& the #hrone, Budget"

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Interest to the $ommission6 #he activit- pla-s an i&portant role in helping senior &anage&ent to properl- &anage the a$$airs o$ the Co&&ission and to $ul$ill the &andate o$ the Co&&ission b- delivering 5ualit- service to Canadians, Parlia&entarians and other sta*eholders.

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$ost6 E%tent o$ $inancial and hu&an resources consu&ed b- the co&ponentactivit- in dollar ter&s !F#E6 O9+".

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Rech6
7

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Res"!ts6 Priorit- put b- the govern&ent, senior &anage&ent o$ the Co&&ission and the Internal Audit and Evaluation $unction on the need to audit or evaluate a speci$ic co&ponentactivit-.

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Need6 Priorit- put b- &anagers !i.e. progra& &anagers" to audit or evaluate a co&ponentactivit- on the basis that this co&ponentactivit- could better &eet their speci$ic needs and increase corporate per$or&ance.

=ithin these assess&ent criteria, ris* ill be evaluated based on the signi$icance o$ and potential or actual negative i&pact on the Co&&ission o$ critical outstanding issues, in ter&s o$ sta$$ &orale, ob3ective and results achieve&ent, andor criticis&s or interests b- #BS  OA;  Parlia&ent.

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Potenti! So"rces o- Risk

=hen identi$-ing sources o$ ris*, it is i&portant to use a variet- o$ vies or perspectives, since ris*s can occur or &ateriali1e in &an- di$$erent a-s. For purposes o$ this docu&ent, (sources o$ ris* relate to business lines, progra&s, initiatives, $unctions, processes, s-ste&s, activities, etc., but also include other t-pes o$ di&ensions, $actors or perspectives here ris*s &a- potentiall- e%ist.

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Five &ain categories o$ vies or perspectives are proposed to help identi$- sources o$ ris*. Strte5ic Perspective

/"siness Line Perspective

So"rces tht cn impede the So"rces tht cn impede the chievement o- mndte nd chievement o- b"siness !ine or ob:ectives pro5rm ob:ectives

So"rces o- Risk • Policy and strategy • Corporate reputation • Political factors • Pu#lic e!pectations • Sta&eholder relations • 'edia relations • )ndustry developments • Changing demographics • +lo#alization • ational security threats • Business continuity • mergency preparedness

So"rces o- Risk • Business line activities • Program activities • Program delivery • Client services • Service delivery • "lliances( partnerships • Etc+ • These so"rces o- risk re "ni;"e to ech or5ni9tion •

$orporte 4n5ement Perspective

$omp!ince Perspective

So"rces tht my not e8ective!y So"rces tht co"!d embrrss s"pport the chievement o- res"!ts the or5ni9tion or c"se !ibi!ities -or not comp!yin5 1ith !e5! nd re5"!tory -rme1orks+ So"rces o- Risk • Structure and reporting relationships • Planning and priority setting • Budgeting and resource allocation • !penditure management • $evenue and cost recovery • %ransfer payments • Procurement and contracting • Financial management • Performance management • Pro,ect management • Change management • )nventory management • "sset management • /uman resources • )nformation and &nowledge • )nformation technology • Communications

7overnment A5end Perspective

Sources that are critical to ensure alignment with government-wide commitments.

So"rces o- Risk So"rces o- Risk • Funding and appropriations • Statutory reporting • Compliance to laws and regulations • Compliance to central agency policies • "greements and contractual o#ligations • *or&place health and safety • nvironment protection • Security( privacy and confidentiality • egal lia#ilities and litigation

• Citizen focus • Values and ethics • "ccounta#ility • %ransparency • 'anaging for results • $esponsi#le spending • Client satisfaction • +overnment on-line • )mproved reporting • 'odern comptrollership

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Assessin5 the Like!ihood o- Occ"rrence

