Agenda of Audit and Risk Committee - Monday, 16 December 2024

Audit and Risk Committee Agenda

16 December 2024

MINUTES OF Central Otago District Council
Audit and Risk Committee
HELD IN Ngā Hau e Whā, William Fraser Building, 1 Dunorling Street, Alexandra
AND LIVE STREAMED VIA MICROSOFT TEAMS ON Thursday, 3 October 2024 AT 9.30 am

PRESENT: Mr B Robertson (Chair), Cr T Alley (via Microsoft Teams), His Worship the Mayor T Cadogan, Cr S Feinerman, Cr T Paterson

IN ATTENDANCE: Cr S Browne, P Kelly (Chief Executive Officer), S Righarts (Group Manager - Business Support) (via Microsoft Teams), J Muir (Group Manager – Three Waters), D Rushbrook (Group Manager - Community Vision), D Scoones (Group Manager - Community Experience), A Crosbie (Senior Policy Advisor), A Lines (Risk and Procurement Advisor), P Bain (Water Services Customer and Compliance Team Leader), V Moss (Executive Assistant – Business Support)

1 Apologies

There were no apologies.

2 Public Forum

There was no public forum.

3 Confirmation of Minutes

Committee Resolution

Moved: Robertson

Seconded: Cadogan

That the public minutes of the Audit and Risk Committee Meeting held on 7 June 2024 be confirmed as a true and correct record.

Carried

4 Declarations of Interest

Members were reminded of their obligations in respect of declaring any interests. There were no further declarations of interest.

5 Reports

Note: Chantelle Gernetzky from Audit New Zealand joined the meeting for item 24.3.2.

24.3.2 Audit NZ and Internal Audit Update

To consider an update on the status of the external and internal audit programme and any outstanding actions for completed internal and external audits.

Committee Resolution

Moved: Paterson

Seconded: Feinerman

That the report be received.

Carried

Note: The meeting was adjourned from 9.45 am and returned at 9.50 am.

24.3.3 Policy and Strategy Register

To consider the updated Policy and Strategy Register.

Committee Resolution

Moved: Cadogan

Seconded: Paterson

That the report be received.

Carried

24.3.4 Staff Interests Policy

To consider the revisions made to the Staff Interests Policy in line with its scheduled review.

After discussion, it was noted that the tone should change from conflicts of interest to just interests. In Addition there were two items were noted:

· On p.69 of the agenda, it was noted that the text was procurement centric and that it should be changed to interests more generally.

· On p.71 of the agenda, the text should include comment that staff should work with their manager to mitigate their interests.

Committee Resolution

Moved: Robertson

Seconded: Feinerman

That the Audit and Risk Committee

A. Receives the report and accepts the level of significance.

B. Recommends to Council that the revised Staff Interests Policy is approved.

Carried

24.3.5 Health, Safety and Wellbeing Report

To provide the Audit & Risk Committee with an update on the health, safety and wellbeing performance of the organisation.

Committee Resolution

Moved: Cadogan

Seconded: Paterson

That the report be received.

Carried

24.3.6 2025-34 Long-term Plan Programme Update

To update the Committee on the preparation of the 2025-34 Long-term Plan.

Committee Resolution

Moved: Robertson

Seconded: Paterson

That the report be received.

Carried

24.3.7 Gift and Hospitality Register

To consider the gift and hospitality register.

Committee Resolution

Moved: Paterson

Seconded: Cadogan

That the report be received.

Carried

Note: Miles O’Connor from Bancorp joined the meeting for item 24.3.8.

24.3.8 Treasury Report

To consider the quarterly treasury report.

Committee Resolution

Moved: Robertson

Seconded: Paterson

That the report be received.

Carried

Note: The meeting adjourned at 11.36 am and resumed at 11.45 am.

24.3.9 Drinking Water Compliance

To consider Central Otago District Council’s (CODC) compliance with the Drinking Water Quality Assurance Rules 2022 (DWQAR).

Committee Resolution

Moved: Paterson

Seconded: Feinerman

That the Audit and Risk Committee

A. Receives the report and accepts the level of significance.

B. Recommends to Council that quarterly updates be provided on progress to achieve improved compliance.

Carried

Note: Derek Shaw from Civil Defence Emergency Management joined the meeting for item 24.3.10.

24.3.10 Update from Civil Defence Emergency Management (CDEM)

To consider an update from Civil Defence Emergency Management (CDEM).

Mr Shaw gave a verbal update on recent CDEM activities before responding to questions.

Committee Resolution

Moved: Robertson

Seconded: Cadogan

That the report be received.

Carried

24.3.11 Status Reports for Cromwell Rising Main and Cromwell Drinking Water Upgrade

To consider status reports for the Cromwell Rising Main and Cromwell Drinking Water Upgrade projects.

Committee Resolution

Moved: Robertson

Seconded: Cadogan

That the reports be received.

Carried

24.3.12 Status Update for Clyde Street and Water Upgrade

To consider an update on the Clyde Street and Water Upgrade.

Committee Resolution

Moved: Robertson

Seconded: Cadogan

That the reports be received.

Carried

24.3.13 Capex Report on Cromwell Memorial Hall

To provide capex updates on the Cromwell Memorial Hall Project.

Committee Resolution

Moved: Robertson

Seconded: Cadogan

That the report be received.

Carried

6 Chair's Report

24.3.14 Chair's Report

To consider the Chair’s report.

The Chair reflected on the increase in risk that came with change, which included changes in personnel.

Committee Resolution

Moved: Robertson

Seconded: Cadogan

That the report be received.

Carried

7 Members' Reports

24.3.15 Members' Reports

To consider the members’ reports.

His Worship the Mayor reflected on his recent announcement of his intention to resign.

Committee Resolution

Moved: Robertson

Seconded: Paterson

That the reports be received.

Carried

8 Status Reports

24.3.16 October 2024 Governance Report

To report on items of general interest and the current status report updates.

Committee Resolution

Moved: Robertson

Seconded: Feinerman

That the report be received.

Carried

9 Date of The Next Meeting

The date of the next scheduled meeting is 6 December 2024.

10 Resolution to Exclude the Public

Committee Resolution

Moved: Robertson

Seconded: Feinerman

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	Plain English Reason
Confidential Minutes of Ordinary Committee Meeting	7(2)(g) - the withholding of the information is necessary to maintain legal professional privilege 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 s7(2)(a) - the withholding of the information is necessary to protect the privacy of natural persons, including that of deceased natural persons	Legal professional privilege To prevent use of the information for improper gain or advantage To Protect a Person’s Privacy
24.3.17 - Cybersecurity, Information and Records Management and Privacy Plans for 2022-2025 Implementation Update	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	To prevent use of the information for improper gain or advantage
24.3.18 - Review of the Draft Non-Audited 2023-24 Annual Report	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)	To enable commercial or industrial negotiations
24.3.19 - Procurement of Three Waters Operations Physical Works	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	Commercial sensitivity
24.3.20 - Risk Management Update	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	To prevent use of the information for improper gain or advantage
24.3.21 - Litigation Register	s7(2)(g) - the withholding of the information is necessary to maintain legal professional privilege	Legal professional privilege

Carried

The public were excluded at 12.31 pm and the meeting closed at 2.05 pm.

