The Meeting of the Audit and Risk Committee will be held on Friday, 15 May 2020 via Zoom Video Conference commencing at 2.45pm - Kawerau District ...
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The Meeting of the
Audit and Risk Committee
will be held on Friday, 15 May 2020 via
Zoom Video Conference commencing at 2.45pm
AGENDA
AUDIT AND RISK COMMITTEE His Worship the Mayor - Malcolm Campbell Councillor C J Ion Councillor A Rangihika Councillor F K N Tunui Councillor D Sparks Philip Jones – Consultant - P J Associates (Chair)
KAWERAU DISTRICT COUNCIL
The Meeting of the Audit & Risk Committee
will be held on Friday, 15 May 2020 via
Zoom Video Conference, commencing at 2.45pm
AGENDA
Apologies
Declarations of Conflict of Interest
Any member having a “conflict of interest” with an item on the Agenda should declare it, and
when that item is being considered abstain from any discussion or voting. The member may
wish to remove themselves from the meeting while the item is being considered.
1 Presentation by Local Government Funding Agency (LGFA)
Andrew Michl from LGFA will present to members the requirements to join the agency.
2 Confirmation of the Audit & Risk Committee Meeting Minutes dated 4 February 2020
Pgs.1-4
Recommendation
That the Minutes of the Audit & Risk Committee meeting held on 4 February 2020 be confirmed
as a true and accurate record.
3 Occupational Health and Safety Management System Status (Health and Safety Officer)
(509500)
Pgs.5-24
Attached is the report from the Health and Safety Officer covering the Occupational Health
and Safety Management System.
Recommendation
That the report “Occupational Health and Safety Management System Status” be received.
4 Treasury Report to 30 April (Manager, Finance and Corporate Services) (110551)
Pgs.25-28
Attached is a report informing members of Council’s cash position at 30 April 2020 and
comparisons with the previous year.
Recommendation
That the report “Treasury report to 30 April 2020” be received.
5 Annual Plan Performance Summary for nine months ended 31 March 2020 (Manager,
Finance and Corporate Services) (110400)
Pgs.29-35
Attached is a report informing members of Council’s performance for the nine months ended
31 March 2020.
Recommendation
That the report “Annual Plan Performance Summary for the nine months ended 31 March
2020” be received.
6 2020/21 Annual Plan Timetable and Proposal to Borrow Funds through Local
Government Funding Agency (Manager, Finance and Corporate Services) (110400)
Pgs.36-37
Attached is a report informing members of the proposed timetable for the 2020/21 Annual
Plan.
Recommendation
That the report “2020/21 Annual Plan Timetable and Proposal to Borrow Funds through
Local Government Funding Agency” be received.
7 Risk Register Summary (Manager, Finance and Corporate Services) (201000)
Pgs.38-49
Attached is a report informing members of the Risk Register Summary which was reviewed
and amended by the Committee in May 2019.
Recommendation
That the report “Risk Register Summary” be received.
8 Review of Risk Management Strategy (Manager, Finance and Corporate Services)
(201000)
Pgs.50-55
Attached is a report requesting members to review Council’s Risk Management Strategy
and recommend any amendments prior to it being adopted by Council.
Recommendations
1. That the report “Review of Risk Management Strategy” be received.
2. That the Committee endorses the Risk Management Strategy with any amendments
for Council adoption.
9 Procurement Policy (Manager, Finance and Corporate Services) (110820)
Pgs.56-66
Attached is a report requesting members to review Council’s current Procurement Policy.
Recommendations
1. That the report “Procurement Policy” be received.
2. That the Committee determines if there are areas of the policy that need to be
improved.
R B George
Chief Executive Officer
2020\04\AUDIT AND RISK REPORTS\20.05.15 Agenda.docx1
Kawerau District Council Minutes of an
Audit & Risk Committee Meeting held on Tuesday, 4 February 2020
in the Council Chamber commencing at 1.00pm
Present: Philip Jones – P J Associates (Chair)
His Worship the Mayor M J Campbell (Deputy Chair)
Councillor F K N Tunui
Councillor C J Ion
Councillor A Rangihika
Councillor D Sparks
In attendance: Chief Executive Officer (R George)
Manager, Finance & Corporate Services (P Christophers)
Health and Safety Officer (P Snook)
Administration Officer (R Wilson)
Customer Service Officer (T Barnett)
Apologies
Nil
Declarations of Conflict of Interest
No conflicts of interest.
1 Confirmation of the Audit & Risk Committee Meeting Minutes dated 9 September 2019
Resolved Councillor Sparks/His Worship the Mayor
That the Minutes of the Audit & Risk Committee meeting held on 9 September 2019 is
confirmed as a true and accurate record.
2 Appointment of Chair and Deputy Chair for the Audit and Risk Committee (Manager,
Finance & Corporate Services) (101300)
The Committee discussed the appointment of a Chair and Deputy Chair for the Audit and Risk
Committee.
Resolved His Worship the Mayor/Councillor Tunui
1. That the report “Appointment of Chair and Deputy Chair for the Audit and Risk
Committee” is received.
2. That the Audit and Risk Committee selects System B for the election of a Chair and
Deputy Chair.
3. The Audit and Risk Committee elects the Chair (Philip Jones) and Deputy Chair (His
Worship the Mayor) using System B
Philip Jones took the Chair.2
3 Audit and Risk Committee responsibilities and delegations (Manager, Finance &
Corporate Services) (101300)
The Committee discussed the report informing members of the responsibilities as well as
providing a schedule of tasks and meeting dates.
Action Item
The Chair requested that the next risk management report include a summary of the risk
register.
Resolved Councillors Tunui / His Worship the Mayor
1. That the report “Audit and Risk Committee responsibilities and delegations” is received.
2. That the Audit and Risk Committee receives the responsibilities and delegations as
listed.
3. That the Audit and Risk Committee approves the schedule of tasks and dates for
meetings.
4 Occupational Health and Safety Management System Status (Health and Safety Officer)
(509500)
The Committee discussed a report from the Health and Safety Officer covering the Health
& Safety Management System.
Resolved Councillors Sparks/Ion
That the report “Occupational Health and Safety Management System Status” is received.
5 Treasury Report to 31 December 2019 (Manager, Finance & Corporate Services)
(110551)
The Committee discussed the Treasury Report to 31 December 2019.
Action Item
Manger, Finance & Corporate Services to ask the Local Government Funding Agency to
attend the next Committee meeting and brief the Committee on the risks and benefits of
borrowing money (including Council guarantee vs non-guarantee).
Resolved His Worship the Mayor/Councillor Tunui
That the report “Treasury Report to 31 December 2019" is received.
