Audit of Terrestrial Animal Health - Epidemiology and Surveillance Section (ESS)

June 2010

Table of Contents

• 1.0 Executive Summary
  • 1.1 Introduction
  • 1.2 Audit Objective and Scope
  • 1.3 Findings
    • Controls
  • 1.4 Statement of Assurance
  • 1.5 Audit Opinion
• 2.0 About the Audit
  • 2.1 Background
    • Legislative Framework
  • 2.2 Objective
  • 2.3 Scope
  • 2.4 Methodology
• 3.0 Findings
  • 3.1 Introduction
  • 3.2 Controls
    • Finding 1: Surveys Consistent with Agency Guidance
    • Finding 2: Surveys Well Planned and Implemented
    • Finding 3: Sampling Protocols Are Followed
    • Finding 4: Data Verification as per Standards
• Appendix A: Audit Criteria

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1.0 Executive Summary

1.1 Introduction

The Terrestrial Animal Health Division (TAHD) is vital to ensuring that the CFIA fulfills one of the three key pillars in its mandate – to safeguard Canada’s animal resource base. In doing so, the TAHD programs protect the health and well-being of the domestic livestock, market access for producers, food safety, and the health of Canadians.

The objectives of the TAHD are as follows:

• Risks from regulated diseases to Canada’s wild and domestic terrestrial animal resources are minimized.
• Canada’s wild and domestic terrestrial animal resources meet domestic and World Organization for Animal Health (OIE) standards.
• Access to international markets is maintained or improved based on terrestrial animal health.

The Division is responsible for the implementation of a number of ongoing broad activities, which can be summarized as follows:

• Epidemiology and Surveillance
• Disease Control
• Animal Health Risk Assessments
• Participation in International Standard Setting for Animal Health
• Verifying that Exports of Animals and Animal Products Meet Foreign Requirement
• Verifying that Imports of Animals and Animal Products Meet Canadian Requirement

Epidemiology and surveillance activities provide foundational information to other TAHD programs. The core mandate of the Epidemiology and Surveillance Section (ESS) is the design and implementation of national animal disease surveys to establish Canada’s freedom from key terrestrial animal diseases, which facilitates export market access.

1.2 Audit Objective and Scope

The objective of this audit is to provide assurance that the management control framework supports CFIA Terrestrial Animal Health programming.

The audit was scoped to epidemiology and disease surveillance activities which provide foundational information to all other Terrestrial Animal Health elements. Disease surveillance activities support Canada’s ability to recognize and manage both existing and emerging animal diseases. Surveillance activities also form the basis for Canada’s international reporting requirements to the World Organisation for Animal Health (OIE), that ultimately provide Canadian livestock and poultry products access to international markets.

The audit examined the governance, risk management and control processes in place for the design and delivery of national animal disease surveys. The national animal disease surveys within the scope of this audit include the Canadian Notifiable Avian Influenza Surveillance System (CanNAISS) and the Bovine Serologic Survey (BSS). Bovine Spongiform Encephalopathy (BSE) surveillance was excluded from this audit as it is an ongoing surveillance program with its original design and implementation beyond of the direction of ESS.

1.3 Findings

The following summary of findings from the audit of Terrestrial Animal Health - ESS is based on the evidence and analysis from both the initial risk assessment and the detailed audit conduct.

In addition to the positive findings specific to controls presented below, observations related to governance and risk management that were non-systemic or of low materiality and risk have been communicated to management for their consideration.

Controls

Finding 1:
ESS designs and plans national animal disease surveys in a manner consistent with the Agency’s Draft Guide to Good Survey Practices.

Finding 2:
ESS provides oversight to budget allocation, training and corrective action required for the implementation of national animal disease surveys.

Finding 3:
Controls exist to ensure that samples are collected as described in with pre-sampling plans.

Finding 4:
Controls exist around the assembly and verification of survey data to minimize risks to data integrity.

1.4 Statement of Assurance

In my professional judgment as Chief Audit Executive, sufficient and appropriate audit procedures have been conducted and evidence gathered to support the accuracy of the opinion provided and contained in this report. The opinion is based on a comparison of the conditions, as they existed at the time, against pre-established audit criteria. The opinion is applicable only to the entities examined and within the scope described herein.

