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THE INSTITUTE OF INTERNAL AUDITORS
OTTAWA CHAPTER
2012-2013 ANNUAL REPORT
AS AT May 29, 2013
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Table of Contents
1. IIA Ottawa – Who We Are and Our Focus........................................................................... 3
Our Mission ............................................................................................................................ 3
Our Focus for 2012-2015........................................................................................................ 4
2. President’s Report .............................................................................................................. 4
3. Your Board of Governors for 2012-2013 ............................................................................. 6
4. Treasurer’s Report and Interim Financial Statements ......................................................... 7
5. Chapter Achievement Program..........................................................................................11
6. Committee Chair Reports...................................................................................................12
Programs...............................................................................................................................12
Audit Leaders ........................................................................................................................13
Member Services ..................................................................................................................14
Advocacy...............................................................................................................................16
Certifications..........................................................................................................................17
Academic Relations...............................................................................................................18
Communications....................................................................................................................19
Webmaster............................................................................................................................21
7. Executive Committee and Board of Governors for 2013-2014............................................22
Appendix A: IIA Strategic Plan 2012-2015 .........................................................................23
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1. IIA Ottawa – Who We Are and Our Focus
The Institute of Internal Auditors, Ottawa Chapter (Ottawa Chapter) is a non-profit corporation
empowered to perform any and all acts which are defined in the Certificate of Incorporation and
the Bylaws of The Institute of Internal Auditors, Inc. Our activities support the missions of the IA
global body (IIA Global) and the Interim Canadian Institute (IIA Canada), and are focused on IIA
members in the National Capital Region and employees of the Government of Canada (nation-
wide).
The Ottawa Chapter’s main activities include organizing professional development events,
promoting and advocating for the profession, providing opportunities for members and other
stakeholders to share knowledge, liaising with the IIA Global, IIA Canada, Canadian Chapters,
and other stakeholders and partners, and participating in national and international IIA
committees.
The Chapter’s activities are largely organized and overseen by members on a voluntary basis,
led by the Chapter’s Board of Governors (the Board) and Committees of the Board.
Our Mission
Through its volunteers, IIA Ottawa:
� Promotes the Internal Audit (IA) Profession
Promotes and advocates for the internal audit profession in Ottawa and across the federal public service by:
• Building awareness and a common understanding of the profession’s value to organizations; and
• Promoting the profession of internal audit as a career of choice for top talent.
� Promotes Standards and Accreditation
Promotes professionalism, value, and credibility of internal audit by promoting professional certification and the application of the global professional standards and providing access to certification training opportunities;
� Builds Expertise and Value in the Profession
Strengthens the expertise and value of the profession through facilitating thought leadership, innovation and professional development;
� Provides Timely Services
Provides outstanding and timely services to all Ottawa members; and manages its operations in an accountable, financially sustainable, transparent and collaborative fashion, in accordance with the highest standards of governance and ethics.
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Our Focus for 2012-2015
In 2011, the Ottawa Chapter undertook a comprehensive strategic planning exercise. The
resulting 2012-2015 Strategic Plan was developed through a series of consultative activities
aimed at scanning the environment for relevant factors, understanding members’ perception of
the Chapter’s performance, and discussing and developing priorities and strategies in line with
the Chapter’s mission.
The Chapter identified three key focus areas for the next three years:
1. Building Capability and Value of the Internal Audit Community
2. Strengthening Chapter Capacity
3. Supporting IIA Canada
For each area of focus, key result areas and associated strategies were developed to achieve
the Chapter’s intended results over the next three years. Some of the highlights of the strategic
directions are provided in the President’s Report below, or you may refer to the one page
summary provided in Appendix A: IIA Strategic Plan 2012-2015.
2. President’s Report
It is difficult to believe that my two-year term as your President is coming to a close. Over the
past two years, I have had the privilege to work with an incredibly dedicated board and group of
volunteers, and to contribute to some key projects supporting the Ottawa community and IIA
Canada.
At the beginning of my term (summer of 2012), the Board embarked on a comprehensive
strategic planning process to map out our focus areas (noted below), which include our current
core functions such as our development programs, as well as new undertakings such as audit
leaders networking events. We also recognized the importance of contributing to the
establishment of IIA Canada. I am sharing these focus areas with you again this year since
they guided our priorities and efforts.
1. Building Capability and Value of the Internal Audit Community
• Professional Development Program: Deliver a professional development program that
supports professional certification and continuous learning.
• Connecting our Members: Provide opportunities for members to connect, share
knowledge and advance thinking on matters of local importance.
• Promotion and Advocacy: Promote the value of internal audit, influence public-policy
decisions, and advocate investment in internal audit.
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2. Strengthening Chapter Capacity
• Chapter Governance and Management: The Chapter’s governance processes, structure
and bylaws support effective decision-making and implementation success. The Chapter
manages itself in a sustainable, fiscally prudent, transparent and collaborative fashion.
3. Supporting IIA Canada
• Contribution to Building IIA Canada: The Chapter contributes to the IIA Canada’s
formation and development.
