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AGENDA
Audit and Risk Committee Meeting
Friday, 3 December 2021
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Date:
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Friday, 3 December 2021
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Time:
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9.30 am
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Location:
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Ngā Hau e Whā, William Fraser Building
1 Dunorling Street, Alexandra
Due to COVID-19 restrictions and limitations of the
physical space, public access will
be available through the livestream and Microsoft Teams. The link to the livestream will be available on
the Central Otago District Council’s website.
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Sanchia Jacobs
Chief Executive Officer
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Members Ms
L Robertson (Chair), His Worship the Mayor T Cadogan, Cr N Gillespie, Cr S Jeffery,
Cr N McKinlay
In Attendance S Jacobs (Chief
Executive Officer), L Macdonald (Executive Manager - Corporate Services), J
Muir (Executive Manager - Infrastructure Services), L van der Voort (Executive
Manager - Planning and Environment), S Righarts (Chief Advisor), G McFarlane
(Business Risk and Procurement Manager), R Williams (Governance Manager)
1 Apologies
2 Public
Forum
3 Confirmation
of Minutes
Audit and Risk Committee meeting -
1 October 2021
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Audit and Risk Committee Agenda
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3 December 2021
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MINUTES
OF Central Otago District
Council’s
Audit and Risk
Committee
HELD IN Ngā Hau e
Whā, William Fraser Building,
1 Dunorling Street, Alexandra
ON Friday, 1 October
2021 AT 9.31
am
PRESENT: Ms
L Robertson (Chair), His Worship the Mayor T Cadogan, Cr N Gillespie (via
Microsoft Teams), Cr S Jeffery, Cr N McKinlay
IN
ATTENDANCE: S Jacobs (Chief Executive Officer), L Macdonald (Executive
Manager - Corporate Services), J Muir (Executive Manager - Infrastructure
Services), L van der Voort (Executive Manager - Planning and Environment),
L Fleck (Executive Manager People and Culture), S Righarts (Chief Advisor), A
Crosbie (Senior Strategy Advisor), G Tetlow (Acting Information Services
Manager), J McCallum (Roading Manager), A McDowall (Finance Manager), G
McFarlane (Business Risk and Procurement Manager), R Williams (Governance
Manager)
1 Apologies
An apology was received from Cr I Cooney.
2 Public
Forum
There was no public forum.
3 Confirmation
of Minutes
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Committee Resolution
Moved: Robertson
Seconded: Jeffery
That the public minutes of the Audit and Risk Committee
Meeting held on 4 June 2021 be confirmed as a true and correct record.
Carried
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4 Declaration
of Interest
Members were reminded of their
obligations in respect of declaring any interests. There were no additional
declarations of interest.
Note: The
meeting adjourned at 9.37 am and reconvened at 9.46 am due to technical issues.
Note: Cr
Gillespie joined the meeting at 9.46 am.
5 Reports
for Information
Note: Matthew
Wilson (National Council’s Regional Manager – Local Government
Practice) and Deanna Macdonald (Operations Manager – Local Government
Risk Practice) from Aon joined the meeting via Microsoft Teams for item 21.3.2.
Note: Cr
Gillespie left the meeting at 9.59 am.
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21.3.2 Insurance
Update
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To
provide an overview on the status of Central Otago District Council
insurances and the New Zealand insurance market.
The
Business Risk and Procurement Manager, along with the representatives from
Aon spoke to a presentation about Council’s insurance programme before
responding to questions.
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Committee Resolution
Moved: Robertson
Seconded: Jeffery
That the report be received.
Carried
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21.3.3 Legislative
Compliance Warrant of Fitness
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To receive the 2021 Legislative
Compliance Warrant of Fitness.
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Committee Resolution
Moved: Robertson
Seconded: Jeffery
That the report be received.
Carried
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Note: Cr
Gillespie returned to the meeting at 10.37 am.
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21.3.4 Policy
and strategy register
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To
receive the updated Policy and Strategy Register. It was noted that the staff
delegations manual had not been to the previous meeting as noted in the
report and would be brought to the December meeting.
It
was noted that soft reviews of policies that Audit and Risk had the
responsibility for should be brought to the Committee.
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Committee Resolution
Moved: Robertson
Seconded: Jeffery
That the report be received.
Carried
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21.3.5 Audit
NZ and Internal Audit Update
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To
provide an update on the status of the external and internal audit programme
and any outstanding actions for completed internal and external audits.
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Committee Resolution
Moved: Robertson
Seconded: McKinlay
That the Audit and Risk Committee receives the report.
Carried
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21.3.6 Risk
Register
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To
consider an update on the Risk Register.
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Committee Resolution
Moved: Robertson
Seconded: Jeffery
That the report be received.
Carried
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21.3.7 Protection
of Information and Information Systems (Cyber Security) Policy and Standards
soft review
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To
receive an update on the soft review carried out on the Protection of
Information and Information Systems series of policies.
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Committee Resolution
Moved: Robertson
Seconded: Jeffery
That the report be received.
Carried
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21.3.8 Cyber
Security Plan 2018-2021 update
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To
consider an update on the 2018-2021 Cyber Security Plan.
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Committee Resolution
Moved: Robertson
Seconded: Jeffery
That the report be received.
Carried
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Note: Cr
McKinlay left the meeting at 11.18 am and returned at 11.21 am.
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21.3.9 Waka
Kotahi New Zealand Transport Agency Technical Investment Audit of Central
Otago District Council
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To report on the Technical
Investment Audit of the Central Otago District Council undertaken by Waka
Kotahi New Zealand Transport Agency in October 2020.
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Committee Resolution
Moved: Robertson
Seconded: Jeffery
That the report be received.
Carried
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21.3.10 Health,
Safety and Wellbeing Report
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To
provide information on key health and safety risks and the measures in place
to mitigate those risks at the Central Otago District Council.
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Committee Resolution
Moved: Robertson
Seconded: Jeffery
That the report be received.
Carried
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6 Chair's
Report
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21.3.11 October
2021 Chair's Report
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There was no update from the
Chair.
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7 Members'
Reports
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21.3.12 October
Members' Reports
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The Mayor provided an update on
the Three Waters Reform process to date and also suggested that summary
of procurement activity was provided to the December meeting.
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Committee Resolution
Moved: Robertson
Seconded: Jeffery
That the reports be received.
Carried
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8 Status
Reports
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21.3.13 October
Governance Report
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To
report on items of general interest, consider the Audit and Risk Committee’s
forward work programme and the current status report updates.
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Committee Resolution
Moved: Robertson
Seconded: Jeffery
That the report be received.
Carried
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9 Date
of The Next Meeting
The date of the next scheduled meeting is 3
December 2021.
10 Resolution
to Exclude the Public
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Committee Resolution
Moved: Robertson
Seconded: Jeffery
That the public be excluded from the following parts of
the proceedings of this meeting.
The general subject matter of each matter to be considered
while the public is excluded, the reason for passing this resolution in
relation to each matter, and the specific grounds under section 48 of the
Local Government Official Information and Meetings Act 1987 for the passing
of this resolution are as follows:
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General subject of each matter to be
considered
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Reason for passing this resolution in
relation to each matter
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Ground(s) under section 48 for the
passing of this resolution
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Confidential Minutes of the Audit and
Risk Committee
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s7(2)(a) - the withholding of the information is
necessary to protect the privacy of natural persons, including that of
deceased natural persons.
s7(2)(c)(ii) - the withholding of the information
is necessary to protect information which is subject to an obligation of
confidence or which any person has been or could be compelled to provide
under the authority of any enactment, where the making available of the
information would be likely otherwise to damage the public interest.
s7(2)(d) - the withholding of the information is
necessary to avoid prejudice to measures protecting the health or safety of
members of the public.
s7(2)(g) - the withholding of the information is
necessary to maintain legal professional privilege.
s7(2)(i) - the withholding of the information is
necessary to enable Council to carry on, without prejudice or disadvantage,
negotiations (including commercial and industrial negotiations.)
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s48(1)(a)(i) - the public conduct of the relevant
part of the proceedings of the meeting would be likely to result in the
disclosure of information for which good reason for withholding would exist
under section 6 or section 7
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21.3.14 - Review of the draft
non-audited Annual Report 2020/21
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s7(2)(i) - the withholding of the information is
necessary to enable Council to carry on, without prejudice or disadvantage,
negotiations (including commercial and industrial negotiations)
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s48(1)(a)(i) - the public conduct of the relevant
part of the proceedings of the meeting would be likely to result in the
disclosure of information for which good reason for withholding would exist
under section 6 or section 7
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21.3.15 - August 2021 cyber security
critical incidents
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s7(2)(j) - the withholding of the information is
necessary to prevent the disclosure or use of official information for
improper gain or improper advantage
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s48(1)(a)(i) - the public conduct of the relevant
part of the proceedings of the meeting would be likely to result in the
disclosure of information for which good reason for withholding would exist
under section 6 or section 7
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21.3.16 - Update on progress of Lake
Dunstan Water Supply and Clyde Wastewater Projects and risks to the wider
water and wastewater capital works programme
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s7(2)(b)(ii) - the withholding of the information
is necessary to protect information where the making available of the
information would be likely unreasonably to prejudice the commercial
position of the person who supplied or who is the subject of the information
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s48(1)(a)(i) - the public conduct of the relevant
part of the proceedings of the meeting would be likely to result in the
disclosure of information for which good reason for withholding would exist
under section 6 or section 7
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21.3.17 - Litigation Register
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s7(2)(g) - the withholding of the information is
necessary to maintain legal professional privilege
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s48(1)(a)(i) - the public conduct of the relevant
part of the proceedings of the meeting would be likely to result in the
disclosure of information for which good reason for withholding would exist
under section 6 or section 7
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21.3.18 - Ombudsman Investigation
Outcome
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s7(2)(a) - the withholding of the information is
necessary to protect the privacy of natural persons, including that of deceased
natural persons
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s48(1)(a)(i) - the public conduct of the relevant
part of the proceedings of the meeting would be likely to result in the
disclosure of information for which good reason for withholding would exist
under section 6 or section 7
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21.3.19 - October 2021 Confidential
Governance Report
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s7(2)(c)(ii) - the withholding of the information
is necessary to protect information which is subject to an obligation of
confidence or which any person has been or could be compelled to provide
under the authority of any enactment, where the making available of the
information would be likely otherwise to damage the public interest
s7(2)(d) - the withholding of the information is
necessary to avoid prejudice to measures protecting the health or safety of
members of the public
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s48(1)(a)(i) - the public conduct of the relevant
part of the proceedings of the meeting would be likely to result in the
disclosure of information for which good reason for withholding would exist
under section 6 or section 7
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Carried
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The public were excluded at 11.39 am and the Meeting closed
at 12.48 pm.
