Risk and Assurance Committee Agenda NOTICE IS GIVEN that the next meeting of the Risk and Assurance Committee will be held in Council Chambers, Regional House, 1 Elizabeth Street, Tauranga and via Zoom (Audio Visual Meeting) on: Thursday 14 April 2022 COMMENCING AT 09:30 am This meeting will be livestreamed and recorded. The Public section of this meeting will be livestreamed and recorded and uploaded to Bay of Plenty Regional Council’s website. Further details on this can be found after the Terms of Reference within the Agenda. Bay of Plenty Regional Council - YouTube
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Fiona McTavish Chief Executive, Bay of Plenty Regional Council Toi Moana 7 April 2022 |
Membership
Chairperson |
Cr David Love |
Deputy Chairperson |
Bruce Robertson (Independent) |
Members |
Cr Bill Clark Cr Stuart Crosby Cr Andrew von Dadelszen Cr Te Taru White |
Ex Officio |
Chairman Doug Leeder |
Quorum |
Three members, consisting of half the number of members |
Meeting frequency |
Quarterly |
Purpose
Monitor the effectiveness of Council’s funding and financial policies and frameworks to ensure the Council is managing its finances in an appropriate manner.
Monitor the effectiveness of Council's performance monitoring framework.
Ensure that Council is delivering on agreed outcomes.
Role
· Monitor the effectiveness of Council’s funding and financial policies and Council’s performance monitoring framework (financial and non-financial);
· Review Council’s draft Annual Report prior to Council’s adoption;
· Receive and review external audit letters and management reports;
· Approve and review the internal audit plan and review the annual programme report;
· Approve, review and monitor Council’s risk framework and policy;
· Review the risk register;
· Monitor Council’s legislative compliance and receive reporting on non-compliance matters as part of risk management reporting.
Power to Act
To make all decisions necessary to fulfil the role and scope of the committee subject to the limitations imposed.
Power to Recommend
To Council and/or any standing committee as it deems appropriate.
· The Risk and Assurance Committee is not delegated authority to:
· Develop, review or approve strategic policy and strategy.
· Develop, review or approve Council’s Financial Strategy, funding and financial policies and non-financial operational policies and plans.
The Risk and Assurance Committee reports directly to the Regional Council.
Recording of Meetings
Please note the Public section of this meeting is being recorded and streamed live on Bay of Plenty Regional Council’s website in accordance with Council's Live Streaming and Recording of Meetings Protocols which can be viewed on Council’s website. The recording will be archived and made publicly available on Council's website within two working days after the meeting on www.boprc.govt.nz for a period of three years (or as otherwise agreed to by Council).
All care is taken to maintain your privacy; however, as a visitor in the public gallery or as a participant at the meeting, your presence may be recorded. By remaining in the public gallery, it is understood your consent is given if your image is inadvertently broadcast.
Opinions expressed or statements made by individual persons during a meeting are not the opinions or statements of the Bay of Plenty Regional Council. Council accepts no liability for any opinions or statements made during a meeting.
Bay of Plenty Regional Council - Toi Moana
Governance Commitment
mō te taiao, mō ngā tāngata - our environment and our people go hand-in-hand.
We provide excellent governance when, individually and collectively, we:
· Trust and respect each other
· Stay strategic and focused
· Are courageous and challenge the status quo in all we do
· Listen to our stakeholders and value their input
· Listen to each other to understand various perspectives
· Act as a team who can challenge, change and add value
· Continually evaluate what we do
TREAD LIGHTLY, THINK DEEPLY,
ACT WISELY, SPEAK KINDLY.
Risk and Assurance Committee 14 April 2022
Recommendations in reports are not to be construed as Council policy until adopted by Council.