1.5 Audit Opinion

In my opinion, the Terrestrial Animal Health Division requires minor improvements to the governance and risk management processes relative to epidemiology and disease surveillance activities and these processes are effective and sustainable.

Peter Everson
Chief Audit Executive, CFIA

* The audit opinion is based on overall materiality and risk as represented by the noteworthy findings and recommendations reported.

2.0 About the Audit

2.1 Background

The Terrestrial Animal Health Division (TAHD) is vital to ensuring that the CFIA fulfills one of the three key pillars in its mandate – to safeguard Canada’s animal resource base. In doing so, the TAHD programs protect the health and well-being of the domestic livestock, market access for producers, food safety, and the health of Canadians.

The objectives of the TAHD are as follows:

• Risks from regulated diseases to Canada’s wild and domestic terrestrial animal resources are minimized.
• Canada’s wild and domestic terrestrial animal resources meet domestic and World Organization for Animal Health (OIE) standards.
• Access to international markets is maintained or improved based on terrestrial animal health.

The Division is responsible for the implementation of a number of ongoing broad activities, which can be summarized as follows:

• Epidemiology and Surveillance;
• Disease Control;
• Animal Health Risk Assessments;
• Participation in International Standard Setting for Animal Health;
• Verifying that Exports of Animals and Animal Products Meet Foreign Requirements; and
• Verifying that Imports of Animals and Animal Products Meet Canadian Requirements.

Epidemiology and surveillance activities provide foundational information to other TAHD programs. The core mandate of the Epidemiology and Surveillance Section (ESS) is the design and implementation of national animal disease surveys to establish Canada’s freedom from key terrestrial animal diseases, to facilitate export market access. ESS may also conduct additional surveillance activities to, for example, re-establish disease freedom after outbreaks or detect emerging animal or zoonotic diseases. ESS currently has 14 FTEs including a National Manager who reports to the Director of TAHD. The section is not subject to annually based funding and requests funds for its activities on an as needed basis.

Legislative Framework

The Minister of Agriculture and Agri-Food is responsible for and has overall direction of the CFIA. The CFIA is responsible for the administration and enforcement of legislation related to food safety and animal health.

The main piece of legislation empowering the CFIA in its activities conducted through the TAHD programs is the Health of Animals Act and Regulations (1990, c.21). It provides the authority and legal mandate to safeguard the health of Canadian animals and intervene where a disease may be transmitted by animals to persons. The purpose of the Act and its Regulations is to prevent the introduction of animal diseases into Canada, to control and eliminate diseases that either affect human health or could have a significant impact on the Canadian livestock industry, and to provide for the humane treatment of animals during transport.

In general, the Act and Regulations provide broad powers to CFIA inspectors. Under this legislation, inspectors are authorized to enter premises, open receptacles, require presentation of animals for inspection, examine any animal, require production of documents, conduct tests or analyses, and seize and detain animals for the purpose of detecting disease.

2.2 Objective

The objective of the audit is to provide assurance that the management control framework supports CFIA Terrestrial Animal Health programming.

2.3 Scope

The TAHD designs and delivers a number of animal health programs to protect the health and welfare of terrestrial animals. The Division supports and assists in the administration of programs to safeguard Canada's animal resource base from serious disease and health threats that could pose a risk to animal, public and ecosystem health and trade. The Division’s activities can be broken into six elements: (1) Epidemiology and Surveillance; (2) Disease Control; (3) Animal Health Risk Assessments; (4) Participation in International Standard Setting for Animal Health; (5) Verifying that Exports of Animals and Animal Products Meet Foreign Requirement; (6) Verifying that Imports of Animals and Animal Products Meet Canadian Requirement.

The significance of each element listed above merits a rigorous and robust audit approach. This approach may be executed through complimentary audits that, when examined together, will present comprehensive coverage of the TAHD.

The audit focused on Epidemiology and Disease Surveillance activities which provide foundational information to all other terrestrial animal health elements. Disease surveillance activities support Canada’s ability to recognize and manage both existing and emerging animal diseases. Surveillance activities also form the basis for Canada’s international reporting requirements to the World Organisation for Animal Health (OIE), that ultimately provide Canadian livestock and poultry products access to international markets.

The audit examined the governance, risk management and control processes in place for the design and delivery of National Animal Health Disease Surveys.

