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The Audit of Innovation Management (initially named Change Management) was part of the 2010-2013 Risk-Based Audit Plan which was recommended for approval by the Departmental Audit Committee and subsequently approved by the Deputy Head in September 2010.
The objects of the Library and Archives of Canada (LAC) are1:
To continue to fulfill its mandate in an increasingly digital world, LAC has embarked on an ambitious modernization exercise. In March 2010, a document entitled Shaping our Continuing Memory Collectively: A Representative Documentary Heritage2 set the vision and the strategy for achieving LAC ’s modernization objective which is to generate increased interest and access to its holdings, as allowed by technological progress and the existing legal framework. This involved updates to the business processes, a re-positioning and re-structuring of the mechanisms used to deliver LAC ’s mandate as well as a review of policies to enhance clarity and strengthen accountability. The strategy focused on upgrading digital access to all holdings and increasing institutional collaborative agreements.
As stated in the 2011-2012 Report on Plans and Priorities, the modernization strategy was designed to generate the following outcomes:
To achieve these outcomes, LAC is guided by the following key corporate priorities3:
As part of the modernization strategy, 12 modernization innovation initiatives (MIIs) were initiated. They are summarized in Appendix C.
The objective of this audit was to determine if the innovation management governance process and internal control procedures were adequate and effective to allow LAC to fulfill its strategic priorities and modernization objectives.
The audit criteria for this audit engagement encompass the following:
The scope of this audit covers the 12 MIIs, including all activities that support project management and change management within the organization. The audit period was from January to November 2011 (excluding the summer months, when no work was done).
The audit fieldwork was conducted in accordance with the Treasury Board Secretariat of Canada (TBS) Policy on Internal Audit, which stipulate that the standards of the Institute of Internal Auditors apply to the Public Service sector. These standards require that the audit be planned and performed in such a way as to obtain reasonable assurance that the audit objective is achieved.
The audit included various audit procedures considered necessary to provide a reasonable assurance. These included but were not limited to the following:
1 Taken from the Library and Archives of Canada Act.
3 2011-2012 LAC ’s Report on Plans and Priorities