According to the docu&ent entitled T/S Inte5rted Risk 4n5ement 0rme1ork, (ris* re$ers to the uncertaint- that surrounds $uture events and outco&es. It is the e%pression o$ li*elihood and i&pact o$ an event ith the potential to in$luence the achieve&ent o$ an organi1ation's ob3ective. Once all the ris*s have been docu&ented, the- are assessed as to their potential i&pact and li*elihood, and a si&ple rating scale can be used $or this purpose. #he rating scale should range $ro& &inor to signi$icant i&pact, and lo to high li*elihood, using a 7/point scale. Other, &ore sophisticated scales can be used i$ the- are dee&ed to be &ore use$ul. For purposes o$ the assess&ent, i&pact re$ers to the e%tent o$ the conse5uences or i&plications i$ the ris* does occur. #o assess i&pact, people need to as* the&selves (?o &uch o$ an i&pact ill the ris* have i$ it does occur@( : A minor i&pact suggests that the ris* ould not have i&portant i&plications on the organi1ation. : A moderte i&pact suggests that the ris* could have i&plications $or the organi1ation's abilitto succeed.

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Assessin5 the Like!ihood o- Occ"rrence

According to the docu&ent entitled T/S Inte5rted Risk 4n5ement 0rme1ork, (ris* re$ers to the uncertaint- that surrounds $uture events and outco&es. It is the e%pression o$ li*elihood and i&pact o$ an event ith the potential to in$luence the achieve&ent o$ an organi1ation's ob3ective. Once all the ris*s have been docu&ented, the- are assessed as to their potential i&pact and li*elihood, and a si&ple rating scale can be used $or this purpose. #he rating scale should range $ro& &inor to signi$icant i&pact, and lo to high li*elihood, using a 7/point scale. Other, &ore sophisticated scales can be used i$ the- are dee&ed to be &ore use$ul. For purposes o$ the assess&ent, i&pact re$ers to the e%tent o$ the conse5uences or i&plications i$ the ris* does occur. #o assess i&pact, people need to as* the&selves (?o &uch o$ an i&pact ill the ris* have i$ it does occur@( : A minor i&pact suggests that the ris* ould not have i&portant i&plications on the organi1ation. : A moderte i&pact suggests that the ris* could have i&plications $or the organi1ation's abilitto succeed. : A si5ni,cnt i&pact suggests that the ris* ould have i&portant i&plications on the organi1ation. For purposes o$ the assess&ent, li*elihood re$ers to the probabilit- that the ris* &a- occur given the current conte%t o$ the organi1ation. #o assess li*elihood, people need to as* the&selves (?o li*elis the ris* to occur in the $uture, given hat e currentl- do about it@ : A !o1 li*elihood suggests that the ris* is unli*el- to occur, given its nature and current ris* &anage&ent practices in place. : A medi"m li*elihood o$ occurrence suggests that the ris* has a &oderate probabilit- o$ occurrence. : A hi5h li*elihood o$ occurrence suggests that the ris* is li*el- to occur, despite current ris* &anage&ent practices in place. E%hibit  shos the ris* &anage&ent actions that &anagers should consider $or each possible i&pact and li*elihood co&bination.

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t c  p m I

Exhibit *6 Risk 4n5ement Actions

Si5ni,cnt

4oderte

4inor

Considerable +anage&ent )e5uired

+ust &anage and &onitor ris*s

E%tensive &anage&ent essential

)is* &a- be orth accepting ith &onitoring

+anage&ent e$$ort orthhile Accept, but &onitor ris*s

+anage&ent e$$ort re5uired +anage and &onitor ris*s

4edi"m

Accept ris*

Lo1

Like!ihood

SE$TION % %+*

Potenti! Pro:ects to be Assessed

=e identi$ied the $olloing pro3ects $or audit and evaluation that ill be assessed using a te&plate described in the $olloing section0 a"

A"dit 2Ass"rnce nd $ons"!tin5 Services3

Ass"rnce Services : Financial Audit : +anage&ent Audit egal Services : +anage&ent Audit o$ Operations Sector !including Investigations Branch and )egional O$$ices" : +anage&ent Audit Polic- and E&plo-&ent E5uit- Branch : Procure&ent and Contracting $ons"!tin5 Services : : :

In$or&ation +anage&ent ?u&an )esources Classi$ication Fra&eor* 9 other related issues Inventor- o$ C?)C's Policies, Procedures, and S-ste&s

#he &andate and scope o$ the I#I Pro3ect are currentl- under revie, there$ore e are reco&&ending that no audit (consulting services or* relating to this pro3ect be underta*en until the &andate and scope are $inali1ed.

