January 30, 2020
Audit and Evaluation Committee (AEC) Meeting
January 30, 2020
9:00 a.m. to 11:45 a.m.
30 Victoria Street
Gatineau, Quebec
Room 201
Meeting chair: Graham Fraser
Committee secretary: Manon Durand
Attendees
Members:
Graham Fraser, Chair
Caroline Maynard, Information Commissioner
David Rattray, External member
Regular attendees:
France Labine, Deputy Commissioner, Corporate Services, Strategic Planning and Transformation Services, Chief Financial Officer and Chief Audit Executive
Layla Michaud, Deputy Commissioner, Investigations and Governance
Gino Grondin, Deputy Commissioner, Legal Services and Public Affairs (absent)
Stephen Campbell, Director, Finance, Contract and Audit
Guests:
Riowen Abgrall, Principal, Office of the Auditor General of Canada
Natacha Bernier, A/Deputy Commissioner, Legal Services and Public Affairs
James Ellard, Director, Communications and Public Affairs
Serge Galipeau, Director, IM/IT
Record of Decisions
Meeting Summary
Approval of record of decisions and action log from the meeting of November 7, 2019.
Approval of the Audit and Evaluation Committee Charter.
Approval of the modified calendar for the Risk-Based Audit and Evaluation Plan (RBAEP).
Discussion of the 2019-2020 Audit Plan of the Office of the Auditor General of Canada.
Discussion of the Threat and Risk Assessment (TRA) and the Threat and Vulnerability Assessment (TVA).
Information sent by Finance, Corporate Services, Investigations, Legal Services and Public Affairs.
Call to Order and Opening Remarks
The Chair welcomed all the participants and wished them a Happy New Year.
Minutes and Action Items from the Meeting of November 7, 2019
The members approved the minutes of the meeting of November 7, 2019.
The action items were reviewed and discussed.
The members approved the Audit and Evaluation Committee Charter.
Action required: publication of the minutes of the November 7, 2019, meeting and the Audit and Evaluation Committee charter on the website of the Office of the Information Commissioner of Canada.
OAG Audit Plan – presented by R. Abgrall
The Senior Director, OAG, presented the audit plan for 2019-2020, emphasizing the risks identified, responses from management and the expected response from the OAG. There were no new accounting standards that could have an impact on the OIC. The senior director also presented the minor changes in terms of materiality level.
The members reviewed and discussed the information presented.
The Committee confirmed to the OAG that there were no changes in management’s fraud prevention and detection responsibilities and that there was no knowledge of any fraud.
Action required: no action required.
Threat and Risk Assessment (TRA) and Threat and Vulnerability Assessment (TVA) – presented by S. Galipeau
The Director, IM/IT, presented the current security status of the Office of the Information Commissioner regarding the assessment of the threats and risks that had been identified in the 2018-2019 Risk-Based Audit and Evaluation Plan. Specifically, the Director presented all the work that had been done by his team over the past 18 months, as well as the next steps.
The members reviewed and discussed the information presented. The Committee members commended the IT team for its excellent work.
Action required: no action required.
Finance update – presented by S. Campbell
The Director, Finance, Contract and Audit, presented the results of the budget review of the third quarter of 2019-2020. A budget surplus was expected at year-end in excess to the carry-forward amount of 5%. Different scenarios and strategies were discussed for carrying forward this amount to a subsequent budget exercise.
The members reviewed and discussed the information presented.
Action required: no action required.
Update – Corporate Services – Presented by F. Labine
The Deputy Commissioner presented the different files in progress at Corporate Services.
She emphasized the number of actions carried out by Human Resources since April 1, 2019,
the reorganization of Finance following the announcement of Stephen Campbell’s retirement in April 2022, the budget request for 2020-2021 that had been submitted to the Department of Justice on January 22, and the strategic planning that was underway and that would be presented on February 4 to all OIC employees and of which the members had received a draft copy for information purposes.
A change to the calendar for the Risk-Based Audit and Assessment Plan (RBAEP) was proposed, namely, to extend the duration of the Evaluation of Investigations planned for fiscal 2019-20 to fiscal years 2019-20, and 2020-21 and to change the cost from $25,000 to $50,000.
The change was discussed and accepted by the members.
Action required: update the Risk-Based Audit and Evaluation Plan (RBAEP) on the Office of the Information Commissioner’s website.
Update – Investigations – Presented by L. Michaud
The Deputy Commissioner, Investigations and Governance, presented the latest investigations statistics. The upward trend observed since last summer concerning the number of complaints received has stayed steady, with 5,403 complaints received as of January 28, 2020, compared with 1,612 as of the same date last year, bringing the inventory to 5,679 files.
On the other hand, the number of complaints closed to date already exceeds the record number of files closed in 2018-19, with 3,148 files closed in 2019-20 compared to 2,600 files closed for the total year of 2018-19. The investigator’s team does very good work; however, the lack of resources to be able to assign received files more quickly remains one of the major issues facing the department. The different strategies put in place over the past year to optimize file closing are ongoing.
The oldest files date from before April 1, 2018, representing 1,309 files (almost 25% of the current inventory); this is of great concern and particular attention is being paid to the matter. Different strategies are being reviewed to continue to address the situation and try to expedite their processing.
The first final report since the coming into force of the new Bill C-58 had been issued by the Commissioner. There were currently two systemic investigations under way, including one that will be finalized shortly and a third that was expected to begin in the upcoming months.
The members reviewed and discussed the information presented.
Action required: no action required.
Update – Legal Services – Presented by N. Bernier
The Acting Deputy Commissioner, Legal Services and Public Affairs, presented the latest decision rendered by the courts affecting the Office of the Information Commissioner, specifically, the Federal Court of Appeal decision in Transport Canada v. Air Transat Inc., 2019 FCA 286. The decision was discussed and the various aspects to be retained from the decision were presented.
The members reviewed and discussed the information presented.
Action required: no action required.
Update – Public Affairs– Presented by J. Ellard
The Director, Communications and Public Affairs, gave an update on the different communications strategies used and the Policy, Parliamentary Affairs and Communications projects in progress. The conferences and presentations attended by the OIC were also presented. It was also mentioned that the ATIP compliance rate was 100%, with no complaints or deemed refusals.
Action required: no action required.
In camera session
A brief in camera discussion was held with the Commissioner, the Chair and external members.
Next meeting
The next meeting is scheduled for May 21, 2020.