6 Annual Plan Performance Summary – for 3 months ended 30 September 2019 (Manager,
Finance & Corporate Services) (110400)
The Committee discussed a report summarising Councils performance for the first 3 months
to 30 September 2019.3
Resolved Councillor Sparks/ His Worship the Mayor
That the report “Annual Plan Performance Summary – for the year ended 30 September
2019” is received.
7 2021/22 Annual Plan Timetable (Manager, Finance & Corporate Services) (110400)
The Committee discussed the report informing members of the 2021/22 Annual Plan
timetable.
Action Item
Manager Finance & Corporate Services to arrange Local Government Funding Agency to
present to Council following their presentation to the Audit & Risk Committee.
Resolved Jones/Councillor Ion
That the report “2021/22 Annual Plan Timetable” is received.
8 Council’s Risk Maturity – Improvement Programme (Manager, Finance & Corporate
Services) (201100)
The Committee discussed the report informing members of Council’s current risk
management and tasks to achieve a “mature” evaluation overall for the management of risk.
Action Item
KPMG to further Councils risk management maturity profile review once the Manager,
Finance & Corporate Services has completed the tasks in progress/underway.
Resolved Councillor Sparks/Jones
That the report “Risk Management Maturity – Improvement Programme” is received.
9 Audit Management Report for the year ended 30 June 2019 (Manager, Finance &
Corporate Services) (201000)
The Committee discussed the report audit management and staff responses for the year
ended 30 June 2019.
The Chair thanked the Director and Audit Manager for their work over the past 6 years and
wished Mr Halford a happy retirement.
Resolved Jones/His Worship the Mayor
That the report “Update to Improvement Programme for Council’s Risk Management
Maturity” is received.4
10 Insurance Policies for 2019/20 (Manager, Finance & Corporate Services) (201000)
The Committee discussed the report informing members of the insurance policies that are
currently held by Council.
Resolved Councillor Sparks/His Worship The Mayor
That the report “Insurance Policies for 2019/20” is received.
His Worship the Mayor thanked Roz Wilson for her contribution at meetings and wished her
all the best.
The meeting closed at 1.58pm
P Jones
P J Associates
Z:\2020\03\Meetings\Audit & Risk\20.02.04 A&R Min DRAFT.docx5
Meeting: Audit and Risk Committee
Meeting Date: 15 May 2020
Subject: Occupational Health and Safety Management System
Status
File No: 509500
1 Executive Summary
The data captured is for the period 1 January 2020 to 30 April 2020.
Kawerau District Council’s Top 5 Hazards identified by workers
Hazard Raw Residual Status Comment
Risk Risk
Score Score
Target is: 20 Control
Measures Completed
Control Measures
Public/People/ 15 10
Underway Completed 19
Customers High Moderate
Underway 1
Not Started 0
Target is: 25 Control
Measures Completed
15 10 Control Measures
Stress Completed
High Moderate Completed 25
Underway 0
Not Started 0
Target is: 22 Control
Measures Completed
15 10 Control Measures
Lone Working Underway
High Moderate Completed 21
Underway 1
Not Started 0
Target is: 9 Control Measures
Completed
Traffic (Working on or 20 10 Control Measures
Completed
near roads) High Moderate Completed 9
Underway 0
Not Started 0
Target is: 9 Control Measures
Completed
Contractors (sharing 15 10 Control Measures
Completed
the workplace) High Moderate Completed 9
Underway 0
Not Started 0
The COVID–19 Pandemic emergency has resulted in the re-prioritisation of work
regarding Health, Safety and Wellbeing at Kawerau District Council (KDC).
Specific Risk Assessment and review started in January for Corona Virus.6 KDC started a review of its pandemic planning and business continuity planning documentation and initiated Crisis Management Team (MCP) meetings. The first Civil Defence Incident Management Team (IMT) meetings were held in preparation for event escalation, declaration of a National Emergency and activation of the KDC Civil Defence Emergency Operations Centre (EOC). Focus on the health and safety of staff and the community aligned with Government guidelines started with “most at risk” staff identified and relocated to home working. Technology has made it possible for most office staff to continue to operate effectively and productively from the safety of their homes – in a way that eliminates through isolation, occupational health and safety risks. During COVID–19 Alert level 4 KDC was operating and maintaining essential services only like 3 Waters, Waste Collection and limited animal/noise control management. The EOC has since scaled back according to the level of response required in the district but still operating, focusing mainly on the Welfare and Recovery functions. The only operational maintenance undertaken at Alert Level 4 was to secure the continuity of the essential services and maintaining health and safety of staff and the community. All premises remain closed to the public during the current Alert Level 3 with the exception of Waste Transfer Station currently operating under relevant guidelines. Health and Safety priorities have been ensuring essential staff managers understand how their teams are to work to Government health guidelines, home workstations/ergonomics and maintaining frequent communication across the organisation as part of supporting mental health and wellbeing. Staff have been communicated reminders of the importance of maintaining communication with their teams and the availability of access to professional support services e.g. Employee Assistance Programme (EAP) Services offered free to staff 24/7. A “Remote Working and Wellbeing” survey was released at the end of April to all staff aiming to measure KDC’s performance supporting staff during the period and to identify any gaps, with results due in May. The COVID–19 event has impacted in some way on most of the management elements of the Occupational Health and Safety Management System due to redirection of staff resources to Civil Defence duties and operational activities limited to essential services. The review of the Cash Handling Policy and CCTV Policy is underway with staff working on these, but delayed. Health and Safety Training and Staff Health Monitoring will be rescheduled in future. The April Health and Safety Committee meeting did not take place - but one is scheduled for May.
7
Ongoing work on developing the Hazard Register has slowed.
Contractor site audit Key Performance Indicators (KPI) is currently not on target.
The staff training and move from VAULT 2 to VAULT 3 (Council’s Health and Safety
Computerised System) will be rescheduled to later in May.
One event was reported and recorded for April reflecting the situation with premises
closed and only minimum essential activities operating.
A notification to WorkSafe New Zealand was submitted due to injury of a KDC Parks
and Reserves worker requiring overnight hospitalisation during February.
2 Background
This report provides a general overview of the current status of the Occupational
Health & Safety Management System (OHSMS).
Source data is identified and accessed from VAULT.
3 Lead and Lag Indicators
Activities aimed at preventing accidents and maintaining health and safety like
induction, training, hazard management, monitoring and prompt event investigation
are some of the Lead indicators identified.
Lag Indicators identify data that has resulted from a work related injury or illness.
Areas measured are first aid events, medical events and lost working time.
The bar graphs below identify lead and lag indicators year to reporting date.
In the lead indicator, monitoring data is higher than normal as the Chief Executive
Officer chairs the Crisis Management Team (CMT) meetings monitoring the COVID-
19 event.
The Leadership Team supported by key staff are briefed enabling them to monitor the
current situation, emerging and foreseeable issues/risks potentially impacting health
and safety, operations or essential services to the community.
