Audit of the Regulatory Development Process: chapter 6
Annex 1 Audit methodology and criteria
The audit was conducted in conformance with the Internal Auditing Standards of the Government of Canada, as supported by the results of the AEB's Quality Assurance and Improvement Program. The methodological approach consisted of the following:
- Interviews: Director Generals from EPB Directorates whose work involves regulations were interviewed as well as key individuals in LRAD. The interviews were used to determine the scope of the audit and to validate the findings.
- Documentation review: The audit referred to key documents as they relate to the regulatory function in the Government of Canada and ECCC specifically and included: the Cabinet Directive on Regulatory Management, the Corporate Risk Profile 2014-2017, the World Class Regulator criteria, the Regulatory Quality Management System, the Instrument Choice Framework for CEPA regulations, the Forward Regulatory Plans, the Regulatory Drafting Priorities List, and others.
- File examination: A judgemental sample of 20 items (16 regulations and 4 non-regulatory instrumentsFootnote19) was selected and tested for compliance and efficiency. The audit examined whether all 20 items were subject to a proper choice of instrument analysis and consultation to warrant introduction of regulation, a non-regulatory instrument, or a combination of these options. The sample of the 16 regulations was tested for compliance with the ECCC's Regulatory Quality Management System for the development and publication of regulation as well as key controls for regulation monitoring.
The sample for file examination was selected to provide representation under a variety of regulations-enabling legislations (11 items under CEPA, 3 under SARA, 2 under MBCA, 2 under the Fisheries Act, and 2 under other legislation); different stages of completion (regulations in development and already implemented which were in progress between 2011 and 2014); new regulations and amendments to already existing regulations; and representing a variety of areas regulated by the Department (including regulations of vehicles and engines, wildlife species, chemical substances, and others). During the planning phase of the audit, a pilot sample of 4 regulations (included in the total of 20) was chosen to determine the risk areas for file examination.
Project key dates
- Opening conference (launch memo)
- March 2015
- Audit plan approved
- October 2015
- Fieldwork completion
- December 2015
- Draft Audit Report provided to management
- May 2016
- External Audit Advisory Committee
- June 2016
- Deputy Minister approval
- November 2016
Objective: ECCC follows a rigorous process that complies with government policies and respects ECCC World Class Regulator criteria for the choice of instrument and the regulatory development process
| Criteria | Criteria Status |
|---|---|
| 1. ECCC should have and follow a rigorous process for its regulatory development process | Met |
| 2. The process should comply with government policy and WCR criteria. It should document work performed, and monitor and report on its regulatory performance. | Partially Met |
Objective: ECCC has an effective regulatory management process in place to meet the Department’s regulatory objectives.
| Criteria | Criteria Status |
|---|---|
| ECCC should have management processes and tools in place to plan, coordinate, monitor and report on regulatory activities, and help to actively address any risks related to regulatory development. | Partially Met |
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