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b"

Ev!"tion

: )+AF $or the Co&&ission : ?u&an )ights Co&plaint Process Evaluation Fra&eor* including )+AF : ?u&an )ights Co&plaint Process Evaluation Stud: ?u&an )ights Co&plaint Process Client Surve: AD)S Progra& Evaluation Fra&eor* : AD)S Progra& Evaluation Stud: Discri&ination Prevention Progra& Evaluation Fra&eor* : Discri&ination Prevention Progra& Evaluation Stud-

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Risk 4n5ement

: )is* +anage&ent Polic: )is* +anage&ent Fra&eor* : )is* +anage&ent =or*shops #he assess&ents o$ ris*s and other co&ponents ill deter&ine the priorit- o$ inclusion o$ each pro3ect to be included in the Audit and Evaluation Plan $or 24/2>.

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Assessment Approch

For each potential pro3ect an assess&ent ill be underta*en $or the  assess&ent criteria on sources o$ ris* !i.e. Current Plan, ;overn&ent Priorities and Initiatives, Interest to the Co&&ission, Cost, )each, )esults, and source o$ ris* !Strategic Perspective, Business ine Perspective, Corporate +anage&ent Perspective, Co&pliance Perspective, and ;overn&ent Agenda Perspective". For each assess&ent criteria the i&pact and li*elihood o$ occurring are given a single rating criterion !lo, &ediu&, high".

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SE$TION )

)+*

Proposed A"dit Pro:ects . Ass"rnce Services

A"dit Pro:ect . Ass"rnce Services6 Financial Audit Rtin5 Assessment $riteri $"rrent P!n

Risk $te5ories Assessment

2Impct nd Like!ihood3

Included in the 27/4 audit and evaluation plan. #he Financial Audit co&&enced in 27/4 and is scheduled $or $inali1ation in $iscal 24/> !Audit )eport to be revieed and approved b- the Audit and Evaluation Co&&ittee6 translation6 posting on C?)C's eb site and trans&ission to #BS/CEIA".

A"dit Pro:ect . Ass"rnce Services6 +anage&ent Audit o$ egal Services Rtin5 Assessment $riteri $"rrent P!n



Included in the 27/4 audit and evaluation plan. #he +anage&ent Audit o$ egal Services co&&enced in 22/7 and is scheduled $or $inali1ation in $iscal 24/ > !Audit )eport to revieed and approved b- the Audit and Evaluation Co&&ittee6 translation6 posting on C?)C's eb site and trans&ission to #BS/CEIA".

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A"dit Pro:ect . Ass"rnce Services6 +anage&ent Audit o$ the Operations Sector !including Investigations Branch and )egional O$$ices" Rtin5 Assessment $riteri



$"rrent P!n

Included in the 27/4 audit and evaluation plan.

?I;?

7overnment Priorities nd Inititives

#he issue o$ the hu&an rights co&plaint process has been raised b- the OA; audit in its  report, the Public Accounts Co&&ittee, and the aForest )eport.

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Interest to $ommission

C?)C Senior +anage&ent is currentl- redesigning the co&plaint process hich is ad&inistrated b- the Operations sector !inta*e and investigations" and AD)S !&ediation and conciliation".

$ost

#he $olloing hu&an and $inancial resources are allocated to the Operations Sector0 >.7> F#E's, and a budget value o$ G,>,> !salaries o$ G4, 2, and O9+ o$ G,,>". #he total budget o$ the Sector accounts $or al&ost 7H o$ the total budget o$ the Co&&ission.

Rech

Res"!ts

Need

#he &a3orit- o$ the Co&&ission's sta$$,!i.e. AD)S Branch, egal Services, Polic- and International Progra& Branch" are i&pacted b- the or* per$or&ed b- the Operations Sector. In addition, the Sector deals ith a signi$icant nu&ber o$ e%ternal sta*eholders and hu&an right co&plaints received $ro& the public. #he or* per$or&ed b- the Operations Sector i&pacts on the hole hu&an rights co&plaint process. A &anage&ent audit o$ the Sector ill provide assurance that the Sector's resources are used e$$icientl- and e$$ectivel-, the tas*s are properl- per$or&ed, and the e%pectations o$ C?)C Senior +anage&ent, Parlia&entarians, and Canadians are &et. An audit ill help &anagers deter&ine hether the Sector is &anaged properl- or appropriate corrective action needs to be ta*en.