4 Declaration
of Interest
21.4.1 Declarations
of Interest Register
Doc ID: 559455
1. Purpose
Members are reminded of the need to be vigilant to stand
aside from decision making when a conflict arises between their role as a
member and any private or other external interest they might have.
2. Attachments
Appendix 1 - Declaration of
Interests Register ⇩ 
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Audit and Risk Committee meeting
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3 December 2021
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Name
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Member’s
Declared Interests
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Spouse/Partner’s
Declared Interests
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Council
Appointments
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Tim Cadogan
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Alexandra
Musical Society (member)
Otago Chamber of Commerce Central Otago Advisory Group member
Dunstan Golf Club (member)
Alexandra Squash Club (member)
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Two Paddocks
(employee)
Blossom Festival Committee member
FarmFresh (Family member sells for this entity)
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Airport
Reference Group
Maniototo Curling International Inc
Eden Hore Steering Group
Tourism Central Otago Advisory Board Ministerial Working Group on Responsible
Camping
LGNZ Governance and Strategy Group
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Neil
Gillespie
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Contact
Energy (Specialist - Community Relations and Environment)
Clyde & Districts Emergency Rescue Trust (Secretary and Trustee)
Cromwell Volunteer Fire Brigade (Deputy Chief Fire Officer)
Cromwell Bowling Club (patron)
Otago Local Advisory Committee - Fire Emergency New Zealand
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Lowburn Hall
Committee
Tarras Community Plan Group
Tarras Hall Committee
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Stephen
Jeffery
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G & S
Smith family Trust (Trustee)
K & EM Bennett’s family Trust (Trustee)
Roxburgh Gorge Trail Charitable Trust (Chair)
Roxburgh and District Medical Services Trust (Trustee)
Central Otago Clutha Trails Ltd (Director)
Teviot Prospects (Trustee)
Teviot Valley Community Development Scheme Governance Group
Central Otago Queenstown Network Trust
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Nigel
McKinlay
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Transition
To Work Trust (Board member)
Gate 22 Vineyard Ltd (Director)
Everyday Gourmet (Director)
Central Otago Wine Association (member)
Long Gully Irrigation Scheme (member)
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5 Reports
21.4.2 Policy
Register
Doc ID: 555872
1. Purpose
To consider the updated
Policy and Strategy Register.
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Recommendations
That the report be received.
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2. Discussion
The following updates were
made to the register:
People and Culture
· Smoking Policy
(for staff) to be rolled into future Drug and Alcohol Policy
· Adverse Weather
Policy removed from register – will roll into the Leave Management Policy
and Health and Safety Framework
· Staff Interests
Policy review delayed until next meeting due to pressures on the Human
Resources team workload.
Information Services
· Two policies
delayed due to staff medical leave:
o LGOIMA Policy now delayed
until the next Audit and Risk meeting
o Privacy Policy delayed until
after completion of the LGOIMA Policy
Parks and Property
· Smokefree and
Vapefree Policy has been updated and presented to Council on 3 November 2021.
It was moved on the register from ‘Regulatory’ to ‘Parks and
Property’
· Clutha River
Mata-au Plan removed from register as not a council owned plan
· Public Toilet
Strategy review has begun with new timeframe added for completion early next
year.
· There are several
pieces of future work listed in the Parks and Property department
· The timeframes
will be reset following onboarding of new staff member currently under
recruitment to assist in managing these projects.
Infrastructure
· Fingerboard Policy
removed from register – to be part of Roading Policy
· Low Cost, Low Risk
Roading Improvements Policy removed from register as no longer in operation
· Speed Limit Bylaw
has been workshopped with all four community boards. The date has been updated
to reflect consultative process timeframes
Community and Engagement
· Arts Strategy has
been reviewed and updated by the arts community
Regulatory
· Dangerous and
Insanitary Building Policy review underway and expecting completion early next
year
General
· Asset
Management Policy is on the agenda for this meeting
· District
Plan timeframes updated to reflect work plan that has been approved by Council
3. Attachments
Appendix 1 - Policy and Strategy
Register ⇩ 
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Report
author:
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Reviewed
and authorised by:
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Alix
Crosbie
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Saskia
Righarts
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Senior
Strategy Advisor
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Chief
Advisor
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19/11/2021
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22/11/2021
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Audit and Risk Committee meeting
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3 December 2021
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*Updated
through Long-term plan process
21.4.3 Risk
Register
Doc ID: 555930
1. Purpose
To consider an update on
the Risk Register.
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Recommendations
That the report be received.
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2. Discussion
The Risk Register is a
tool to identify key risks across the organisation. The register also
includes mitigations for these risks.
At the October 2021
meeting, the Committee requested the Strategic Risk Register be brought to
subsequent meetings as a standing item on the agenda. The Risk Register remains
under development; progress so far includes the inclusion of risk drivers,
current controls and treatments and related risks in a number of strategic risk
areas. The next step requires the information within the dashboard to be
completed, the risk owner to be identified and a workshop to be undertaken with
the Executive Team to determine risk ratings.
The Risk Register
information to date is attached.
3. Attachments
Appendix 1 - Strategic Risk
Register - Dashboard ⇩
Appendix 2 - Risk Register - 2021
(under separate cover) 
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Report
author:
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Reviewed
and authorised by:
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Gabi
McFarlane
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Leanne
Macdonald
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Risk and Procurement
Manager
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Executive
Manager - Corporate Services
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18/09/2021
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18/09/2021
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Audit
and Risk Committee meeting
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3
December 2021
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21.4.4 The
Staff Delegations Manual
Doc ID: 559444
1. Purpose
To receive the Staff
Delegations Manual.
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Recommendations
That the report be received.
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2. Discussion
The Register of
Delegations to Community Boards, Portfolios, Committees, and the Chief
Executive Officer (the Register of Delegations) was adopted by Council in
January 2020. Council approved the extraction of the operational management of
staff delegations to a standalone document, better reflecting organisational
delegations.
A comprehensive review and
rewrite of the Staff Delegations Manual (the Manual) has been undertaken to
mitigate operational inefficiencies and ensure transparency. This Manual has been
developed with consultation and input from a number of activity areas, and once
completed, signed off by the Chief Executive.
The newly created Staff
Delegations Manual aligns with, and fits under the Register of Delegations to
Community Boards, Portfolios, Committees and the Chief Executive Officer. The
redevelopment of the Manual ensures all aspects of organisational delegation
have been covered, decreasing risk and more effectively managing workloads by
ensuring delegations are at more appropriate levels.
The Manual shall be
maintained as a living document, altering to reflect organisational and
regulatory changes as and where required.
3. Attachments
Appendix 1 - Staff Delegations
Manual.pdf ⇩ 
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Report
author:
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Reviewed
and authorised by:
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Gabi
McFarlane
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Leanne
Macdonald
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Risk and
Procurement Manager
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Executive
Manager - Corporate Services
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15/11/2021
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17/11/2021
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Audit
and Risk Committee meeting
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3
December 2021
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21.4.5 Soft
review of the Fraud, Bribery and Corruption Policy and the Protected
Disclosures (Whistle Blower) Policy
Doc ID: 559837
1. Purpose
To consider the findings
of the soft review of the Fraud, Bribery and Corruption Policy and the
Protected Disclosures (Whistle Blower) Policy.
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Recommendations
That the report be received.
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2. Discussion
The Fraud, Bribery and
Corruption Policy and the Protected Disclosures (Whistle Blower) Policy were
adopted at the 18 May 2020 Council meeting. It was agreed to carry out a soft
review in 2021 and present any changes to the Audit and Risk Committee for feedback.
The Office of the Auditor
General and the Serious Fraud Office previously provided guidance on how to
handle events of fraud, bribery, corruption and whistle blowing as well as
requirements recommended to be contained within policy documents. The policy
documents were compiled based on this guidance, which has not changed since the
adoption of the Fraud, Bribery and Corruption Policy and the Protected
Disclosures (Whistle Blower) Policy.
Consequently there have
been no changes to either of these policies.
The policy documents will
be updated as further guidance is released from the Office of Auditor General
or the Serious Fraud Office, or as directed by Council.
3. Attachments
Appendix 1 - Fraud Bribery and
Corruption Policy.pdf ⇩ 
Appendix 2 - Protected Disclosures
(Whistle Blowing) Policy.pdf ⇩
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Report
author:
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Reviewed
and authorised by:
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Gabi
McFarlane
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Leanne
Macdonald
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Risk and
Procurement Manager
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Executive
Manager - Corporate Services
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17/11/2021
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18/11/2021
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Audit
and Risk Committee meeting
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3
December 2021
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Audit and Risk Committee meeting
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3
December 2021
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21.4.6 Audit
NZ and Internal Audit Update
Doc ID: 559561
1. Purpose
To consider an update on
the status of the external and internal audit programme and any outstanding
actions for completed internal and external audits.
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Recommendations
That the report be received.
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2. Discussion
Council
has a legislative requirement to complete external audits of annual reports and
the Long-term Plan through Audit New Zealand. Audit New Zealand complete a
governance report on their findings and any recommendations for
improvements. A schedule of actions is then created and allocated to
staff to manage the completion of these recommendations.
The
2019-2020 Audit New Zealand Management Report was presented to Audit and Risk
at the June 2021 meeting. There were eight recommendations, of which four were
already completed by June 2021, and four remained. The Audit Action Register
contains the four remaining actions, of which three remain outstanding (pending
Audit New Zealand signing off as part of the 2020-21 Management Report), plus
one completed action. There are no urgent actions outstanding. There are four
outstanding actions from the 2018-19 Management Report, which remain in
progress.
