Tax Law Services Ottawa Section
July 2011

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Table of Contents

• Statement of Assurance

• Executive Summary

• 1. Introduction

  • 1.1 Background
  • 1.2 Audit Objectives and Scope

• 2. Observations – Management Framework

  • 2.1 Governance and Strategic Direction
  • 2.2 Business Planning
  • 2.3 Organizing
  • 2.4 Controlling
  • 2.5 Leading and Communicating

• 3. Observations – Human, Financial, and Materiel Resources

  • 3.1 Human Resource Planning
  • 3.2 Number and Mix of Resources
  • 3.3 Performance Review and Employee Appraisal Process
  • 3.4 Training and Development
  • 3.5 Flexible Work Arrangements
  • 3.6 Law Practice Model
  • 3.7 Procedures Manual
  • 3.8 Administration of Financial Resources
  • 3.9 Control and Protection of Key Assets

• 4. Observations – Information Systems

  • 4.1 Reliability of Information Systems for Decision Making

• 5. Observations – Compliance With Key Legislation

  • 5.1 Compliance With Key Legislation and Related Policies

• 6. Observations – Risk and Legal File Management

  • 6.1 Risk Management
  • 6.2 Legal File Management
  • 6.3 Forecasting of Demand for Legal Services

• 7. Observations – Interfaces With Other Justice Sectors and Client Departments

  • 7.1 Other Justice Sectors
  • 7.2 Client Department

• 8. Observations – Client Satisfaction

  • 8.1 Level of Client Satisfaction With the Services Provided

• APPENDIX A – Audit Methodology

• APPENDIX B – Risk Assessment Guidelines for Audit Recommendations

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