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Audit Update: Feb. 4, 2016

For the Feb. 4, 2016, Audit and Budget Committee meeting, the Chief Administrative Officer prepared an update to Council on Administration’s progress of implementing the recommendations from KPMG’s Accountability, Integrity and Transparency Audit. You can read that update here.

1.0 Governance

[What KPMG said on this topic.]

Recommendation Current Status
1.1 Set a clear and consistent “Tone from the Top”. 1.2 Review the current structure of the relationships between Council and Administration. An RFP was issued in March for governance training. At the June 16 ABC Meeting, the Committee decided not to award the RFP to the sole proponent. Administration was requested to continue to explore other Governance Training options (FCM/CAMA) in advance of bringing the item back before the Committee.

Completion date: Presented to Council on January 20, 2016. Referred back to Administration for further review. Group (in person) training options to be presented to Council no later than March 31, 2016.
1.3 Develop consistent information to be provided by Administration to Council. This will be addressed as part of the new CAO Bylaw which will identify reporting requirements.

Completion date: April 2016
1.5 Develop and document a process to support Administration’s annual representations with respect to internal controls. Discussions were held with KPMG and it was concluded that the process would be implemented for the 2015 year end process.

Completion date: Will be implemented as part of the 2015 year‐end process
1.6 Council to clearly define its expectations for the Municipal Auditor function To be determined with the Audit Committee once established.

Completion date: April 2016 Audit Committee

2.0 Council Policies

[What KPMG said on this topic.]

Recommendation Current Status
2.1 Implement a whistleblower policy. Draft policy being reviewed along with a structure for implementation.

Completed: Whistleblower Policy was approved by Council at its Oct. 6, 2015, meeting for implementation January 1, 2016.
2.2 Review and update Delegation Order on a regular basis to ensure it remains current. Delegation Order will be updated once the CAO Bylaw is revised.

Completion date: April 2016
2.3 Review and update existing Code of Conduct Policy to reflect leading practices. Review is in progress to ensure it aligns with our Corporate Values and reflects leading practices.

Completed: It was determined that this could be addressed through an amendment of the existing Code of Conduct Procedure as opposed to developing a Council Policy on Code of Conduct. Procedure has since been revised and is now in place.
2.5 Implement a Severance Policy and Procedure. Part of the comprehensive presentation to Council on Human Resources policies.

Completed: Council approved the Severance Policy on Dec. 1, 2015.

3.0 Organization Review – Communications and Public Affairs

[What KPMG said on this topic.]

Recommendation Current Status
3.1 Develop and document a mandate for the Public Affairs Department. Departmental mandates are being updated and new ones created as a result of organizational changes. Mandates will be shared with Council and posted to our website by the end of October.

Completed: Council was provided a copy of all departmental mandates on October 7, 2015 via e‐mail. Mandates are also posted on the RMWB website.

6.0 Travel and Living Expenses

[What KPMG said on this topic.]

Recommendation Current Status
6.1 Determine whether or not a Fly‐In‐Fly Out policy is required and if so implement a policy and procedure. Part of the comprehensive presentation to Council on Human Resources policies.

Completed: Policy presented to Council on Oct. 27, 201,5 and again on Dec. 1, 2015. Council did not support implementation of a Fly‐In‐Fly Out Policy.
6.2 Implement a policy and procedure for temporary housing. Part of the comprehensive presentation to Council on Human Resources policies.

Completed: Council approved the Temporary Housing Policy on Dec. 1, 2015.
6.5 Update the Delegation Order and LEG‐050 for the gaps noted in the Accountability, Integrity and Transparency Audit Report. Policies/procedures require updating not the Delegation Order to address this recommendation. LEG‐050 – Elected Official Compensation Policy is being amended to clarify who will approve expenses for Mayor and Councillors. Administration is reviewing current policies/procedures to determine what requires updating to address expense approvals for the CAO & senior staff.

Completion date: TBD
6.11 Consider implementing an automated approval workflow for expense reports. This item will require SAP resources and therefore would be prioritized against other SAP projects.

Dedicating SAP resources at this time is not anticipated due to existing higher priority work plans.

8.0 Tenders and Proposals

[What KPMG said on this topic.]

Recommendation Current Status
8.1 Review PUR‐100, Procurement Policy, in accordance with the mandatory review dates. No significant changes to the existing policy anticipated since public procurement is guided by the Agreement on Internal Trade and the New West Trade Partnership Agreement.

Completed: Council approved Procurement Policy at its Jan. 26, 2016, meeting.
8.4 Update Supply Chain Management Procedure ‐ FIN 190 to include a minimum categorical requirement for proposal submissions. A minor wording change may be included in the Procurement Policy update that addresses the ability of the Municipality’s Supply Chain Professional to ensure that the procurement process is adaptable to the various procurement activities undertaken.

Completion date: In progress now that the Procurement Policy PUR‐100 has been approved by Council.

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