In
addition to external audits, council carries out several internal audits
annually to provide assurance over compliance and to mitigate business risks. Two
recommendations remain in progress in the payroll area. Three actions in the
Cyber Security area have been completed.
Appendix
1 and 2 list the outstanding tasks and any progress with these tasks. Once the
Committee have viewed the completed tasks these are removed from the schedule.
3. Attachments
Appendix 1 - Audit New Zealand -
Audit Action Register ⇩ 
Appendix 2 - Internal Audit Action
Register ⇩ 
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Report
author:
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Reviewed
and authorised by:
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|
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Gabi McFarlane
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Leanne
Macdonald
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Risk and
Procurement Manager
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Executive
Manager - Corporate Services
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22/11/2021
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22/11/2021
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Audit
and Risk Committee meeting
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3
December 2021
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Audit and Risk Committee meeting
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3
December 2021
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21.4.7 Financial
Report for the period ending 30 September 2021
Doc ID: 558827
1. Purpose
To consider the financial performance for the period
ending 30 September 2021.
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Recommendations
That the report be received.
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2. Background
The quarterly financial report is presented to the
Committee as part of regular updates.
3. Financial
Reporting
The operating surplus for September 2021 year-to-date is
$2.22M and is largely the result of external funding received for the Three
Waters reform and low operating expenditure. The activity managers have
revised their budgets in September 2021 based on end of year carry-forwards as
at 30 June 2021. This revised budget was approved by Council in September
2021 and subsequently the revised budget has been updated to incorporate the
carry-forwards and any other changes signalled.
i. Funding
received for the Three Waters reform of $1.9M has been carried forward from the
2020/21 financial year. This reflects the phasing of the activity.
ii. Land
sales are lower than expected. This relates to land
Council agreed to sell as part of the long-term planning process. This land is currently having preparation work carried out
in order for it to be ready for sale. All other land sales from subdivisions
will come through later in the financial year, when sold.
iii. User
fees and other is lower than budget by ($450k). This is mainly due to the
timing of the water billing function by ($321k). Extra external resources from
our contractor are being committed to catchup on the meter reading as they are
behind schedule.
iv. Expenditure
is lower than budget by $1.416M. Operational expenditure is trending lower
across all areas with no underlying variance of concern.
Attached to this report is the September 2021 Council
financial report to be presented in December 2021, which includes a variance
analysis against the general ledger profit and loss statement, plus an activity
level variance (Appendix 1).
The report also details the expenditure of the capital works
programme across activities to enable oversight on progress of these projects.
4. Accounts
Receivable
As at 30 September 2021, Council had $59k outstanding in
accounts receivables greater than 90 days. Resource consents are the key
contributors and include:
· The Canyon Vineyard $14k
(objections to fees heard by hearings panel)
· M N Shaw $8.5k (awaiting
payment options)
Other includes:
· Top Shelf Productions
$5.7k (agreement to fund people on Bikes Series 2)
· Hillview Winery Limited $4.3k
relating to rental Alexandra Airport
|
Type of Debtor
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Current
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30 Days
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60 Days
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> 90 Days
|
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Other
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$ 1,234,224
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$ 16,716
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$ 118,661
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$ 18,006
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Building Consents
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$ 7,076
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$ 7,009
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$ 4,680
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$
7,171
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Resource Consents
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$ 33,782
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$ 2,576
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$ 2,892
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$ 34,678
|
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TOTAL
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$ 1,275,082
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$ 26,300
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$ 126,233
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$ 59,855
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Debt is
actively managed and monitored and if a debtor is past our three-month
threshold, their information is sent to our debt collection agency, Receivables
Management Limited.
5. Investment
As at 30 September 2021, Council had cash balances of
$17.3M, of which term deposits totalling $10.5M mature within 90 days.
|
Bank
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Amount
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Term (Month)
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Start Date
|
End Date
|
Fixed Rate
|
|
BNZ
|
4,500,000
|
9
|
2
Mar 2021
|
2
Dec 2021
|
0.96%
|
|
KiwiBank
|
1,000,000
|
1
|
2
Sep 2021
|
2
Oct 2021
|
0.30%
|
|
KiwiBank
|
2,000,000
|
3
|
2
Sep 2021
|
1
Dec 2021
|
0.55%
|
|
KiwiBank
|
3,000,000
|
6
|
31
May 2021
|
29
Nov 2021
|
1.10%
|
Weighted average interest rates for all council term
deposits is 0.86%.
|
3 December 2021
|
|
6. Internal
Loans
Forecast closing balance for 30 June 2022 is
$4.075M.
|
OWED BY
|
Original Loan
|
1 July 2021
|
30 June 2022 Forecast
|
|
Opening Balance
|
Closing Balance
|
|
Public Toilets
|
670,000
|
491,239
|
468,048
|
|
Tarbert St Bldg
|
25,868
|
13,067
|
11,574
|
|
Alex Town Centre
|
94,420
|
49,759
|
44,545
|
|
Alex Town Centre
|
186,398
|
91,041
|
79,921
|
|
Alex Town Centre
|
290,600
|
155,412
|
139,137
|
|
Centennial Milkbar
|
47,821
|
21,284
|
18,192
|
|
Vincent Grants
|
95,000
|
19,000
|
9,500
|
|
Pioneer Store Naseby
|
21,589
|
10,949
|
9,609
|
|
Water
|
867,000
|
717,829
|
691,212
|
|
ANZ Bank Seismic
Strengthening
|
180,000
|
149,030
|
143,504
|
|
Molyneux Pool
|
650,000
|
571,900
|
539,400
|
|
Maniototo Hospital
|
1,873,000
|
1,775,142
|
1,723,630
|
|
Alexandra Airport
|
218,000
|
204,485
|
197,216
|
|
Total
|
5,219,695
|
4,270,138
|
4,075,488
|
7. External Community
Loans
The total amount of external loans at
the beginning of the financial year 2021-22 was $189k. As at 30 September 2021,
the outstanding balance was $179k. Council has received $9.4k in principal
payments and $1.8k in interest payments.
|
Owed
By
|
Original Loan
|
1 July 2021
Actual
Opening Balance
|
Principal
|
Interest
|
30 September 2021
Actual
Closing Balance
|
|
Cromwell
College
|
400,000
|
130,770
|
5,761
|
1,259
|
125,009
|
|
Maniototo
Curling
|
160,000
|
35,662
|
2,244
|
292
|
33,418
|
|
Oturehua
Water
|
46,471
|
22,623
|
1,418
|
283
|
21,205
|
|
|
606,471
|
189,055
|
9,423
|
1,834
|
179,632
|
8. Attachments
Appendix 1 - Council Report 08 Dec
2021 ⇩
|
Report
author:
|
Reviewed
and authorised by:
|
|
|
|
|
Ann
McDowall
|
Leanne
Macdonald
|
|
Finance
Manager
|
Executive
Manager - Corporate Services
|
|
17/11/2021
|
17/11/2021
|
|
Audit
and Risk Committee meeting
|
3
December 2021
|
21.4.8 Asset
Management Policy
Doc ID: 553279
1. Purpose of
Report
To review and recommend to
Council that they approve the 2021 Asset Management Policy.
|
Recommendations
That the Audit and Risk Committee
A. Receives
the report.
B. Recommends
to Council that they approve the 2021 Asset Management Policy.
|
2. Background
Council’s current
Asset Management Policy was adopted in 2014. The Asset Management Policy sets
out key principles, responsibilities, and council’s approach to asset
management.
The proposed policy has
been aligned to the 2018 Asset Management Maturity Assessment and
Council’s outcomes and priorities.
3. Discussion
The proposed 2021 Asset
Management Policy (the Policy) has been updated in line with the Institute of
Public Works Engineering Australasia’s International Infrastructure
Management Manual and follows industry best practice. It is also aligned to the
international asset management standard, ISO550.
This Policy applies to the
following Council-owned assets and activities:
· Water Supply
· Wastewater
· Stormwater
· Transportation
· Parks and Aquatic
Centres
· Property and
Community Facilities
· Waste Management
The Policy provides the
framework for Central Otago District Council to establish, maintain and improve
its Asset Management System. It sets out Council’s commitment to
managing its assets and asset-related services effectively and sustainably, to
meet the needs of the community.
Figure 1 shows the scope
of the planning documents in the Asset Management System (shaded) and how this
interfaces with other key Council planning documents.
Figure 1: Scope of the Asset Management
System (shaded)
The Policy sets out an
improvement roadmap with key milestones identified through to December 2023.
One of the key deliverables is development of draft activity management plans
by June 2023 to support development of the infrastructure strategy and
financial planning for the 2024-27 Long Term Plan and to support transition of
three waters to a new entity.
4. Financial
Considerations
Delivery
of improvement road map can be accommodated within existing long term plan
budgets.
5. Options
Option
1 – (Recommended)
The Committee recommends
to Council the adoption of the 2021 Asset Management Policy.
Advantages:
· Assets
are managed in a sustainable, safe, cost-effective manner.
· Lifecycle
costs are minimised while delivering agreed and affordable levels of service.
· Asset
management activities are funded and delivered in a transparent and equitable
manner.
· Asset
management decision making is transparent.
· Strong
collaboration between relevant staff and teams,
effective working relationships, and information-sharing.
· Provides
regular reporting on progress to the Audit and Risk Committee
· Meets
Audit New Zealand’s expectations and supports the annual reporting
process.
Disadvantages:
· None
identified.
Option
2
The Committee does not
recommend to Council the adoption of the 2021 Asset Management Policy.
Advantages:
· None
Disadvantages:
· The
current policy is outdated and does not align to the 2018 Asset Management
Maturity Assessment.
· Lack
of collaboration between relevant staff.
· Lack
of reporting to governance on achievement of improvement planning and
development of the asset management plans
· Risk
that the management may not be consistent with best practice and council
expectations.
· Risk
that asset management planning will not be undertaken in time to reliably
inform the 2024 Long Term Plan, or support transition of three waters
management to the new water entity.
· A
potential lack of confidence by Audit New Zealand.