We have continued to make great strides on all fronts, including hosting our inaugural Audit
Leaders event in November and our first National Training week in support of IIA Canada. We
also supported the establishment of an Academic Internal Audit Club and have participated on
key committee of the IIA Canada. Here are some highlights:
Focus Areas Highlights Building Capability and Value of IA Community
� Delivered a professional development program that supported professional certification and continuous learning including 10 seminars, 3 breakfast sessions, and 3 lunch and learning events
� Hosted inaugural event for audit leaders � Hosted, with IIA Canada, a National Training Week and Audit
Leaders Event � Developed a Grants and Contributions course with support from the
Office of the Comptroller General of Canada (OCG) � Recognized new CIAs, CGAPs, CCSA and CRMAs at certification
event (180 newly certified members: 53 CIA; 25 CGAP; 9 CCSA; 93 CRMA)
� Promoted IIA in the student community, including sponsorship for two students (Carleton University, University of Ottawa) and student events
� Supported the creation of the first Academy Internal Audit (AIA) Club at the University of Ottawa
Strengthening Chapter Capacity
� Strengthened our financial reporting � Increased our volunteer base � Enhanced the common look and feel of our Chapter
communications and implemented new products and communication services such as monthly “Member Communiqués, frequent “E-blast” reminders of upcoming Chapter events
� Achieved platinum status in Chapter Achievement Program with almost 1800 points, our highest score to date
� Updated our website and established presence on social media Supporting IIA Canada
� Participated in several committees including communications, chapter president relations, and programs
� Contributed to the establishment of a National Service Delivery Framework
� Contributed to the development of a National Education Strategy � Worked with IIA Canada to set out a National Advocacy Strategy
aimed at the Public Sector � Hosted a networking dinner with the IIA Canadian Board
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I am proud of our Chapter’s accomplishments within our community and our contribution
towards various IIA Canada activities. We are fortunate to have a strong Board and dedicated
volunteers who have generously given their time to help deliver quality programs and events,
advocate for the profession and strengthen our Chapter to better serve the internal audit
community. The success of the Chapter is due to the strength of our Board and volunteers. I am
extremely grateful for your dedication and passion, and I am so fortunate to have worked with all
of you. It has been an honour to have served as your President. Thank you for making these
last two years such an amazing experience!
While this report speaks mainly about the past year, I also want to stress the exciting
opportunities ahead. The Chapter is well positioned to support our audit community as our
members further innovate and respond to their stakeholders in this difficult environment of
continued economic uncertainty and constraints. We are dedicated to provide the services
needed to stay ahead of the curve!
We are also very excited to host the 2014 National IIA Conference in Ottawa! This is a
wonderful opportunity to showcase our great Capital City and to bring our community and fellow
Canadian members together for an amazing and truly Canadian IIA conference. I hope many of
you will join me in planning and hosting this great event.
All the best, and thank you again for your ongoing support. Julie Champagne, CIA Chapter President
3. Your Board of Governors for 2012-2013
Position Name President Julie Champagne Vice President Strategy Michèle Serano Vice President Operations Joe Carpinone Treasurer Djoura Abbas Secretary Susan Kenney Chair of Programs Jeremy Dimmell
Executive Committee
Past President John Gilhooly (also Nomination Chair)
Programs (Co-Chair) Craig Kolanko Audit Leaders Darren Budd Nancy Chase Member Services Darren Budd Advocacy Keith Davis Certifications Caroline Black
Emilie Wilcox Academic Relations Sarah Lyons
Committee Chairs
Communications Christina Brooks
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Position Name Webmaster Peter Cardeneo Volunteers Marianne Avarello Members-at-Large • Private Alain Decelles (also Chair of Audit
Committee) • Government Joe Freamo
• International Committee Robin Sellar TBS Representative Jennifer Robinson
Advisors
IIA Canada Representative Carmen Abela
The Board is comprised of the Executive, Committee Chairs and Advisors, and encompasses
practitioners from the federal government, crown corporations and the private sector. The Board
has advisors from IIA Canada, TBS, and Members-at-Large, including an Ottawa member who
sits on an international IIA committee and another private member who is Chair of our new Audit
Committee. Board members hold various professional designations, including those specific to
internal auditing (e.g., CIA, CGAP, CCSA, CRMA) and there are other designations represented
on the Board as well (e.g., CA, CMA, CGA, CISA).
4. Treasurer’s Report and Interim Financial Statements
Financial statements for the period June 1, 2012 to April 30, 2013 are provided for information
to all members. These statements are unaudited and have been prepared on an accrual basis
for both revenues and expenses.
In accordance with the requirements of the IIA Global Headquarters, the Chapter will prepare an
annual report of income and expenses as at May 31, 2013. The report will be audited by an
external public accounting firm and submitted to Headquarters by August 31st, 2013.
Key Highlights
As of April 30, 2013, the Chapter’s operation has resulted in a net income of $47,520 versus a
budgeted amount of $(8,093). This result is attributed to higher contributions from our
programs, despite fewer number of seminars offered this year, with well attended courses and
expense tracking mechanisms that are in place to ensure that spending remains within budget.
As well, some activities did not necessitate the funding anticipated (e.g. advocacy activities).
Due to the National Training week offered in Ottawa in May 2013, we planned fewer courses in
2013 to avoid duplication, reducing the program revenue for the year. The net income as of
April 30, 2012 was $70,528, which represents a variance of $23,008 compared to April 2013.