1. Apologies
2. Public Forum
3. Items not on the Agenda
4. Order of Business
5. Declaration of Conflicts of Interest
6. Public Excluded Business to be Transferred into the Open
7. Minutes
Minutes to be Confirmed
7.1 Risk and Assurance Committee Minutes - 2 December 2021 1
8. Reports
Information Only
8.1 Audit New Zealand Report on the audit of the Bay of Plenty Regional Council Toi Moana for the year ended 30 June 2021 1
Attachment 1 - Bay of Plenty Regional Council - Report to the Council - 30 June 2021 - Final 1
8.2 Chairperson's Report 1
Attachment 1 - Risk and Assurance Work Programme for 2022 1
Attachment 2 - Risk and Assurance Completed Work Programme for March to December 2021 1
8.3 Internal Audit Update 1
Decisions Required
8.4 Draft Terms of Reference - Efficiency and Effectiveness Reviews 1
Attachment 1 - Draft Terms of Reference 1
Resolution to exclude the public
Excludes the public from the following parts of the proceedings of this meeting as set out below:
The general subject 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(1) of the Local Government Official Information and Meetings Act 1987 for the passing of this resolution are as follows:
Subject of each matter to be considered |
Reason for passing this resolution in relation to each matter |
Grounds under Section 48(1) for the passing of this resolution |
When the item can be released into the public |
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9.1 |
Public Excluded Risk and Assurance Committee Minutes - 2 December 2021 |
As noted in the relevant Minutes. |
As noted in the relevant Minutes. |
To remain in public excluded. |
9.2 |
Key Risk Register |
Withholding the information is necessary to prevent the disclosure or use of official information for improper gain or improper advantage. |
48(1)(a)(i) Section 7 (2)(j). |
On the Chief Executive's approval. |
Minutes to be Confirmed
9.1 Public Excluded Risk and Assurance Committee Minutes - 2 December 2021
Information Only
9.2 Key Risk Register
Attachment 1 - Key Risk Register - December 2021
Attachment 2 - KRR - Heat Map December 2021
10. Public Excluded Business to be Transferred into the Open
11. Readmit the Public
Risk and Assurance Committee Minutes |
2 December 2021 |
Open Minutes
Commencing: Thursday 2 December 2021, 09:30 am
Venue: via Zoom (Audio Visual Meeting)
Chairperson: Cr David Love
Deputy Chairperson: Bruce Robertson
Members: Cr Andrew von Dadelszen
Cr Stuart Crosby
Cr Bill Clark
Cr Te Taru White
Chairman Doug Leeder (Ex Officio)
In Attendance: Councillors: Norm Bruning, Paula Thompson, Jane Nees, Matemoana McDonald, Lyall Thurston, Kevin Winters
Staff: Fiona McTavish – Chief Executive; Mat Taylor – General Manager Corporate; Sarah Omundsen - General Manager Regulatory Services; Chris Ingle – General Manager Integrated Catchments; Steven Slack – Risk & Assurance Manager; Aaron Huggins – Principal Internal Auditor; Merinda Pansegrouw – Committee Advisor
Declaration of Public Recording
Committee members and the public were reminded that the public section of the meeting was being recorded and would be made available on the Bay of Plenty Regional Council website following the meeting and archived for a period of three years as noted on page 4 of the agenda.
Recording of Meeting: BOPRC Risk and Assurance Committee - 2 December 2021 - YouTube
1. Declaration of Conflicts of Interest
None.
2. Minutes
Minutes to be Confirmed
2.1 |
Risk and Assurance Committee Minutes - 21 October 2021 |
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Resolved That the Risk and Assurance Committee: 1 Confirms the Risk and Assurance Committee Minutes - 21 October 2021 as a true and correct record. von Dadelszen/White CARRIED |
3. Reports
Information Only
3.1 |
Committee Chairperson's Report General Manager, Corporate Mat Taylor presented the report, updating members on the Risk and Assurance Committee’s activities during 2021 and the updated Work Programme for 2022. |
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Items for Staff Follow Up: · To include the following item on the Risk and Assurance Committee Work Programme for 2022: o Report to Risk and Assurance Committee on proposed draft terms of reference for a possible future report to Council reviewing the efficiency and effectiveness of Bay of Plenty Regional Council from a financial perspective. · To provide the Independent Member of the Risk and Assurance Committee an opportunity to comment on the Quayside Statement of Investment Policy and Objectives (SIPO) review. |
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Resolved That the Risk and Assurance Committee: 1 Receives the report, Committee Chairperson's Report. White/Crosby CARRIED |
3.2 |
Internal Audit status update Presented by Principal Internal Auditor Aaron Huggins. Key Points: · Scoping for reviews still to be undertaken was nearing completion · The ICT Security Review (from the 2020/21 Internal Audit Plan) was scheduled to be presented to the Committee next year. · The remaining open Health & Safety improvement action related to a monitoring and checking process which would be implemented once the critical risk project roll-out had been completed. |
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Item for Staff Follow Up: · Future reports to identify the percentage of progress required for items to be completed. |
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Resolved That the Risk and Assurance Committee: 1 Receives the report, Internal Audit status update. Crosby/Clark CARRIED |
3.3 |
Key Risk Register Presented by Risk & Assurance Manager Steven Slack. Key Points: · Following recommendations by the Risk and Assurance Committee at its Workshop held in October 2021, the following key changes to the Risk Register and the ways of reporting risks had been incorporated: o Risk velocity - identifying risks that could escalate quickly o Opportunities - identifying positive impacts that risks and issues could lead to o Revolving emerging and operational risks - to keep risks current and fresh. Key Points - Members: · Following the recent national transition from Alert Levels to the COVID-19 Protection Framework (Traffic Light System), commended Toi Moana Chief Executive for the development of clear guidelines for the organisation · Acknowledged that the velocity of mitigating actions and controls, i.e. the speed at which actions would take effect to reduce the impacts of a risk, was directly related to the frequency of monitoring · In the current dynamic Covid-19 environment, Toi Moana’s essential services teams were continuously reviewing their business continuity plans to adapt as and when required.