6. Compliance
|
Local Government Act 2002 Purpose Provisions
|
This decision promotes the economic and environmental wellbeing of
communities, in the present and for the future by actively managing the
physical infrastructure of the Council on their behalf.
|
|
Financial implications – Is this decision consistent with proposed
activities and budgets in long term plan/annual plan?
|
The financial implications of this new policy have been considered
and are consistent with the proposed activities contained within the
long-term and annual planning processes.
|
|
Decision consistent with other Council plans and policies? Such as
the District Plan, Economic Development Strategy etc.
|
The Policy is a revision of the current Asset Management Policy.
The Policy maintains consistency with other Council policies and processes.
|
|
Considerations as to sustainability, the environment and climate
change impacts
|
The asset management plans consider the implications to
sustainability, environment and climate change impacts and enable these to be
planned for.
|
|
Risks Analysis
|
This new policy supports best practice and mitigates financial and
reputational risk by enabling robust asset management.
|
|
Significance, Consultation and Engagement (internal and external)
|
No consultation is required as this decision is procedural and is not
significant under the Significance and Engagement Policy
|
7. Next Steps
The
policy will be provided to Council for adoption. The Asset Management Working
Group will be established in December and will begin working through the
Improvement Roadmap in the Policy.
8. Attachments
Appendix 1 - CODC AM Policy v1.0
Nov 2021.docx ⇩
|
Report
author:
|
Reviewed
and authorised by:
|
|
|
|
|
Quinton
Penniall
|
Julie
Muir
|
|
Environmental
Engineering Manager
|
Executive
Manager - Infrastructure Services
|
|
11/11/2021
|
15/11/2021
|
|
Audit
and Risk Committee meeting
|
3
December 2021
|
|
Department:
|
Assets
|
|
Document ID:
|
<CentralDocs ID>
|
|
Approved by:
|
…
|
|
Effective date:
|
November 2021
|
|
Next review:
|
November 2023
|
Purpose
This policy provides the
framework for Central Otago District Council to establish, maintain and improve
its Asset Management System. It sets out Council’s
commitment to managing its assets and asset-related services effectively and
sustainably, to meet the needs of the community.
Definitions
Asset Management: The systematic and coordinated activities and practices of an
organisation, to deliver on its objectives optimally and sustainably through
the cost-effective lifecycle management of assets.
Asset Management System: the set of inter-acting elements and processes
of an organisation to achieve its Asset Management objectives.
Objectives
1. Council’s Asset Management System is
improved to the target level of maturity, defined in Attachment A, by December
2023.
2. Council’s agreed Levels of Service are
determined with consideration of Council’s strategic goals, customer
(community) expectations and legislative and regulatory requirements.
3. Council’s Assets and Activities are
managed to achieve agreed levels of service, in the most cost-effective manner,
for current and future customers.
Principles
1. Council’s asset management system:
a. Complies with the requirements of the Local Government
Act (2002) and other relevant legislation.
b. Follows the framework in the IPWEA International
Infrastructure Management Manual
c. Is aligned to the international asset management
standard, ISO 55001.
2. Council’s assets are managed in a sustainable,
safe, cost-effective manner; minimising lifecycle costs while delivering agreed
and affordable levels of service and managing risk.
3. Council’s asset management activities are funded
and delivered in a transparent and equitable manner, fostering community and
Council confidence.
4. Asset management decision making is transparent and
supported by accessible, reliable, and current asset
information where appropriate.
5. Investment decisions priorities are firstly to meet
legislative requirements and renew existing assets, secondly to meeting growth
requirements, and thirdly to address agreed level of service improvements.
6. Resource capacity is appropriate, capable, and
available ahead of need.
7. There is strong collaboration between
relevant staff, teams and service providers, effective working relationships
and information-sharing.
Scope
Assets and
Activities
This Policy applies to the
following Council-owned assets and activities:
Ÿ Water Supply
Ÿ Wastewater
Ÿ Stormwater
Ÿ Transportation
Ÿ Parks and Aquatic
Centres
Ÿ Property and
Community Facilities
Ÿ Waste Management
Scope of the Asset
Management System
Figure 1 shows the scope of the planning documents in
the Asset Management System (shaded) and the Council planning context that
informs, and is informed by, Asset Management planning.
Figure 1: Scope of the Asset
Management System (shaded)
Asset
Management Requirements
To deliver Council’s
Asset Management objectives, Council will:
|
Function
|
Requirements
|
|
Activity (Asset) Management Plans (AMP)
|
Ÿ Update AMPs in the
year preceding the delivery of the council’s Long-Term Plan, aligned
with latest information in Council planning and strategy documents (Fig 1).
Ÿ Seek Council
approval of the AMP to provides the basis for the draft activity inputs and
budgets for the LTP.
Ÿ Update AMPs to
align with LTP, when adopted, or add preface to AMP explaining changes.
|
|
Levels of Service and Performance Management
|
Ÿ Maintain a
performance management framework linking community outcomes, council
objectives, levels of service and performance measures for all core
activities.
Ÿ Annual reporting
and analysis of performance results for all performance measures in the
Long-Term Plan and AMP.
|
|
Demand Management
|
Ÿ Review activity
demand forecasts, demand management strategies and asset growth investment
strategies at least 3 yearly and incorporate in the AMP with stated source
information, assumptions and confidence levels.
|
|
Risk Management
|
Ÿ Update the
activity risk registers annually, using Council’s risk management
framework, and include a summary of extreme and high risks and proposed
treatments in the AMPs.
Ÿ Document critical
assets and management strategies (including spares management) in the AMP.
Ÿ Update the
Infrastructure Resilience Plan and Emergency (Infrastructure Response Plan)
three yearly.
|
|
Information Management
|
Ÿ Maintain and
improve asset registers with asset condition and performance information to
the level of maturity defined in this Policy.
Ÿ Provide a
fit-for-purpose Asset Management Information System to support the delivery
of the requirements of this Policy.
|
|
Operations and Maintenance
|
Ÿ Regularly develop,
document and review ‘optimised’ O&M schedules, including
condition and performance monitoring programmes, which prioritise high risk
and criticality assets.
Ÿ Consider
alternative service delivery options, risks and costs when major contracts
are renewed.
|
|
Capital Investment
|
Ÿ Develop risk,
condition and performance-based renewal forecasts for major asset groups.
Ÿ Collate and
prioritise investment projects from all planning sources (refer Fig 1),
including renewals, and include forecasts in AMP with supporting assumptions
and confidence levels.
|
|
Financial Management
|
Ÿ Revalue assets in
accordance with Accounting and Financial Reporting Standards.
Ÿ Prepare financial
forecasts in the AMPs for a minimum of ten-year period and for the
Infrastructure Strategy for a 30-year period; include detailed assumptions,
source information and confidence levels.
|
|
Improvement Planning
|
Ÿ Undertake
tri-annual asset management maturity assessments using the IIMM Maturity
Framework.
Ÿ Use the maturity
assessment as the basis for development of updated Asset Management Improvement
Plan which outlines tasks, deliverables, resources and timeframes.
Ÿ Annually report on the Improvement Plan to the Executive Team and Risk
and Audit Committee.
|
Table 1: Asset Management Requirements
Roles
and Responsibilities
|
Party
|
Ÿ Responsibility
|
|
Council
|
Ÿ Stewardship of
Council’s assets, ensuring funds are resources are available to achieve
the objectives in this Policy.
Ÿ Governance of this
Asset Management Policy, through the Audit and Risk Committee.
Ÿ Provide strategic
direction and priorities prior to the development of the infrastructure
strategy and AMPs.
Ÿ Approve AMPs as
the basis for the draft Long-Term Plan, including the investment decision
criteria, levels of service, performance targets and budget forecasts.
|
|
Chief Executive
|
Ÿ Establish an Asset
Management Working Group with representatives from finance, information
services and activity managers to oversee the implementation of this Policy
and the Asset Management Improvement Programme.
Ÿ Act as leader and
advocate of Asset Management with staff, the council and the community.
Ÿ Work with the
Executive Team to foster a multi-discipline approach to Asset Management.
|
|
Infrastructure Executive Manager
|
Ÿ Initiate
tri-annual reviews of the asset management maturity assessment and improvement
programme.
Ÿ Provide annual
progress reports to the Audit and Risk Committee and Executive Team.
Ÿ Lead the Asset
Management Working Group.
|
|
Asset Management Working Group
|
Ÿ Lead, monitor and
support the development and delivery of the Asset Management Improvement
Programme and the tri-annual AMP updates.
Ÿ Develop and adopt
processes for reporting Asset Management Improvement Plan progress to the
Executive Team.
Ÿ Ensure that
templates, tools, training and guidance are available to asset managers to
enable them to enact their responsibilities in this Policy.
Ÿ Foster a
multi-disciplinary approach to Asset Management noting some projects are led
by, or have significant input to, teams other than the Assets team.
Ÿ Ensure that Asset
Management Working Group members contribute the relevant inputs in time for
Activity Management Plan development, including:
o Population forecasts, growth forecasts and locations
of new development.
o Funding impacts of expenditure forecasts.
o Leading community consultation around levels of
service and costs.
|
|
Asset / Activity Managers
|
Ÿ Deliver the
requirements of this Policy for their activity.
Ÿ Provide
appropriate representation and resourcing to the Asset Management Working
Group and corporate asset management improvement projects.
Ÿ Work
collaboratively with other departments to promote a multi-disciplinary
approach.
Ÿ Support Asset
Management activities across the council by making asset data and information
accessible and reliable.
Ÿ Provide asset and
cost information to support strategic and level of service decision making by
Council and the community.
Ÿ Continually seek
innovative ways to maintain asset information, manage assets and deliver
services more effectively.
Ÿ Build the asset management capability and capacity of staff to support
achievement of asset management maturity targets.
|
Table 2: Asset Management Roles and Responsibilities
Improvement
Roadmap
Key milestones in the Asset
Management Improvement Plan include:
|
Timeframe
|
Key Project
and Initiatives
|
|
Oct – Dec 2021
|
Ÿ Approval of this
Asset Management Policy
Ÿ Establish an Asset
Management Working Group.
|
|
Jan - Feb 2022
|
Ÿ Develop a detailed
AM improvement implementation plan.