This number is in line with the variance in budgeted revenue for the delivery of the Chapter’s
program, for the year 2013 compared to the previous year, by $23,905.
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The Chapter has set up a General Reserve to offset future potential losses. The restricted cash
will be invested to maximize returns.
The Chapter is focusing on continuing to streamline the reporting function to provide Board
members with timely and accurate information on the Chapter’s financial position throughout the
fiscal year. In addition to providing comparative financial statements on an accrual basis to
better understand the Chapter’s financial position on a monthly basis, we have implemented a
process that enables the Committee Chairs to forecast the expenses on a quarterly basis to
enhance the decision-making process by providing more timely and accurate information. This
process will allow the Chapter to evaluate and accommodate priorities and shifting needs
throughout the year and proactively plan the changes if required to create direct costs savings
or reallocate funds.
The Chapter’s focus on reducing the outstanding accounts receivable is ongoing. As of April
30, 2013, the total accounts receivable is $1,864.50, due to timing differences.
In addition to our day-to-day financial activities, the Chapter reviewed its system of internal
controls to ensure that proper segregation of duties and other financial related internal controls
are in place and working as intended. The Chapter has strong controls in place and an effective
process over financial reporting to ensure board members are informed on the Chapter‘s
financial position at both, our board and executive meetings.
The Chapter’s financial statements are also reviewed by an independent party annually to
provide additional oversight. The Chapter is also in the process of documenting its treasury
function, which will identify activities as well as controls.
Djoura Abbas, CRMA Treasurer
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IIA Ottawa Chapter
Balance Sheet
As at April 30, 2013
ASSETS
Current Assets
Cash $316,625
Investments 23,219
Accounts Receivable 1,864
Total Current Assets 341,708
TOTAL ASSETS $341,708
LIABILITIES
Current Liabilities
Accounts Payable $6,470
Accrued Liabilities 23,420
HST Payable 60
Deferred Revenue 185
Total Current Liabilities 30,135
TOTAL LIABILITIES 30,135
EQUITY
General Reserve 125,000
Retained Earnings - Previous Year 146,053
Current Earnings 40,520
Total Retained Earnings 186,573
TOTAL LIABILITIES AND EQUITY $341,708
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IIA Ottawa Chapter
Comparative Income Statement
For the 11 month period ended April 30, 2013
Actual Budget
June 1, 2012 to
April 30, 2013
June 1, 2012 to
May 31, 2013
REVENUE
Sales Revenue
Allotment from IIA Headquarters $11,006 $8,000
Program Event Revenue 223,335 237,817
Net Sales 234,341 245,817
Other Revenue
Interest Revenue 29 0
Course Development G&C 12,000 12,000
Total Other Revenue 12,029 12,000
TOTAL REVENUE 246,370 257,817
EXPENSE
Program Event Costs
Course Instructor Fees 74,127 196,360
Hotel & Banquets 41,080 0
Travel & Meals 4,034 0
Course Material Costs 7,119 0
Credit Card Charges 6,037 0
Event Consulting Fees 14,023 0
Gift tool Fees 1,431 0
Other Course Expenses 2,470 0
Total Program Event Cost 150,321 196,360
IIA Global/Canada Liaison Expenses
Conferences 2,975 10,000
District Rep Support 2,546 2,500
Canadian Institute 1,378 2,000
Total IIA Global/Canada Liaison Expense 6,899 14,500
IIA Ottawa Events
Annual General Meeting 0 5,000
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Certification Recognition 6,325 5,200
Annual Wine and Cheese 5,946 5,000
Student Events 685 1,400
Audit Leaders 1,446 2,000
Total IIA Ottawa Event Expense 14,402 18,600
IIA Research & Development Expenses
Chapter Research Projects 5,000 5,000
Course Development - OCG Grants 12,000 0
Total IIA Research & Development Expense 17,000 5,000
Promotion & Advocacy Expenses
Advocacy Committee 0 5,000
Promotion & Entertainment 0 2,000
Website 0 1,000
Scholarships 1,000 1,000
Translation Fees 1,759 5,000
Total Promotion & Advocacy Expense 2,759 14,000
General & Administrative Expenses
Accounting & Legal 4,101 5,000
Annual Review-Financial Statements 7,000 7,000
Board Expenses 0 4,000
Courier & Postage 351 0
Interest & Bank Charges 1,995 350
Office Supplies 390 0
Volunteer Gifts 632 1,100
Total General & Administrative Expense 14,469 17,450
TOTAL EXPENSE 205,850 265,910
NET INCOME (LOSS) $40,520 $(8,093)
5. Chapter Achievement Program
The Chapter Achievement Program (CAP) recognizes activities undertaken by the chapter that
promote the strategic objectives of the IIA. Points are awarded in each of three categories:
Service to Members, Service to the Profession, and Chapter Administration. Thanks to the hard
work of all the committees and volunteers, we again achieved Gold status this year. A special
level – Platinum – is used to recognize chapters that attain Gold status for 10 of 11 consecutive
years and our chapter continues to be in this top performance level.