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?I;?

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A"dit Pro:ect . Ass"rnce Services6 +anage&ent Audit o$ Polic- and E&plo-&ent E5uit- Branch Assessment $riteri $"rrent P!n


Rtin5 2Impct nd Like!ihood3


?I;?

Due to the other priorities ithin C?)C the audit as de$erred until $iscal 24/>.


An evaluation stud- o$ the E&plo-&ent E5uit- Progra& !EEAP" as co&pleted in 22/7. #he issue o$ e&plo-&ent e5uit- is a govern&ent priorit-.

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#he Polic- and E&plo-&ent E5uit- Branch is a *e- area ithin the Co&&ission. C?)C senior &anage&ent and the govern&ent have placed signi$icant e&phasis on the e&plo-&ent e5uit- area. #he or* pre$or&ed b- the Polic- and E&plo-&ent E5uit- Branch helps the Co&&ission $ul$ill its &andate under the E&plo-&ent E5uit- Act and Canadian ?u&an )ights Act.

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$ost

#he $olloing hu&an and $inancial resources are allocated to ?I;? the Polic- and E&plo-&ent E5uit- Branch0 72.42 F#E's, and a budget o$ G2,>7>,2 !salaries o$ G2,2, and O9+ o$ G2>4,4". #he budget o$ the Branch accounts $or 2H o$ the total budget o$ the Co&&ission.

Rech

#he or* per$or&ed b- the Polic- and E&plo-&ent E5uit?I;? Branch i&pacts the li$e o$ $ederal and $ederall- regulated e&plo-ees and is a &atter o$ scrutin- b- $ederal depart&ents, e&plo-ers and e&plo-ees hich $all ithin the legislation, and non/govern&ent organi1ations.

Res"!ts

A &anage&ent audit o$ the Branch ill provide assurance that the Branch's resources are used e$$icientl- and e$$ectivel-, the tas*s are properl- pre$or&ed, and the e%pectations o$ C?)C senior &anage&ent, parlia&entarians, and Canadians are &et.

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Need

An audit ill help &anagers deter&ine hether the Branch is &anaged properl- or appropriate corrective action needs to be ta*en.

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

A"dit Pro:ect . Ass"rnce Services6 Procure&ent and Contracting Assessment $riteri



$"rrent P!n



#reasur- Board has put e&phasis on the sound &anage&ent o$ procure&ent and contracting across the govern&ent.


Procure&ent and Contracting $or goods and services is a signi$icant ele&ent o$ Co&&issions activities.

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$ost

#otal O9+ e%penditures are appro%i&atel- 4H o$ total budget o$ the co&&ission.

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Rech

All BranchesSector o$ the Co&&ission are i&pacted b procure&ent and contracting activities.

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Res"!ts

#he Procure&ent and Contracting audit ill provide assurance to C?)C's Senior +anage&ent that all BranchesSector are in co&pliance ith #B and Co&&ission policies, procedures and guidelines.

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Need

#he audit ill help &anagers and #B deter&ine hether Procure&ent and Contracting is being properl- &anaged and $unctioning as intended.

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Proposed A"dit Pro:ects . $ons"!tin5 Services

A"dit Pro:ect . $ons"!tin5 Services6 In$or&ation #echnolog- Innovation Audit !I#I" PreI&ple&entation Pro3ect Rtin5 Assessment $riteri Need


+anagers re5uire accurate and ti&el- in$or&ation to help the& &anage their or*load and resources, and to deter&ine hether the Co&&ission has properl- $ul$illed its &andate under the legislation.


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7

A"dit Pro:ect . $ons"!tin5 Services6 Inventor- o$ C?)C's Policies, Procedures and S-ste&s Assessment $riteri $"rrent P!n



Included in the 27/4 audit and evaluation plan. ?I;? Due to the other priorities ithin C?)C the audit pro3ect as de$erred until $iscal 24/>.


