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ARCHIVED - Internal Audit and Evaluation Bureau - Audit of Electronic Record Keeping


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Appendix B: Audit Criteria

The objective of this audit was to provide assurance that the management control framework over information management is in place and provides relevant, timely and accessible information to support decision making. The following table provides the detailed criteria and subcriteria by line of enquiry, as identified by the Office of the Comptroller General and adopted for this report accordingly.

  • Policy and Governance -Departments have governance structures in place to effectively support an information management strategy and information management outcomes.
    • 1.1  Governance structures, mechanisms and resources are in place to ensure the continuous and effective management of information.
    • 1.2  Monitoring and reporting processes are in place for information management.
  • Line of Enquiry 2:People and Capacity - Departments are developing highly skilled workforces to ensure that capacity exists to deliver information management outcomes.
    • 2.1 Departments have a common body of knowledge, learning and assessment tools. Monitoring and reporting processes are in place for information management.
    • 2.2 Departments have a common understanding of common policy instruments and assessment tools.
  • Line of Enquiry 3:Enterprise and Information Architecture – Departments are developing information architecture and processes that respect their information management risks and controls, and operational requirements
    • 3.1 Information and records are identified and managed as valuable assets to support the outcomes of programs and services, as well as operational needs and accountabilities.
    • 3.2 Government programs and services provide convenient access to relevant, reliable, comprehensive and timely information.
  • Line of Enquiry 4:Information Management Tools and Applications – Information management tools are developed and implemented that respect appropriate control requirements of the department and of the business users, and are compliant with the information architecture within and across departments.
    • 4.1  Departments develop and implement common and enterprise-wide tools and applications.
  • Line of Enquiry 5:Information Management and Service delivery – Record-keeping practices ensure that information is timely, accurate, and accessible for departments in the delivery of Government of Canada programs and services.
    • 5.1 All information is managed to ensure the relevance, authenticity, quality, and cost-effectiveness of the information for as long as it is required to meet operational needs and accoutabilities.
    • 5.2 Departmental programs and services integrate information management requirements into development, implementation, evaluation, and reporting activities.