Ÿ Confirm asset
management information system and implementation strategy.
Ÿ Review / audit
data capture processes by contractor and data quality / completeness.
|
|
Mar - Sep 2022
|
Ÿ Complete
inspections and capture of asset information for above-ground 3-waters assets
and development of renewal and upgrade programme.
Ÿ Finalise and
implement project management framework.
Ÿ Develop / update
Facilities and Parks strategies.
Ÿ Three-Waters and
Roading Valuations*
|
|
July – Dec 2022
|
Ÿ Implement the
capital projects database for all Council activities.
Ÿ Implement asset
management information system (parks and property), including interface with
contractor system.
Ÿ Update, if
required, key planning documents and processes that will inform AMP and LTP including:
§ Renewal models (all major asset groups).
§ Demand forecasts.
§ Master Plans/growth plans.
§ Resilience Plan.
§ Risk registers.
|
|
Jan – June 2023
|
Ÿ Review strategic
issues, priorities and options and levels of service with Council.
Ÿ Develop draft
Infrastructure Strategy and AMPs.
Ÿ Property
Revaluation*
|
|
June – Dec 2023
|
Ÿ External review AM
Maturity Assessment.
Ÿ Review contract
performance measures (aligned to revised levels of service).
Ÿ AMP / Infrastructure Strategy – Council consultation and
revision for input to the 2024 Long Term Plan.
|
Table 3: Asset Management Roadmap
* Revaluation
Frequency:
Three
Waters and Roading: annually by 31 May 2022.
Property: three yearly by 31 May 2023
(desktop assessment annually), commercial investment property annually.
Parks
and Pools: five yearly by 31 May 2025 (desktop assessment annually).
Attachment
A: Asset Management Maturity Targets
The asset management
maturity targets shown Table 4 are based on the scoring system in Table
5. Maturity targets are assessed as being appropriate to the important
and risk of Council assets and activities.
Further details on how these targets were derived and
current status of maturity is included in the report Central Otago District
Council Asset Management Maturity Assessment (Infrastructure Decisions, October
2018.)
Activity
|
Transport
|
Three Waters
|
Property
|
Parks and Aquatics
|
Waste Management
|
|
Strategic Direction
|
Advanced (90)
|
Intermediate (80)
|
Core-Int (70)
|
Core (60)
|
Core (60)
|
|
Levels of Service
|
Advanced
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Demand Management
|
Intermediate
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Asset Register Data
|
Advanced
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Performance and
Condition
|
Intermediate
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Decision-Making
|
Advanced
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Risk Management
|
Intermediate
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Operational
Planning
|
Intermediate
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Capital Planning
|
Intermediate
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Financial Planning
|
Intermediate
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Leadership and
Teams
|
Intermediate
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Activity Management
Plans
|
Intermediate
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Quality Management
|
Intermediate
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Information Systems
|
Intermediate
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Service Delivery
Models
|
Advanced
|
Intermediate
|
Core-Int
|
Core
|
Core
|
|
Improvement
Planning
|
Intermediate
|
Intermediate
|
Core-Int
|
Core
|
Core
|
Table 4: Target Levels of Asset Management Maturity
·
|
Section
|
Aware
|
Basic
|
Core
|
Intermediate
|
Advanced
|
|
2.1
AM Policy Development
|
Corporate awareness of the benefits of AM.
|
Corporate expectation expressed in relation to development
of AM Plans and AM objectives.
|
AM Policy and AM Objectives developed, aligned to
corporate goals and strategic context.
Strategic context described in SAMP or AMP.
|
AM System scope is defined and documented.
Strategic context (internal, external, customer
environment) analysed and implications for the AM System documented in the
SAMP or AMP.
|
AM Policy and SAMP fully integrated into the
organisation’s business processes and subject to defined audit, review
and updating procedures.
|
|
2.2
Levels of Service and Performance
Management
|
The organisation recognises the benefits of defining
levels of service, but they are not yet documented or quantified.
|
Basic levels of service have been defined and agreed and
some basic performance measures being reported. Customer Groups have been
defined and requirements are understood.
|
Levels of service and performance measures in place
covering a range of service attributes.
Annual reporting against performance targets. Customer
Group needs analysed and documented.
|
Level of service and cost relationship understood and
considered in determining performance targets. Customers are consulted
on significant service levels and options.
|
Customer communications plan in place.
Levels of service are integral to decision making and
business planning.
|
|
2.3
Demand Forecasting
|
Future demand requirements generally understood but not
documented or quantified.
|
Demand forecasts based on experienced staff predictions,
with consideration of known past demand trends and likely future growth
patterns.
|
Demand Forecasts based on projection of a primary demand
factor (eg: population) and extrapolation of historic trends. Risk
associated with demand changes understood and documented. Demand
management strategies considered.
|
A range of demand scenarios is developed (eg:
high/medium/low) Planning scenario selected considering factors such as risk,
lead time. Demand management is considered in all strategy and project
decisions.
|
Demand forecasts based on mathematical analysis of past
trends and primary demand factors. A range of demand scenarios is developed.
Demand management is considered in all strategy and project decisions.
|
|
2.4
Asset Register Data
|
Asset
information in combination of sources and formats. Awareness of need
for centralised asset register.
|
Basic physical information recorded in a spreadsheet or
similar (e.g. location, size, type), but may be based on broad assumptions or
not complete.
|
Enough information to complete asset valuation (basis
attributes, replacement cost and asset age/ life) and support prioritisation
of programmes (criticality). Asset hierarchy, identification and attribute
systems documented.
Metadata held as appropriate.
|
A reliable register of physical, financial and risk
attributes recorded in an information system with data analysis and reporting
functionality. Systematic and documented data management process in place.
|
Systematic and fully optimised data collection programme
with supporting metadata.
Timely data updating processes are in place and regularly
audited.
|
|
2.5
Asset Condition and Performance
|
Condition and performance understood but not quantified or
documented.
|
Adequate data and information to confirm current
performance against AM objectives.
|
Condition and performance information is suitable to be
used to plan maintenance and renewals to meet over the short
term. May be a mix of asset level and network level information.
|
Future condition and performance information is modelled
considering level of service and demand requirements.
|
Information on work history, cost, condition and performance,
recorded at component level ('maintenance management') level.
The data collection programme is adapted to reflect the
assets’ lifecycle stage and risk.
|
|
3.1
Decision Making
|
AM decisions based largely on staff judgement.
|
Corporate priorities incorporated into decision
making.
|
Formal decision frameworks (eg: multi criteria analysis,
net present value analysis), are applied to major projects and
programmes.
Decision criteria are based on the organisations’ AM
objectives / levels of service.
|
Options analysis and prioritisation techniques are applied
to all operational and capital asset programmes.
Critical assumptions and estimates are tested for
sensitivity to results.
|
Decision framework enables projects and programmes to be
optimised across all activity areas considering benefits and costs of
options.
Formal risk-based sensitivity analysis is carried out.
|
|
3.2
Risk Management
|
Risk management is identified as a future
improvement.
|
Critical services and assets understood and considered by
staff involved in maintenance / renewal decisions.
Risk framework developed.
|
Critical assets and high risks identified.
Risk register in place.
Documented risk management strategies for critical assets
and high risks.
Risk management policy in place.
|
Systematic risk analysis to assist key
decision-making.
Risk register regularly monitored and reported. Risk
managed and prioritised consistently across the organisation.
Resilience level assessed and improvements
identified.
|
Resilience strategy and programme in place including
defined levels of service for resilience.
Risks are quantified and risk mitigation options
evaluated. Risk is integrated into all aspects of decision making.
|
|
3.3
Operational Planning
|
Operational processes based on historical practices.
|
Operating Procedures are available for critical
processes.
Operations structure in place and roles assigned.
|
Documented procedures are available for all operational
processes. Operational support requirements are in place. Improvement
processes are in development (eg: 'root cause analysis).
|
Operational objectives and intervention levels defined and
implemented, aligned with organisational objectives. Evidence of
optimisation of O&M programmes.
O&M programmes monitored and audited.
|
O&M programmes optimised, monitored and regularly
audited. Continual improvement can be demonstrated for all operational
processes (audit recommendations are monitored through to completion).
|
|
3.4
Capital Works Planning
|
Capital investment projects are identified during annual
budget process.
|
There is a schedule of proposed capital projects and
associated costs for the next 3-5 years, based on staff judgement of future
requirements.
|
Projects have been collated from a wide range of sources
and collated into a project register. Capital projects for the next three
years are fully scoped and estimated. A prioritisation framework is in place
to rank the importance of capital projects.
|
Formal options analysis and business case development has
been completed for major projects in the 3-5 year period. Major capital
projects for the next 10-20 are conceptually identified and broad cost
estimates are available.
|
Long-term capital investment programmes are developed
using advanced decision techniques such as predictive renewal modelling.
|
|
3.5
Financial and Funding Strategies
|
Financial planning is largely an annual budget process,
but there is intention to develop longer term forecasts. The
organisational focus is on the operating statement rather than the balance
sheet.
|
Assets are re-valued in accordance with financial
reporting and accounting standards.
Five to nine-year financial forecasts are based on
extrapolation of past trends and broad assumptions about the future.
|
Asset revaluations based on reliable asset data. Ten-year
financial forecasts based on current comprehensive AMPs with detailed
supporting assumptions/reliability factors.
Significant assumptions are specific and well-reasoned.
Expenditure captured at a level useful for AM analysis.
|
Ten-year plus financial forecasts based on current
comprehensive AMPs with detailed supporting assumptions/reliability factors
and high confidence in accuracy. Funding sources are fully understood and
matched with expenditure forecasts over the long term. Alternative funding
sources have been fully explored. Asset expenditure information is linked
with asset performance information.
|
The organisation publishes reliable ten-year plus
financial forecasts based on comprehensive, advanced AMPs with detailed
underlying assumptions and high confidence in accuracy. Advanced
financial modelling provides sensitivity analysis, evidence-based whole of
life costs and cost analysis for level of service options.
|
|
4.1
AM Teams
|
The organisation recognises the benefits of an asset
management function within the organisation but has yet to implement a
structure to support it.
|
Asset Management functions are performed by a small groups
and roles reflect requirements.
|
Position descriptions incorporate AM roles. AM
co-ordination processes established. Ownership and support of AM by the
leadership. Awareness of AM across most of the organisation.
|
Organisational structure supports AM.
