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From YouTube: Auditor General Committee - April 22, 2022
Description
Auditor General Committee
The pursuit of an Auditor General for the City of Vancouver is a priority for Council and can be an important opportunity to support staff and Council in their pursuit toward organizational excellence.
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Attended by Council that have been appointed as committee members and City Clerk
- Chair: to be appointed
A
And
welcome
to
the
auditor
general
committee
meeting,
I
call
this
auditor
general
committee
meeting
of
friday
april
22
2022
to
order
this
committee
meeting
is
being
convened
by
electronic
means
as
authorized
under
part
14
of
the
procedure
bylaw.
As
such
committee
members
may
participate
in
person
or
by
electronic
means.
A
If
any
committee
member
loses
connection
during
the
voting
process,
we
have
staff
on
hand
to
facilitate
getting
you
back
online
quickly.
While
we
suspend
the
voting
process,
the
contact
information
has
been
circulated
to
you.
Members
of
the
public
can
view
the
proceedings
via
the
live
stream
and
youtube
link,
which
will
be
tweeted
out
by
at
vancity
clerk.
A
Video
of
committee
members
speaking
presentations,
amendments
and
vote
results
will
be
projected
to
viewers
when
available
committee.
Members
are
reminded
that
to
please
enable
their
video
to
ensure
quorum
is
maintained
during
the
meeting
under
section
14.13
of
the
procedure
by-law.
If
attending
virtually
external
members
of
the
committee
can
access
the
speaking
queue
by
clicking
the
raise
hand
icon
on
webex
or
raise
your
actual
hand,
we
acknowledge
that
we
are
on
the
ancestral
and
unseated
homelands
of
the
muslim
squamish
and
slaytooth
people.
A
A
Thank
you
clerk.
Before
I
begin
we,
I
do
have
some
announcements.
Any
comments
on
the
agenda
item
can
be
sent
to
the
committee
using
the
web
form
on
the
city's
website
that
link
to
and
from
will
be
tweeted
out
again
on
vancity
clerk.
I
also
want
to
note
the
city
of
vancouver's
long-standing
commitment
to
equity,
diversity
and
inclusion,
including
utmost
respect
for
all
genders.
I
remind
committee
members
that
when
addressing
speakers
and
staff,
we
will
avoid
using
gendered
honorifics
and
will
instead
refer
to
the
person
by
first
and
last
name
role
or
title.
A
And
finally
I
would
like
to
remind
committee
members
that
if
amendments
are
brought
forward,
they
must
be
submitted
to
the
clerk
in
final
written
form
before
the
council
member
introduces
them.
Please
ensure
the
clerk
has
received
your
amendments
by
using
the
council
meeting
amendments
dl
all
right,
then
so.
First
item
on
the
agenda
is
whistleblower
study
and
I
believe
we
have
a
slide
presentation
and
I'd
like
to
invite
the
auditor
general
to
please
introduce
this
item
mike.
E
While
it
is
a
report,
it's
important
to
note
that
this
is
not
an
audit
report
and
I
did
not
examine
the
effectiveness
of
the
city's
whistleblowing
program.
It's
a
really
important
distinction.
The
study
wasn't
actually
part
of
my
audit
plan.
It
was
instead
prepared,
in
response
to
a
request
from
this
committee.
E
The
study
is
a
compilation,
a
publicly
available
information
compile.
Excuse
me
comparing
vancouver's
whistleblower
practices
to
those
of
similar
jurisdictions,
those
with
an
auditor
general
or
equivalent,
which
provides
sufficient
public
information
to
allow
for
comparison.
The
selection
of
ottawa,
toronto
and
calgary
is
intended
to
be
illustrative
rather
than
exhaustive.
Other
jurisdictions
have
whistleblowing
programs
as
well.
E
Next
slide,
please,
there
are
a
number
of
definitions
of
whistleblower.