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Resolved That the Risk and Assurance Committee: 1 Receives the report, Key Risk Register White/Crosby CARRIED |
4. Public Excluded Section
Resolved Resolution to exclude the public 1 Excludes the public from the following parts of the proceedings of this meeting as set out below: The general subject 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(1) of the Local Government Official Information and Meetings Act 1987 for the passing of this resolution are as follows:
von Dadelszen/Crosby CARRIED |
10:27 am – the meeting closed.
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Confirmed
Cr David Love
Chairperson, Risk and Assurance Committee
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Report To: |
Risk and Assurance Committee |
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Meeting Date: |
14 April 2022 |
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Report Writer: |
Nolene Naude, Financial Accounting Team Lead |
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Report Authoriser: |
Mat Taylor, General Manager, Corporate |
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Purpose: |
The Risk and Assurance Committee to receive the Audit New Zealand Report on the audit of the Bay of Plenty Regional Council for the year ending 30 June 2021 (Attachment 1) |
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Audit New Zealand Report on the audit of the Bay of Plenty Regional Council for the year ended 30 June 2021
Executive Summary The Audit New Zealand Report on the audit of the Bay of Plenty Regional Council for the year ending 30 June 2021 (the report) outlines audit findings, recommendations and prioritises them as urgent, necessary or beneficial. There are a total of nine open recommendations as at 30 June 2021. There were no recommendations prioritised as urgent. There were seven recommendations prioritised as necessary and two prioritised as beneficial. |
That the Risk and Assurance Committee:
1 Receives the report, Audit New Zealand Report on the audit of the Bay of Plenty Regional Council for the year ended 30 June 2021.
1. Introduction
The report sets out findings arising from the final audit performed over the period September to December 2021.
Audit New Zealand has identified areas where Council is performing well along with recommendations for areas where improvements could be made. The report also provides an update on action taken by staff against previous recommendations. The final report includes management responses where appropriate.
The report includes the results for Council and the Quayside Group. The results for Council are summarised below.
1.1 Alignment with Strategic Framework
The Way We Work |
We deliver value to our ratepayers and our customers. |
The report provides findings on the overall performance of Council outlining recommendations for improvement and progress against prior recommendations. As a result, it supports the delivery of all four Community Outcomes and the Way We Work.
1.1.1 Community Well-beings Assessment
Dominant Well-Beings Affected |
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þ Environmental
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þ Cultural
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þ Social
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þ Economic
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The report outlines audit findings on Council’s financial and non-financial performance for the year ending 30 June 2021, recommendations for improvement and progress on management’s response to prior year recommendations and promotes all four aspects of community well-being.
2. Findings from the report
The report to Council outlines the matters identified during the audit, new recommendations and the status of previous recommendations.
In addition to the above, the report also includes the outcome of matters raised in the Audit Plan.
There were three new necessary recommendations and two beneficial recommendations raised. Detailed information for each recommendation can be found in Attachment 1.
There are eighteen previous recommendations of which fourteen are closed and four open. A s status summary of Audit New Zealand’s recommendations is set out in the following table:
Table 1 Status of Audit New Zealand Recommendations:
Priority |
Previous Open Action |
New Actions |
Closed Actions |
Current Open Actions |
Beneficial |
- |
2 |
- |
2 |
Necessary |
18 |
3 |
14 |
7 |
Urgent |
- |
- |
- |
- |
Total |
18 |
5 |
14 |
9 |
3. Considerations
3.1 Risks and Mitigations
There are no direct risk implications arising as a result of this report.
