Oversees system soundness, enterprise risk management, internal and external audits, privacy and information security, ethics, compliance and other independent reassurance activities.

(Agenda items are provided in a PDF format, which require Adobe Reader 8 or higher to view.)

Meeting Agenda for November 15, 2016

3:00 p.m. - Open Session

Or Upon Adjournment or Recess of the Finance & Administration Committee, Whichever is Later

  1. Agenda Items
    1. Call to Order and Roll Call
    2. Executive Report (Oral Report)Cheryl Eason
    3. Consent Items
      Action Consent Items:Cheryl Eason
      1. Approval of the September 20, 2016 Risk and AuditCommittee Meeting Minutes
    4. Consent Items
      Information Consent Items:Cheryl Eason
      1. 2016 Annual Calendar Review
      2. 2017 Annual Calendar Review
      3. Draft Agenda for the February 14, 2017 Risk and Audit Committee Meeting
      4. Quarterly Status Report – Office of Audit Services
        1. Attachment 1
        2. Attachment 2
      5. Quarterly Status Report – Enterprise Risk Management
      6. Quarterly Status Report – Enterprise Compliance
        1. Attachment 1
      7. CalPERS Ethics Helpline Report
        1. Attachment 1
  2. Action Agenda Items
    1. Audit
      1. Independent Auditor’s Report – Fiscal Years 2015-16Beliz Chappuie, Rick Green, Macias Gini & O’Connell
        1. Attachment 1
        2. Attachment 2
      2. Review of Independent Auditor’s Management LetterBeliz Chappuie,Rick Green, Macias Gini & O’Connell
        1. Attachment 1
      3. Finalist Interviews for the Independent Financial Statement AuditorBeliz Chappuie
  3. Information Agenda Items
    1. Audit
      1. Third Party Valuation and Certification of the Contracting Public Agency Plans as of June 30, 2014Beliz Chappuie, David Driscoll, Aaron Shapiro
        1. Attachment 1
    2. Enterprise Risk Management
      1. Semi-Annual Enterprise Risk ReportsCheryl Eason
        1. Attachment 1
        2. Attachment 2
        3. Attachment 3
        4. Attachment 4
    3. Summary of Committee Direction (Oral Report)Cheryl Eason
    4. Public Comment

Closed Session

Upon Adjournment or Recess of Open Session
(Government Code sections 11126(a)(1) and (g)(1))

  1. Agenda Items
    1. Call to Order and Roll Call
    2. Consent Items
      Action Consent Items:
      1. Approval of the September 20, 2016 Risk and Audit Committee Closed Session Meeting Minutes
    3. Personnel, Employment and Performance – Chief AuditorBeliz Chappuie
    4. Personnel, Employment and Performance – Chief Compliance OfficerMarlene Timberlake D’Adamo
    5. Personnel, Employment and Performance –Investment DirectorKit Crocker

Notes

  1. Items designated for Information are appropriate for Committee Action if the Committee wishes to take action.
  2. The hour designated as the earliest starting time for this meeting is not intended to communicate the expected duration (or ending time) of the preceding meeting.
  3. Public comment may be taken on any Agenda Item. There is a 3-minute limitation on each public comment, unless otherwise directed by the Committee Chair.
  4. Board members may attend meetings of committees of which they are not members and participate in the discussions during those meetings.


Location

CalPERS Headquarters
Robert F. Carlson Auditorium
Lincoln Plaza North
400 P Street
Sacramento, CA 95811

Parking
CalPERS Building Guide (PDF)

Security

For your safety, attendees are screened upon entering the auditorium.