It's
generally
understood
to
refer
to
an
individual
reporting
information.
They
believe
reveals
activities
that
are
against
policy
laws,
ethics,
safety
standards
or
similar
rules.
The
city
of
ottawa
defines
a
whistleblower
as
someone
who
calls
attention
to
a
questionable
or
illicit
activity
in
an
attempt
to
have
that
activity
brought
to
an
end
in
the
private
sector.
Whistleblower
typically
refers
to
an
employee,
but
in
the
public
sector
it's
also
frequently
understood
to
refer
to
a
person
from
outside
the
organization.
E
Our
study
showed
that
practices
in
comparable
canadian
jurisdictions
exhibited
five
essential
characteristics
first,
and
I
would
argue
perhaps
the
most
important.
The
investigative
process
is
conducted.
Independent
of
management,
independent
review
and
investigation
of
complaints
provides
whistleblowers
with
confidence
that
legitimate
concerns
will
be
taken
seriously.
E
E
And
all
potentially
valid
complaints
are
investigated
and,
finally,
an
investigation
process
is
established.
That
includes
a
public
reporting
of
the
results
of
investigations,
respecting,
of
course,
relevant
privacy
laws
and
policies.
This
outward
accountability
for
the
whistleblower
process
is
a
key
component
in
assuring
whistleblowers
that
valid
complaints
have
received
appropriate
attention
next
slide.
Please.
E
So,
let's
start
with
the
nation's
capital,
administration
of
ottawa's
fraud
and
waste
policy
is
delegated
to
the
city's
auditor.
General
of
note,
complaints
concerning
elected
officials
are
redirected
to
the
city's
integrity.
Commissioner,
ottawa's
fraud
and
waste
hotline
is
available
to
employees
and
the
public
and
is
operated
by
a
third
party
that
ensures
whistleblower
confidentiality.
E
Brownsville
complaints
were
spelled
out
in
the
fraud
and
waste
policy,
which
also
requires
the
full
investigation
of
any
alleged
fraud
or
waste
in
2021.
So
last
year,
301
reports
were
received
about
a
third
of
those
related
to
alleged
misuse
of
city
property,
information
or
time
about
a
quarter
related
to
alleged
violations
of
laws,
regulations
and
policies
or
procedures,
and
a
quarter
weren't
applicable
under
ottawa's
grounds
for
complaint.
E
Next
slide,
please
moving
south
to
toronto.
Provisions
in
toronto's
public
service
bylaw
require
allegations
of
fraud,
waste
and
wrongdoing
involving
city
resources.
To
be
reported
to
the
auditor
general
who
reports
that
all
complaints
received
are
evaluated
and
are
handled
in
accordance
with
toronto's
privacy
policies,
the
auditor
general's
website
defines
the
types
of
allegations
investigated.
E
E
Last
year
the
office
received
820
complaints
comprised
of
1200
separate
allegations.
743
complaints
were
closed
during
the
year,
so
there'd
be
some
overlap.
Some
complaints
were
from
previous
years
and
others
remained
still
open
at
the
end
of
the
year
of
those
743
11
were
substantiated
in
whole
or
in
part
toronto's
auditor
general
reports
that
between
2017
and
2021,
a
total
of
28
million
dollars
in
losses
were
detected
through
fraud
reports.
An
additional
million
dollars
in
losses
were
prevented.
E
Additional
benefits
identified
by
the
auditor
general,
and
this
speaks
to
non-quantifiable
benefits
of
an
effective
whistleblower
program
in
general,
include
deterrence.
So
the
association
of
certified
fraud
examiners,
which
I'm
a
member
reports,
that
the
very
existence
of
fraud
monitoring,
reduces
the
likelihood
that
it
will
happen
as
a
result
of
correcting
weaknesses
identified
in
investigations.
The
auditor
general
notes,
strengthened
internal
controls
and
policies
and
increased
operational
efficiency
and
also
that
complaints
and
investigations
provide
data
that
inform
the
auditor
general's
work
plan
next
slide.