16 December 2024

5 Reports

24.4.2 Policy and Strategy Register

Doc ID: 1981998

Report Author:	Alix Crosbie, Senior Strategy Advisor
Reviewed and authorised by:	Dylan Rushbrook, Group Manager - Community Vision

1. Purpose of Report

To consider the updated Policy and Strategy Register and advise on calculating compliance for Water Services.

Recommendations

That the Audit and Risk Committee

A. Receives the report and accepts the level of significance.

B. Directs staff to calculate compliance for Water Services by using 1 December as a baseline and assessing water compliance based on performance against the amended schedule.

2. Background

The management of water supply and sanitation has been under significant reform since 2016. The Inquiry into the Havelock North drinking water contamination of 2016 and Three Waters Review in January 2019 lead to a proposal by the sixth Labour Government to centralise the management of water supply and sanitation. The plan involved the mandatory transfer of the management of stormwater, drinking water, and wastewater. Four new entities were developed in late 2021, intending to assume control of water utilities in July 2024.

The changing legislative environment had a significant impact on Central Otago District Council’s work programme. Council did not have the capacity to keep related water policies in date, and took advice from technical experts across the reform programme, local government sector, and legal input on allowing some policies to lapse, as they would not be required after transition to the new entity.

This programme was postponed in 2022; revamped in 2023 to the Water Services Reform Programme; and repealed after the Sixth National Government won the 2023 general election.

The future delivery of water services is still a changing environment. Council have worked to assess the best approach to updating policies within these constraints. These new dates do reflect a relatively hefty workload, and Council’s ability to meet them will be dependent on resourcing, funding, and the Long-term Plan process.

3. Discussion

The Group Manager Water Services, Water Services Planning and Policy Manager, and Senior Water Services Planner have provided an updated schedule of the policy work to be undertaken by the Water Services department.

16 policy documents are listed in the Policy and Strategy Register. One of these includes eight different water safety plans. They have been programmed for either development or renewal across an 18-month period from early next year into June 2026.

Calculating compliance for these documents is complex. The Water Safety Plans, for instance, are required to be reviewed ‘regularly’. Others are out of date, however they were not reviewed on the advice of government sources.

Staff are seeking the advice of the Audit and Risk Committee on how to calculate the overall compliance figures relating to Water Services. This decision relates to the way this information is presented to the Committee on the Policy and Strategy Register only. It does not impact on the management of the activity and these assets. Information on the legislative requirements, and how we ensure ongoing compliance of the activity, remain with the Group Manager Water Services to report on separately through existing processes.

In order to best ensure that the policy compliance sums provide an accurate metric of Council’s true performance, staff propose using 1 January 2025 as the baseline date for assessing Water Services policy document compliance targets. These documents will be considered in and out of date against those prepared in the register.

Existing policies are counted as in date, as long as they meet the new timeframes. New policies are not calculated into the compliance figure.

A paper will be taken to Council reflecting the approach taken by the Audit and Risk Committee in the first quarter of 2025.

Water Services – 72.73%

Water Service compliance is sitting at 81.25% using the most accurate reflection of requirements as assessed by the Group Manager Water Services.

This reflects

· 5x new policy documents to be created (not calculated)

· 11x existing policy documents, of which:

o 3x are out of date;

o 4x are part of the Long-term Plan process;

o 8x are scheduled on a new timeframe.

1 January 2025 is now a baseline for establishing compliance against our policy documentation target, therefore the cumulative expiry is 0 days.

Organisation – 87.74%

Council’s 2021-2031 Long-term Plan contained an audited target of 80% of policy documents to be in date for years 1-3. The Audit and Risk Committee have also had an organisational goal of 90%.

This organisational goal was set as the audited target for years 4-10 of the 2021-31 Long-term Plan. Council deferred adopting the 2024-34 Long-term Plan by 12 months and opted to prepare an Annual Plan for 2024-25. The method for doing so used the year 4 target as a baseline, effectively increasing the audited target to 90%.

The 1 December 2024 compliance figure of 87.74% narrowly misses this new target. The renewal of five policies, and amended schedule for the Roading Policy, should bring Council back into compliance with the target in April 2025.

Business Support – 90.48%

The Staff Interests Policy was updated in October and the Vehicle Procurement Policy in November.

The Procurement Policy and Risk Management Policy lapsed in October. They are both on this meetings agenda and expected to be back in date before the next meeting.

The Financial Reserves Policy remains out of date. The Copyright Policy was removed and is to be folded into Information and Records Management Policy.

The cumulative length of expiry is 213 days.

Community Experience – 100%

Smokefree and Vapefree Policy and Wilding Conifer Control Policy are both back in date. Libraries Guidelines have been added.

Community Vision – 100%

The Grants Policy is on the November Council agenda – prior to this meeting, but after the deadline for reports.

Planning and Infrastructure – 73.91%

The Development and Financial Contributions Policy and Subdivision Engineering Standards have been moved to Water Services.

The Sustainability Strategy and Lighting Policy remain out of date.

The three Regulatory Services policies – Psychoactive Substances, Class 4 Gambling and Board Venues, and the Alcohol Bylaw are all currently under review. Two have been approved by Council for consultation, and the third remains on the table while an adjustment suggested by Council is considered by staff. They are expected back in place in April 2024.

The Roading Policy remains out of date. An amendment schedule for review is now being developed and will be reported to Audit and Risk at the end of Q1 2025.

The cumulative length of expiry is 2,626 days.

This is largely due to the Roading Policy (885 days) and Lighting Policy (885 days) both under active review. The three regulatory policies are contributing an additional 856 days. This figure is expected to grow in the first quarter of 2025, and reduce over the remainder of the year.

People and Culture – 93.33%

The Health, Safety and Wellbeing Policy Statement and Working from Home Policy were updated.

The Health, Safety, and Wellbeing Framework remains out of date. A new Health Safety and Wellbeing Advisor has now been hired and this work will be programmed for 2025.

The cumulative length of expiry is 244 days.

4. Financial Considerations

No financial considerations.

5. Options

Option 1 – (Recommended)

Accept proposed treatment of Water Services policy documents.

Advantages:

· Staff are seeking Audit and Risks perspective whether this is the most accurate measure of providing them with the information and oversight required to carry out their role.