The meetings provide the Leadership team the ability to make reactive and proactive
operational decisions as the pace and intensity of the event dictates.
CMT meetings are reducing in frequency currently and identified in the monitoring
status of the lead indicator report (53)8
Key for Lead Indicators
Audit/Check Template Mobile Application e.g. Tablet – Contractor Audit or Workstation
1
Assessment.
Positive/Negative Observation Records e.g. Comments by staff - Workers observed wearing
2
appropriate PPE or Traffic Management site well managed...
Comments to H & S team e.g. New mower much quieter than older model or new agrichemical
3
much safer to use than the previous one…
4 Number of Emergency Drills – includes false alarms and evacuations
Event Investigations – Designated Investigators have completed the investigation into an event
5
e.g. accident, near miss, incident, pain or discomfort etc.
6 Contractors that have undergone training arranged by KDC.
7 Number of workers completing Health and Safety Related Training
8 Polices, Processes newly implemented or that have been reviewed
A record of PIN’s (Provisional Improvement Notices) – where a specific health and safety
9
improvement is legally required within a reasonable timeframe.
10 Health and Safety Meetings e.g. Committee meetings, toolbox, hazard reviews
11 Monitoring e.g. Panic Duress alarm test
12 Site Inspections – formal or informal e.g. Management by Walking About
13 Staff Health and Safety Surveys e.g. Safe Plus+ or Ask your Team
14 Audit e.g. Audit by internal or external auditors
15 Contractors inducted e.g. General and/or Site Specific Safety Inductions
16 Workers inducted e.g. General and Site Specific Safety Inductions
17 Total number of Hazards completed all types e.g. site, task, environmental
18 Total number of new Hazards identified all types (not previously listed)9
Key for Lag Indicators
1 Restricted hours worked as part of a return to work rehabilitation plan
2 Restricted days worked as part of a return to work rehabilitation plan
3 Number of hours lost resulting from a workplace injury event
4 Number of full days lost resulting from a workplace injury event
5 Injury events resulting in no work time lost
6 Injury events resulting in a First Aid Response
7 Injury events resulting in medical treatment e.g. doctor or practice nurse
8 Injury events resulting in a worker doing restricted or alternative work
9 Number of days lost resulting from a workplace injury event
In the lag indicator graph – the increase in days lost are due to a Parks and Reserves
Worker injured in a notifiable event.
4 Employer Commitment to Safety Management Practices
Commitment to health and safety management in the workplace is recorded in
VAULT. Policies are written and reviewed by the Health and Safety Committee (HSC),
Health and Safety Representatives (HSR’s) and their workgroups. They are reviewed
at least triennially, unless an opportunity for improvement is identified earlier.10
Organisational Policies/Documents
The table below identifies status of Policy/Document reviews.
Organisational Policy/Document Status
Health and Safety Policy Annual Review 12/12/2020 HSC
Rehabilitation Policy Review 01/03/2022 HSC
Drug and Alcohol Policy Review 01/08/2022 HSC
Cash Handling Policy Review MFCS and Accountant (Underway)
CCTV Policy Review MFCS (Underway)
Worker Engagement, Participation
Review 30/06/2022 HSC
and Representation Agreement
Safe Driving Policy Review 01/07/2022 HSC
Staff Induction Safety Policies and
Review 09/09/2022 HSC
Manual
Trespass Policy & Processes Review 29/10/2022 HSC
Visitor Management Policy Review 01/02/2022 HSC
Working Alone Policy Review 05/06/2022 HSC
Bomb threat, Lock down &
Review 18/06/2021 HSC
Suspicious mail policy
VDU Management Policy Review 01/03/2022 HSC
HSR Position Description Review 01/03/2022 HSC
Stress Policy Review 30/08/2022 HSC
Retirement Planning Policy Review 01/09/19 (Not Started) MPCC, HRA & HSO
5 Planning, Review and Evaluation
VAULT provides source data for review and evaluation of the Occupational Health
and Safety Management System (OHSMS).
VAULT Health and Safety Management reports are scheduled electronically to
managers.
The table below identifies reports and their status.
Health and Safety Date To From Status Date
Reports (Significant) written
Firmin Lodge Facility 19/08/2016 CEO, MPCC, HSO Recommendations entered in April 2020
– Health & Safety MOS, EVM & VAULT as Corrective Actions
Observations EDM Underway
Fear Free Site 06/12/2016 CEO, MPCC & Fear Additional Training underway. Feb 2020
Security and Safety HSO Free Workplace improvements on
Report going in the Library. Counter
complete auto door installed
but not yet operational. The
Library alterations complete
physical works projects.
Completed
Contractor Monitoring Key Performance Indicator (KPI)
The table below identifies Contractor Monitoring and KPI data to date.11
This KPI global target of 10 audits for 2020 has yet to be achieved. COVID-19
working guidelines may impact on the ability to achieve this.
Key Performance Indicator (KPI) Contractor Health and Safety Monthly Monitoring 2020
Monthly Site Monthly Site Monthly
Inspections Inspections KPI Comment
Month
Required Completed Achieved
January 0 0 N/A Contractor activity low over Christmas
period
February 1 0 No Contractor Activity Low
March 1 0 No Footpath/Roading Contractor - Postponed
April 1 0 No HSO home working
May 1 - No -
June 1 - No -
July 1 - No -
August 1 - No -
September 1 - No -
October 1 - No -
November 1 - No -
December 0 0 N/A Contractor activity low over Christmas
period
10 0 No
KPI: 10 Site Inspections – February to November Assigned to: HSO
Review: as a minimum - Annually Review team: Chief Executive Officer (CEO),
Last Review Date 31/07/2019 – Complete Manager Planning, Compliance & Capability
Next Review Date 31/07/2020 (MPCC) & HSO.
Review Objectives: Identify opportunities for Method of Review: Team Meeting to review
improvement ensuring KPI remains Specific, Measurable, objectives, identify and implement opportunities for
Achievable, Realistic and Time bound. improvement.
Monitoring and Audit
Health and Safety System VAULT CHECK module is in use for Work Station Assessments and Contractor
Audits Monitoring
SAFE PLUS Online Self-Assessment tool for staff surveys available to deploy
ASK YOUR TEAM “Have Your Say Survey” online staff survey tool can be
tailored specifically for Health and Safety and available for deployment
An Ask Your Team “Remote Working and Wellbeing” survey was released at the end
of April to staff and the results will be reviewed in May.
The survey provides opportunities for staff to rate the organisation’s performance and
identify any gaps.
