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Home : Reports and Publications : Audit & Evaluation : Review of WD’s QAR Process

Recommendations

This review makes three recommendations to address issues noted among the findings:

  1. Design and implement a quality assurance management process;
  2. Standardize forms and file structures across regions; and
  3. Formalize project audit policies and procedures.

Each of these recommendations is discussed below.

1. Quality Assurance Management Process

WD should build upon the QAR process to design and implement a comprehensive quality assurance management process.

To implement such a process, WD should define:

  • Responsibility for overseeing the process;
  • Quality standards relating to the completeness and quality of file documentation;
  • Procedures that outline processes and responsibilities for:
    • File reviews and sign-off requirements;
    • Periodic, independent quality assurance reviews of selected files. Such reviews could be performed by a rotating, cross-regional team of staff representing Development and Assessment, M&P, and Finance;
    • Tracking and communicating the results of quality assurance reviews; and
  • Initial and on-going training requirements for both the quality assurance management process itself, and specific areas identified as a result of the review process.

The review of the M&P function also identified a need for an enhanced quality assurance process.

2. Standardized Forms and Files

WD should standardize project-related forms and files across all regions.

The review did not identify a compelling reason for project-related forms and files to differ between regions. Further, there are many good forms and file practices used by individual regions that could be shared throughout WD. WD should perform a department-wide review of its project-related forms and file structures, and agree upon standards.

As part of this exercise, WD should define a central, coordinating role to maintain and distribute forms, and to set filing standards.

This recommendation is consistent with recommendations in the M&P review related to the need for greater standardization and central coordination.

3. Project Audit Policies and Procedures

WD should implement specific, formal audit policies and procedures for auditing contribution agreements (projects).

WD is in the process of developing specific audit policies and procedures to support the WDP and ICIP RBAFs. The audit policies should ensure a significant portion of project audits performed are either non-discretionary or randomly selected. This will help ensure decisions about auditing specific projects do not compromise WD's ability to objectively assess the degree to which contribution agreements are being complied with.

WD should ensure the resulting policies are understood and implemented consistently in all regions. Further, WD should, as part of a quality assurance management process, monitor compliance with the audit policy.

Again, this recommendation is consistent with recommendations contained in the M&P review.


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