3.2 Climate Change
There are no direct climate change implications arising as a result of this report.
3.3 Implications for Māori
There are no direct implications for Māori arising as a result of this report.
3.4 Community Engagement
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Engagement with the community is not required as the recommended proposal / decision relates to internal Council matters only. |
3.5 Financial Implications
There are no material unbudgeted financial implications and this fits within the allocated budget.
4. Next Steps
Audit New Zealand has highlighted recommendations from the final audit for the year ending 30 June 2021. These have been appropriately noted and actions are underway to address the remaining open recommendations.
Attachment 1 - Bay of Plenty Regional Council - Report to the Council - 30 June 2021 - Final ⇩
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Report To: |
Risk and Assurance Committee |
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Meeting Date: |
14 April 2022 |
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Report Writer: |
Mat Taylor, General Manager, Corporate |
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Report Authoriser: |
Mat Taylor, General Manager, Corporate |
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Purpose: |
Update on Risk and Assurance Committee Activities |
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Chairperson's Report
Executive Summary This report provides the Committee with an update on Risk and Assurance Committee activities. |
That the Risk and Assurance Committee:
1 Receives the report, Chairperson's Report.
1. Introduction
The report shows an updated Risk and Assurance Work Programme and an updated Risk and Assurance Completed Work Programme.
1.1 Legislative Framework
The matters addressed in this report are of a procedural nature.
1.2 Alignment with Strategic Framework
A Healthy Environment |
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Freshwater for Life |
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Safe and Resilient Communities |
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A Vibrant Region |
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The Way We Work |
We continually seek opportunities to innovate and improve. |
1.2.1 Community Well-beings Assessment
Dominant Well-Beings Affected |
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¨ Environmental
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¨ Cultural
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¨ Social
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þ Economic
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2. Council Performance Monitoring Report – Detailed Briefings for Councillors
The following financial monitoring meeting (detailed financial briefing) was held with Councillors:
Monday, 29 March 2022 |
3. Risk and Assurance Work Programme
Appendix 1 shows the Risk and Assurance Work Programme for 2022. This Work Programme sets out the planned and scheduled reporting to the Risk and Assurance Committee.
The appendix is categorised to identify the broad areas of responsibility for the Committee. Other items may be added by councillors and staff should this be required to respond to issues as they occur throughout the year.
4. Risk and Assurance Completed Work Programme
Appendix 2 shows the Risk and Assurance Completed Work Programme for the period March to December 2021.
5. Considerations
5.1 Risks and Mitigations
There are no significant risks associated with this matter/subject/project/initiative.
5.2 Climate Change
The matters addressed in this report are of a procedural nature and there is no need to consider climate change impacts.
5.3 Implications for Māori
There are no implications for Māori.
5.4 Community Engagement
The matters addressed in this report are of a procedural nature.
5.5 Financial Implications
This work is being undertaken within the current budget for the Government Activity in Year 1 of the Long Term Plan 2021 - 2031
6. Next Steps
None.
Attachment 1 - Risk and Assurance Work Programme for 2022 ⇩
Attachment 2 - Risk and Assurance Completed Work Programme for March to December 2021 ⇩
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Report To: |
Risk and Assurance Committee |
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Meeting Date: |
14 April 2022 |
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Report Writer: |
Aaron Huggins, Principal Internal Auditor |
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Report Authoriser: |
Mat Taylor, General Manager, Corporate |
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Purpose: |
To provide an update on the internal audit program and the audit plan. |
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Internal Audit Update
Executive Summary This report provides an update on the status of internal audit activities as at 31 December 2021 and includes: · The status of internal audit reviews in the current year; · The status of follow up of internal audit recommendations and management actions to 31 December 2021. |
That the Risk and Assurance Committee:
1 Receives the report, Internal Audit Update.
1. Introduction
This report provides the quarterly update on internal audit activity undertaken by internal audit staff and external assurance specialists as part of Bay of Plenty Regional Council’s co-sourced internal audit approach. It includes:
· The status of internal audit reviews in the current year;
· The status of follow up of internal audit recommendations and management actions to 31 December 2021.