6 Hazard Identification, Assessment and Management
Some of the work associated with managing the top 5 hazards is identified below:
1. Public/People
2. Stress
3. Lone Working
4. Traffic - Working on/near Roads
5. Contractors sharing the workplace12 1. Public/People The risk of violence or abuse to workers remains a high priority. Contact with the public during the COVID-19 event has been eliminated where possible or minimised aligned with Government distancing, hygiene and contact tracing guidelines. These measures are aimed at protecting staff and the Community. 2. Stress KDC maintains a policy for the Management of Workplace Stress and Fatigue. Core training and refresher training for staff about Bullying and Harassment and Mental Health awareness has currently been postponed. Maintaining focus on staff has been a priority during this period – with managers making regular contact with their teams. The Employee Assistance Programme (EAP) remains as a readily available 24/7 resource to staff if required. 3. Lone Working KDC maintains a policy and process available to managers for Lone Working Management. Additional resources include an electronic tracking system. The risks to staff mental health from lone working has been minimised by regular contact. 4. Traffic – Working on or near roads Staff continue to work to Traffic Management Plans. 5. Contractors sharing the workplace KDC Contractor managers now receive emails directly from SHE identifying when contractors reach an expired status on the SHE approved contractor register. The KPI target for moderate/high risk contractor monitoring is not on target currently – site inspections will resume when safe to do so. New contractors continue to register on the SHE approved database having completed their Health and Safety Pre-Qualification checks. The KDC website was updated in April with additional guidance from SHE on what questions contractors can expect and Health and Safety Management evidence is required when beginning the pre-qualification process. Top 5 Hazards as per risk assessment and staff perception The staff evaluation method is based on personal perception, knowledge and experience, which is valued by the organisation. The organisation engages with the workforce to understand their perceptions of danger. Learning from this has resulted in commitment to invest in resources like site improvements, technology, equipment, training, policies and processes. A review of the top 5 hazards is being undertaken by the Health and Safety Committee currently but delayed.
13 Asbestos Recent fire damage to the Netball Pavilion will result in a professional asbestos survey, because what was previously identified as presumed in the original professional survey will now need to be sampled and laboratory tested and confirmed either way. Confirmed Asbestos Containing Materials (ACM’s) will require professional removal prior to any demolition or refurbishment works. Council’s insurance company is working with the Engineering Manager in this respect. The site is currently secured to prevent unauthorised access. Emerging Hazards COVID-19 a biological hazard has been identified, reviewed and implemented on the risk register with specific control measures to eliminate or minimise health risks to staff and the community. The control measures align with current government guidelines. Any change in government legislation, guidelines, new knowledge or technology will trigger a review of the risk assessment – as will any failures or potential to fail in the risk management. The Hazard Register Status Work continues with workgroups to identify new hazards, bringing them to a completed status and reviewing them. Hazards continue to reach a completed status. The current COVID-19 situation has resulted in this work being reprioritised.
14
Chemical Hazards - Substance Register
An inventory is managed in VAULT of Hazardous Substances used by the
organisation e.g. Agrichemicals, Water Treatment or Swimming Pool Chemicals.
Tailgate meeting/Job Safety Analysis Sheets (JSA)
Managers or Supervisors provide either a tailgate sheet or a Job Safety Analysis
sheet to workers requiring them to identify and record hazards and controls
associated with their job before starting work.
The Tailgate sheet includes additional data specifically including Covid-19 risk
management.
Health Monitoring
The table below identifies health assessments, monitoring and vaccinations for
workers.
Monitoring/Vaccination Status
Audiometry (Hearing monitoring) Due September 2020
Immunisations/vaccinations (Tetanus, Hep A, B & Ongoing/Underway
Diphtheria)
Ongoing/Underway – Suspended in the workplace
Work station assessments
but information/advice emailed to home workers
Spirometry (Lung Function Monitoring) Due September 2020
Full Asbestos Medical (Workers doing Asbestos
Due September 2020
Related/Removal Work)
Started August 2018 - Ongoing/Underway currently
Pre-Employment-Medicals (PEM’s)
suspended
Started August 2018– Ongoing/Underway currently
Face Fit Assessment & Monitoring (RPE)
suspended
Pre-Employment Drug & Alcohol Test Ongoing/Underway Service currently available at L3
Ongoing/Underway Service currently available at L3
Random Drug & Alcohol Test
But temporarily suspended during COVID-19
Reasonable Grounds Drug & Alcohol Test Ongoing/Underway Service currently available at L3
Post Event Drug & Alcohol Test Ongoing/Underway Service currently available at L3
Health & Wellbeing
The table below identifies opportunities for workers to find support and consider
offers that could help maintain - or improve their health and wellbeing – including
mental wellbeing.
Opportunity on Offer to Workers Status
Employee Assistance Programme (EAP) Available 24/7
Annual Flu vaccine Underway April 2020.
Health Assessment (Heart, BP, Cholesterol,
Due August 2020
Glucose, BMI & Waist Circumference etc.)
Skin Checks (Melanoma/Skin Cancer) Due August 2020
Yoga Class Available weekly – currently suspended.
Zumba Dance Class Available twice weekly – Delivered via Zoom
Domestic Violence Victims Protection
Available on the KDC Intranet
Standard Operating Procedure15
Drug & Alcohol Policy
The Policy was implemented August 1, 2019.
The Council has engaged a contractor to provide training to all staff and provide
drug and alcohol testing.
Drugs tested for include any listed in the Misuse of Drugs Act 1975 and AS/NZS
4308:2008
Council’s alcohol tolerance limit is zero.
Tests identified in the policy are:
o Pre-Employment
o Random (5% of staff per month)
o Reasonable Grounds
o Post Incident testing
The testing services above currently remain available at Covid Alert Level 3 in
accordance with Level 3 guidelines.
Workplace Monitoring
Methane and Hydrogen Sulphide gas levels are continually monitored at
designated premises.
Information, Training and Supervision
Investment in Health and Safety training remains relevant to the organisation’s
needs.
Training has currently been suspended and will resume when safe to do so.
Training courses that can be delivered remotely will be investigated where
appropriate.
7 Incident and Injury Reporting, Recording and Investigation
Events recorded include Accidents, Incidents, Near Misses and Illness.
2017 averaged 15 events per month
2018 averaged 15 events per month
2019 averaged 18 events per month
2020 averaging 5 events per month
A notable event during this reporting period:
ID: 2042 25/02/20. Accident. KDC Worker.
The worker had his Ute and trailer parked at the Netball court carpark road. As he
was putting his coat into his Ute at the passenger front door another Ute reversed out
of the diagonal carparks beside him and backed into him, pinning his leg between the
other vehicle’s bumper and his Ute. The other driver pulled forward and called police
and ambulance.
The worker was transported to hospital where x-rays revealed no fracture however,
he was kept in overnight. Severe bruising.
