Industry Canada - Legal Services Unit
March 2012

Appendix A – Audit criteria

The audit criteria were developed during the planning phase of the audit and included relevant criteria to address specific risks identified in the planning phase.

Audit Criteria Results
1.1.1 The governance and strategic directions for the Staffing, Resourcing, and Corporate Programs are clear and reflected in the organization’s plans and policies. Met
1.2.1 Senior management have developed and maintained an overall quality plan. There is a regular monitoring of progress against the plan, and corrective action is taken as required. Met
1.3.1 Roles and responsibilities are clearly defined, logically organized, and documented through a formal organization chart. The mix of resource use is established according to a rational set of factors that reflects management needs, client requirements, complexity, and other risk considerations. Met
1.4.1 Resource usage is monitored, including workload and tracking of work progress and output according to established priorities and plans. Met
1.5.1. Communications are efficient, formalized, and documented. Met
2.1.1 The organization has sufficient human, financial, and material resources to achieve its mandate and meet the client’s needs. Met
3.1.1 The information systems in place support decision making, priority setting, and resource utilization. Met
4.1.1 Appropriate policies and procedures are implemented to ensure adherence to the Official Languages Act. Met
5.1.1 Effective risk management practices ensure an appropriate management of legal files. Met
5.1.2 There are procedures in place to support efficient forecasting of demand for legal services. Met
6.1.1 Key needs of other sections (e.g. Public Law Sector, Civil Litigation) have been clearly identified and communicated. Met
6.1.2 Information provided and received is timely, accurate, and clear. Met
7.1.1 Clients needs are clearly identified and performance measurement processes are in place to assess the client’s satisfaction with the level of services delivered. Met
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