Inventor- is a &ain ele&ent o$ broader govern&ent initiatives !i.e. )esults $or Canadians, +odern Co&ptrollership, +anage&ent Accountabilit- Fra&eor* and Strea&lining o$ #BS Policies"


eeping the inventor- (evergreen helps C?)C to properl&anage the ele&ents associated ith C?)C's &anage&ent $ra&eor*. In addition, it helps C?)C to i&ple&ent its &anage&ent accountabilit- $ra&eor* action plan. Further&ore, it provides C?)C &anage&ent ith assurance that C?)C is co&pl-ing ith Central Agencies and C?)C regulator- re5uire&ents.

$ost

Signi$icant resources !$inancial and hu&an" are assigned or consu&ed b- C?)C in various areas $or the develop&ent and &aintenance o$ C?)C's inventor- !i.e. I#I Pro3ect".

?I;?

All C?)C's e&plo-ees and sta*eholders are i&pacted b- the inventor- hich ill help $ra&e ho C?)C carries out its business and delivers its &andate.

?I;?

C?)C ill deter&ine using a ris* based approach, hich ele&ents o$ the inventor- !Policies, Procedures and S-ste&s" need to be revised, evaluated or audited.

<A

Sa&e as ()esults assess&ent criteria.

<A

Rech

Res"!ts

Need

?I;?

?I;?

4

A"dit Pro:ect . $ons"!tin5 Services6 In$or&ation +anage&ent Assessment $riteri $"rrent P!n



Included in the 27/4 audit and evaluation plan. ?I;? Due to the other priorities ithin C?)C the audit pro3ect as de$erred until $iscal 24/>.


In$or&ation +anage&ent is o$ interest to the OA; and #BS !i.e. In$or&ation +anage&ent Polic- / +a- 27".


In$or&ation +anage&ent related $unctions hold or &aintain in$or&ation that are o$ interest or used b- the e&plo-ees to conduct their activities and &a*e decisions.

?I;?

$ost

#he cost allocated to in$or&ation &anage&ent $unction in $inancial and hu&an resources is lo. #his includes in$or&ation &anage&entrecords services and librar- services.

O=

Rech

All e&plo-ees and sta*eholders.

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Res"!ts

In$or&ation +anage&ent needs to be revieed in order to ensure that the in$or&ation is properl- &aintained and that in$or&ation that is &ade available to &anagers $or decision &a*ing is reliable.

Need

#he Director ho is responsible $or the $unction ould li*e to revie the in$or&ation &anage&ent related activities in order to ensure that those activities are properl- &anaged and $unctioning as intended.

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O=

?I;?

>

A"dit Pro:ect . $ons"!tin5 Services6 ?u&an )esources Classi$ication Fra&eor* Assessment $riteri



$"rrent P!n


#he govern&ent has put e&phasis on revieing the ?u&an )esource ele&ents b- introducing ?)IS and other hu&an resource &anage&ent related initiatives.


?u&an resources ele&ents including classi$ication is o$ interest to senior &anage&ent o$ the Co&&ission.

?I;?

$ost

#he cost allocated to the ?u&an )esources $unction including classi$ication is lo.

O=

All &anagers are i&pacted b- the ?u&an )esource $unction including classi$ication.

?I;?

#he classi$ication $ra&eor* needs to be assessed to ensure the &echanis& ill result in accurate and reliable in$or&ation.

?I;?

Rech Res"!ts Need

C?)C re5uires a classi$ication $ra&eor* in order to ensure consistenc- and proper &anage&ent o$ the classi$ication $unction.

?I;?

+EDI8+



Proposed Ev!"tion Pro:ects )+% Ev!"tion Pro:ect0 ?u&an )ights Co&plaint Process including )+AF Rtin5

Assessment $riteri



$"rrent P!n

Included in the 27/4 audit and evaluation plan. ?I;? #he Evaluation Fra&eor* co&&enced in 27/4 and is ongoing.