1.1 Alignment with Strategic Framework
The Way We Work |
We continually seek opportunities to innovate and improve. |
2. Internal Audit Work Plan 2021/22 Status
Based on the Internal Audit Work Plan 2021/22 the following table summarises the status of internal audit reviews for 2021/22.
Review |
Field work |
GM Sponsor |
Status |
Status of Internal Audit |
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Planning /Scope |
Fieldwork |
Draft Report |
Mgmt Actions |
Final Report |
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Project management |
BOPRC |
Corporate |
In Progress |
Complete |
In Progress (25%) |
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Business continuity management |
BOPRC |
Chief Executive |
In Progress |
Complete |
In Progress (25%) |
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Pest management plan |
BOPRC |
Integrated Catchments |
In Progress |
Complete |
In Progress (75%) |
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Risk management |
Co-Source |
Corporate |
In Progress |
Complete |
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Laboratory services – benefits realisation |
BOPRC |
Regulatory Services |
In Progress |
Complete |
In Progress (50%) |
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Post-COVID funding readiness |
BOPRC |
Integrated Catchments |
In Progress |
In Progress (75%) |
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Compliance process |
BOPRC |
Regulatory Services |
In Progress |
Complete |
In Progress (25%) |
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Payroll |
BOPRC |
People & Leadership |
In Progress |
In Progress (90%) |
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ICT Security Review (20/21) |
BOPRC |
Corporate |
In Progress |
Complete |
Complete |
Complete |
In Progress (75%) |
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The quarter has seen COVID impact operations across BOPRC, with a focus on ensuring focus remains on core activities and essential services. As such, we have aimed to get as many reviews started as possible, to enable the plan to continue to be progressed by pivoting to other reviews as BOPRC teams become available. The focus for the Risk and Assurance team has been in supporting other teams, including with health & safety, business continuity planning, covid readiness planning, etc.
It was envisaged that the ICT Security Review (from the 2020/21 Internal Audit Plan) would be presented at this meeting, however the ongoing COVID situation has heavily impacted the Digital Team. As noted previously, the Digital Team continue to proactively address identified issues where they present risks to the security environment. The ICT Security Review will be presented at a later Risk & Assurance Committee meeting.
We have submitted a request to our internal audit co-source partner for a short form proposal to carry out the Risk Management review and expect to have this work underway soon.
Internal Audit Follow Up
Internal Audit has reviewed all open management actions as part of the follow up work in the 2021/22 Work Plan.
Management actions
At the start of the quarter (1 October 2021) there were 41 open management actions.
During the quarter six actions were closed and no actions were added. The total of actions open as at 31 December 2021 is 35, the majority of these relate to Policy Framework (ten), and Fraud Risk Assessment (eight).
Figure 1 Open management actions (as at 31 December 2021)
Fraud Risk – Both the Finance and Payroll teams continue to work with an external vendor to implement system changes.
Of the open actions 9 are past their original due date. The overdue actions relate predominately to Asset Management (four) and Procurement (two). Workplans are underway in the relevant teams to address these actions during the financial year (resourcing permitting).
Improvement actions
For framework reviews which have identified continuous improvement actions, these actions will be disclosed separately to give assurance to the Risk and Assurance committee that these actions continue to be monitored to ensure BOPRC’s frameworks improve and develop.
At the start of the quarter (1 October 2021) there was 1 open Health & Safety improvement action; this action remains open and refers to the last phase of the critical risk project rollout.
3. Considerations
3.1 Climate Change
The matters addressed in this report are of a procedural nature and there is no need to consider climate change impacts.
3.2 Financial Implications
There are no material unbudgeted financial implications and this fits within the allocated budget.
4. Next Steps
To note the Internal Audit status update (as at 31 December 2021).
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Report To: |
Risk and Assurance Committee |
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Meeting Date: |
14 April 2022 |
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Report Writer: |
Mark Le Comte, Principal Advisor, Finance and Kumaren Perumal, Chief Financial Officer |
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Report Authoriser: |
Mat Taylor, General Manager, Corporate |
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Purpose: |
To seek feedback on a Draft Terms of Reference for a programme of Efficiency and Effectiveness reviews |
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Draft Terms of Reference - Efficiency and Effectiveness Reviews
Executive Summary The Risk and Assurance Committee requested a draft Terms of Reference (TOR) for Efficiency and Effectiveness reviews at its meeting held on 2 December 2021. This paper provides a brief outline of research, and considerations, and presents a draft TOR for review which includes a set of core principles and a suggested approach. The draft TOR for feedback is attached. |
That the Risk and Assurance Committee:
1 Receives the report, Draft Terms of Reference - Efficiency and Effectiveness Reviews;
2 Recommends that the Efficiency and Effectiveness Terms of Reference are referred to the Council to be established following the Triennium elections to be added to the work programme.