Disadvantages:

· n/a

Option 2

Calculate Water Services compliance by a different method, as suggested by the Audit and Risk Committee.

Advantages:

· Staff are seeking Audit and Risks perspective whether this is the most accurate measure of providing them with the information and oversight required to carry out their role.

6. Compliance

Local Government Act 2002 Purpose Provisions	This decision enables democratic local decision making and action by, and on behalf of communities by providing oversight of the management of the policy documents that demonstrate how each issue, activity, subject, or area is managed.
Decision consistent with other Council plans and policies? Such as the District Plan, Economic Development Strategy etc.	There are few precedents in Council for a work programme under this degree of legislative change. Councils District Plan operates on a revised schedule, as set by Council.
Considerations as to sustainability, the environment and climate change impacts	No considerations.
Risks Analysis	Risk of legislative non-compliance. This risk is managed by the employment of subject matter experts to oversee the activity and develop responses.
Significance, Consultation and Engagement (internal and external)	Consultation not required. There is no change to the management of this activity, only to the reporting provided by the Senior Strategy Advisor to the Audit and Risk Committee.

7. Next Steps

Future reports will be developed in line with the advice of the Committee.

8. Attachments

Appendix 1 - Policy and Strategy Register ⇩

16 December 2024

24.4.3 Significance and Engagement Policy Review

Doc ID: 1973571

Report Author:

Alix Crosbie, Senior Strategy Advisor

Paula Penno, Community and Engagement Manager

Deborah Beange, Communication and Engagement Officer

Rebecca Williams, Community Development Advisor

Reviewed and authorised by:

Dylan Rushbrook, Group Manager - Community Vision

1. Purpose of Report

To consider recommending Council approve the Significance and Engagement Policy for consultation as part of the 2025/26 Long-term Plan.

Recommendations

That the Audit and Risk Committee

A. Receives the report and accepts the level of significance.

B. Recommends to Council to approve the Significance and Engagement Policy for consultation as part of the 2025/26 Long-term Plan.

2. Background

The Significance and Engagement Policy is a requirement of the Local Government Act 2002. The Act includes the following requirements:

Section 76AA of the Local Government Act 2002 sets out the requirements for the Significance and Engagement Policy:

76AASignificance and engagement policy

(1) Every local authority must adopt a policy setting out—

(a) that local authority’s general approach to determining the significance of proposals and decisions in relation to issues, assets, and other matters; and

(b) any criteria or procedures that are to be used by the local authority in assessing the extent to which issues, proposals, assets, decisions, or activities are significant or may have significant consequences; and

(c) how the local authority will respond to community preferences about engagement on decisions relating to specific issues, assets, or other matters, including the form of consultation that may be desirable; and

(d) how the local authority will engage with communities on other matters.

(2) The purpose of the policy is—

(a) to enable the local authority and its communities to identify the degree of significance attached to particular issues, proposals, assets, decisions, and activities; and

(b) to provide clarity about how and when communities can expect to be engaged in decisions about different issues, assets, or other matters; and

(i) the extent of any public engagement that is expected before a particular decision is made; and

(ii) the form or type of engagement required.

(3) The policy adopted under subsection (1) must list the assets considered by the local authority to be strategic assets.

(4) A policy adopted under subsection (1) may be amended from time to time.

(5) When adopting or amending a policy under this section, the local authority must consult in accordance with section 82 unless it considers on reasonable grounds that it has sufficient information about community interests and preferences to enable the purpose of the policy to be achieved.

(5A) [Repealed]

(6) To avoid doubt, section 80 applies when a local authority deviates from this policy.

Advice from the Office of the Auditor General in 2004 notes that the preparation of such a policy is intended to help each local authority to:

· Form its own approach and build from precedents and decisions taken over time to help it consider any particular matter, and

· Set out its understanding of the matters the public sees as sufficiently significant, such that information will be provided or consultation undertaken where decisions affect these matters.

Council has had a Significance and Engagement Policy in place and reviewed in each Long-term Plan cycle as required by the Act. A copy of the current policy can be accessed at: https://www.codc.govt.nz/publications/policies

The existing policy contains a three-step approach:

· Determine significance

· Determine the level of engagement

· Decide how and when to undertake consultation and/or engagement

3. Discussion

A review of Central Otago District Council’s Long-term Plan began in early 2024. The review was undertaken by the Senior Strategy Advisor, with the Community and Engagement Manager, Community Development Advisor, and Communication and Engagement Officer; and with input from the Group Manager Business Support, Chief Financial Officer, and General Counsel. Additional discussion was undertaken with the Chief Executive and Executive Leadership team.

The review recommended substantial changes to the existing approach to bring the policy into alignment with current practices. This includes:

· Expansion from three steps to four, recognising the need to include ‘reporting on the outcome’ of any engagement.

· Expansion of each existing step to increase the level of specificity/information around how decisions are made.

· Inclusion of details on steps Council has taken to increase Māori participation.

The review also found the policy to diverge from business practices. Although the current version of the Significance and Engagement Policy has a relatively high bar for triggering consultation, in practice CODC tends to consider consultation at a much lower level of significance.

Each section was therefore expanded to provide a greater degree of information as to how it should be applied in differing circumstances.

Step 1: Determine significance

· A series of criteria were added outlining how significance is determined

· A graphic illustrating the significance continuum has been added

· Strategic assets were added to this section.

Strategic assets

· Council has previously grouped strategic assets in this section of the Policy. The Policy now provides a longer list of individual assets and a short list of the remaining groups. This update better meets the requirements of the Act, and allows greater scrutiny from the public around the types of assets that would trigger a higher level of consultation and engagement.

Step 2: Determine level of engagement

· Engagement principles have been added

· A table has been added relating engagement to the level of significance

· Further detail on the IAP2 Engagement Spectrum and Special Consultative Procedure have been attached as Schedule 1 and Schedule 2

Step 3: How and when Council engage

· Minor addition of essential elements of engagement added

Step 4: Reporting outcomes

· Addition of section explaining how outcomes of consultation and engagement are reported.

Māori Participation Framework

· A section has been added outlining the steps Council has taken to facilitate participation by Māori in local decision-making processes. The text for this section has been taken from the following sources:

o Partnership protocol between Aukaha and CODC

o The ‘About Aukaha’ section of the letter of engagement from Aukaha relating to the Alexandra Riverside Park

o Portions of the Otago Regional Council’s ‘Significance, Engagement, and Māori Participation Framework’ as referred to by representation from Aukaha in a 2023 discussion.

· Engagement will be undertaken with Aukaha as part of the coming kanohi ki te kanohi meetings, referred to within the Policy itself.

