Audit of Business and Regulatory Law – British Columbia Regional Office
October 03, 2012

Appendix A – Audit Criteria

The following audit criteria were developed during the planning phase of the audit and included relevant criteria to address specific risks identified in the planning phase. They were derived from TBS guidance on auditing management frameworks provided in the “Core Management Controls: A Guide for Internal Auditors”.

Audit Criteria Results
1.0 An appropriate governance and organizational structure is established, communicated and conducive to the achievement of objectives and operational requirements. Partially Met
2.0 Accountability is clear and management has reliable information that supports decision-making and accountability including measurement systems. Met
3.0 Resources (human, financial and material) are properly planned, managed and supported. Partially Met
4.0 Policies, other relevant tools and training (i.e. operating manuals) have been developed to support the delivery of services and disseminated to staff. Met
5.0 Reliable information systems are in place for decision-making and accountability. Met
6.0 Effective legal risk management practices are in place. Met
7.0 Legal file management is effective using iCase. Met
8.0 Effective interfaces with other Justice Canada Sectors and client departments are maintained. Met
9.0 A high level of client department satisfaction with services provided is monitored and maintained. Met
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