Audit of the Legislative Services Branch (Drafting and Advisory Services & Legislative Revision Services)
October 03, 2012
Appendix A – Audit Criteria
The following high level 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”.
| High Level Criteria |
Results |
Governance and Strategic Direction
1.0 The Legislative Services Branch is supported by effective governance and strategic directions (e.g. strategic objectives, oversight bodies, lines of communication with oversight bodies). |
Met |
Business Planning
2.0 The Legislative Services Branch is supported by appropriate business planning activities (e.g. established objectives; business, annual and work plans). |
Partially Met |
Organizing
3.0 The Legislative Services Branch is supported by an adequate organizational structure (e.g. accountability elements relating to roles and responsibilities: organizational structure, position descriptions, number of positions, span of control). |
Met |
Controlling
4.0 The Legislative Services Branch is supported by adequate controlling mechanisms (e.g. workload management, accountability elements relating to performance monitoring and reporting). |
Partially Met |
Leading and Communicating
5.0 The Legislative Services Branch is supported by adequate leadership and communication (e.g. providing direction and communication information to staff during meetings, minutes, retreats, mentoring, e-mail updates, and open-door policy). |
Met |
Risk Management
6.0 The Legislative Services Branch is supported by effective risk management processes (e.g. processes to identify, mitigate and adjust risk management approaches to meet changing operational requirements). |
Met |