Schedules

· Expansion of the schedule relating to the IAP2 Spectrum of Engagement in Schedule 1 to provide detail on the practical application

· Addition of Schedule 2 outlining how the Special Consultative Procedure operates

· Addition of Schedule 3 providing an overview of some requirements of other pieces of legislation, drawn from Council’s 2023 Legislative Compliance report.

As a final additional note, guidance from Taituarā (then NZ Society of Local Government Managers) put out in 2014 notes the complexity in the practical application of a Significance and Engagement Policy against the requirements of different Council’s. It notes: ‘What works in a council with an active community board structure and a large community of elderly people, is likely to be entirely different from a council with a high youth-age population and a high take-up of the internet.’

Central Otago is a district made up of various and distinct communities, some of which exist in a state of change or high growth. There are differing communication needs relating to reaching these distinct groups. Where possible, the wording has left the Communications and Engagement team with sufficient flexibility to tailor their approach to the needs of each community.

The Policy review was undertaken during a particularly busy time period. Competing priorities on staff workload have led to two areas where further discussion is required at the time of writing this report. Staff will speak to these changes with the presentation of the report:

· Providing examples to help judge the appropriate level of significance in the table on pages 5-8.

· Discussion on the Parks and Property assets to be listed individually within the strategic assets register on pages 8-9.

4. Financial Considerations

The Policy sets the requirements for consultation and engagement across all Council activities. There are significant financial considerations relevant to not only the cost of the engagement itself, but also the outcomes of any consultation on a specific asset or activity.

5. Options

Option 1 – (Recommended)

Recommend to Council to approve the Significance and Engagement Policy for consultation during the Long-term Plan process.

Advantages:

· Policy is increasingly accessible to the community, softening the legal language and increasing the areas of explanation and practical application.

· Policy increases clarity on when the community should expect to be consulted.

· Policy reflects increasing engagement with iwi consultancy firm Aukaha; including how this partnership is evolving to facilitate increasing participation from Māori.

· Legislative requirements are met.

· Increasing specificity in the policy leads to increasing risk of consequences in acting outside the Policy.

Disadvantages:

· Minor risk that increasing specificity may lead to increasing consultative requirements. The subject matter expertise engaged throughout the process, including this discussion with the Audit and Risk Committee, are intended to mitigate this risk as far as possible.

6. Compliance

Local Government Act 2002 Purpose Provisions	This decision enables democratic local decision making and action by, and on behalf of communities by setting clear expectations and criteria for how the community are engaged or consulted with on throughout all Council activity, including defining matters of significance.
Decision consistent with other Council plans and policies? Such as the District Plan, Economic Development Strategy etc.	Consistent with Council’s approach to engagement and consultation, including learnings from prior engagement and consultation with our communities.
Considerations as to sustainability, the environment and climate change impacts	There is no direct environmental, sustainability, or climate change impact. Criteria developed in determining significance includes reference to the environmental impact, consistency with Council strategies (such as the Sustainability Strategy and Destination Management Plan), and the long term impact on future generations. In these was, there are potential positive indirect or cascading environmental impacts as they are highlighted in determining the significance.
Risks Analysis	There are significant legal consequences for acting outside the boundaries of a Significance and Engagement Policy – up to and including the ability of the court to overturn a Council decision. It is necessary to strike a balance between the level of explanation required to practically implement the Policy, and ensuring that any specific action committed to in the Policy will take place in a given situation.
Significance, Consultation and Engagement (internal and external)	There are specific consultation requirements within the Local Government Act. Policy is to be consulted on as part of the Long-term Plan process, in accordance with these requirements.

7. Next Steps

The Policy will seek approval from Council for public consultation. This consultation will be programmed as part of the 2025/26 Long-term Plan.

8. Attachments

Appendix 1 - Draft proposed Significance and Engagement Policy ⇩

16 December 2024

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24.4.8 Revised Procurement Policy

Doc ID: 1977145

Report Author:	Amelia Lines, Risk and Procurement Manager
Reviewed and authorised by:	Saskia Righarts, Group Manager - Business Support

1. Purpose of Report

To consider revisions made to the Procurement Policy and endorse the policy for approval by Council.

Recommendations

That the Audit and Risk Committee

A. Receives the report and accepts the level of significance.

B. Recommends to Council the approval of the revised Procurement Policy.

2. Background

The Procurement Policy was reapproved by Council in October 2023. Due to the significant changes made to the policy prior to this approval, a subsequent review in 2024 was scheduled.

The Procurement Policy details the limits and mechanisms for procurement at Central Otago District Council (CODC).

3. Discussion

A number of key changes have been made to the policy, details of which are provided within this report. The revised policy can be found at Appendix 1.

Summary of key policy changes:

· Contract variation/extension restrictions have been amended

· Supplier panel spend limits have been clarified

· Retentions process details have been included

· Additional guidance relating to procurement plans for procurements with a value over $1,000,000 has been detailed

Contract Variation/Extension

The policy previously restricted the value of contract variations or extensions to a maximum of 20% of any contract value. However, there may be valid reasons for a variation or extension to be utilised with a value of over 20% of a contract value. As such, these restrictions have been lifted and included as considerations instead. Contract variations or extensions as a procurement method require non-standard procurement plans to be completed and approved.

Supplier Panels

Previously, supplier panel spending was capped at $200,000 per procurement. This has been amended to allow supplier panels to be utilised over $200,000 where the panel was procured using a full tender process. If a panel was established using a quotation process, the spend limit remains $200,000 per individual procurement.

Retentions

Under the Construction Contracts Act 2002, principals (i.e. Council) must complete reporting on retentions held on construction contracts, as well as holding these retentions in a separate bank account. In order for the Finance Team to complete the reporting and accounting processes, they must be notified of retentions due to be held. The retentions notification process has been referenced in the revised policy to ensure adherence.

Procurement Plans Over $1,000,000

Detail has been added to encourage consideration of providing a procurement plan to Council for oversight where the procurement value is over $1,000,000. This approach supports Elected Member feedback being received and taken into account prior to procurement and contract award.

4. Financial Considerations

This decision does not have any financial implications.

5. Options

Option 1 – (Recommended)

Recommend to Council the adoption of the revised Procurement Policy with no changes.

Advantages:

· Revised policy can be swiftly adopted by Council.

Disadvantages:

· None.

Option 2

Recommend to Council the adoption of the revised Procurement Policy with changes as confirmed by this Committee.

Advantages:

· Committee feedback will be included in the revised policy prior to adoption.

Disadvantages:

· None.