WorkSafe NZ received and acknowledged the notification.16 The worker has since returned to normal duties. During a Parks and Reserves business improvement meeting the workgroup identified an alternative suitable parking area to minimise the risk of a reoccurrence. Notifiable Events to WorkSafe NZ (The death of a person, a notifiable injury, illness - or a notifiable incident that must be reported to WorkSafe NZ). The above event (ID: 2042) was notified to WorkSafe NZ during this reporting period. Event Statistic Line Graphs The graphs below identify the type of events recorded. The Near Miss data has trend lines included. Near miss data contributed to 26% of the total events for 2017. Near Miss data contributed to 18% of the total events for 2018. Near miss data contributed to 24% of the total events for 2019. Near miss data currently contributes to 23% of the total events for 2020.
Event Statistics 2018 (Total 179)
30
25 24
23
21
20 19
18
15 15
Title
15
13
11 11 11 11 11
17
10 10
10
8
7 7 7 7
6 6 6 6
5 5 5 5
5 4 4 4 4 4 4
3 3 3 3 3 3
2 2 2 2 2 2 2
1 1 1 1 1 1 1 1 1 1 1 1
0 0 0 0 0 0 0 0 0 0 0 0
0
January February March April May June July August September October November December
Title
Fatal LTI Restricted Work Injury\ Medical
First Aid No Treatment Total Accidents Total Incidents\
Total Near Miss Total Event Linear (Total Near Miss)Event Statistics 2019 (Total 214)
30
28
25
23 23
22
21
20 19
18
17
15 15
Number
15
13
18
11 11
10 10
10 9 9 9
8 8
7
6 6 6 6 6 6 6 6 6
5 5 5 5 5
5 4 4 4 4
3 3 3 3 3 3 3 3 3
2 2 2 2 2
1 1 1 1 1 1 1 1
0 0 0 0 0 0 0 0 0 0 0 0
0
January February March April May June July August September October November December
Month
Restricted Work Injury\ Medical First Aid No Treatment Total Accidents
Total Incidents\ Total Near Miss Total Event Linear (Total Near Miss)19
20
The charts below identify the person type featuring in events.
The public and workers are the highest contributors identified in events.
Person Type 2018
Worker
Volunteer
39%
1%
Contracted
Public
Visitor Worker
52%
0% 8%
Worker Contracted Worker Visitor Public Volunteer
Person Type 2019
Volunteer Contractor
0% 8%
Worker
Public
42%
50%
Contractor Worker Public Volunteer
Person Type 2020
Volunteer Worker
Public 54%
46%
Visitor Contractor
0% 0%
Worker Contractor Visitor Public Volunteer21
Event Site
The bar graphs below identify the sites where events have been recorded.
The swimming pool complex and recreation (Parks and Reserves) feature as sites
where the most events are recorded for 2019.
In 2018 the swimming pool site events involved 16% workers and 84% public.
In 2019 the swimming pool site events involved 27% workers and 73% public.
In 2020 the swimming pool site events have currently involved 13% workers and
87% public.
Event Site 2018
Water Supply 1
Waste Water Treatment Plant (WWTP) 4
Waste Transfer Station 8
Visitor Information Centre 3
Toilet Block - Ranfurly Court Playground 1
Swimming Pool Complex 88
Ron Hardie Recreation Centre 2
Regulatory 4
Recreation 18
Operations & Services 1
Site
Library and Museum 8
KDC Dog Pound 3
KDC Depot 4
Information Technology 1
Engineering 16
Economic & Community Development 1
Concert Chambers 2
Cleaning 3
Chief Executive Officer 1
Animal Control 2
Administration Building 6
0 10 20 30 40 50 60 70 80 90 100
Number
Event Site YTD 2019
Water Supply 4
Waste Water Treatment Plant (WWTP) 8
Waste Transfer Station 8
Town Hall 2
Town Centre 3
Swimming Pool Complex 123
Regulatory 5
Recreation (Parks & Reserves) 20
Netball Pavillion 1
Library and Museum 9
Site
KDC Dog Pound 5
KDC Depot 2
Information Technology 1
Firmin Lodge 1
Engineering 4
Economic Development 1
Communications 1
Cleaning 5
Animal Control 11
Administration Building 8
Administration Customer Service 3
0 20 40 60 80 100 120 140
Number22
Event Site 2020
Water Supply 0
Waste Water Treatment Plant (WWTP) 2
Waste Transfer Station 1
Visitor Information Centre I-SITE 1
Town Hall 1
Town Centre 0
Swimming Pool Complex 31
Regulatory 1
Recreation (Parks & Reserves) 7
Netball Pavillion 1
Library and Museum 3
KDC Dog Pound 0
Site
KDC Depot 0
Information Technology 0
Firmin Lodge 0
Engineering 3
Economic Development 1
Communications 0
Cleaning 2
Archives Museum Storage 1
Animal Control 4
Administration Building 1
Administration Customer Service 0
29 Islington St (Operations Building) 1
0 5 10 15 20 25 30 35
Number
8 Employee Participation in Health and Safety Management
Parks and Reserves Turf and Tree team have elected their Health and Safety
Representative (HSR).
A new HSR has been elected for the I-Site and Events team.
The Health and Safety Committee will be meeting in May.
9 Emergency Planning and Readiness
Certain Council premises are required to have Building Warrant of Fitness Certificates
(BWoF) e.g. District Office/Library and Firmin Lodge because they are identified as
having specified systems. Specified Systems require scheduled inspection and
maintenance for health and safety reasons. Specified systems can include fire warning
(alarm), sprinkler systems, emergency lighting, riser mains, automatic doors,
mechanical ventilation and lifts etc.
Compliance checks for specified systems are done by an Independent Qualified
Person (IQP) namely Cove Kinloch.
A Building not requiring a BWoF has emergency plans, emergency exits and assembly
points maintained by Operations and Services. The KDC Building Control Officer
(BCO) and the KDC Engineering Support Worker have carried out owners checks in
line with BWOF requirements as Cove Kinloch KDCs (IQP) have been unavailable
during the Covid event.23
In the future if it is likely KDC venues can be reopened, the Engineering Officer will
ensure pre-opening checks for those that have been non-operational. Checks will
include things like looking for issues relating to insect infestations, rodents, electricity,
water, lighting, heating/ventilation, toilets, kitchen, First Aid Kits and Signage etc.
First Aid
Workplace First Aid training continues with new trainees attending training and
recertification courses maintaining workers’ NZQA Unit Standards.
Training has been on hold throughout Covid Alert Level 4 and 3 – some training is
scheduled for June at this stage with an understanding it may need to be rescheduled
dependent upon the Covid situation.
10 Protection of Employees from On-site Work undertaken by Contractors
and Sub-contractors
Contractor management involves 4 steps and each step can be recorded in VAULT by
the contract manager on the contractor file.
1. Contractor SHE Health and Safety Prequalification/Approval
2. Contractor Health and Safety Induction
3. Contractor Monitoring/Audit
4. Post Contract Review
11 Prioritisation of Tasks
The table below sets out steps and the priority level of tasks.