E
E
E
Next
slide,
please:
okay,
we
are
in
vancouver.
The
city
manager
is
responsible
for
overseeing
whistleblower
policy,
with
day-to-day
responsibility
delegated
to
the
general
manager
of
human
resources.
The
policy
defines
whistleblowing
as
the
reporting
of
serious
misconduct
in
good
faith.
However,
it
applies
only
to
city
staff.
E
The
whistleblower
policy
requires
information
to
be
treated
confidentially,
to
be
shared
only
on
a
need
to
know
basis.
It
also
requires
a
summary
of
reports
received
and
investigations
conducted
to
be
submitted
to
council
each
year.
However,
I
was
informed
that
no
such
report
has
been
prepared
or
presented.
E
E
Next
slide,
please,
this
table
summarizes
the
study's
observations.
You'll
noted
that
there
were
some
differences
in
structure
and
process
between
cities.
However,
there
appears
to
be
some
significant
value
derived
from
whistleblower
programs
and
other
jurisdictions
like
those
jurisdictions.
Vancouver
has
whistleblower
processes
designed
to
protect
confidentiality.
E
E
An
update
to
vancouver's
whistleblowing
policy
was
approved
by
council
in
october
2017,
with
another
review
scheduled
to
take
place
by
the
end
of
october
2020..
This
review
was
not
completed
in
light
of
this
overdue
review
and
the
issues
noted
in
the
study.
I
make
the
following
two
recommendations:
to
counsel.
E
Fill
that
gap
and
number
two
council
should
consider
whether
the
city's
existing
whistleblower
policy
should
be
revised
in
the
context
that
there
are
now
independent
offices
of
the
auditor,
general
and
integrity
commissioner,
here
in
vancouver
next
slide,
please
in
the
council
chamber,
we
have
with
us
today
andrew
niklicky,
to
my
right,
the
general
manager
of
human
resources
and
the
city's
chief
human
resources
officer,
because
this
was
a
study
and
not
an
audit.
I
did
not
ask
the
city
for
a
formal
response.
E
E
A
F
Yeah,
thank
you
thanks
chair
and
thanks
mike
for
the
report
and
the
presentation,
a
couple
questions
to
start
off
with
and
the
first
one
is.
Do
you
think
in
a
situation
like
vancouver-
and
you
mentioned
that
we're
an
outlier
in
terms
of
the
distinction
between
not
having
that
external
source
that
that
could
potentially
inhibit
whistleblower
complaints
that
the
city
receives,
because
we
have
currently
a
different
structure
or
process.
E
My
concern
is
that
whistleblowing
complaints
probably
should
be
looked
at
from
the
perspective
of
an
independent
perspective,
and
so
so
whether
that
has
an
effect
or
not.
I
I
can't
say,
but
I
would
think
that
it's
a
far
more
legitimate
process
having
an
external
review
whistleblower
complaints
than
internally.
F
E
Thank
you.
That's
a
very
relevant
question.
It's
actually
something
that
that
andrew
and
I
have
discussed
in
in
some
detail
one
of
the
models.
That's
that's
out
there
in
other
jurisdictions.
Has
the
auditor
general
act
as
a
vetting
place
for
all
external
complaints,
but
the
auditor
general's
office
doesn't
necessarily
conduct
all
of
the
investigations
themselves
put
it
in
the
context
of
this.
E
I
might
be
certified
product
examiner,
I'm
looking
to
hire
staff
who
have
those
skills
and
who
could
do
this
sort
of
work,
but
I'm
not
an
expert
in
say
human
resources
and
so
in
instances
like
that,
I'd
want
to
apply
the
right
tool
to
the
right
situation
and
and
so
in
a
situation
like
that.
I
would
take
the
the
information
share
that
with
the
relevant
department
in
the
city.