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The CAP points for each level are provided below. This year the Ottawa Chapter maintained its
platinum status with close to 1,800 points as of April 30, with a full month of activities remaining
in its fiscal year.
CAP Award Level Minimum Points Total
Bronze 685.00
Silver 1,060.00
Gold (Platinum) 1,560.00
6. Committee Chair Reports
Programs
The Programs Committee is tasked with providing professional learning and networking events
to the Ottawa Chapter membership. Due to the hard work and dedication of Program Committee
volunteers (present and past), the Ottawa Chapter has built a successful annual program
calendar that provides members with the opportunity to gain over 170 hours of Continuing
Professional Education (CPE) credits right here in the National Capital Region. The success of
the 2012-2013 Programs Calendar is due in large part to the controls and mechanisms put in
place in previous years to better manage the high-volume of training and development sessions
being offered and the roll-out of the Chapter’s online registration system.
In addition to the various courses and seminars scheduled throughout the year, the Ottawa
Chapter’s Breakfast and Lunch and Learn sessions provide members with an opportunity to
network and act as a forum for subject matter experts to speak on important local and
professional topics.
In May 2013, we partnered with IIA Canada and offered Ottawa’s first IIA Canada Learning
Week. The week was an amazing success with over 100 registrants participating in 5 different
learning seminars. The IIA Canada Learning Week provides a unique learning opportunity with
multiple sessions held in a central location. This offers participants the ability to network with
fellow IIA professionals.
2012-2013 Highlights: Programs
� Chapter offerings included 10 seminars, 3 breakfast sessions, and 3 lunch and learning events
� The 2012-2013 Calendar offered over 170 CPE hours or over 23 days of training! � Overall feedback from the course evaluations continues to be favourable � IIA Canada offered its training week in Ottawa this Spring which was attended by
over 100 participants!
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In 2013-2014, the Programs Committee is looking forward to offering members a Grant and
Contribution auditing course that has been developed with financial support from the Office of
the Comptroller General. A pilot version of the course is being offered in the Fall of 2013.
Thanks to all for a successful 2012-2013 and looking forward to an exciting year of professional
learning and networking, and new challenges ahead.
Jeremy Dimmell Craig Kolanko Chairs, Programs
Audit Leaders
The Audit Leaders Chair and Committee was created in 2011 in response to issues identified by
the local Chief Audit Executive (CAE) community regarding the need for greater knowledge and
thought leadership, networking opportunities, and related forums to help CAEs anticipate and
respond to emerging needs and to continually improve their practice and the value they provide
to their organizations. As such, the mandate of the Audit Leaders Committee is to support the
connection, knowledge sharing, and overall advancement of those matters of importance to
local Audit Leaders as well as the audit committee community.
Based on the results of consultations held in 2011-2012, the Committee determined that the
greatest needs and reach lie within the federal government community of Audit Leaders. As
such, the focus for 2012-2013 was on this community. The 2012-2015 Strategic Plan sees the
Committee continuing to expand its focus to include Crown Corporations, Audit Committee
Members and Audit Leaders within the private sector.
2012-2013 Highlights: Audit Leaders
� Developed the Committee’s 3 Year Strategic Plan (2012-2015)
� Designed and delivered two (2) formal events targeting Audit Leaders during the year:
o In November 2012, the Committee delivered a Breakfast Session on the topic of Auditing in a Period of Fiscal Austerity.
o In May 2013, the Committee worked with IIA Canada Education Committee to deliver a 1½ day Audit Leaders Event as part of Education Week in Ottawa.
� Identified feedback from the two formal events that will help set the course for similar events that will be delivered in 2013-2014.
� Commenced development of a strategy for the Committee to better engage with, and respond to the needs of, Audit Leaders within the federal Crown Corporation community.
As noted in the highlights above, the Audit Leaders Committee successfully delivered against its
goal of two formal events targeted at local Audit Leaders within 2012-2013. The forum and
topics for these sessions were developed in response to both the CAE consultations held in
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2011-2012 and the input from the Chapter Board, IIA Canada Education Committee and others
throughout 2012-2013.
The Fall event was a breakfast session which featured a panel comprised of the Assistant Comptroller General of Canada, and both an Audit Committee member and Chief Audit Executive from Aboriginal Affairs and Northern Development Canada on the topic of “Auditing in a Period of Fiscal Austerity”. The Spring event was designed and delivered in coordination with IIA Canada’s Education Committee as part of their Education Week in Ottawa (May 6-10, 2013). As part of the annual series of Education Weeks held across Canada, IIA Canada had embedded an Audit Leaders event into its programming. The event was comprised of a full day of presentations by CAEs and subject matter specialists on a range of topics of interest to Audit Leaders. These presentations were followed by a ½ day panel discussion on the topic of “Leadership”.
Based on these two successful events, there is a clear appetite within the local Audit Leaders
community for additional opportunities to connect with peers, hear from specialists and
generally share knowledge around areas of common interest. While the Committee is very
pleased to have its mandate validated, it is clear that the Committee needs to continually grow
its presence and tailor its strategies in order to best serve dynamic and diverse community. The
successes, as well as the lessons learned, from 2012-2013 will serve to support the
Committee’s Operational Plan for 2013-2014 and the refresh of its 3-year Strategic Plan.