Roles reflect AM resourcing requirements and reflected in
position descriptions for key roles. Consistent approach to AM across the
organisation. Internal communication plan established.
|
Formal documented assessment of AM capability and capacity
requirements to achieve AM objectives. Demonstrable alignment between AM
objectives, AM systems and individual responsibilities.
|
|
4.2
AMPs
|
Stated intention to develop AM Plans
|
AM Plans contains basic information on assets, service
levels, planned works and financial forecasts (5-10 years) and future
improvements.
|
AM objectives are defined with consideration of strategic
context. Approach to risk and critical assets described, top-down
condition and performance assessment, future demand forecasts, description of
supporting AM processes, 10-year financial forecasts, 3-year AM improvement
plan.
|
Analysis of asset condition and performance trends
(past/future), customer engagement in setting levels of service, ODM/risk
techniques applied to major programmes. Strategic context analysed with
risks, issues and responses described.
|
Evidence of
programmes driven by comprehensive decision-making techniques, risk
management programmes and level of service/cost trade-off analysis.
Improvement programmes largely complete with focus on ongoing maintenance of
current practice.
|
|
4.3
Management Systems
|
Awareness of need to formalize systems and processes.
|
Simple process documentation in place for service-critical
AM activities.
|
Basic Quality Management System in place that covers all
organisational activities. Critical AM processes are documented,
monitored and subject to review. AM System meets the requirements of ISO
55001.
|
Process documentation implemented in accordance with the
AM System to appropriate level of detail. Internal management
systems are aligned.
|
ISO certification to multiple standards for large asset
intensive organisations, including ISO 55001. Strong integration of all
management systems within the organisation.
|
|
4.4
Information Systems
|
Intention to develop an electronic asset register /
AMIS.
|
Asset register can record core asset attributes –
size, material, etc. Asset information reports can be manually generated for
AM Plan input.
|
Asset register enables hierarchical reporting (at
component to facility level). Customer request tracking and planned
maintenance functionality enabled. System enables manual reports to be
generated for valuation, renewal forecasting.
|
Spatial relationship capability. More automated analysis
reporting on a wider range of information.
|
Financial, asset and customer service systems are
integrated, and all advanced AM functions are enabled. Asset
optimisation analysis can be completed
|
|
4.5
Service Delivery Mechanisms
|
Asset management roles (owner and service delivery) are
generally understood.
|
Service delivery roles clearly allocated (internal and
external), generally following historic approaches.
|
Core functions defined. Procurement strategy/policy in
place. Internal service level agreements in place with the primary internal
service providers and contract for the primary external service providers.
|
Risks, benefits and costs of various outsourcing options
considered and determined. Competitive tendering practices applied with
integrity and accountability.
|
All potential service delivery mechanisms reviewed, and
formal analysis carried out to identify best delivery mechanism.
|
|
4.6
Improvement Planning
|
The organisation recognises the benefits of improving
asset management processes and practices but has yet to develop an
improvement plan.
|
Improvement actions identified and allocated to
appropriate staff.
|
Current and future AM performance assessed, and gaps used
to drive the improvement actions. Improvement plans identify objectives,
timeframes, deliverables, resource requirements and responsibilities
|
Formal monitoring and reporting on the improvement
programme to Executive Team. Project briefs developed for all key improvement
actions.
|
Improvement plans specify key performance
indicators (KPIs) for monitoring AM improvement and these are routinely
reported.
|
|
|
|
|
|
|
|
|
Table 5: Asset Management Maturity Scoring System
21.4.9 Infrastructure
Construction Projects Update
Doc ID: 559689
1. Purpose
To consider monthly status
reports for Clyde Wastewater and Lake Dunstan Water Supply projects and to
provide an update on the implementation of project management software.
|
Recommendations
That the report be received.
|
2. Discussion
Project management
software solution (Sentient) is currently being implemented within the
infrastructure and information services areas of council. This work has
been funded from the water stimulus funding to enable improved record keeping
and management of the three waters programme of work.
The project to implement
the software has initially been focussed on the project management processes
required to deliver construction and information services projects.
There is a significant
program of capital work to deliver within the infrastructure department over
the current three year Long Term Plan period. Our traditional processes
for both project and financial management are not adequate for a program of
work of this scale.
The following table
provides a summary of the total capital programme for each infrastructure
activity area. The stimulus funded projects are largely capital work but
does include some operational projects.
|
Activity Area
|
2021/22
|
2022/23
|
2023/24
|
|
Roading
|
$8,185,076
|
$7,285,076
|
$6,287,506
|
|
Stormwater
|
$380,000
|
$380,000
|
$380,000
|
|
Wastewater
|
$13,172,486
|
$3,618,105
|
$3,867,359
|
|
Water capex
|
$16,696,845
|
$8,006,560
|
$7,924,519
|
|
Water Stimulus funding
|
$9,460,000
|
0
|
0
|
|
Environment Engineering
|
$382,000
|
$400,000
|
0
|
|
Annual
Total
|
$48,276,407
|
$19,689,741
|
$18,459,384
|
|
Three
Year Total
|
$141 million
|
There are currently 45
infrastructure construction projects entered into Sentient, which includes all
water, wastewater, stimulus funded, and environmental engineering improvement
projects. Roading improvement projects, and three waters renewal projects
are still to be entered.
October was the first
month in which sufficient project information was entered into the system to
enable monthly reporting to be undertaken directly from Sentient. The
November project reports for Clyde Wastewater and Lake Dunstan Water Supply
projects are attached in the appendices.
The project detail report,
and project brief for the Cromwell Pump Station Emergency Storage Upgrades are
also attached to provide examples of the data that is provided for each project
within the system. This project was already in construction when the
system was implemented, so abbreviated background information and project goals
and benefits were uploaded instead of what would be expected to be provided on
future projects.
As well as providing
project management capability, Sentient will enable regular updating of monthly
cashflow forecasts to be undertaken by the project managers. The Sentient
software will be integrated with the Magiq finance system during November to
enable direct reporting of project budgets and expenditure to date from Magiq
to Sentient on a monthly cycle. The attached reports for November
therefore do not have complete financial information in them.
Project managers will be
required to update the cashflow forecasts to the end of the project on all
projects within the system once the Magiq integration is completed to enable
complete financial reporting to be provided in the future.
The visibility of
information through the reporting functions in Sentient has highlighted
variability within the project management capabilities of the wider team.
Further work is underway to re-write the project management manual to reflect
the Sentient processes and support staff in more consistent project management.
Business rules are also currently being developed for:
· project
responsibilities at different project stages
· project phase
approvals
· identification and
assessment of risks and issues
· setting of dates
for milestones
· budget change
approval processes
· financial
forecasting
· status reporting
content
This work is expected to
be completed by the end of December, and dashboard reporting will be provided
to the Audit and Risk Committee for all infrastructure construction projects
from February 2022.
Provision has been made
for property construction projects to also be managed in Sentient.
Property staff will be provided training on the system in November.
It is intended that
Sentient will be developed further to enable the management of non-construction
projects for the wider council organisation. Work has commenced on this
and has been trialled within the infrastructure department. A number of
issues need to be worked through before this can be rolled out more
widely. This is due to the following reasons:
1. It
is difficult to develop process workflows and checklists that meets the needs
of many different types of projects.
2. The
more flexibility that is provided in the system for project managers to develop
project specific milestones and checklists, the less intuitive the system
becomes.
3. Staff
who have less project management experience are less adept at setting up
project milestones and checklists in a more flexible environment.
Council expects to have
largely addressed these issues by the end of December, with Sentient being used
to manage and report on all non-construction projects in the infrastructure
department by January 2022.
One of the key benefits
that Council is already seeing from the first monthly reporting on
infrastructure projects is the ability to identify where there are gaps or
errors in project information. This is enabling Council to improve our
business processes and also identify project management training needs.
3. Attachments
Appendix 1 - Lake Dunstan Water
Supply Project Report - Status Report November ⇩
Appendix 2 - Clyde Wastewater
Reticulation Stage 1 - Status Report November ⇩
Appendix 3 - Clyde Wastewater Main
Pump Station - Status Report November ⇩
Appendix 4 - Cromwell Pump Station
Emergency Storage Upgrades - Project Details ⇩
Appendix 5 - Cromwell Pump Station
Emergency Storage Upgrades - Project Brief ⇩
|
Report
author:
|
Reviewed
and authorised by:
|
|
|
|
|
Julie
Muir
|
Louise
van der Voort
|
|
Executive
Manager - Infrastructure Services
|
Acting
Chief Executive Officer
|
|
22/11/2021
|
23/11/2021
|
|
Audit
and Risk Committee meeting
|
3
December 2021
|
|
Audit and Risk Committee meeting
|
3
December 2021
|
|
Audit
and Risk Committee meeting
|
3
December 2021
|
|
Audit
and Risk Committee meeting
|
3 December 2021
|
Project
Details
1.
|
1. Infrastructure
Project Details
|
|
2.
Project Name (#)
|
Cromwell Pump
Station Emergency Storage Upgrades (7)
|
3.
Current Process Phase
|
Construction
Execution
|
MAGIQ
Project Code
|
PJ21211
|
|
4.
Description of Problem & Background
|
Limited pumping and
storage capacity to accommodate inflow during high flow, resulting in
overflows.
|
|
5.
Project Goals, Objectives & Potential
Benefits
|
Meet legal
requirements. Complete work prior to water stimulus funding end date.
Increased waste water storage to cope with growth. Prevent waste water
overflows.
|
|
6.
Key Project Deliverables
|
Increase pump
station storage capacity, aiming for around 8 hours storage 121m3 of
wastewater storage
900m of pipe
installed
|
|
7.
Description of Project Constraints
|
Project is stimulus
funded so needs to be completed by 30 March 2022. Tanks need to be installed
within the existing designation, high water tables limiting usable depth,
consideration around existing assets.
|
8.
