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:
    1. Department of Justice Learning Policy
    2. Accountability Framework for MOUs Related to the Provision of Legal Services
    3. Treasury Board Common Services Policy
    4. Department of Justice Information Management Policy,
    5. Department of Justice National Timekeeping Protocol
    6. DOJ Legal Services Policy Framework
    7. 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:
    1. Law Practice Management Business Plan 2010-2011
    2. iCase Business Standards
    3. 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
    4. Accountability Framework For Memoranda Of Understanding Relating To The Provision Of Legal Services
    5. An Overview on Quality Assurance Presentation to the Working Group on the Quality Assurance Framework Initiative
    6. Information Management Services Division “Guideline on Managing Information in the Department of Justice”
    7. “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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