The Committee wishes to acknowledge and thank Chapter Board members, volunteers, IIA
Canada and the numerous CAEs within the National Capital Region for their contributions and
support. It is because of their efforts that the Audit Leaders Committee has enjoyed success
and demonstrated progress during this, our first full year as a Committee. We look forward to
continuing our support of local Audit Leaders community in 2013-2014 and beyond.
Darren Budd, CIA, CRMA Nancy Chase, CIA, CGAP, CRMA Chairs, Audit Leaders
Member Services
In 2012-2013, membership services and volunteer activities were combined under one
committee to better serve our membership due to related goals and objectives. The Member
Services Committee’s mandate is to recruit and retain members and volunteers to increase the
membership and volunteer base, provide ongoing connection and communication, and assist in
the promotion of internal audit within our community.
The Committee provides support to the Communications and Advocacy Committee to enhance
communications with members, and maintains a Chapter membership database via a data
download from the main database managed by the IIA in Florida.
In February 2012, the Ottawa Chapter conducted a member survey. The results of the survey
included feedback on membership experience, communications, and engagement. Much of the
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feedback received was incorporated into our 2012-2013 operational plans such as increased
breakfast and/or lunch seminars, dialogue with Audit Leaders, and course offerings for
seasoned auditors. In addition, we also considered members comments in the development of
our 2012-2015 Strategic Plan.
Our Chapter is managed by an effective group of volunteers who assist in ensuring that Chapter
events and supporting activities are well planned, serve the needs of members, and achieve the
Chapter’s goals. During 2012-2013, over 65 Chapter members volunteered their time to assist
with various activities. The continued success of the Chapter is dependent on the time and
contributions of our volunteers.
2012-2013 Highlights: Member Services
Membership Statistics:
� As of April 1, 2013, membership has increased again to 1330 members, up 8% over last year. This represents a net gain of 95 members comprised of 109 new members and the loss of 14 members.
� There are 383 are Certified Internal Auditors (344 in 2011-12) within the Chapter which represents 29% of our membership. The increasing trend of obtaining a CIA designation is reflective of the continued emphasis that our members and their employers are placing on obtaining professional auditing designations. The Chapter also has members who are certified in other areas as follows:
o Certification in Control Self-Assessment (CCSA): 45 members (44 in 2011-12)
o Certified Government Auditing Professional (CGAP): 78 members (58 in 2011-12)
o Certification in Risk Management Assurance (CRMA): 103 members. Statistics were not available for 2011-12, the year the designation was established.
� The Ottawa Chapter membership is divided between government employees (80%) and non-government employees (20%). Government employees include those who work for the federal, provincial, and municipal governments; and crown corporations. The largest single industry code identified by our membership is the federal government, of which there are 866 members.
Volunteer Contributions:
� Contributed to building IIA Canada by representing the Chapter on the IIA Canada Board
� Attended periodic Committee meetings with members from other Canadian IIA Chapters
� Created LinkedIn and Facebook access to the Chapter
� Published a regular newsletter on Chapter news, events, and articles of interest
� Audited the Chapter’s books
� Organized:
o interviews with CAE’s to determine the challenges faced within the internal audit community
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o certification event to recognized newly certified members
o networking and breakfast sessions and events
o student meet and greet events to promote the Chapter and its work
We are always looking for more people to help us with our activities. Did you know that
members who participate as an officer or committee member with the Ottawa Chapter also
qualify for CPE hours? If you have time and would like to contribute to the success of our
Chapter, please contact: [email protected].
Thank you to all our volunteers for their time, commitment and dedication.
Marianne Avarello, CIA Chair, Member Services
Advocacy
The Advocacy Committee is responsible for setting out and implementing strategies that will
promote the value of internal audit, influence public-policy decisions, and advocate investment
in internal audit. The Advocacy Committee also provides support to the local Chapter in liaising
with the IIA Canada Advocacy Committee, leading the advocacy strategy for the federal
government and also maintaining strong relationships with key partners (e.g. Office of the
Comptroller General, other organizations) to leverage advocacy goals.
Over the past year, the Committee engaged in the development of communication mechanisms
and tools that were used to reach out to key stakeholders to promote the value of internal audit
and to provide our perspective on how the local internal audit community can continue to evolve
and thrive in the context of the current economic/fiscal environment. In doing so, the Committee
sought input from a variety of stakeholders including Chief Audit Executives, IIA Canada, as well
as the Office of the Comptroller General.
The Committee also actively liaised with IIA Canada in its advocacy efforts throughout the year,
to ensure alignment and to enable the sharing of perspectives. We have received excellent
support from IIA Canada, including active participation on our Advocacy Committee. We are
currently coordinating efforts in relation to furthering our federal government advocacy activities.
During the year, the Committee also worked with other parts of the local chapter, such as the
Communications Committee and the Audit Leaders Committee, to coordinate our advocacy and
outreach efforts for internal audit. In addition, the Committee was embedded in the local
chapter’s activities to meet regularly with the Office of the Comptroller General to share our
perspectives and input, as appropriate.