Project Assumptions
|
Internal project
management staff committed to project. Contractor designed and built.
Technical support supplied by Stantec where required. Programme tension may
occur with large volume of work occurring nationally & internationally.
|
|
9.
CentralDocs URLs
|
https://cdocs.codc.govt.nz/docs/~F48406 - https://cdocs.codc.govt.nz/docs/~F48406
|
|
|
|
|
|
|
|
|
|
2. Project
Complexity
|
|
10.
$ Value
|
$500,000 to
$1,000,000
|
11.
Technical Expertise
|
Some external
support required
|
|
12.
Operational Impact
|
Delivered with a
business unit
|
13.
Public Interest
|
Inform - through
normal communications
|
|
14.
Project Category
|
Intermediate
|
|
3. Categorisation
|
|
15.
Department
|
Infrastructure
Services
|
16.
Activity Area(s)
|
Wastewater
|
|
17.
Project Type
|
Improvements
|
18.
Procurement Type
|
Market Tender
|
|
19.
Parent Programme
|
Water Stimulus
|
20.
Wards
|
Cromwell
|
|
21.
Programme Category
|
Water Stimulus
|
22.
Governance Boards
|
Project Governance
Group (PGG)
|
|
23.
Strategic Priorities
|
Safe and healthy,
Resilience and reliability, Sustainability
|
24.
Council Portfolio
|
Three Waters and
Waste Portfolio
|
|
25.
Strategic Drivers
|
Meet legal
requirements, Are integrated, consistent, and fit for purpose,
Are environmentally conscious
|
26.
Key Contractors
|
Fulton Hogan,
Stantec
|
|
4. People
|
|
27.
Project Sponsor
|
Julie Muir
|
28.
Programme Manager
|
Patrick Keenan
|
|
29.
Project Owner
|
Ian Evans
|
30.
Project Manager
|
Josh Wight
|
|
31.
Project Team
|
Patrick Keenan,
Julie Muir, Adele Eyers, Ian Evans, Josh Wight
|
32.
Other Activities Impacted
|
Infrastructure
Services - Water Services
|
|
5. High Level
Estimates
|
|
33.
Estimated Start
|
18/Oct/2021
|
34.
Estimate at Completion CAPEX ($)
|
$1,020,000.00
|
|
35.
Estimated Finish
|
06/Dec/2021
|
36.
Estimate at Completion OPEX ($)
|
$
|
|
37.
Estimated Duration
|
7 week(s)
|
38.
Estimated at Completion Total ($)
|
$
|
|
6. Financial
Summary (Current FY)
|
|
39.
|
Total
Approved Annual (TAA) Budget
|
Estimate
at End of FY (EEFY)
|
40.
Actuals + Commitments
|
Variance
(TAA Budget – EEFY)
|
|
41.
CAPEX
|
$920,000
|
$505,968
|
$2,069
|
$414,032
|
|
42.
OPEX
|
$0
|
$0
|
$0
|
$0
|
|
43.
TOTAL
|
$920,000
|
$505,968
|
$2,069
|
$414,032
|
|
44.
Date Created
|
07/Sep/2021
|
45.
Created By
|
System
|
|
46.
Last Updated
|
12/Nov/2021
|
47.
Last Updated By
|
Patrick Keenan
|
|
Audit
and Risk Committee meeting
|
3 December 2021
|
Project
Brief
48.
|
7. Project Name
|
8.
Cromwell
Pump Station Emergency Storage Upgrades
|
|
9. Project
Sponsor
|
10. Julie Muir
|
|
11. Project Owner
|
12. Ian Evans
|
|
13. Project
Manager
|
14. Josh Wight
|
|
15. Project Team
Members
|
16. Patrick Keenan, Julie
Muir, Adele Eyers, Ian Evans, Josh Wight
|
|
17. Estimated
Start Date
|
18. 18/Oct/2021
|
19. Sentient ID /
MAGIQ ID
|
20. 7 / PJ21211
|
|
1. Description
of Problem and Background
|
|
Limited pumping and storage capacity
to accommodate inflow during high flow, resulting in overflows.
|
|
2. Project
Goals, Objectives & Potential Benefits
|
|
Meet legal requirements. Complete
work prior to water stimulus funding end date. Increased waste water storage
to cope with growth. Prevent waste water overflows.
|
|
3. Key
Project Deliverables
|
|
Increase pump station storage
capacity, aiming for around 8 hours storage 121m3 of wastewater storage
900m of pipe installed
|
|
4. Description
of Project Constraints
|
|
Project is stimulus funded so needs
to be completed by 30 March 2022. Tanks need to be installed within the
existing designation, high water tables limiting usable depth, consideration
around existing assets.
|
|
5. Project
Stakeholders
|
|
Internal
|
|
|
External
|
|
|
6. Estimated
Project Cost (Include Order of Accuracy)
|
|
21. Financial
Summary (Current FY)
|
|
|
Total
Approved Annual (TAA) Budget
|
Estimate
at End of FY (EEFY)
|
Actuals
+ Commitments
|
Variance
(TAA Budget – EEFY)
|
|
49.
CAPEX
|
$920,000
|
$505,968
|
$2,069
|
$414,032
|
|
50.
OPEX
|
$0
|
$0
|
$0
|
$0
|
|
51.
TOTAL
|
$920,000
|
$505,968
|
$2,069
|
$414,032
|
52.
|
7. Project
Governance Requirements
|
|
|
53.
|
8. Risk
Management
|
|
54.
Risk Name
|
55.
Description
|
56.
Owner
|
57.
Priority Score
|
58.
Status
|
59.
Flag
|
|
Odour Control Requirements
|
Odour control unit may need to be
installed. HS2 monitoring currently being completed to confirm requirements.
|
Josh Wight
|
1
|
Open
|
Green - On Track
|
|
Communications Cable In Tank Alignment
|
2 x Chorus copper cables in tanks
alignment.
|
Josh Wight
|
2
|
Open
|
Green - On Track
|
|
Work needs to be completed by 30
June 2022
|
This project is funded under the
Three Waters Stimulus. The end date for the funding agreement with the DIA is
31 March 2022. On 2 November 2021 CODC received notification from Crown
Infrastructure Partners that the DIA have confirmed an extension for the
completion of the programme from 31 March to 30 June 2022.
|
|
0
|
Open
|
Green - On Track
|
|
Rising material costs
|
Rising material costs due to
economic drivers outside of our control
|
Josh Wight
|
9
|
Open
|
Green - On Track
|
60.
|
9. Project
Category
|
|
61.
$ Value
|
$500,000 to $1,000,000
|
62.
Technical Expertise
|
Some external support required
|
|
63.
Operational Impact
|
Delivered with a business unit
|
64.
Public Interest
|
Inform - through normal
communications
|
|
65.
Project Category
|
Intermediate
|
66.
67.
|
11. Proposed
Procurement Outline
|
|
|
68.
|
Project
Sponsor
|
|
|
|
|
|
Error!
Reference source not found.
|
|
|
|
|
|
Name
|
|
Signature
|
|
Date
|
|
Project
Owner
|
|
|
|
|
|
Error!
Reference source not found.
|
|
|
|
|
|
Name
|
|
Signature
|
|
Date
|
21.4.10 Health,
Safety and Wellbeing
Doc ID: 559388
1. Purpose
To provide with
information on health, safety and wellbeing risks and controls at Central Otago
District Council.
|
Recommendations
That the report be received.
|
2. Discussion
2.1 Covid-19
vaccination
On 26 October 2021, COVID-19 Public Health Response (Vaccinations) Amendment
Order (No 3) 2021 mandated vaccination for prisons, healthcare, and education
workers. This health order has a limited impact on Council with employees
working on school grounds are required be vaccinated for Covid-19. Employees at
Council facilities, such as pools and libraries, that schools visit, are not
included in this mandate.
Council is prepared for
mandatory vaccination orders to change at any time.
2.1.1 Risk assessment
Council is undertaking
risk assessments for all job roles to identify any that are at high-risk of
transmission or exposure to COVID -19.
Council may consider
mandatory vaccination for COVID -19 to meet its duties under the Health and
Safety at Work Act 2015.
2.1.2 Risk assessment
methodology
In addition to taking
guidance from Council’s Risk Management Policy, the risk assessment for
COVID-19 considers guidance from WorkSafe New Zealand that is specific to
assessing mandatory vaccination in the workplace.
If the risk assessment
process finds that a role needs to be performed by a vaccinated worker, a
proposal will be put to employees for consultation.
2.2 Contractor
management
Five preferred contractors
improved their SiteWise scores from green to gold during the period September
to November 2021.
The average contractor
score improved from 87% to 88%.
Fig 1. SiteWise contractor scores November 11, 2021
2.3 Incident reports
This report covers the
period 1 July to 30 September 2021, inclusive.
There were 30 incidents
during the reporting period.
This report is presented
in two sections: workers and public. This reporting change aims to provide a
distinction between the health and safety risks affecting workers and those
affecting service users (public).
2.3.1 Worker incidents
During the reporting
period, there were nine incidents involving workers.
Workers include all
employees, volunteers and contractors working at Council operated workplaces.
The incidents during this
period cover a range of categories including minor injuries (non-treatment and
first aid), customer aggression, near misses and two breaches of COVID-19
requirements.
Fig 2. Worker incidents YTD by rating
2.3.1a Workplace injuries
There were three
work-related injuries/illnesses involving workers. No time was lost during this
reporting period.
|
Reporting
period
|
Non-treatment injury
|
FAI
|
LTI
|
MTI
|
Fatality
|
Total recordable injuries
|
|
July-Sept
21
|
2
|
1
|
0
|
0
|
0
|
3
|
Table 1. Recordable injuries/illnesses for workers July-September 2021.
The following measure
indicate the rate and severity of work-related injury/illness amongst workers:
LTIR (Lost time injury
rate): 0
TRIR (Total recordable
incident rate): 8.52 (injury incidents per 100 employees)
Severity rating: 0
2.3.2. Public incidents
There were 21 incidents
involving members of the public between July – September 2021.