E
In
this
case
it
would
be
human
resources
for
them
to
actually
conduct
the
examination,
but
report
back
to
me
on
the
results
of
it
and
then
I
in
turn
would
report
out
on
the
overall
results,
not
that
this
would
ever
occur.
I'm
sure,
but
if
there
were
some
issues
with
that
investigation
that
I
didn't
believe
was
conducted
satisfactorily,
then
it
would
get
sent
back
to
for
further
work.
But
you
have
that
that
independent
quality
control.
F
C
Although
utilizing
hr,
when
it's
a
a
specific
activity
that
you
know
you
can
oversee
and
and
also
I'm
sure,
it's
being
carried
out
appropriately,
I
I
just
was,
I
was
surprised
with
the
results
not
being
reported.
I
know
the
the
policy
suggests
that
that
they
be
reported,
but
I
I
didn't
see
any
sort
of
comment
on
that
in
terms
of
recommendations,
and
I
was
just
curious
as
to
the
reasons.
E
C
Yes,
it,
yes,
it
is
chair
in
terms
of
the
yeah.
I
think
that
I
think
I
think
it's
very
important
to
have
reporting
back
so
that
there's
transparency
around
the
thing
as
long
as
it
maintains
and
protects
confidentiality,
but
I
understand
what
what
mike
is
suggesting
that
if,
if
the
recommendation
one
and
two
are
dealt
with,
then
the
concern
around
reporting
would
be
dealt
with
as
well.
So
that's
I'm
comfortable
with
that
response.
Thank
you.
A
Okay,
thanks
archie,
I
see
council
kirby
young
back
on
the
queue
to
add
an
amendment.
I'm
just
gonna.
I've
just
put
myself
on
the
queue
just
to.
I
was
actually
curious
to
ask
if
you're
comfortable
andrew
nick
lickey,
I
was,
I
was
curious.
How
you
see
this
integrating
with
your
current
workflow
at
hr
and
and
how
this
work
could
complement
the
work
that
you,
your
team,
is
doing.
G
G
We
don't
see
a
lot
of
them.
We
do
see
a
lot
more
complaints
coming
in
from
the
outside
we've.
Certainly
with
the
previous
auditor
general
and
myself,
we
worked
out
on
a
process
to
actually
create
a
ways
of
means
of
intaking
those
those
those
complaints,
but
for
the
most
part,
as
much
as
we've
tried
to
define
for
the
public.
What
should
come
through
this
portal?
G
We
do
get
a
lot
of
complaints
that
our
duplicates
or
triplicates
are
coming
in
through
311
or
they're
coming
in
through
other
means,
and
they
don't
really
they're,
not
the
types
of
complaints
that,
by
definition,
you
would
see
coming
into
whistleblowing.
So
we
undertake
to
investigate
every
complaint,
whether
it's
anonymous
or
whether
it
it
belongs
somewhere
else,
and
we
refer
those
matters
to
those
individuals
and
departments
to
actually
conduct
those
investigations
and
to
report
out.
G
G
A
Great,
okay
and
and
then
back
over
to
you
mike,
so
my
understanding
is
you'll
function
as
a
clearinghouse
and
you
will
forward
the
hr,
appropriate
stuff
to
hr
and
internal
fraud
investigation
or
whatever
else
may
come
up.
That
may
be
more
appropriate
to
you
or
other
scenarios.
You'll
act
as
the
gatekeeper
essentially.
E
A
A
H
H
How
would
we
deal
with
that
complaint
now
and
how
do
we
expect
that
to
change
if
we're
able
to
both
with
the
recommendations,
so
if
someone's
feeling
uncomfortable
in
their
current
job
because
of
promotion
or
something?
That's
not
that's
in
more
of
an
hr
issue.
How
is
that
currently
dealt
with,
and
how
do
we
see
this
new
stream
being
a
way
to
better
support
that
employee.