6. Compliance

Local Government Act 2002 Purpose Provisions	This decision enables democratic local decision making and action by, and on behalf of communities by ensuring the appropriate use of public funds in procuring goods, works, and services.
Decision consistent with other Council plans and policies? Such as the District Plan, Economic Development Strategy etc.	Yes
Considerations as to sustainability, the environment and climate change impacts	The Procurement Policy acknowledges the importance of procurement activity achieving sustainable outcomes.
Risks Analysis	The spending of public funds via procurement has a number of associated risks. This policy aims to ensure that the use of public funds to procure goods, works, or services is appropriate and effective.
Significance, Consultation and Engagement (internal and external)	This decision is not classed as significant under our Significance and Engagement Policy.

7. Next Steps

The policy will be submitted to Council for review and adoption. Once adopted, the revised policy will be made available to all staff and relevant staff will receive an overview of the changes. Supporting documentation will be reviewed and updated in line with policy changes.

8. Attachments

Appendix 1 - Procurement Policy 2024 - 2026 ⇩

16 December 2024

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24.4.9 Risk Management Policy and Risk Appetite Statement

Doc ID: 1977146

Report Author:	Amelia Lines, Risk and Procurement Manager
Reviewed and authorised by:	Saskia Righarts, Group Manager - Business Support

1. Purpose of Report

To consider updates made to the Risk Management Policy as part of its soft review and to consider the newly created Risk Appetite Statement.

Recommendations

That the Audit and Risk Committee

A. Receives the report and accepts the level of significance.

B. Recommends to Council the approval of the revised Risk Management Policy.

C. Recommends to Council the approval of the new Risk Appetite Statement.

2. Background

The Risk Management Policy was reviewed and adopted in October 2023. The policy has been re-reviewed to ensure it remains fit for purpose. Since the original adoption of the policy, work has been undertaken to implement each of the risk management activities detailed, with this work continuing presently.

A Risk Appetite Statement has been defined following input from elected members in a workshop format. This is the first Risk Appetite Statement to be developed for Central Otago District Council. The Risk Appetite Statement must be read in conjunction with the revised Risk Management Policy.

3. Discussion

Revised Risk Management Policy

The review of the Risk Management Policy identified four key items for change. These have been summarised below, with further detail throughout this report. The revised policy can be found at Appendix 1 of this report.

1. References to Risks, Assumptions, Dependencies, and Decisions (RAIDD) have been amended to project risk management

2. Financial impact criteria for rating operational and key risks have been updated

3. Requirements for reporting to the Audit and Risk Committee have been redefined

4. Reference to the Risk Appetite Statement has been included.

Project Risk Management

Due to the development of the Project Management Framework, references to RAIDD management have been removed from the Risk Management Policy. The Project Management Framework details requirements for management of assumptions, issues, dependencies, and decisions, therefore these elements are no longer required to form part of the Risk Management Policy. The Project Management Framework is due to be finalised in the new year.

Financial Impact Criteria

Following feedback from elected members, the financial impact criteria for operational and key risks have been updated. Thresholds for operational financial impacts have been reduced for moderate impacts and above.

An additional set of criteria has been added relating to financial sustainability to ensure consideration of impacts of this nature when assessing relevant risks.

Audit and Risk Reporting

Previously, the policy required all key risks to be reported to the Audit and Risk Committee. However, given the need to focus discussion and gain a deeper understanding of the risks that require Audit and Risk oversight, this requirement has been amended. Going forward, an agreed set of risks will be submitted to the Audit and Risk Committee each quarter. The Executive Leadership Team will continue to review all risks on the Key Risk Register on a quarterly basis. All key risks will be reported to the Audit & Risk Committee at least annually.

Risk Appetite Statement Linkage

The policy has been updated to reference the newly defined Risk Appetite Statement. As these documents are interlinked, the Risk Management Policy does not repeat the detail of the Risk Appetite Statement, but rather confirms the Risk Appetite Statement must be referred to.

Newly Developed Risk Appetite Statement

The newly developed Risk Appetite Statement is included at Appendix 2 of this report.

Following two workshops with elected members, the risk appetites for multiple categories of key risk have been defined. In line with the Risk Management Policy, the Risk Appetite Statement details the management and reporting of risks key risks that are classed as out of appetite.

It is envisioned that this process will grow and mature as it becomes embedded across the organisation, with the opportunity for the defined risk appetites to be utilised beyond the key risk process. Such utilisation will provide opportunities for enhanced discussions about risks relating to decisions being made by Council.

4. Financial Considerations

There are no direct financial implications relating to the approval and adoption of the Risk Management Policy or Risk Appetite Statement.

5. Options

Option 1 – (Recommended)

Recommend to Council the adoption of the Risk Management Policy and Risk Appetite Statement with no amendments.

Advantages:

· The policy and statement will be adopted swiftly.

Disadvantages:

· None

Option 2

Recommend to Council the adoption of the Risk Management Policy and Risk Appetite Statement with amendments made as per Committee feedback.

Advantages:

· Audit and Risk Committee feedback will be included in the policy and statement prior to submission to Council for adoption.

Disadvantages:

· None

6. Compliance

Local Government Act 2002 Purpose Provisions	This decision enables democratic local decision making and action by, and on behalf of communities by providing the mechanism for risks to be identified, understood, and managed throughout the organisation in order to support the efficient and effective achievement of objectives.
Decision consistent with other Council plans and policies? Such as the District Plan, Economic Development Strategy etc.	Yes
Considerations as to sustainability, the environment and climate change impacts	Environmental impacts are considered within the impact criteria for all types of risk. A risk appetite for environmental risks has been defined and will support conversations relating to our actions to reduce or mitigate environmental risks.
Risks Analysis	The Risk Management Policy and Risk Appetite Statement provide the tools to manage risk. There are no risks associated with the decision to recommend adoption of these documents that need to be explicitly considered.
Significance, Consultation and Engagement (internal and external)	This decision is not classed as significant.

7. Next Steps

The Risk Management Policy and Risk Appetite Statement will be submitted to Council for review and adoption. Work will continue to be undertaken to implement the policy in its entirety, as well an implementing and further maturing the risk appetite process. It is expected that all elements of the Risk Management Policy will be operationalised by mid-2025.

8. Attachments

Appendix 1 - Risk Management Policy 2024 - 2027 ⇩

Appendix 2 - Risk Appetite Statement 2024 - 2027 ⇩

16 December 2024

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24.4.10 IANZ Accreditation

Doc ID: 1980784

Report Author:	Lee Webster, Acting Group Manager - Planning and Infrastructure
Reviewed and authorised by:	Lee Webster, Acting Group Manager - Planning and Infrastructure

1. Purpose

To inform the Audit & Risk Committee regarding the special accreditation assessment by International Accreditation New Zealand (IANZ).

Recommendations

That the report be received.