Bio-hazard and first aid
injuries make up most of the incidents involving the public.
Fig 2. Public incidents YTD by rating
Incidents involving the public took place at aquatic
centres, libraries and at our recreation facilities.
Fig 3. Public incidents YTD by business area
2.3.2a Public injuries
During the reporting
period, there were nine injuries to members of the public.
|
Reporting
period
|
Non-treatment injury
|
FAI
|
MTI
|
Fatality
|
Total recordable injuries
|
|
July-Sept
21
|
2
|
7
|
0
|
0
|
9
|
Table 3. Recordable injury/illness for the public July-September 2021.
2.4 Critical risks
Critical risks arise from
activities that could cause serious injury or death. These risks are reviewed
quarterly to ensure they are actively managed.
|
Critical risk
|
Existing controls
|
New or upcoming controls
|
|
Driving
|
· Vehicle User Policy
· E-Roads installed in
fleet vehicles
· 5-Star ANCAP rated
vehicles
· Licenced drivers
· Fleet inductions for
new starters
· Chain fitting training
|
· Adverse Weather Policy
has been reviewed and will become a guideline associated with the Leave
Management and Vehicle User Policies
|
|
Remote
or isolated working
|
· Working from Home
Policy
· Panic buttons
· Work planning
· Buddy systems
· Risk assessments
|
· Planned procurement of
Lone Worker software in Q4 2021-22
|
|
Psychosocial
hazards
|
· Employee Assistance
Programme (EAP)
· Wellbeing programme
· Regular 1:1s
· Flexible working
· Equal Employment
Opportunity (EEO), Discrimination, Harassment and Bullying Policy
· Performance Management
Policy
· Fit for Work Programme
|
· De-escalation training
has been scheduled for Environmental Engineering
· HR and Health and
Safety delivering proactive intervention for staff
· Mental Health training
was trialled by members of the Health and Safety Committee
|
|
Biological
hazards
|
· High-risk vaccinations
programme
· Engineering controls
· PPE is provided
|
· Water Services safety
workshop completed
· Covid-19 vaccination
risk assessments are in progress
|
|
Hazardous
chemicals
|
· Chemical register
· Display safety data
sheets
· Appropriate storage
· Quantities stored is
kept at a minimum
· Ventilation and
circulation of air is monitored
· PPE is provided for
handling or working with chemicals
· Records of training
are maintained
· Fire schemes updated
with FENZ (chemical registers)
· Qualified contractors
|
· Water Services safety
workshop completed
· Waster Services
provided an updated chemical list
· Chemical storage at
pools was inspected by an external consultant
|
Table 5. CODC critical health and safety risks (November 2021).
2.5 Training and
initiatives
· The Health, Safety
and Wellbeing Committee began a project to review the wellbeing programme,
beginning with staff feedback.
· Incident reporting
software BWare will be upgraded to a new version between 20-22 January 2022
· Finance and
library teams completed incident reporting training
· The following
regular training was completed:
|
Training
|
This period
|
FYTD
|
% required staff trained
|
Target
|
|
New
staff inductions
|
13
|
13
|
|
|
|
First
aid certificates
|
7
|
7
|
|
|
|
SiteSafe
passports
|
6
|
6
|
84%
|
100%
|
|
Fire
safety warden
|
25
|
25
|
|
|
Table 6. Regular training completed FTYD. Grey areas do not have a live
target.
3. Attachments
Nil
|
Report
author:
|
Reviewed
and authorised by:
|
|
|
|
|
Rachel
Ennis
|
Louise
Fleck
|
|
Health,
Safety and Wellbeing Officer
|
Executive
Manager - People and Culture
|
|
10/11/2021
|
16/11/2021
|
6 Chair's
Report
21.4.11 December
2021 Chair's Report
Doc ID: 559441
1. Purpose
To consider the October Chair’s report.
|
Recommendations
That the report be received.
|
2. Attachments
Nil
7 Members'
Reports
21.4.12 December
Members' Reports
Doc ID: 559440
1. Purpose
To consider the October members’ reports.
|
Recommendations
That the reports be received.
|
2. Attachments
Nil
8 Status
Reports
21.4.13 December
Governance Report
Doc ID: 559442
1. Purpose
To report on items of
general interest, consider the Audit and Risk Committee’s forward work
programme and the current status report updates.
|
Recommendations
That the report be received.
|
2. Discussion
Forward Work Programme
The Audit and Risk Committee’s forward work programme
has been included for information.
3. Attachments
Appendix 1 - Audit and Risk
Forward Work Programme ⇩ 
|
Report
author:
|
Reviewed
and authorised by:
|
|
|
|
|
Rebecca
Williams
|
Sanchia
Jacobs
|
|
Governance
Manager
|
Chief
Executive Officer
|
|
15/11/2021
|
30/11/2021
|
|
Audit and Risk Committee
meeting
|
3 December 2021
|
|
Audit
and Risk
Forward Work Programme 2021 - 2022
|
|
Area of work and Lead
Department
|
Reason for work
|
Committee’s role
(decision and/or direction)
|
Expected timeframes
Highlight the month(s) this is expected
to come to Audit and Risk in 2021/22
|
|
Jul
|
Aug
|
Sep
|
Oct
|
Nov
|
Dec
|
Jan
|
Feb
|
Mar
|
Apr
|
May
|
Jun
|
|
Long-term Plan 2021/31
|
|
Long-term Plan
Chief Advisor/Executive Manager - Corporate Services
|
Oversight of the preparation of the Long-term Plan.
|
Direction required: Direction
on timeline and progress. To make recommendations to Council on matters
and proposals relevant to risk management and internal review practices.
|
Not applicable until 2024/34 LTP is
being prepared
|
|
Annual Report
|
|
Annual Report
Executive Manager - Corporate Services
|
Oversight of the preparation of the Annual Report.
|
Direction required: For
the Committee to recommend to Council that they adopt the 2020-2021 Annual
Report subject to any changes the Committee may identify.
|
|
|
|
R
|
|
|
|
|
|
|
|
|
|
Governance Reports
|
|
Management
Reports
Executive
Manager - Corporate Services
|
Oversight
of management reports post external audits
|
Direction required: Overseeing
the progress of key recommendations arising from the audits.
|
|
|
|
R
|
|
R
|
|
R
|
|
|
|
R
|
|
Internal Audits
|
|
Internal Audits
Executive Managers / Business Risk and Procurement
Manager
|
Reviewing the internal audit programme of work (3 yearly)
and the actions arising from those audits.
|
Direction required: Direction
on timeline and progress. Identifying the key risks and actions arising from the
audits.
|
|
|
|
R
|
|
R
|
|
R
|
|
|
|
R
|
|
Policy Reviews
|
|
Policy Reviews
Senior Strategy Advisor
|
Oversight of Council’s policy renewal schedule and reviewing
relevant updated and new policies.
|
Direction required: Provide
feedback on policies and recommend for approval and implementation.
Review policy schedule to ensure timelines are being achieved.
|
|
|
|
R
|
|
R
|
|
R
|
|
|
|
R
|
|
2022 Annual Plan
|
|
2022 Annual Plan
Executive Manager - Corporate Services
|
Oversight of the preparation of the Annual Plan.
|
Direction required: Direction
on timeline and progress. To make recommendations to Council on matters
and proposals relevant to risk management and internal review practices.
|
|
|
|
|
|
R
|
|
R
|
|
|
|
|
|
|
Key
– R = recommendation
, U = update
10 Resolution
to Exclude the Public
|
Recommendations
That the public be excluded from the following parts of
the proceedings of this meeting.
The general subject matter of each matter to be considered
while the public is excluded, the reason for passing this resolution in
relation to each matter, and the specific grounds under section 48 of the
Local Government Official Information and Meetings Act 1987 for the passing
of this resolution are as follows:
|
General subject of each matter to be
considered
|
Reason for passing this resolution in
relation to each matter
|
Ground(s) under section 48 for the
passing of this resolution
|
|
Confidential Minutes of the Audit and
Risk Committee
|
s7(2)(a) - the withholding of the information is
necessary to protect the privacy of natural persons, including that of
deceased natural persons.
s7(2)(c)(ii) - the withholding of the information
is necessary to protect information which is subject to an obligation of
confidence or which any person has been or could be compelled to provide
under the authority of any enactment, where the making available of the
information would be likely otherwise to damage the public interest.
s7(2)(d) - the withholding of the information is
necessary to avoid prejudice to measures protecting the health or safety of
members of the public.
s7(2)(g) - the withholding of the information is
necessary to maintain legal professional privilege.
s7(2)(i) - the withholding of the information is
necessary to enable Council to carry on, without prejudice or disadvantage,
negotiations (including commercial and industrial negotiations.)
|
s48(1)(a)(i) - the public conduct of the relevant
part of the proceedings of the meeting would be likely to result in the
disclosure of information for which good reason for withholding would exist
under section 6 or section 7
|
|
21.4.14 - Litigation Register
|
s7(2)(g) - the withholding of the information is
necessary to maintain legal professional privilege
|
s48(1)(a)(i) - the public conduct of the relevant
part of the proceedings of the meeting would be likely to result in the
disclosure of information for which good reason for withholding would exist
under section 6 or section 7
|
|
21.4.15 - Otago Regional Council Issue
of Abatement Notices
|
s7(2)(g) - the withholding of the information is
necessary to maintain legal professional privilege
|
s48(1)(a)(i) - the public conduct of the relevant
part of the proceedings of the meeting would be likely to result in the
disclosure of information for which good reason for withholding would exist
under section 6 or section 7
|
|
21.4.16 - December 2021 Confidential
Governance Report
|
s7(2)(c)(ii) - the withholding of the information
is necessary to protect information which is subject to an obligation of
confidence or which any person has been or could be compelled to provide
under the authority of any enactment, where the making available of the
information would be likely otherwise to damage the public interest
s7(2)(d) - the withholding of the information is
necessary to avoid prejudice to measures protecting the health or safety of
members of the public
|
s48(1)(a)(i) - the public conduct of the relevant
part of the proceedings of the meeting would be likely to result in the
disclosure of information for which good reason for withholding would exist
under section 6 or section 7
|
|