E
Actually,
I
would
think
andrew
might
be
better
positioned
to
answer
with
respect
to
how
it's
conducted
now.
All
I
could
say
looking
forward
councillor
webb
is
that
as
a
clearinghouse,
the
first
test
we
would
apply
is
whether
any
complaint
met
the
criteria
of
what
a
legitimate
whistleblower
complaint
was,
and
if
it
was,
then
it
would
go
through
a
process
if
it
was
not,
but
it
did
seem
to
be
irrelevant,
potentially
hr
issue,
then
the
default
would
be
to
refer.
G
Just
I
think
the
example
you're
using
that
complaint
likely
would
not
come
through
the
whistleblowing
channel.
That
complaint
would
likely
come
in
to
one
of
my
staff
in
in
an
embedded
business
unit
or
could
come
in
through
the
equity
office
or
a
variety
of
ways
which,
whether
it
was
the
equity
office
or
ourselves.
We
would
certainly
look
into
the
issue
to
determine
whether
a
promotion
was
was
legitimately
given
to
someone
or
not
or
whether
you
know
there
was
anything
else
going
on
also
that
might
depending
if
it
was
a
unionized
situation.
G
H
I
guess
for
me:
is
there
an
opportunity,
through
this
process,
to
really
clarify
what
the
channels
are
for
employees?
I
know
that.
That's
something
that
a
lot
of
employees
don't
might
not
really
know
what
would
be
the
channels
to
utilize,
depending
on
situations
that
they
are
in
so
it'd
be
great
to
know.
G
Yeah,
no,
I
think
that's
a
good
idea
and
that's
why
there's
there
should
be
reviews
that
happen
more
frequently
than
they
do.
Currently,
our
respectful
workplace
policy
is
being
reviewed,
and
so
what
we
try
to
do
is
we
try
to
be
very
clear
in
the
sense
of
what
types
of
complaints
come
through
these
portals
and
how
those
complaints
should
be
raised
in
fairness,
that
often
as
clear
as
you
can
be.
G
Sometimes
folks
are
they're,
not
sure
or
they
feel
intimidated
by
process,
and
so
we
we
do
the
best
that
we
can,
and
we
certainly
can
continue
to
do
better.
Is
you
know
how
to
inform
our
staff
in
regards
to
if
there
is
something
that
they
want
to
talk
to
somebody
about?
Where
should
they
turn
to
have
those
conversations.
D
Thank
you.
I
appreciate
the
report
and
support
the
recommendation
to
council
just
to
address
comments
brought
up
by
councillor
weeb.
I
I
think
it
would
be
important,
as
part
of
the
plan
that
you're
gonna
bring
forward
to
us
in
june
to
address
how
you're
gonna
incorporate
some
staff
training
to
make
sure
that
people
understand.
The
whistleblower
policy
have
found
that
it's
very
important
to
periodically
have
training
available
to
staff,
to
make
sure
that
the
program
is
effective.
E
Thank
you
karen.
I
I
think
that
that's
a
very
good
point,
and
if
they're,
assuming
that
there
are
significant
revisions
to
the
whistleblower
policy,
that
training
for
staff,
bringing
information
out
would
be
quite
valuable
to
ensure
that
the
poly
itself
is
understood
and
what
differentia
for
different
excuse
me
differentiates
a
whistleblower
complaint
from
other
internal
hr.
Human
resources,
related
complaints.
G
F
G
F
F
A
council
decision
also
includes
language,
that
the
auditor
general
committee
recommends
to
council
to
direct
staff
to
revise
whistleblower
policy.
So
it
addresses
complaints
coming
from
sources
external
to
the
city
and
asked
for
that
to
report
to
come
back
to
council
before
the
end
of
july,
providing
a
few
months
to
do
that,
work
and
then
the
second
paragraph
and
the
distinction
here
is
recommending
to
council
to
revise
the
policy
specifically
so
that
the
auditor
general
has
delegated
that
responsibilities.
