Tax Law Services Prairie Region
July 2011

5. Compliance with key legislation

5.1 Compliance with Key Legislation

TLS – Prairie Region is in compliance with key legislation and policies.

Appropriate measures should be put in place by management to help ensure compliance with key legislation and associated policies.

Through our consultations with senior management in both the TLS – Prairie Region and management in the Portfolio Business Management Section, the audit team determined that the TLS – Prairie Region is subject to random Portfolio compliance reviews, which help ensure compliance is being maintained. For example, with respect to financial transactions and their compliance with the Financial Administration Act, senior management perform randomspot checks and sample evaluations to verify if transactions have been processed correctly and if the appropriate approvals have been obtained to support each transaction. TLS – Prairie Region personnel also rely on the assistance provided by Regional Corporate Services to help ensure financial transactions are in compliance with the legislation.

The audit team also determined that TLS – Prairie Region personnel depend on the guidance and direction from the Portfolio Business Management Section for advice on the Official Languages Act, Government Contracting Regulations, and other related policies and procedures.

In our opinion, appropriate measures exist to help monitor and maintain compliance with the key legislative documents and related policies in the TLS – Prairie Region.

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