Critical Element Priority Actions Required Started By Whom Target for Current
Completion Status
Covid- 19 High Manage Risks to 23/01/20 HSO, Unknown - Underway
Pandemic Staff/Community Crisis Ongoing
Health based on Managem
Govt Guidelines and ent team
Civil Defence and KDC
directives CDEM
team
Hazard, High Create a register June 2016 HSO and December Underway
Identification, aligned with legal Work 2020
Assessment requirements current Groups
and knowledge and
management thinking.
All registered
hazards to achieve
completed status.
Monitor and review
hazards.
Protection of High SHE prequalification June 2016 HSO June Complete
employees complete. 2019
from on-site Contractor induction
work document in place.
undertaken by Contractor
contractors Monitoring KPI in
and sub- place.24
Critical Element Priority Actions Required Started By Whom Target for Current
Completion Status
contractors Contractor Post
(Contractor Contract review In
Management) place.
Employee High
Health and Safety June 2016 HSO June 2019 Complete
Participation Representative Job
in Health and Description
Safety complete.
Management Agreement signed
by CEO –awaiting
Union signatures.
Employer Medium Review H&S June 2016 HSO Ongoing Underway
Commitment to Policies.
Safety Identify and
Management implement a
Practices performance based
management
system.
Emergency Medium Monitor and review June 2016 HSO Ongoing Underway
Planning and plans.
Readiness
Planning, Low Monitor and review June 2016 HSO Ongoing Underway
Review and
evaluation
Information, Low Monitor and review June 2016 HSO Ongoing Underway
Training and
Supervision
Incident and Low Monitor and review June 2016 HSO Ongoing Underway
Injury
Reporting,
Recording and
Investigation
12 Conclusion
The Occupational Health and Safety Management system continues to be developed
and improved.
13 RECOMMENDATION
That the report “Occupational Health and Safety Management System Status” be
received.
Paul Snook, Grad NZISM. MIIRSM. HASANZ
Health & Safety Officer
Z:\2020\04\AUDIT & RISK\20.05.15 R-ARC - Health Safety report May 2020.docx25
Meeting: Audit and Risk Committee
Meeting Date: 15 May 2020
Subject: Treasury Report to 30 April 2020
File No: 110551
1 Purpose
The purpose of this report is to inform members of the funds held by Council as at 30
April 2020 and provide explanations for any significant variances from the previous
year.
2 Background
This report went to the Regulatory and Services Committee (12/5/2020), and shows
the funds currently held and the banks where those funds are invested.
All investments were made in accordance with Council’s Investment Policy.
3 Funds Held
The following are the funds balances as at 30 April 2020:
April - 2020 April - 2019
Special Funds
Depreciation Funds $5,942,107 $7,924,625
Development Feasibility $11,000 $11,000
Total Special Funds $5,953,107 $7,935,625
General Funds ($922,147) ($1,191,420)
Total Funds $5,030,961 $6,744,204
General Funds:
General funds are in deficit but the deficit is less than it was in April 2019. The deficit
has resulted from unbudgeted expenditure in the previous financial year for storm
damage and asbestos removal.
Overall, general funds are tracking as expected and it is anticipated that the year-end
balance will be close to the previous year’s figure. However, this will depend on the
number of ratepayers that elect to defer the payment of the 4th rate instalment.
Depreciation Funds:
Depreciation funds are $2.0 million lower than they were at this time last year as a
result of the capital work and renewals being carried out during the latter part of the
2018/19 year. Also, Council has spent $2.275 million to date on the residential
developments, and while this expenditure will be recovered, there will be a period of
time before this occurs.26
At this time, it is projected that there will be sufficient cash reserves for the remainder
of the year so Council will not need to borrow funds in the immediate future.
However, this is based on the assumption that Council will receive at least 75% of the
2019/20 4th rate instalment. In the event that the rate collection is less than this, staff
have arranged with the bank to put an overdraft facility in place (Interest rate 5.0%).
Funds were invested @ 30 April 2020 as follows:
Invested in Interest %
$
(Average) % External
ANZ 300,000 3.10% 9.6
Kiwibank 900,000 2.50% 28.7
Westpac 200,000 2.60% 6.4
TSB 600,000 2.85% 19.1
External Investments (Fixed) 2,000,000 2.62% 63.8
Funds on call – ANZ & Rabobank 501,375 0.25% 16.0
Funds on call - BNZ 580,414 0.25% 18.5
Cheque Account 54,566 0.0% 1.7
Total Funds Held 3,136,355 1.95% 100.0
Internal Loans 1,878,771
Total Investments *5,015,126
* Excludes accrued interest.
The following investments were held at 30 April 2020:
Bank Invested Days Interest Amount ($)
ANZ 29-June-19 350 3.10% 300,000
Kiwibank 21-Feb-20 117 2.50% 900,000
Westpac 21-Feb-20 123 2.60% 200,000
TSB 23-Aug-19 257 2.85% 600,000
ANZ & Rabobank - Call 0.10% 501,375
BNZ - Call 0.10% 580,414
Total 3,081,789
Average interest rate 1.88%
Interest rates (includes on-call)
Weighted average interest rate 1.90%
4 RECOMMENDATION
That the report “Treasury Report to 30 April 2020” be received.
Peter Christophers, BBS, ACA
Manager, Finance & Corporate Services
Z:\2020\04\AUDIT & RISK\20.05.15 R-AR Treasury Report - Apr 2020.docx27
Funds Monitoring Graphs
April 2020
Special Funds
10,000,000
9,000,000
8,000,000
7,000,000
6,000,000
5,000,000
4,000,000
3,000,000
2,000,000
1,000,000
0
Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun
2016 2017 2018 2019 2020
General Funds
3,000,000
2,800,000
2,600,000
2,400,000
2,200,000
2,000,000
1,800,000
1,600,000
1,400,000
1,200,000
1,000,000
800,000
600,000
400,000
200,000
0
(200,000)
(400,000)
(600,000)
(800,000)
(1,000,000)
(1,200,000)
(1,400,000)
Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun
2016 2017 2018 2019 2020
Total Funds
14,000,000
12,000,000
10,000,000
8,000,000
6,000,000
4,000,000
2,000,000
0
Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun
2016 2017 2018 2019 202028
Cash Flow and Forecast
10,000,000
9,000,000
8,000,000
7,000,000
6,000,000
5,000,000
4,000,000
3,000,000
2,000,000
1,000,000
0
Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun
2018 2019 2020 Forecast 2021 Forecast29
Meeting: Audit and Risk Committee
Meeting Date: 15 May 2020
Subject: Annual Plan Performance for the nine months ended 31
March 2020
File No.: 110400
1 Purpose
The purpose of this report is to summarise Council’s performance to date compared
with what is in the Annual Plan for 2019/20.
