May 23, 2018
Audit and Evaluation Committee (AEC) Meeting
May 23, 2018
8:30 am to 12 pm
30 Victoria Street
Gatineau, QC
Meeting Chair: Dyane Adam
Secretary to the Committee: Richard Rizok
Attendees
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 (telephone); Stephen Campbell, Director, Financial Services, Security and Administration & Deputy Chief Financial Officer; Aditya Ramachandran, Counsel; Jacqueline Strandberg, Counsel (telephone); Tania Ladouceur, Associate Director, HR, Security and Accommodations.
Record of decisions
Meeting summary
Information shared by Parliamentary Affairs, Legal, Finance, and Investigations
Risk-based audit and evaluation plan reviewed
Threat Risk Assessment (TRA) Audit and Security Audit results reviewed
OCG risk-based audit plan and OIC Departmental Plan presented
Welcome and opening remarks
The Chair welcomed all attendees and specifically the Commissioner to her first AEC Meeting.
Minutes and action items from the January 11, 2018 meeting
The members approved the minutes from the January 11, 2018 meeting. They will be published on the OIC website.
No questions or comments with regards to pending action items.
Audit updates – Presented by T. Ladouceur & R. Rizok
IT Threat Risk Assessment recommendations and action plan reviewed. Further updates by incoming IT Director to come at the next meeting.
Security Assessment recommendations and action plan reviewed. New OIC security plan is drafted. A table top exercise will occur once the AS-04 position is staffed.
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 this year while the HR and Procurement audits would be moved to 2019-20.
Action Item: CAE to have revamp the audit schedule and present it at the next meeting.
CAE and external member to explore options for evaluators.
Office of the Comptroller General (OCG) Three-year risk-based audit plan (RBAP) – Presented by R. Rizok
Reviewed the high risks for small departments as listed in the OCG RBAP and how they apply to the OIC.
Office of the Auditor General (OAG) recommendations regarding Phoenix – Presented by R. Rizok
CAE presented the letter from the OAG to the OCG containing eight (8) recommendations and how they apply to the OIC
Discussed the possibility that the OAG would select the pay of an employee at the OIC to review (very low).
Internal review of retro payments – Presented by R. Rizok
Reviewed the methodology and results of an internal review of retro payments done by the CAE
OAG requested access to the findings for the year-end audit.
Action Item: CAE to provide retro review findings upon request to the OAG.
Departmental Plan – Presented by R. Rizok
CAE presented the highlights included in the Departmental Plan.
Finance update – Presented by S. Campbell
Director, Financial Services, Security and Administration & Deputy Chief Financial Officer presented the year-end financial results for 2017-18; and presented the budget allocation and forecasts for 2018-19.
Report on investigations – Presented by L. Michaud
Commissioner discussed her priorities and strategies for reducing the inventory and timelines for complaints.
Commissioner also discussed her strategy for implementing the legislative changes contained in Bill C-58.
Commissioner mentioned her intention to begin the strategic planning to focus the objectives and priorities during her mandate, this will be reflected in the risk-based audit plan as well as the overall management of risk.
Commissioner noted that the employees at the OIC are enthusiastic and motivated.
Deputy Commissioner, Legal Services and Public Affairs spoke of recent improvements to the investigative strategies as well as the approach to collaboration with institutions.
The external members discussed the year end statistics and trends for 2017-18.
Legal update – Presented by A. Ramachandran
Counsel gave an update on pending legal cases and stated that seven (7) cases had concluded since the last meeting.
Deputy Commissioner, Legal Services and Public Affairs discussed new priorities for Legal Services including an added emphasis on cases of interest to the public; using more internal resources for litigation; and increasing the monitoring of access to information motions before the courts.
Parliamentary activities – Presented by J. Strandberg
Counsel gave an update on Bill C-58 and recent committee appearances and consultations.
Discussion on a new approach and format for the Annual Report.
In camera session
A brief in camera discussion continued with the Commissioner, the Chair and the External Member.
Next meeting
The next meeting is scheduled for August 16, 2018 at the OIC.