2. Discussion

A special audit was undertaken in August 2024, following a routine assessment in 2023 which identified there was a lack of implementation of several required procedures, in addition to quality system functions not being carried out as required. This resulted in 22 General Non-Compliances (GNCs) and 1 serious (SNC). The August 2024 special audit had a result of 7 GNCs raised.

The BCA’s (Building Consent Authority) level of risk was assessed by IANZ following the audit using the below criteria. The auditor considered a reduction to low risk, however advised that this would be re-considered at the routine audit in July 2025. Currently, the BCA is considered to pose a Medium Risk.

High risk	A non-functioning BCA - depending on extent and type of risk and agreed management method. E.g. there is a pattern of failure to follow a policy, procedure or system (PPS) by a single or multiple employees, and/or that the PPS had not been consistently and effectively implemented.	Some form of monitoring within 6 months
Medium risk	The BCA is not currently compliant and is unlikely to demonstrate substantial compliance at the next assessment if significant actions are not taken to address the identified issues, especially where there was a failure to implement PPS over two or more assessment cycles.	1 year
Low risk	“Normal” risk (the BCA is likely to remain substantially compliant over the next two years).	2 years
Extra Low risk	The BCA is almost fully compliant and likely to remain that way.	Reduced monitoring at next 2 yearly assessment

The main reasons for considering this risk category were:

Negative

· The BCA was undergoing a number of resourcing challenges.

· The BCA still had some challenges regarding ensuring that its issued building consents fully met the requirements of the Forms Regulations.

· The BCA was still working on refining their continuous improvement and auditing processes.

Positive

· Only 7 GNCs were raised during this assessment (although only a limited number of Regulations were assessed).

· The workload for BCA management was in the process of being reallocated and clarified and although there appeared to be some significant challenges, there also appeared to be changes coming in the future that would likely relieve some of the resourcing pressures.

· The BCA was seen to have been substantially compliant with statutory timeframes since the last assessment.

The results observed are largely due to ongoing staffing pressures and challenges. Several team members have temporarily taken on additional roles, which has impacted their ability to fully dedicate time to their original BCA responsibilities. To mitigate these pressures and ensure the team can continue to meet and improve on statutory requirements, a Quality Assurance Officer will be recruited in addition to additional Building Control Officers.

Following the onsite assessment, all non-compliances have now been cleared except for one which was conditionally cleared pending an amended procedure document being provided by 20 December 2024. The next assessment of the BCA is planned as a routine reassessment for July 2025.

3. Attachments

Nil

16 December 2024

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24.4.12 November Wastewater Compliance Status Update

Doc ID: 1983361

Report Author:	Joyce Thomas, Sampling and Compliance Monitoring Team Leader
Reviewed and authorised by:	Julie Muir, Group Manager - Three Waters

1. Purpose

To consider progress on achieving Otago Regional Council Consent (ORC) compliance for Central Otago District Council (CODC) wastewater activities.

Recommendations

That the report be received.

2. Discussion

Council has seven wastewater treatment plants located at Cromwell, Alexandra, Lake Roxburgh Village, Roxburgh, Omakau, Ranfurly and Naseby.

In January 2023, the Otago Regional Council (the ORC) audited the wastewater treatment plants (WWTP). The audit identified several maintenance issues and non-compliances with resource consent conditions, resulting in issuing of abatement notices for five of our wastewater treatment plants.

Of these five, Alexandra and Cromwell have both recently achieved compliance (Alexandra - May 2024, Cromwell July 2024). The remaining three sites (Roxburgh, Ranfurly and Naseby) are still under abatement notice.

This report provides an update on the progress of the works to address these issues.

In April 2024, ORC carried out their annual audits for all the wastewater sites. Audit reports have now been received for all treatment plants since the last update to Council. The final audit reports (Roxburgh, Lake Roxburgh Village and Ranfurly) are attached with a high-level summary provided below.

Site Specific Status Updates

The detailed abatement notice work programs for each site are attached as an appendix and changes since July 2024 are shown in bold. A high-level summary of each site is provided below.

Alexandra

The plant continues to operate within its consent limits with compliant sample results for October 2024.

Cromwell

The October 2024 sample marked the twelfth consecutive month of compliant nitrogen results, indicating that the site has maintained compliance with nitrogen results for a full year.

As the nitrogen levels in the effluent have been compliant over the past 12 months, a decision has been made to delay the planned nitrogen removal upgrades for another year. This additional time will allow for monitoring through one more winter to determine if the upgrades are still necessary.

Consultants have recommended undertaking additional monitoring over the next 12 months to gather more data. The concept design for the nitrogen removal project will be revisited next year, based on the new data, before any further steps are taken.

Roxburgh

Additional monitoring is ongoing at Roxburgh wastewater treatment plant and the effluent result for October 2024 were all compliant.

Staff are reviewing a proposal to install a trial brush aerator, similar to the one implemented at Cromwell wwtp last year. This aerator is expected to enhance the plant’s performance in nitrogen removal. This proposal also includes commissioning of a new effluent flow meter.

The existing effluent flow meter has been experiencing some data issues. It is connected to a switchboard powered by batteries and a solar panel, which has led to occasional gaps in data over the past few months. These gaps pose a challenge for maintaining resource consent compliance, as the consent specifies the effluent discharge limit. Missing data from the flow meter makes it difficult to prove compliance with these conditions. The commissioning of a new flow meter is expected to resolve these data issues, ensuring accurate and consistent monitoring.

Naseby

A recent wet weather event in the first week of October 2024 impacted the wastewater treatment ponds. Naseby and the surrounding Central Otago district and Otago region was subject to a significant heavy rain event in early October 2024. This was measured as being 21.0 mm on 2 October, 44.8 mm on 3 October and 42.2 mm on 4 October at the met service Naseby Forest site.

Overland surface flow entered the wastewater ponds from the Maniototo Ice Rink located on Channel Road further north of the site along with the roadside flows and overloaded the ponds. The Hogburn flowed into the Ice rink and this overland flow eventually reached the ponds and the infiltration basins exceeding their capacity (due to not being designed to cope with this additional overland flow) and putting the infrastructure at risk of being damaged.

To prevent damage to the infrastructure, a pump was used to discharge treated wastewater into a stormwater channel where it then flowed into the Hogburn along with stormwater from the network. During this period, daily sampling was conducted, and regular notifications were sent to the ORC and the Aukaha.

The discharge to the Hogburn was a temporary measure to mitigate the risk to the Naseby wastewater ponds and basins. The final discharge to the Hogburn occurred on the 14^th of October 2024.

Overflow from pond 1 and the wetland occurred during the wet weather event as the inflow to the treatment plant was higher than the outflow. On October 3rd, 4th, 5th, and 6th, the maximum allowed wet weather discharge limits were exceeded due to substantial inflow volumes.

The draft consent variation application to allow ponding and remove the requirement to maintain a wetland has been received and is currently being reviewed.

Some photos of the event

3/10/2024- Naseby Ice rink overflow round to our inlet work at Pond 1, as the Hogburn flowed into the Ice rink

3/10/2024- locals helping to stop the flow from the Hogburn to the Ice rink.

4/10/2024 -Stormwater making its way through several channels/ditch to the inlet of pond 1.

Ranfurly

The initial sample result for October 2024 was non-compliant, and a resample has been arranged. The potential cause for the non-compliance is sludge carryover from the Imhoff tank and the wetlands. The high inflows due to the rain event at the start of the month may have carried sludge from the Imhoff tank through the system and into the effluent. A proposal has been received from the contractor to desludge the Imhoff tank and is currently being reviewed.

On October 4th and 5th, the inflow to the treatment plant exceeded the maximum allowed consent limit. The flow remained higher than normal for several days following this rain event, although it stayed within the consented limit. This additional inflow and infiltration could potentially impact the plant’s performance, thereby affecting the effluent quality.

The recent assessment by the wetland specialist, along with interstage sampling completed at the end of last year, has indicated that the condition of the wetlands may be contributing to the ongoing compliance failures. To address this issue, staff have engaged a consultant to prepare a proposal for desludging the pond and the wetland.

3. Attachments

Appendix 1 - 2024 November Council Update Attachment .docx ⇩

16 December 2024

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24.4.13 Health, Safety and Wellbeing Report

Doc ID: 1990281

Report Author:	Louise Fleck, General Manager - People and Culture
Reviewed and authorised by:	Peter Kelly, Chief Executive Officer

1. Purpose

To provide the Audit & Risk Committee with an update on the health, safety and wellbeing performance of the organisation.

Recommendations

That the report be received.

2. Discussion

2.1 Reporting period

This report covers the period 1 August 2024 to 31 October 2024 (‘the reporting period’).

2.2 Health, Safety and Wellbeing Advisor summary

I am pleased to advise that our new Health, Safety and Wellbeing Advisor started with us in November. Please join me in welcoming Anita Jansen. Over the next couple of months Anita will be settling into her role and will be traveling around to introduce herself.

This period, Health, Safety and Wellbeing has been focused on the lifting of the WorkSafe Improvement Notice.

On 9 July 2024 the Cromwell swim centre was visited by a WorkSafe inspector after which an improvement notice was issued. The notice stated that processes in place to manage substances hazardous to health, were ineffective.

We engaged consultant Logan Miller from LM Safety at the time due to the vacancy of our health, safety and wellbeing advisory role.

The following actions were undertaken;

• Four (4) standard operating procedures (SOP’s) were created and are now in place.

• A full review of the storage location took place and resulted in relabelling of containers and the tools that are used for each chemical.

• PPE was reviewed and appropriate adjustments made to give a better level of protection where needed.

• Sampling of chemicals was completed, and nothing justified the need for health monitoring going forward.

The improvement notice was closed on 24/10/2024 and no further action is required.

Quarterly Risk Reviews have been delegated to Health and Safety Representatives to complete with their teams. This quarter the critical risk focus is on psychosocial hazards with reviews to be finalized by early January allowing HS&W to manage risks accordingly.

2.3 Lead Indicator dashboard

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Measure:

Reporting of incidents in a timely manner

80% of incidents reported in BWare within 48 hours* (and to manager immediately)

*contractor incidents within 72 hours of notification to CODC

Commentary: Achieved – 80% of incidents reported in 2 days or less compared to 86.9% in the previous reporting period.

We continue to remind staff of the importance of timely reporting.

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Measure:

Increase in number of near misses being reported each quarter.

Commentary: Achieved – more near misses reported this quarter.

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Measure:

Achieve Average Star Rating of 4 – measured quarterly.

Continue to Celebrate and Recognise drivers with 5-star ratings on driver leaderboard.

Commentary: Achieved - star rating of 4.

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Measure:

Contractor management – prequalification assessments up to date:

90% of prequalification assessments up to date

Commentary: Achieved – 91.1 % - this is similar to the previous quarter when 93% of pre- qualification was up to date.

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Measure:

Risk Management – completion of quarterly risk reviews.

100% completion rate for quarterly risk reviews for each Activity.

Commentary:

There is no data for this reporting period because the next quarterly review is due to be completed in December.

Hazardous substances critical risk observation - scheduled

Measure:

Critical risk observation by ELT - Observation to take place every six

months.

Commentary:

This is scheduled to take place in November.

2.3 Significant incident summary

There were 68 incidents reported during the reporting period which is an increase from the 61 incidents in the previous reporting period.

Notable incidents are further explained at section 2.7

Severity rating	Level 1	Level 2	Level 3	Level 4
Risk consequence rating	Negligible or minor (Business as usual)	Moderate	Major	Extreme
Examples	Non-treatment injury, first aid injury	Medical treatment injuries, near miss that could result in medical treatment, wet rescue	Lost time injuries, high-potential near miss	Fatality, life-altering injuries, or potential for either
No. of incident reports	68	0	0	0

Table 1. Severity rating for all incident reports

2.4 Employee reports

32 reports (47%) affected employees which is more than the previous reporting period (41%).

We have seen an increase in driving incidents. One incident involves a speeding infringement and one notable incident involving driving and lone work is further explored at 2.7

Bio-hazard exposure have increased to 10 incidents compared to 6 incidents in the previous reporting period.

Most incidents were reported by Aquatics which is similar to previous reporting periods. We have seen more incidents being reported by Libraries.

Graph 1. Employee incidents and reports by cause: Bio-hazard exposure (10), hazardous substances (3), first aid injury (3), driving (3), aggressive behaviour or violence (7), animals (1), unsafe or failed work systems (1), near miss (1), pain and discomfort (3)

Graph 2. Employee incidents by business area: Aquatics (15), building control (4), customer service and libraries (7), parks and recreation (1), finance (2), planning and infrastructure (1), water services (1), solid waste (1)

2.4.1 Employee injuries

Recordable injuries for this reporting period is similar to the previous reporting period.

The first aid injuries relate to an employee who bumped their toe against a gazebo, an employee who kicked a lifeguard chair and a door that struck the hand of an employee as she was exiting the building.

Reporting period	Non- treat ment injury	First aid incident (FAI)	Medical treatment incident (MTI)	Restricted duties	Lost time incident (LTI)	Fatality	Total recordable injuries
Nov 23 – Jan 24	3	5	1	0	0	0	9
Feb 24 – April 24	1	0	0	0	1	0	2
May 24 – July 24	0	1	1	0	0	0	2
Aug 24 – Oct 24	0	3	0	0	0	0	3

Table 2. Recordable injuries (employees)

4.2 Lost time injury frequency rate (LTIFR)

The LTIFR is against a benchmark of 1.95 injuries per 200,000 hours of work. The injury rate has remained relatively stable for this and previous reporting periods. No lost time injuries occurred during this reporting period.