Comments are provided where expenditure/revenue varies from the budget.
This report, along with the performance details for each of the activities, will go to the
Council meeting on Tuesday, 26 May 2020.
2 Financial Performance
2.1 Statement of Comprehensive Revenue and Expense
The following table shows Council’s financial performance and the annual budget.
These budgets include the carried forward figures as well as any budget amendments
approved by Council.
There is an operating deficit for the year to date due to anticipated proceeds from
residential sales not being received to date. Council also budgets for a deficit, because
it does not fully fund the depreciation on some of the activities.
Budget Actual Comments
Revenue:
Rates 10,393,760 7,817,988
Most roading projects are carried out in
Subsidies and Grants 876,750 277,882
the second half of the year.
Interest rates are currently lower than
Interest Revenue 152,500 86,294
anticipated & also less funds invested
Additional revenue for solid waste and
Fees and Charges 2,115,660 1,886,289
events
Other Revenue 66,000 40,251 Petrol Tax
Total Revenue 13,604,670 10,108,704
Expenditure:
Personnel Costs 5,053,200 3,806,452 On track
Depreciation and
2,942,820 2,205,689
Amortisation
Finance Costs 5,500 3,872
There was additional expenditure for
refuse disposal, events (additional
Other Expenses 6,072,570 5,176,993
funding) as well as insurance and
subscriptions (timing)30
Total Expenditure 14,074,090 11,193,006
Surplus (Deficit) (469,420) (1,084,302)
Council’s expenditure and revenue to 31 March 2020 are shown in the graphs below,
compared to the budget and expenditure/revenue for 2018/19.
Expenditure to 31 March 2020
$6,000,000
$5,000,000
$4,000,000
2019/20 YTD Budget
$3,000,000
2019/20 Actual
$2,000,000
2018/19 Actual YTD
$1,000,000
$-
Personnel Other Depreciation Capital
Costs operating
costs
Revenue to 31 March 2020
$8,000,000
$7,000,000
$6,000,000
2019/20 YTD Budget
$5,000,000
$4,000,000 2019/20 Actual
$3,000,000 2018/19 Actual
$2,000,000
$1,000,000
$-
General Rates Targeted Rates Gov't Funds & Interest Other Revenue
Grants Revenue
2.2 Statement of Financial Position
The following shows Council’s financial position at 31 March 2020 compared to the
budget (for 30 June 2020). The financial position does not include all receivables and
payables at 31 December 2019 (but all known figures have been included).
Budget @ Actual to 31
Comments
30/6/2020 Mar 2020
Assets:
Current assets:
Cash & cash equivalents $4,046,595 $3,502,24431
Budget @ Actual to 31
Comments
30/6/2020 Mar 2020
Receivables $1,247,370 $1,064,343
Includes residential
Inventories $1,290,920 $149,434 developments
Non-current assets:
Property, plant and equipment $67,047,039 $68,118,848 Revalued @ 30/6/2019
Intangible assets $85,100 $72,175
Other financial assets $36,250 $36,252
Total Assets $73,753,274 $72,943,296
Liabilities:
Current liabilities:
Payables, provisions & employee
$2,757,547 $1,752,094
benefits
Borrowing $21,000 $4,708
Non-current liabilities:
Provisions & employee benefits $310,070 $247,919
Borrowing $19,400 $39,970
Total Liabilities $3,108,017 $2,044,691
Ratepayers Equity $70,645,257 $70,898,605
Total liabilities & ratepayers
$73,753,274 $72,943,296
equity
2.3 Statement of Cashflow
The Cashflow statement shows a reduction of $1,598.3 k in Council’s cash position up
to 31 March 2020. It is anticipated that the cash position will not change much from
this amount, but it is subject to ratepayers being able to pay the 4th rates instalment for
this year.
Budget @ Actual to 31
Comments
30/6/20 Mar 2020
Cashflow from operating activities:
Rates $10,341,980 $7,942,476
Subsidies $876,750 $632,149
Additional event and
Fees & Charges $2,181,660 $1,605,111 solid waste income
Lower interest rates
Interest Received $152,500 $119,585 and less funds to invest
Additional expenditure
for events and solid
Payments to suppliers and
$(11,157,970) $(9,130,640) waste as well
Employees residential
developments
Interest paid on debt $(5,500) $(3,872)
Net cashflow from Operations $2,394,920 $1,164,809
Net cashflow from investing:
Disposal of Assets 2,184,550 0
Property, Plant & Equipment Delays for some capital
$(5,922,520) $(2,751,671) projects
purchase (less asset disposals)
Net cashflow from investing: $(3,737,970) $(2,751,671)32
Budget @ Actual to 31
Comments
30/6/20 Mar 2020
Net cashflow from financing:
Debt repayment $(19,600) $(11,396)
Net cash inflow/(outflow) $(1,362,650) $(1,598,258)
Includes investments >
Opening balance (1/7) $5,409,245 $5,100,502 3 months
Closing cash balance $4,046,595 $3,502,244
3 Non-Financial Performance
The following is a summary of the non-financial targets that were still on track to be
achieved as at 31 March 2020. This includes NRB Community Satisfaction Survey
Results (see Appendix). However, it should be noted that there will be more targets not
achieved due to the COVID-19 lockdown measures.
2019/20 On track or 2018/19
Activity No. of still to be % Achievement
Targets measured Rate
Democracy 8 4 50% 60%
Economic & Community Development 9 8 89% 100%
Environmental Services (excludes N/As) 20 18 90% 72%
Roading (including Footpaths) 9 4 44.4% 43%
Stormwater 3 3 100% 100%
Water Supply 13 8 61.5% 75%
Wastewater 8 5 62.5% 86%
Solid Waste Management 8 7 100% 100%
Leisure and Recreation 30 20 66.7% 75%
TOTAL 108 77 71.3% 76%
4 Capital Expenditure
The following is Council’s capital budget (including carry forwards) and expenditure to
date.
2019/20 Comments
Activity Actual
Budget
Economic & Community Residential developments
$2,416,220 $1,364,328 – River Road
Development
Environmental Services $710,000 $18,194 Dog Pound building
Roading $1,141,400 $225,849
Stormwater $38,700 $13,817
Water Supply $689,700 $234,018
Wastewater $234,300 $24,255
Solid Waste $10,000 $10,386
Leisure & Recreation $700,699 $240,580
New plant/vehicles, PCs
Plant, Depot and Office $388,200 $129,512 & office building
Total $6,329,219 $2,260,93933
5 Policy Development
The following policies and strategies have been adopted during the nine months to 31
March 2020:
Policy/Strategy Adopted Comments
Dangerous and Insanitary Enables Council to perform its functions under
30 July 2019
Building Policy the legislation
Pre-election Report Report required to be prepared prior to the
30 July 2019
council elections
Dog Control – Policy and Required by Sec 10A of the Dog Control Act
27 August 2019
Practices 1996
24 September Enables Council to regulate and manage
Freedom Camping Bylaw
2019 freedom campers in the district
Annual Report - to 30 June Council’s accountability report for the 2018/19
31 October 2019
2019 year.