F
We
have
just
spoken
about
for
the
intake,
assessment
and
investigation
of
complaints,
making
recommendations
for
corrective
action
and
publicly
reporting
results,
except
for
complaints
involving
elected
officials
recognizing
that
we
now
also
have
an
integrity,
commissioner,
who
has
the
ability
to
support
appropriate
conduct
by
elected
officials
in
their
roles
and
ensuring
that
that
is
adhered
to?
So
that's
the
summary
of
the
and
the
spirit
of
the
recommendations.
D
E
D
A
B
A
B
F
F
B
If
I
can
clarify
for
the
members,
the
counselor
kobe
young's
language
is
actually
the
main
motion,
because
that's
the
one
that
she
moved
unless
you
so
there's
only
the
the
main
motion.
That's
on
the
floor
right
now
points
one
and
two,
and
what
I'm
hearing
is
council
fries,
proposing
an
amendment
to
that
adding
the
third
language.
So
we
would
be
if
that,
if
conservative
puts
that
forward,
we
will
go
into
amendment
queue
and,
at
that
time
and
you're
correct,
he
would
have
to
relinquish
the
chair
to
the
next
person.
A
A
E
Sheriff
fry,
thank
you
very
much.
As
committee
members
will
recall
from
the
presentation
I
made
shortly
after
I
started
in
this
role,
I
had
a
100-day
plan
for
getting
the
office
up
off
the
ground
and
making
it
operational
took
about
128
days,
but
nonetheless,
I'm
pretty
pleased
that
we
have
making
that
pivot
from
building
to
performing
in
that
100-day
plan.
E
I
wanted
them
to
come
here
and
and
and
be
introduced
to
you,
because
you're
going
to
see
them
again
and
again
as
we
are
producing
reports,
each
of
my
members
of
the
senior
team
will
be
engagement,
leaders,
it's
a
defined
term
under
canadian
audit
standards.
They
actually
lead
the
engagement
and
are
responsible
for
for
sign
off,
although
I
have
ultimate
responsibility
for
for
reporting
out
they're
the
ones
who
actually
are
in
charge
of
conducting
the
detailed
work.
E
So
I
thought
it
was
important
that
they'd
be
here.
So
if
you'll
indulge
me
for
a
moment,
please
I'm
going
to
introduce
them
one
by
one.
First
of
may
is
our
deputy
auditor
general
laurie
barron
lori.
If
you
could
run
up
here,
say
hi,
with
over
20
years
in
the
public
service,
lori
spent
the
last
14
years
leading
performance
audits
in
the
office
of
the
auditor
general
and
the
auditor
general
for
local
government.
E
E
First,
we
have
stacey
lee
stacy's
been
with
us
for
a
couple
of
weeks.
Now
she
joins
the
team
with
10
years
of
financial
I.t
and
internal
audit
experience
previous
to
joining
the
city.
She
was
a
senior
manager
with
grant
thornton's
risk
advisory
practice.
She's
also
experienced
an
audit
software
implementation
which,
as
you
may
recall,
is
one
of
the
big
ticket
items
that
we
have
to
get
in
place
this
year.
Stacy
is
a
chartered
professional
accountant,
a
certified
internal
auditor
and
a
certified
information
systems.
Auditor
welcome
stacy.
E
Last
but
not
least,
we
have
jenny
lau,
jenny
literally
just
joined
us
this
week,
but
she
may
look
rather
familiar
because
she
joins
us
from
the
city's
internal
audit
department.
She
is
an
I.t
background,
with
a
focus
on
data
analytics,
which
is
an
incredibly
valuable
skill
in
this
increasingly
digitized
world.
For
the
past
15
years
she
worked.
She's
worked
in
the
most
the
private
and
the
public
sectors
and
audit
functions,
she's
a
certified
internal
auditor
and
a
certified
information
systems.
Auditor
welcome
to
the
team.