1. Introduction
The Risk and Assurance Committee requested a draft Terms of Reference (TOR) for Efficiency and Effectiveness reviews at its meeting held on 2 December 2021.
Council has previously considered cost-effectiveness reviews as required by the Local Government Act (LGA) s17A. These have been high-level reviews focused on the appropriate governance structure for delivery.
Staff will also present recent financial efficiencies identified through the Long Term Plan 2021 – 2031 process, and Annual Plan process, at an upcoming Annual Plan workshop.
1.1 Legislative Framework
The purpose of Councils is to promote the social, economic, environmental, and cultural well-being of communities in the present and for the future. This implies that service delivery should be both efficient and effective.
The LGA s17A requires reviews of the cost-effectiveness of current delivery arrangements. These reviews are focused on a high level review of the delivery options, as specified in LGA S17A(4)
A review under subsection (1) must consider options for the governance, funding, and delivery of infrastructure, services, and regulatory functions, including, but not limited to, the following options:
(a) responsibility for governance, funding, and delivery is exercised by the local authority:
(b) responsibility for governance and funding is exercised by the local authority, and responsibility for delivery is exercised by—
(i) a council-controlled organisation of the local authority; or
(ii) a council-controlled organisation in which the local authority is one of several shareholders; or
(iii) another local authority; or
(iv) another person or agency:
(c) responsibility for governance and funding is delegated to a joint committee or other shared governance arrangement, and responsibility for delivery is exercised by an entity or a person listed in paragraph (b)(i) to (iv).
1.2 Alignment with Strategic Framework
A Healthy Environment |
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Freshwater for Life |
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Safe and Resilient Communities |
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A Vibrant Region |
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The Way We Work |
We deliver value to our ratepayers and our customers. |
Efficiency and effectiveness are core components of delivering value for ratepayers.
1.2.1 Community Well-beings Assessment
Dominant Well-Beings Affected |
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¨ Environmental
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¨ Cultural
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¨ Social
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þ Economic Low - Positive |
Efficiency and effectiveness are core components of delivering low-cost services for ratepayers and customers.
2. Introduction
Staff have reviewed the TORs for several Efficiency and Effectiveness review programmes. These have included reviews of local government delivery in New Zealand and Australia, central government reviews, guidance from the Office of the Auditor General and approaches from consultancy firms and academics.
There is a wide range of approaches ranging from broad and simple one page TORs, to detailed project plans, to rolling programme of reviews and reports. While there are several many common features across the different approaches, there is potential to develop an overly rigorous approach at the expense of speed, pragmatism and agility.
Importantly, efficiency and effectiveness should never be viewed as ‘one-off’ events and should be embedded in ongoing management and governance processes.
3. Integration with other processes
There are several processes that provide information for, and opportunities that directly contribute to efficiency and effectiveness. These include Long-term and Annual Plans, Annual Reports, Arotake performance reports and detailed financial briefings. In addition, Council produces a wide range of reports including Regulatory Compliance Reports, Science Snapshots, Operational Reports and Resource Policy Reports.
Long-term and Annual Plans are the core budget appropriation and performance planning processes for Council. Amongst the core purposes of the Long-term plan are to:
· provide integrated decision-making and co-ordination of the resources of the local authority, and
· provide a basis for accountability of the local authority to the community.
Arguably the most appropriate time to plan for efficiency and effectiveness is through these processes. Long Term Plan 2021-2031 included elements of zero based budgeting for major activities. Setting the plan, and the accountability measures, directly enables performance monitoring including monitoring of efficiency and effectiveness.
Given the wide range of reporting that is already carried out, it is important not to overcomplicate and/or needlessly duplicate information, however, the learnings and improvement opportunities from this reporting needs to flow through to subsequent planning processes.
4. Draft Terms of Reference
Staff consider that there is a wide range of information available and processes to leverage for improved efficiency and effectiveness. