2.1 Audit Scope and Objectives
The scope of the audit included the 20,365 requests for digitized service and health records initiated between October 1, 2014 and September 30, 2015. VAC has partnerships with PSPC, LAC, RCMP, and DND for the purpose of requesting and/or digitizing SHRs. The audit team examined the digitization processes from VAC’s initial request for the SHR until the moment the SHR was digitized and made available in CSDN. The following elements were not included in the audit:
- Service and health records digitized for purposes unrelated to the disability benefits program; and
- Internal processes and practices at DND, RCMP, LAC and PSPC related to the digitization of service and health records.
The objectives of this audit were to assess:
- The adequacy of VAC’s management control frameworkFootnote 2;
- Compliance with applicable policies and processes; and
- Turnaround times and identify opportunities to improve efficiency.
The audit criteria are provided in Appendix A.
2.2 Methodology
This audit engagement was planned and conducted to be in accordance with the Internal Auditing Standards for the Government of Canada.
Interviews, file reviews, and direct observation sessions were conducted with staff at VAC Head Office, VAC Area Offices, PSPC, RCMP, LAC, and DND to obtain an understanding of digitization processes and to assess compliance with relevant policies, guidelines, and processes. The audit team conducted a documentation review of VAC’s regulations, policies, guidelines, and business processes as well as a data analysis of the 20,365 SHR requests initiated during the period under review.