On a go-forward basis, we will be exploring opportunities to further partner with the local internal
audit community’s key stakeholders (e.g. Chief Audit Executives, Departmental Audit
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Committees, etc.), in order to continue to communicate our key messaging regarding internal
audit and the IIA to important stakeholders.
We look forward to continuing to work on our advocacy agenda and program in 2013-2014.
Keith Davis, CIA
Chair, Advocacy
Certifications
The primary goal of the Certifications Committee is to sustain and help assure the
professionalism, value and credibility of internal audit through professional certification and the
application of the global professional standards. Through the Chair of Certifications and
Committee, the Ottawa Chapter is committed to showcasing our leaders, promoting and
encouraging members to obtain IIA designations and promoting internal auditors to organization
leaders, Chief Audit Executives and Office of the Comptroller General.
The Certifications Committee is responsible for the coordination and distribution of the IIA
certificates to recipients within the Ottawa and National Capital region. Our committee
responded to and assisted past, current and future recipients with inquiries related to the
certification process. In November 2012, the Certification Committee organized the annual
certification event to celebrate and recognize the past year recipients and promote the
designation throughout the community. As in previous years, recipients were encouraged to
invite the individual who was most influential in helping them achieve their professional
designation. Our chapter also invited students to help promote the professional designation and
in some cases introduce students to the internal audit profession.
2012-2013 Highlights: Certifications
� During 2012, 180 chapter members were successful in obtaining their Certified Internal Auditor® (CIA®), Certified Government Auditing Professional® (CGAP®), Certification in Control Self-Assessment® (CCSA®) or Certification in Risk Management Assurance® (CRMA®) professional designations: CIA – 53; CGAP – 25; CCSA – 9; CRMA – 93.
� On November 28th, 2012 the Ottawa Chapter hosted an honorary event at the Westin Hotel in Ottawa to recognize the achievement of the various certifications of the IIA. The event was well attended by over 80 people, including Board Members, graduates and guests. We were fortunate to have an excellent keynote speaker for the event, Mr. Nadir Patel, ADM and CFO of the Department of Foreign Affairs and International Trade. The event was also attended by Ms. Anthea English, Assistant Comptroller General of Canada, Internal Audit, who handed out certificates to recipients and delivered a short speech.
� Over the year, our committee responded to numerous inquiries and provided assistance to past, current and future recipients related to the certification process.
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In 2011-2012, the Institute of Internal Auditors announced the development of a new
designation – the Certification in Risk Management Assurance (CRMA). The CRMA allows
internal audit practitioners to demonstrate their ability to: provide assurance on core business
processes in risk management and governance; educate management and the audit committee
on risk and risk management concepts; and focus on strategic organizational risks.
In an effort to promote the designation, the CRMA Professional Experience Recognition was
offered until December 2012 for individuals to obtain the CRMA designation prior to the CRMA
examination program which commences this year. As noted above, 93 chapter members were
certified under the PER program in 2012. A further 95 chapter members have applied and are
awaiting results of the PER process.
For further information on IIA certifications, please refer to the Certification Corner – The
Institute of Internal Auditors at: http://www.theiia.org/certificationcorner/.
Emilie Wilcox, CIA, CCSA Acting Chair, Certifications
Academic Relations
The Academic Relations Committee promotes and advocates internal audit on behalf of the
Ottawa chapter at post-secondary education institutions in the Ottawa area. The Committee’s
primary goal is to promote the internal audit profession and the value of IIA certifications to
future generations of business professionals. The Committee also strengthens membership
recruitment and supports local institutions in the delivery of relevant education programs.
Promotion and advocacy efforts of the Academic Relations Committee include:
• Networking with students: hosting and attending events to promote awareness and to educate students about the profession of internal audit and the IIA.
• Promoting education programs: working with academic institutions to advocate and develop education programs that support the development of future internal auditors.
• Offering scholarship programs: offering scholarships that encourage students to enter the field of internal audit.
2012-2013 Highlights: Academic Relations
� Hosted two social evenings for students where local professionals and internal audit employers joined students for a networking session. This year’s student events experienced the Chapter’s highest turnouts from both students and internal audit professionals, with resounding positive feedback received from students.
� Supported the creation and ongoing efforts of the “Academy of Internal Auditors” (AIA), a newly formed student club founded by James Go, management student and internal auditor from the University of Ottawa. The AIA was created to address a lack of awareness of the internal audit profession among students outside of the accounting discipline. The AIA
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includes members across faculties and beyond the University of Ottawa’s school of management. While the club was initiated out of the University of Ottawa, its vision is to extend its membership base to other universities in Canada. The Ottawa Chapter will continue to support the promotion and advocacy efforts of the AIA.
� Administered two Chapter-sponsored student scholarships for internal audit. The IIA scholarship was awarded at the University of Ottawa and Carleton University.
� Presented on four occasions at local academic institutions to share with students what the profession of internal audit entails and what the IIA offers. Attended student networking events hosted by the University of Ottawa.
� Supported the University of Carleton in offering CIA preparation classes based on the IIA’s CIA Learning Program.
� Increased student involvement in committee decision-making and invited students to other chapter events, including certifications and the Annual Wine & Cheese.
� Liaised with other Canadian chapters to share leading practices for academic relations and advocacy nationally.
