Industry Canada - Legal Services Unit
March 2012
Appendix B – Methodology
The audit was conducted based on the following methodology:
- an analysis of the management control framework in place using a risk-based approach related to key elements of the framework;
- a review of the relevant policies supporting the framework, including, but not limited to:
- Department of Justice Learning Policy
- Accountability Framework for MOUs Related to the Provision of Legal Services
- Treasury Board Common Services Policy
- Department of Justice Information Management Policy,
- Department of Justice National Timekeeping Protocol
- DOJ Legal Services Policy Framework
- Departmental Performance Review and Employee Appraisal Policy
- discussions with the stakeholders and a review and analysis of all documentation collected throughout the audit, including minutes of meetings, procedures manuals, charts, and reports, including, but not limited to:
- Law Practice Management Business Plan 2010-2011
- iCase Business Standards
- User’s Guide To The Memorandum Of Understanding Between The Department Of Justice And Federal Government Departments And Agencies For The Provision Of Legal Services
- Accountability Framework For Memoranda Of Understanding Relating To The Provision Of Legal Services
- An Overview on Quality Assurance Presentation to the Working Group on the Quality Assurance Framework Initiative
- Information Management Services Division “Guideline on Managing Information in the Department of Justice”
- “In My Opinion: Best Practices Of Department Of Justice Counsel In Providing Legal Advice”
- interviews with staff from the LSU, Department of Justice, and Industry Canada;
- an examination of the premises;
- a review of a sample of files from the iCase Legal Risk Management Mandatory Data Audit Report;
- a review of 50 emails from the LSU, Industry Canada, and other sectors of the Department of Justice, dated from January 7, 2008 to February 7, 2011.
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