Community Awards –Policy 17 December Policy to recognise individuals that have made
Review 2019 significant contributions to the community
Local Governance Statement Statement required to be adopted Council
25 February 2020
within 6 months of the elections
6 RECOMMENDATION
That the report “Annual Plan Performance for the nine months ended 31 March 2020”
be received.
Peter Christophers, BBS, ACA
Manager, Finance & Corporate Services
2020\AUDIT AND RISK REPORTS\20.05.15 R-AnnualPlanPerformance.docx34
Satisfaction with Council Services
2020 2020 Target
Service
Actual Target Met?
Community satisfaction with Mayor and Councillors 83% 88%
Community satisfaction with the way rates are spent 89% 91%
Community satisfaction with Council consultation 65% 69%
Community satisfaction with Council Staff 87% n/a n/a
Community satisfaction with Kawerau Information Centre 85% 80%
User satisfaction with Kawerau Information Centre 95% 95%
Community satisfaction with Dog Control Service 81% 76%
Community satisfaction with Roads 95% 92%
Community satisfaction with Footpaths 81% 76%
Community satisfaction with Stormwater Removal and Protection
from Flooding 84% n/a n/a
Community satisfaction with Water Supply 73% 97%
Community satisfaction with Wastewater Disposal 95% 97%
Community satisfaction with Rubbish Collection 97% 90%
Community satisfaction with Refuse Disposal 78% 73%
User satisfaction with Refuse Disposal 85% 83%
Community satisfaction with Recycling 91% 92%
User satisfaction with Recycling 91% N/A N/A35
2020 2020 Target
Service
Actual Target Met?
Community satisfaction with Public Library 87% 86%
User satisfaction with Public Library 93% 96%
Community satisfaction with Museum 58% 65%
User satisfaction with Museum 82% 95%
Community satisfaction with Public Swimming Pools 90% 93%
User satisfaction with Public Swimming Pools 94% 97%
Community satisfaction with Public Halls 80% 82%
User satisfaction with Public Halls 92% 94%
Community satisfaction with Public Toilets 80% 66%
User satisfaction with Public Toilets 95% 83%
Community satisfaction with Parks & Reserves 93% 94%
Community satisfaction with Community Attractiveness and
98% 99%
Beautification
Community satisfaction with Cemetery 76% 79%
Visitor satisfaction with Cemetery 97% 97%36
Meeting: Audit and Risk Committee
Meeting Date: 15 May 2020
Subject: 2020/21 Annual Plan Timetable and Proposal to Borrow
Funds through Local Government Funding Agency
File No: 110400
1 Purpose
The purpose of this report is to update the Committee with the proposed timetable for
the 2020/21 Annual Plan.
2 Background
The Local Government Act 2002 requires Council to prepare an Annual Plan in the
years that it does not produce a Long Term Plan.
Council must also consult on its Annual Plan using the special consultative procedure
which includes preparing a consultation document, unless the plan does not include
any significant or material differences from the content of the Long Term Plan (for the
year).
Due to the COVID-19 lockdown, Council has extended the period for adopting the
Annual Plan by a month.
Also, staff have advised elected members that it is likely that Council will need to
borrow funds during the 2020/21 financial year, so have recommended that this is
done through the Local Government Funding Agency (LGFA). This will require
Council to consult on this matter, which can be done in conjunction with consulting
on the Annual Plan.
Andrew Michl from LGFA has been invited to the meeting to discuss what is required
prior to joining the agency and the risks associated with different borrowing options.
3 Proposed Timetable for Preparation and Adoption of Annual Plan
The appendix to this report contains the proposed timetable for the preparation and
adoption of the 2020/21 Annual Plan.
4 RECOMMENDATION
That the report “2020/21 Annual Plan Timetable and Proposal to Borrow Funds
through Local Government Funding Agency” be received.
Peter Christophers, BBS, ACA
Manager, Finance & Corporate Services
2020\04\AUDIT AND RISK REPORTS\20.05.15 R04-2020-21AnnualPlanTimetable.docx37
APPENDIX
Project Plan for 2020/21 Annual Plan
Tasks Person Completion
9 Draft Annual Plan and CD prepared MFCS/Comms 20 May 2020
10 Adoption of Draft Annual Plan CD for consultation Council 26 May 2020
11 Letters to special interest groups Comms 29 May 2020
12 Advertising CD (Annual Plan) MFCS 29 May 2020
Consultation Period: 29 May –
13 MFCS/Comms
Newsletter/Website/Media/Consult a councillor 30 June 2020
14 Close of submissions 30 June 2020
15 Advise submitters wanting to speak Admin 2 July 2020
7 or 14
16 Hearing submissions Council
July 2020
17 Consideration of all submissions Council 14 July 2020
Implement any changes – amend AP & prepare
18 MFCS 16 July 2020
rates
Obtain legal opinion concerning FIS & rate
19 MFCS 17 July 2020
resolution
20 Adopt Annual Plan for 2020/21 & rates resolution Council 28 July 2020
21 Annual Plan on website MFCS 31 July 2020
Copies of Annual Plan and rates resolution sent to
22 MFCS 31 July2020
required organisations
MFCS = Manager Finance and Corporate Services
Comms = Communication Manager
LT = Leadership Team38
Meeting: Audit and Risk Committee
Meeting Date: 15 May 2020
Subject: Risk Register Summary
File No: 201000
1 Purpose
The purpose of this report is to inform the Committee of the Risk Register Summary,
which was last reviewed and amended by the Committee in May 2019.
2 Background
Council’s risk register identifies the high level risks, the mitigations, and the associated
risk scoring both prior to mitigation, and then following the mitigation measures that are
in place. The register was reviewed by KPMG, who made a number of
recommendations which were subsequently included in the register.
Also following the audit of Council’s previous Annual Report it was identified that there
were some inherent risks in Council’s reporting and monitoring systems. These
included:
Able to amend the time that a “service request” was made and also completed
Able to delete journals in the general ledger
Lack of segregation when raising electronic purchase orders (EPOs)
Council made the decision that these risks are acceptable and consequently the risk
register was amended to record these risks and the mitigations that are in place as well
as any future measures planned to further reduce the risk.
Staff also reviewed the residual risk scores for some risks as the Committee felt they
were too low which were subsequently amended and reported.
3 RECOMMENDATION
That the report “Risk Register Summary” be received.
Peter Christophers, BBS, ACA
Manager, Finance & Corporate Services
Z:\2020\04\AUDIT & RISK\20.05.15 R-AR Risk Reg Update - 4.docxYou can also read