2.4 Methodology

The following steps were taken by the audit team to meet the audit objective:

• A review of the Health of Animals Act and Regulations, as well as other documentation relevant to the THAD was performed.
• A risk assessment of TAHD elements was conducted to determine areas for audit attention.
• Interviews were conducted with TAHD and ESS management and employees.
• Reviewed various reports and other documentation pertaining to the governance, risk management and control practises surrounding national animal disease surveillance.
• Controls related to the planning and delivery of disease surveillance activities were examined for effectiveness.

The audit was conducted in a manner consistent with the Treasury Board Policy on Internal Audit.

3.0 Findings

3.1 Introduction

Detailed findings from the audit of Terrestrial Animal Health – ESS are based on the evidence and analysis from both our initial risk assessment and the detailed audit conduct.

In addition to the positive findings specific to controls presented below, observations related to governance and risk management that were non-systemic or of low materiality and risk have been communicated to management for their consideration.

3.2 Controls

Finding 1: Surveys Consistent with Agency Guidance

We expected to find that ESS has a documented standard or guideline for the design and delivery of national animal disease surveys. We expected that national animal disease surveys were designed in a manner consistent with a documented standard or guideline.

ESS has developed a Draft Guide to Good Survey Practices (GSP) and designs surveys in line with the GSP. National animal disease surveys that were examined included:

• Scientific objectives;
• Recommendations on sampling strategy;
• Recommendations on diagnostic tests;
• Test run report;
• Revised survey protocols, database(s) and communication strategies; and
• Revised pre-sampling documentation.

The GSP is readily available and was used for the design of the Bovine Serologic Survey (BSS) and the Canadian Notifiable Avian Influenza Surveillance (CanNAISS). The Agency may benefit from formalizing the GSP, potentially enhancing its use.

Finding 2: Surveys Well Planned and Implemented

We expected that ESS provided oversight to the implementation of the detailed pre-sampling plans. Oversight includes: budget allocation, completion of training and corrective action as required.

Controls exist to mitigate risks to the implementation of detailed pre-sampling plans. ESS provides oversight to budget allocation, training and corrective action required for the implementation of national animal disease surveys. National animal disease surveys clearly articulate roles and responsibilities which include budget forecasting, tracking and reporting. The office of the ESS’s National Manager reviews and approves all budget expenditures. Individuals responsible for sampling receive required training to ensure that samples are collected as described in pre-sampling plans. Quality assurance processes are in place to ensure corrective action is taken if and when necessary.

Finding 3: Sampling Protocols Are Followed

We expected that samples would be collected as described in sampling plans and in a manner consistent with the sample training provided.

Controls exist to ensure that the individuals responsible collect samples in a manner consistent with the sampling plans. A manual of procedures, standard operating procedures and sample collection protocols is in place for national animal disease surveys. Veterinarians contracted by the CFIA certify that sampling took place at a specified time and place. Procedures are in place for CFIA staff to collect, ship and input sample information into the Agency’s laboratory sample tracking system (LSTS).

Finding 4: Data Verification as per Standards

We expected that ESS assembles and verifies survey data.

ESS assembles and verifies survey data in accordance with detailed pre-sampling plans. ESS employs the Standards for Managing ESS Datasets. This standard provides guidance for receiving, editing, storing, securing, using and archiving datasets for the purposes of conducting disease surveillance and demographic surveys. Other controls such as proof reading, cross checking and random verification of data for accuracy and completeness are present to minimize risks to data integrity. There may be an opportunity for greater efficiency with regard to the management of survey data by automating some processes and ESS has identified requirements to address data inefficiencies and analysis tools.

Appendix A: Audit Criteria

Governance

Audit Criteria 1
We would expect to find operational plans and objectives aimed at achieving ESS’s strategic objective(s).

Audit Criteria 2
We would expect to find that external and internal environments are monitored to obtain information that may signal a need to re-evaluate ESS’s objective(s), policies, and/or control environment.

Risk Management

Audit Criteria 3
We would expect to find that ESS identifies, assesses and responds to the risks that may preclude the achievement of its objectives.

Controls

Audit Criteria 4
We would expect to find that ESS designs National Surveys in accordance with the Agency’s DRAFT Guide to Good Survey Practice and accepted standards.

Audit Criteria 5
We would expect that ESS implements National Surveys in accordance with detailed pre-sampling plan(s).