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Audits and Evaluations

Audit of Innovation Management

Introduction

Background

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:

1. to acquire and preserve the documentary heritage;
2. to make that heritage known to Canadians and to anyone with an interest in Canada and to facilitate access to it;
3. to be the permanent repository of publications of the Government of Canada and of government and ministerial records that are of historical or archival value;
4. to facilitate the management of information by government institutions;
5. to coordinate the library services of government institutions; and
6. to support the development of the library and archival communities.

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:

• Canadians will identify with Canada’s documentary heritage and see it as personally relevant;
• LAC will demonstrate a more disciplined, holistic and transparent approach to acquisition decisions with more effective use of resources;
• LAC will have a more responsive and agile organizational approach;
• LAC will be the steward of a documentary heritage collection that we can sustain; and,
• Memory institutions across Canada will collaborate to meet the need of Canadians for a more cohesive approach to Canada’s documentary heritage.

To achieve these outcomes, LAC is guided by the following key corporate priorities³:

• Using a more collaborative approach to fulfill LAC ’s mandate. A number of networks of libraries, archives and other institutions share the responsibility for documentary heritage;
• Redefining how LAC selects items to be acquired, based on how well they represent the whole of Canadian society;
• Improving access to its holdings by making descriptions simpler and more relevant;
• Ensuring digital as well as analogue preservation; and,
• Building LAC ’s capacity to manage and fully carry out its mandate.

As part of the modernization strategy, 12 modernization innovation initiatives (MIIs) were initiated. They are summarized in Appendix C.

Objective and Criteria

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:

• An effective governance structure is established to manage innovation;
• The organization has a formal and rigorous approach, including risk management, to manage innovation activities. It has implemented control measures to identify significant issues that could hinder the successful implementation of innovation management practices; and,
• The approach to innovation management is well communicated, understood and implemented by management.

Scope

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).

Methodology

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:

• Review of all MIIs, but the following six were selected for a more in-depth analysis: # 1, 2, 4, 7, 8 and 10;
• Review of relevant TBS and Departmental policies on the subjects of project management, change management and risk management;
• Review and analysis of documentation related to the MII including project charters, meeting records of decisions, presentations and reports on deliverables;
• Review and analysis of the processes in place to monitor and report on the progress and deliverables for the MIIs selected for in-depth review; and,
• Interviews with project leads and other key personnel.

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¹ Taken from the Library and Archives of Canada Act.

² www.collectionscanada.gc.ca/obj/013/f2/013-449-e.pdf

³ 2011-2012 LAC ’s Report on Plans and Priorities

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