2018: August 16 - Record of Meeting
Audit and Evaluation Committee (AEC) Meeting
August 16, 2018
8:30 am to 12 pm
30 Victoria Street
Meeting Chair: Dyane Adam
Secretary to the Committee: Richard Rizok
Members: Dyane Adam, Chair; Caroline Maynard, Information Commissioner; David Rattray, External Member
Regular attendees: Layla Michaud, Deputy Commissioner, Investigations and Governance & Chief Financial Officer; Gino Grondin, Deputy Commissioner, Legal Services and Public Affairs; and Richard Rizok, Chief Audit Executive
Invitees: Riowen Abgrall, Principal, Office of the Auditor General; Chantal Laberge, Acting Director, Financial Management, Procurement, and Audit & Deputy Chief Financial Officer; Aditya Ramachandran, Counsel; Serge Galipeau, Director of Information Technologies; James Ellard, Director, Communications and Parliamentary Affairs; Manon Durand, Financial Services Officer; and Carole Audette, Registrar.
Record of Decisions
Financial Statements approved by the AEC and signed by the Commissioner
Office of the Auditor General (OAG) report to AEC presented
Information shared by Parliamentary Affairs, Legal, Finance, and Investigations
Risk-based audit and evaluation plan reviewed
Threat Risk Assessment (TRA) Audit results reviewed
OIC Departmental Results Report (DRR) and Value and Ethics presented
Welcome and opening remarks
The Chair welcomed all attendees.
Minutes and action items from the May 23, 2018 meeting
The members approved the minutes from the May 23, 2018 meeting. They will be published on the OIC website.
It was decided by the AEC to change the combination locks on filing cabinets once a year, or when an employee leaves the OIC, as per the Treasury Board policy.
Review the Forward Calendar
The forward calendar for 2019-20 was reviewed.
Financial Statements Presentation – Presented by C. Laberge
The Acting Director, Financial Management, Procurement, and Audit & Deputy Chief Financial Officer thanked the finance team and the Office of the Auditor General (OAG) for their collaboration and presented a detailed review of the financial statements for 2017-18.
Office of the Auditor General (OAG) report to the AEC – Presented by R. Abgrall
The Principal from the OAG thanked the OIC’s finance team for their efforts and presented the OAG report containing the annual audit results, risks and mitigations.
The Chair noted a difference between the French and English versions.
The external member wanted further assurances that fraud did not occur at the OIC. This assurance was provided by the OAG.
Action Items: AEC expenses to be disclosed proactively on the OIC website.
OAG Audit Report to be changed so the English and French versions are the same.
Risk-based Audit and Evaluation Plan (RBAEP) – Presented by R. Rizok
Reviewed the upcoming audits and evaluations included in the RBAEP. It was decided that the program evaluation would be conducted next year while the procurement audit would occur this year.
Action Item: CAE to revise the audit schedule.
Office of the Auditor General (OAG) recommendations regarding Phoenix – Presented by R. Rizok
CAE presented an update on the action plan to address the OAG letter to the OCG containing eight (8) recommendations regarding the Phoenix Pay System.
Departmental Results Report – Presented by R. Rizok
CAE presented the highlights included in the Departmental Results Report due October 5, 2018.
Finance Update – Presented by C. Laberge
Acting Director, Financial Management, Procurement, and Audit & Deputy Chief Financial Officer presented an update on the current year budget allocation and forecasts.
The external member asked for more details in advance of the next meeting.
Action Item: OIC Finance will provide more financial details for the next AEC Meeting on November 8, 2018.
Report on Investigations – Presented by L. Michaud and C. Audette
Deputy Commissioner, Investigations and Governance & Chief Financial Officer did a live presentation from the case management system including dashboards and live complaint results.
A discussion took place regarding the new approaches to investigations including reducing team sizes; collaborative efforts with legal services and institutions; as well as revamping the website to increase communications with the access to information community and Canadians.
Parliamentary Activities – Presented by J. Ellard
Introduction of the Director, Communications and Parliamentary Affairs who presented updates on Bill C-58, recent committee appearances, consultations, policy renewal, the OIC Annual Report and website.
Legal Update – Presented by A. Ramachandran
Counsel gave an update on pending legal cases and stated that two cases had been discontinued since the last meeting.
Deputy Commissioner, Legal Services and Public Affairs discussed new procedures for legal affairs including the integration of two lawyers to each investigative team.
Values and Ethics – Presented by C. Maynard
The Commissioner gave a summary of the Public Service Employee Survey. The next survey occurs next year and the OIC is hoping to have an increase in the level of participation.
The Commissioner also discussed the Values and Ethics online training course as well as the plan to review the Values and Ethics code in the coming year. It will be posted online.
IT Audit Update – Presented by S. Galipeau
Introduction of the Director of IT who presented his vision to increase security awareness based on the Canadian Security Establishment Canada (CSEC) ten security measures.
CAE closing remarks
The CAE thanked the AEC for their professionalism and guidance over the past two years.
In Camera Session
A brief in camera discussion continued with the Commissioner, the Chair, the External Member and the Principal from the OAG.
The next meeting is scheduled for November 8, 2018 at the OIC.