June 1, 2022
Minutes of the Audit and Evaluation Committee (AEC) Meeting
June 1, 2022
09:30am to 12:00pm
Microsoft Teams Meeting
Members:
Graham Fraser, External member - Chair
André Grondines, External member
Caroline Maynard, Information Commissioner
Secretary to the Committee:
Elia Moscovitz, Financial Analyst – Finance and Procurement for Bojana Terzic, Team Lead - Strategic Planning, Policy and Program Evaluation and Audit
Regular attendees:
Sébastien Lafond, Director, Finance, Procurement, Administration and Security for France Labine, Deputy Commissioner, Corporate Services, Strategic Planning and Transformation Services, Chief Financial Officer (CFO) and Chief Audit Executive (CAE)
Senior Management Committee:
Layla Michaud, Deputy Commissioner, Investigations and Governance
Gino Grondin, Deputy Commissioner, Legal Services and Public Affairs
Guests:
Catherine Lapalme, Principal, Office of the Auditor General of Canada
James Ellard, Director, Communications and Public Affairs
Meeting Summary
Approval of Agenda and Record of Decisions and action items from the February 2, 2022 meeting.
Status report on the implementation of the management action plan related to the Evaluation of Internal Controls related to Payroll and the Evaluation Report on the OIC’s Registry function.
Updates on the Integrated Corporate Risk Profile Approach and the Values and Ethics Program.
Sectorial Updates including Parliamentary Affairs and Communication directorate.
Office of the Auditor General of Canada (OAG) Update.
1. Welcome and Opening Comments
The Chair and the Commissioner welcomed everyone to the meeting. The Chair noted and congratulated the Commissioner on the published reports as well as the appearance at Parliamentary Committee.
The Chair recognized the work completed by the Commissioner and all employees.
2. Introduction of new Committee member, Catherine Lapalme (OAG)
The external members and the Commissioner welcomed Catherine Lapalme as new OAG representative. The external members provided an introduction of themselves to the new representative.
The new representative provided the OAG update. The OAG Audit will begin in mid-August.
Action item:
- No action required
3. Minutes and Action Items from the February 2, 2022 Meeting
The members approved the minutes of the February 2, 2022 meeting.
The action items were reviewed and approved.
Action item:
- Publication of the minutes of the February 2, 2022 meeting on the OIC website.
4. Status Report on Implementation of Past Internal Audit and Evaluations – Presented by S. Lafond
S. Lafond, in attendance for F. Labine provided context on the management action plan (MAP) implementation for the Evaluation of Internal Controls over Salaries and Employee Benefits:
- Most of management actions started and continue to be implemented with improvements to documentation processes present.
- Mr. Lafond provided additional details on the ongoing implementation of electronic forms
- For Item 1.4, it is expected to be completed by September 2022 with the documentation on the procedure complied by the end of the Fiscal Year.
- For Item 2.2, the OIC will need to provide internal awareness and training to its employees and managers to utilize electronic timesheets in Phoenix.
External Member, A. Grondines, asked if there are changes related to Information Technology (IT) for Phoenix. Mr. Lafond provided context that IT changes are implemented in solutions outside of Phoenix for the management of electronic forms.
Chair questioned if there is confidence in continuing to use the Phoenix system. Mr. Lafond explained that OIC must continue to use the system but that the Federal Government is piloting new pay solutions. Human Resources and Finance continue to collaborate to ensure reconciliations of pay is made and that transactions are recorded correctly.
Mr. Lafond provided an update on the evaluation report on the OIC’s Registry function. Phase 1 of the evaluation is now complete with Phase 2 ongoing. Implementation of the MAP is almost complete with IT successfully updating functionalities of the Registry’s electronic tools (i.e., Intrac).
Action item:
No action required
5. Integrated Corporate Risk Profile Approach – Presented by S. Lafond
Mr. Lafond provided an update on the Integrated Corporate Risk Profile Approach. Other Departments were consulted to obtain a template of a Departmental Risk Management Framework that correspond to OIC’s needs. The template can be used with small adjustments required to adapt to the organization.
OIC will asses the most important risks, evaluate those risks and provide a response to the risks identified and assessed.
When the Integrated Corporate Risk Profile Approach exercise will be completed, it will be used to prepare the Risk-Based Audit and Evaluation Plan (RBAEP).
Mr. Lafond provided context on the upcoming milestones with updates to the Risk Management Governance Model and the OIC Risk Taxonomy.
Chair asked if there are external pressures and deadlines to meet. The Commissioner confirmed that the deadlines for the Integrated Corporate Risk Profile Approach are internal.
External member asked who is responsible for the process. Mr. Lafond responded that Mrs. Terzic is responsible with support from CFO and Finance sector.
Action item:
- No action required
6. Report on Wrong-Doing – Presented by S. Lafond
Mr. Lafond confirmed that there are no wrong-doings to report.
Action item:
- No action required
7. Values and Ethics Program – Presented by S. Lafond
Mr. Lafond provided an overview of the updated Code of Values and Ethics noting that it establishes corporate values and provides information about expectations.
External member praised the requirement of an attestation that employees are to apply the Code in their daily work as federal public servants.
The Chair concurred and appreciated that the Code addressed continuing societal changes.
Action item:
- No action required
8. Corporate Services Sectorial Update – Presented by S. Lafond
The Director for Finance, Procurement, Administration and Security provided an update to the sector. The highlights were the forecast of expenditures for 2022-2023 and the IT Could Strategy. The Director also provided an update on the Vaccine Verification Program where full compliance was observed in the selected sample and on the Future of Work.
External member asked about impact of inflation and increasing costs for the contract related to the IT Cloud Strategy. The Director explained that there should not be any issue as there is a contract in place for the next 3 years with possible extension.
The members reviewed and discussed the information presented.
Action item:
- No action required
9. Investigations Sectorial Update – Presented by L. Michaud
The Deputy Commissioner provided an update on the team’s results such as the closure of investigation files, the management of inventory, the optimization of operations, and current statistics of complaints registered and closed.
The update highlighted the Guiding Principles for Investigations which provide consistent marching orders for the completion of investigations. The Deputy Commissioner praised the synergies that Investigations was able to achieve with Legal, Communication and Corporate Services and thanked her team for the results achieved.
Chair congratulated the Deputy Commissioner on the results and the external member joined and commended on Investigations for always seeking improvements.
The members reviewed and discussed the information provided.
Action item:
- No action required
10. Legal Services and Public Affairs Sectorial Update – Presented by G. Grondin
The Deputy Commissioner, Legal Services and Public Affairs confirmed that there are no litigations to report.
The Deputy Commissioner provided an overview of the Legal Service activities and workload updates, noting that the team has been adjusting to increasing volumes and that the collaboration with other sectors is good.
The members reviewed and discussed the information provided.
Action item:
- No action required
11. Parliamentary Activities and Communication Update – Presented by J. Ellard
The Director provided an update on activities such as the Commissioner’s engagements, internal Communications, tabled reports, translation services, and Access to Information and Privacy (ATIP). In addition, an update was provided on the upcoming enhancements to the Intranet and external website. The enhancements will focus on the Investigations sector with provision of new functionalities for databases.
Chair congratulated the Director on the accomplishments and asked the tabling date of the OIC’s Annual Report. The Director responded that it is scheduled for tabling on June 15.
The members reviewed and discussed the information provided.
Action item:
- No action required
In Camera Session
A brief in camera discussion was held with the Commissioner, the Chair and the two external members.
Next Meeting
The next meeting is scheduled for August 24, 2022.