The lost time injury in March relates to a swim teacher who was talking to children crouching down on the side of the lap pool. When she stood up, she experienced sudden sharp pain in her hip. She was then unable to walk properly and had a few days off work but has returned to full duties.

Graph 3. Lost time injury frequency rate (rolling 12-month average)

2.5 Public incidents

29 incidents (42%) affected the public which is a decrease from the previous reporting period (47%).

The highest cause category was again first aid injuries – most of which occurred at aquatic centres where children presented with noose bleeds and injuries that occurred while in the pool when colliding with other swimmers and objects.

There has also been an increase in slip, trip and fall incidents – one incident relates to a member of the public whose foot went into a hole that was on a footpath in Cromwell – this has been reported to the Roading team to remedy. Another incident refers to a member of the public slipping on a mat at the entrance to the Cromwell swim centre. The mat has been replaced as it was worn which caused the member of the public to trip on it.

Graph 4. Public incidents and reports by cause: Dry rescue (3), first aid injury (9),near miss (5), slip, trip and fall (8), wet rescue (3), hazardous substances (1)

Graph 5. Public incidents by business area. Aquatics (23), customer services (2), libraries (3), roading (1).

2.5.1 Public injuries

The number of total recordable injuries (primarily at pools) is lower than the previous reporting period although there is 1 incident for this reporting period where medical treatment was required – this relates to the incident where someone’s foot got stuck in a hole that was on a footpath in Cromwell.

Reporting period	Non- treatment injury	First aid injuries (FAI)	Medical treatment injury (MTI)	Fatality	Total recordable injuries
Nov 23 – Jan 24	0	16	0	0	16
Feb 24- April 24	0	9	1	0	10
May 24 – July 24	0	13	1	0	14
Aug 24 – Oct 24	0	9	1	0	10

Table 3. Recordable injuries (public)

2.6 Contractor reports

Council received 7 reports (10%) from contractors which is similar than the previous reporting period (12%).

Most reports are received a month in retrospect at monthly contractor meetings. Notable incidents are normally raised to the council employee who manages the contract.

One of the aggressive behaviour incidents that were reported relates to a member of the public that became aggressive towards an Alexandra transfer station contractor when they were requested to weigh their load on the weighbridge. The customer became aggressive and proceeded to get out of their vehicle to bang on the kiosk window and yell at the contractor that they have never had to weigh for scrap metal before and that they were not told about this procedure. The contractor closed and locked the window on the kiosk to protect themselves. They then contacted the Transfer Station Operations Manager who came to the site to talk directly with the customer.

Graph 6. Contractor incidents and reports by cause: aggressive behaviour and violence (2), unsafe or failed work systems (2), first aid injury (3)

Graph 7. Contractor incidents by business area. Parks and recreation (6), solid waste (1)

2.6.1 Contractor injuries

The first aid injuries relate to contractors doing work for Parks and recreation and includes a contractor eye being scratched by a branch and another contractor cutting the top of their finger while cutting branches.

Reporting period	Non- treatment injury	First Aid Injury	Medical treatment injury	Fatality	Total recordable injuries
Nov 23 – Jan 24	0	2	0	0	2
Feb 24 – April 24	0	0	0	0	2
May 24 – Jul 24	0	0	1	0	1
Aug 24 – Oct 24	0	3	0	0	3

Table 4. Recordable injuries (contractor)

2.7 Notable incidents

Incident

Action taken

Council vehicle got stuck in mud – lone work

A Building Inspector was following google directions to get to a rural address for a building inspection.

Due to recent rain the road became worse and Council vehicle (RAV4) got stuck in mud.

The inspector managed to find a spot where there was mobile reception and contacted a colleague to dispatch someone to come and pull the vehicle from the mud – an hour later no help arrived and the inspector contacted her colleague again.

A local plumber helped to pull the vehicle from the mud and the employee was able to continue her journey.

· Looking into lone worker satellite solution

· Creation of lone worker procedure

Table 5. Notable incidents and associated action taken

2.8 Critical risks

Graph 8 below shows the core risk or hazard associated with incident reports made during the reporting period.

Number of aggressive behaviour or violence incidents are similar to what was reported during the last reporting period.

Graph 8. Incident reports relating to critical risk areas compared to previous reporting periods.

Aggressive behaviour or violence (9), biological hazards (10), driving and vehicles (3), animals (1), hazardous substances (4), unsafe or failed work systems (3), slip, trip, fall (8), fire (2), water (8)

2.9 Training and competency

Training area / course	This period
New staff inductions	12
First aid certificates (new and refresher)	16

Table 6. Training register excerpt

2.9.1 Planned training

• Crisis resilience workshop (to refine emergency procedures) and de-escalation training provided by security consultants OPSEC.

2.10 Wellbeing

2.8.1 Indicator 1: No. employee sessions with EAP (Employee Assistance Programme)

There is no new data available for this reporting period as the next report is only due at the end of December 2024.

2.10.1 Indicator 2: Employee attendance at wellbeing events and activities and feedback from post-activity surveys

We continue to promote webinars hosted through My Everyday Wellbeing and the challenge for each month:

• The theme in August was Recharge your batteries.

• The theme in September was Step it up September.

• The theme in October was Gratitude, to feel great.

In August the webinar topic was “Eat well, spend less with Claire Turnbill”

In September the webinar topic was “Is your past ruling you with Dr Emma Woodward”

In October the webinar topic was “Beat burnout and overcome fatigue with Claire Turnbill”

2.10.2 Scheduled activities

We participated in Wig Wednesday in September with staff in support of the Child Cancer Foundation.

We held a ‘Speed Networking’ event in September for staff to network outside of their teams with other staff across the organization.

We held a Cultural Engage session in September to give staff the opportunity to hear the life experiences from another staff member who was born outside of New Zealand and immigrated.

We held a Menopause and Perimenopause morning tea in October & November open for all staff to attend. We are currently drafting a Menopause Policy following the success of the coffee group.

3. Attachments

Nil


AGENDA Audit and Risk Committee Meeting Monday, 16 December 2024
Date:	Monday, 16 December 2024
Time:	9.30 am
Location:	Ngā Hau e Whā, William Fraser Building, 1 Dunorling Street, Alexandra (A link to the live stream will be available on the Central Otago District Council's website.)
Peter Kelly Chief Executive Officer

Report Author:	Wayne McEnteer, Governance Manager
Reviewed and authorised by:	Saskia Righarts, Group Manager - Business Support