The Academic Relations Committee has helped to increase student awareness of the internal audit profession. Feedback provided by students, instructors, and other academic relationship partners continued to be very positive as they welcomed continued partnership with the IIA Ottawa Chapter. In 2013-2014, we will continue academic advocacy with the renewal of core student engagement initiatives as well as additional initiatives in partnership with the AIA aimed at expanding internal audit awareness within the student community. We will focus efforts on interactive student events and continue to explore new opportunities to partner with academic institutions.
Sarah Lyons Chair, Academic Relations Communications With the Chapter’s revised Board structure in 2011-2012, a key change was in establishing the
Communications Committee, and formalized the role of Communications Chair, which
expanded the previous role and activities of the Newsletter Chair.
The Communications Committee is responsible for establishing the Chapter’s communication
strategy to effectively reach and communicate with our members, CAEs and key stakeholders
and build “brand awareness”. The Communications Chair and Committee supports Board
members communication needs, working with them to define and execute appropriate
communication strategies. The Chair also oversees the Chapter’s communications, marketing
products and services including: newsletters, annual report and other print publications, and
links with the Webmaster for communications through website and new social media.
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2012-2013 Highlights: Communications
� Continued to produce publications of the IIA Ottawa Chapter newsletter. In 2012, two issues were published electronically in May and September and a newsletter was issued in February 2013. Newsletters are distributed to members in bilingual formal via email link to the IIA Ottawa Chapter Website. Each newsletter contains information about upcoming and past events, interest articles, job and volunteer opportunities. In addition, each issue contains several electronic links that direct readers to the website for more information.
� Continued to strengthen Board and Chapter awareness and accountabilities of the new Communications Committee, including revised roles and responsibilities, implemented a Terms of Reference for the Communications Chair and Committee, and developed an Operational Plan to guide the Committee’s focus for the year.
� Developed a comprehensive, multi-year Communications Strategy, with objectives to: streamline and standardize communications offerings and deliver consistent messaging to targeted audiences; to increase knowledge and promote understanding of the IIA and its role in the NCR; increase awareness and participation in IIA Ottawa Chapter events and training; and to increase interest in the internal audit profession.
� Enhanced the common look and feel of our Chapter communications and implemented new products and communication services such as monthly “Member Communiqués” and “E-blast” reminders for upcoming Chapter events.
� Contributed to developing the revised Chapter website and other new communication tools, such as the Communications Event Calendar ~ under development!
� Liaised with IIA Canada, other Canadian Chapters and key communication representatives of internal audit communities to share communications products, initiatives and leading practices for communications nationally.
This first full year of the Committee’s operations brought a number of successes, as well as
lessons learned, and will serve to support the Committee’s Operational Plan for 2013-2014 and
the refresh of the multi-year Communications Strategic Plan. Building on efforts to date, we will
seek to further clarify and promote shared understanding of the roles and responsibilities of the
Committee, and to manage, prioritize and be responsive to requests for communications
activities/support that is well balanced with our volunteer capacity to adequately respond. There
will be a continued focus on capacity building and establishing an enhanced volunteer base of
interested and skilled volunteers in various communications activities.
The Communications Committee continues to serve ‘internally’, as a key horizontal and
coordination function for the Board – the Executive, the Committee Chairs and Committees, and
Advisors. In addition, the Committee serves to effectively reach out, and communicate with our
members, CAEs and key stakeholders including the Chapter membership. Going forward, the
Committee will be guided by the strategies, key priorities and communication initiatives as set
out in the three-year Communications Strategic Plan. Efforts will be made to further aggregate
and streamline the majority of anticipated communications activities, and provide enhanced
communications support in executing the Board’s operational plans and strategies.
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Finally, the Committee will be working towards the renewal of the Chapter newsletter or
pursuing other alternatives, potentially through social media outlets, and has begun to consult
other Chapters on communications activities and engage new target audiences, including
academic youth groups. Ongoing support will be provided to the Webmaster for new joint
initiatives, for ongoing website development and the promotion of IIA and related events, and
the Chapter’s social media presence. We will further explore opportunities to partner with IIA
Canada and key communication representatives of internal audit communities, and continue to
share Chapter communications initiatives, products and leading practices.
Christina Brooks, CCSA, CRMA Chair, Communications
Webmaster
The Webmaster enhances and updates the Chapter’s website with announcements, events, job
opportunities, training and additional information. The Webmaster’s continuous interaction with
other Board Chairs and Committees feeds much of the site’s content. The Webmaster also
redirects comments and inquiries received through the website back to the Chairs and
Committees for appropriate follow up and response.
2012-2013 Highlights: Webmaster � Re-design of the website, including new functionality (www.theiia.org/ottawa still in use) � Upcoming events and current news appear automatically on the main page � New “About Us” page presents the Board’s Chairs. We hope this page will help members
get acquainted with the Board and become involved in the Chapter’s activities. � Ongoing updates of the website including events, training and job opportunities � Continuously seeking opportunities to increase the user-friendliness of the website � Social media presence on Facebook and LinkedIn (see link below). Both pages are
frequently updated with announcements, events, job opportunities and news items related to Internal Audit. Social media allows members to communicate directly with one another and chapter members. It helps provide members with desired information in a highly responsive environment.
