AUDIT COMMITTEE (PUBLIC) 16 September 2015 Report No Key Contact: Michael Carson, Chief Financial Officer, ext.

Transcription

1 AUDIT COMMITTEE (PUBLIC) 16 September 2015 Report No Report Title: Regulatory Compliance Register Key Contact: Michael Carson, Chief Financial Officer, ext PURPOSE: 1. To provide the District s Regulatory Compliance Register and the associated monitoring compliance process as information. CONTEXT: 2. In March of 2015, Report was brought forward as a status update on the development of a regulatory compliance register. Staff indicated that a report would be brought forward in September One of the roles of the Audit Committee is to ensure that appropriate processes and controls are in place so that the district is in compliance with regulations and that processes are in place to correct instances of non-compliance. While the regulatory compliance register will be a living document, this first edition captures the key statutes and regulations. Expansion of the register will continue over time. KE CONSIDERATIONS: 3. Attached as Appendix A is the register of key statutory and regulatory requirements listed by the department who has primary responsibility for the requirements. In staff s opinion, it is impossible to know with certainty that all schools and work locations are in complete compliance with all statutory and regulatory requirements at all times. However, staff feels that by identifying the key statutory and regulatory requirements, staff awareness is heightened and the register acts as a reminder to staff of those responsibilities and requirements. Report Regulatory Compliance Register Page 1

2 Attached as Appendix B is a memorandum of assurance indicating that the District has operational processes and practices in place to ensure substantial compliance with key statutory and regulatory requirements. Ongoing compliance occurs at the departmental level by staff that has the greatest understanding of the compliance requirements. On a go-forward basis, the departmental manager responsible will provide an annual assurance to the superintendent that all work, to the best of his/her knowledge, is in compliance with statutory and regulatory requirements. Any known non-compliance will also be documented including the actions that are being put in place to ensure compliance. For example, at any given time staff may be in the process of writing, updating or implementing new processes to meet the ever-changing requirements. For any known non-compliance, the responsible superintendent will monitor the proposed departmental work plan and timeline to ensure compliance is achieved in a timely manner. An annual regulatory compliance report will be brought to Audit Committee as information. RESOURCE IMPLICATIONS: 4. Although the District has not encountered any non-compliance financial penalties in recent years, statutory or regulatory compliance can result in significant fines or penalties. COMMUNICATION/CONSULTATION ISSUES: 5. Communication has occurred with individual departmental managers to gather and understand their regulatory requirements, facilitating the development of the compliance obligation register. STRATEGIC LINKS: 6. Developing a regulatory compliance register and monitoring compliance is an example of enhanced operational practices to effectively and responsibly manage human and financial resources in support of students. Report Regulatory Compliance Register Page 2

3 GUIDING QUESTIONS: 7. The following questions are provided to support the discussion of this item by the Committee: Will the annual compliance report satisfy the Audit Committee s objective of ensuring the District s system for monitoring statutory and regulatory compliance? Michael Carson Chief Financial Officer (ext. 8881) Jennifer Adams Director of Education and Secretary of the Board APPENDICES Appendix A - Compliance Summary Appendix B - Regulatory Compliance Memorandum Report Regulatory Compliance Register Page 3

4 Appendix A to Report Susan MacDonald Stephen Sliwa Frank Wiley Michelle Giroux Pino Buffone Brett Renolds Olga Grigoriev Early ears / EDP Business and Learning Technologies Continuing Education Corporate Services Curriculum Services Inclusive Safe and Caring Schools Learning support services department Accessibility for Ontarians with Disabilities Act Broader Public Sector Accountability Act Canada Revenue Agency Act Canada's anti-spam legislation Child and Family Services Act Education Act Employment Standards Act Enviromental Protection Act Fire Prevention and Protection Act Green Energy Act Health Care Consent Act Municipal Elections Act Municipal Freedom of Information and Protection of Privacy Act Occupational Health and Safety Act Ontario Building Code Ontario Heritage Act Ontario Human Rights Code Personal Health Information Protection Act Pesticides Act Regulated Health Professionals Act Safe Drinking Water Act Technical Standards and Safety Authority The Child Care and Early ears Act Waste Diversion Act Workplace Safety and Insurance Act Canadian Code of Advertising Standards Canadian Standards Association Child and outh Services Council of Directors (CODE) Criminal Code Financial Services Commission of Ontario General Waste Management Act Health Canada Health Protection and Promotion Act Immigration and Refugee Protection Act Insurance Act Ministry of Education Ministry of Labour Ministry of Natural Resources and Forestry Ministry of the Environment Ministry of Transportation Safety code 6 Waste Water Effluent Regulations outh Services Bureau

5 Appendix A to Report Mike Carson Janice McCoy Janice McCoy Janice McCoy Mike Carson Mike Carson Mike Carson Finance Health and Safety Human Resources Labour relations Facilities Admissions/ Planning Department Risk & Supply Chain Management Accessibility for Ontarians with Disabilities Act Broader Public Sector Accountability Act Canada Revenue Agency Act Canada's anti-spam legislation Child and Family Services Act Education Act Employment Standards Act Enviromental Protection Act Fire Prevention and Protection Act Green Energy Act Health Care Consent Act Municipal Elections Act Municipal Freedom of Information and Protection of Privacy Act Occupational Health and Safety Act Ontario Building Code Ontario Heritage Act Ontario Human Rights Code Personal Health Information Protection Act Pesticides Act Regulated Health Professionals Act Safe Drinking Water Act Technical Standards and Safety Authority The Child Care and Early ears Act Waste Diversion Act Workplace Safety and Insurance Act Canadian Code of Advertising Standards Canadian Standards Association Child and outh Services Council of Directors (CODE) Criminal Code Financial Services Commission of Ontario General Waste Management Act Health Canada Health Protection and Promotion Act Immigration and Refugee Protection Act Insurance Act Ministry of Education Ministry of Labour Ministry of Natural Resources and Forestry Ministry of the Environment Ministry of Transportation Safety code 6 Waste Water Effluent Regulations outh Services Bureau

6 Appendix B to Report MEMORANDUM TO: FROM: Audit Committee Jennifer Adams, Director of Education and Secretary of the Board Michael Carson, Chief Financial Officer DATE: 16 September 2015 RE: Regulatory Compliance During the 2014/15 fiscal year we can confirm, to the best of our knowledge, that our operational processes and practices were satisfactory to demonstrate that the OCDSB is in compliance with the regulatory requirements listed below, in all substantial matter. Accessibility for Ontarians Act Broader Public Sector Accountability Act Building Code Canada Revenue Agency Canada's anti-spam legislation Child and Family Services Act Education Act Electrical Safety Authority Employment Standards Act Financial Services Commission of Ontario Fire Prevention and Protection Act General Waste Management Act Green Energy Act Health Care Consent Act Health Protection and Promotion Act Insurance Act Municipal Elections Act Municipal Freedom of Information and Protection of Privacy Act Occupational Health and Safety Act Ontario Heritage Act Compliance Page 1

7 Ontario Human Rights Code Personal Health Information Protection Act Pesticides Act Regulated Health Professionals Act Safe Drinking Water Act Technical Standards and Safety Authority The Child Care and Early ears Act Waste Diversion Act Workplace Safety and Insurance Act Date: Month, Day, ear Michael Carson Chief Financial Officer Date: Month, Day, ear Jennifer Adams Director of Education and Secretary of the Board Attach. cc Senior Staff Monica Ceschia, Manager Board Services Corporate Records Compliance Page 2