C?)C has solicited and obtained e%tra $unding $ro& #BS to eli&inate bac*logs and to redesign its case &anage&ent s-ste&. ?I;? Also, the  A;'s report dealt ith the co&plaints process. #he Public Accounts Co&&ittee dealt ith the reco&&endations that resulted $ro& the  A;'s report and other related issues ith respect to the co&plaint process. In addition, aForest report &ade reco&&endations ith respect to the co&plaint process.


Currentl- the &ain priorities o$ the Co&&ission are the eli&ination o$ the bac*log and the redesign o$ the hu&an rights co&plaints process. C?)C continues ith a signi$icant redesign o$ the co&plaint process.

$ost

#he &a3orit- o$ C?)C's $inancial and hu&an resources are assigned to the hu&an right co&plaint process.

?I;?

#he &a3orit- o$ C?)C's e&plo-ees and its sta*eholders are i&pacted b- the co&plaint process.

?I;?

Rech Res"!ts

Need

#he evaluation o$ the co&plaints process ill deter&ine hether the process is still relevant and helps &anagers deliver C?)C's &andate.

?I;?

?I;?

Sa&e as ()esults section. ?I;?



Ev!"tion Pro:ect6 AD)S Progra& Rtin5 Assessment $riteri



$"rrent P!n

=as not included in the 27/4 audit and evaluation plan.


C?)C has solicited and obtained e%tra $unding $ro& #BS in 22/7 to eli&inate bac*logs and to redesign its case ?I;? &anage&ent s-ste&. Also, the  A;'s report dealt ith the co&plaint process. #he Public Accounts Co&&ittee dealt ith the reco&&endations that resulted $ro& the  A;'s report and other related issues ith respect to the co&plaint process. In addition, aForest report &ade reco&&endations ith respect to the co&plaint process.


#he &ain priorities o$ the Co&&ission are the eli&ination o$ the bac*log and the redesign o$ the hu&an rights co&plaint process !AD)S includes the &ediation and conciliation ele&ents o$ the process".

$ost

Signi$icant $inancial and hu&an resources are assigned to the &anage&ent o$ the hu&an rights co&plaint process !AD)S includes the &ediation and conciliation ele&ents o$ the process".

Rech Res"!ts Need

?I;?

?I;?

#he &a3orit- o$ C?)C's e&plo-ees and sta*eholders are i&pacted b- or* per$or&ed b- the AD)S Branch.

?I;?

#he evaluation o$ the AD)S progra& ill help &anagers deliver C?)C's &andate e$$ectivel-.

?I;?




Ev!"tion Pro:ect6 Discri&ination Prevention Progra& Assessment $riteri



$"rrent P!n


#he govern&ent encourages depart&ents and agencies to ta*e proactive &easures to prevent discri&ination $ro& occurring.


#he Co&&ission places a high interest in prevention activities to stop or eli&inate discri&ination $ro& happening. #he Co&&ission established a prevention branch in April 24 to deal ith this issue.

?I;?

?I;?

$ost Rech Res"!ts Need

#he &a3orit- o$ C?)C's e&plo-ees and sta*eholders are i&pacted b- the or* per$or&ed b- the prevention progra&.

?I;?

An evaluation $ra&eor* including )+AF ill help C?)C to e$$ectivel- &anage its prevention progra&.

?I;?




Ev!"tion Pro:ect6 )+AF $or the Co&&ission Assessment $riteri



$"rrent P!n


Per$or&ance &anage&ent is a high priorit- $or the govern&ent. In addition, )+AF's &ust be prepared in order to enable the organi1ation to prepare #BS Sub&issions to help #BS deter&ine hether the progra& in 5uestion is still relevant.


#he Co&&ission places a high e&phasis on )+AF and its ele&ents in order to deter&ine hether the Co&&ission is $unctioning e$$ectivel-.

?I;?

?I;?

$ost O=

Rech

All e&plo-ees and sta*eholders. ?I;?

Res"!ts

Senior &anage&ent has placed signi$icant priorit- on

per$or&ance &easures, and other ele&ents o$ )+AF in order to ensure that the Co&&ission's operations are per$or&ed e$$ectivel-.

Need

?I;?


2

Internal Audit Risk Assessment

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