To visit the IIA Ottawa Chapter, please use the links below:
Website: http://www.theiia.org/Ottawa
LinkedIn: http://www.linkedin.com/groups/IIA-Ottawa-Chapter-4236155
Facebook: http://www.facebook.com/pages/IIA-Ottawa-Chapter/347323121959841
Peter Cardeneo, CIA
Chair, Webmaster
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7. Executive Committee and Board of Governors for 2013-2014
Position Name Term in Role for
2012-2013
On Board Since
President Michèle Serano Proposed 2009 Vice President Strategy TBD Proposed
Vice President Operations Joseph Carpinone 2nd year 2009 Treasurer Jacques Lamothe Proposed
Secretary Andrea Dorego Proposed Chair of Programs Craig Kolanko 2nd year 2012 Past President Julie Champagne 1st year 2008
Programs (Co-Chair) Annam Ganesan Proposed Audit Leaders Darren Budd 3rd year 2009 Member Services Marianne Avarello 2nd year 2011 Advocacy Keith Davis 3rd year 2011 Certifications Emilie Wilcox Proposed Academic Relations Sarah Lyons 2nd year 2012 Communications France Baril Proposed Webmaster Peter Cardeneo 6th year 2008 Members-at-Large • Private Alain Decelles 3rd year 2011
• Government Joe Freamo Djoura Abbas
2nd year 1st year
2012 2011
• International Committee
Robin Sellar 3rd year 2008
TBS Representative Jennifer Robinson 2nd year 2012 IIA Canada Representative
Carmen Abela 2nd year 2002
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Appendix A: IIA Strategic Plan 2012-2015
Appendix A: IIA Strategic Plan 2012-2015
Key Result Areas Strategies Mission Statement Key Focus Areas
Through its volunteers, IIA Ottawa:
Promotes the Internal Audit Profession Promotes and advocates for the internal audit profession in Ottawa and across the federal public service by: • Building awareness and a common
understanding of the profession’s value to organizations; and
• Promoting the profession of internal audit as a career of choice for top talent.
Promotes Standards and Accreditation Promotes professionalism, value and credibility of internal audit by promoting professional certification and the application of the global professional standards and providing access to certification training opportunities;
Builds Expertise and Value in the Profession Strengthens the expertise and value of the profession through facilitating thought leadership, innovation and professional development;
Provides Timely Services Provides outstanding and timely services to all Ottawa members; and manages its operations in an accountable, financially sustainable, transparent and collaborative fashion, in accordance with the highest standards of governance and ethics.
Building Capability
and Value of IA
Community
Strengthening Chapter Capacity
Supporting IIA Canada
PROFESSIONAL DEVELOPMENT PROGRAM
Deliver a professional development program that
supports professional certification and continuous learning.
CONNECTING OUR MEMBERS
Provide opportunities for members to connect, share
knowledge and advance thinking on matters of local
importance.
PROMOTION & ADVOCACY Promote the value of internal audit, influence public-policy
decisions, and advocate investment in internal audit.
CHAPTER GOVERNANCE & MANAGEMENT
The Chapter’s governance processes, structure and bylaws support effective
decision-making and implementation success. The chapter manages itself in a
sustainable, fiscally prudent, transparent and collaborative
fashion.
CONTRIBUTION TO BUILDING IIA CANADA
The Chapter contributes to the IIA Canada’s formation
and development.
1. Develop an IIA Ottawa strategy for supporting IIA Canada, including how we will ensure involvement in committees and working groups.
2. Develop and share Ottawa’s perspectives and position on how roles and responsibilities would be best shared between IIA Canada and chapters.
3. Play a leadership role with IIA Canada in relation to the Federal Public Sector.
1. Enhance chapter governance by more clearly defining roles of board members and committee structures and ensuring that operational plans are well aligned to this structure.
2. Ensure chapter sustainability by strengthening succession planning and developing a resourcing strategy to support programs, financial management, coordination, and communications.
3. Explore how we can leverage the IIA’s new Chapter Document Management System to share best practices.
4. More fully engage volunteers. 5. Establish a communications strategy to effectively reach and communicate
with our members, CAEs, audit committee members, business leaders, and public policy makers.
1. Establish and put in place a national advocacy strategy for the federal public sector to promote the value of internal audit and the IIA.
2. Develop and implement a membership recruitment and retention plan, including an outline of target markets and various strategies to reach these markets.
3. Leverage existing IIA materials to promote and advocate the value of the profession with CAEs, audit committee members, business leaders, and public policy makers.
4. Establish or enhance partnerships with other organizations (e.g. OCG, FMI, CAs, ISACA, universities, etc.) to promote internal audit, showcase our IA leaders and members, and improve learning opportunities.
1. Design and deliver a value-added program of training courses, aligned to member needs and OCG competency levels.
2. Promote the value of the IIA certifications and facilitate CIA and CGAP training.
1. Develop and implement a strategy to provide networking and knowledge sharing opportunities that promote best practices, developments in the profession and emerging issues.
2. Develop and implement a strategy to deliver a series of events and discussion forums for audit leaders that focus on challenges and emerging issues.
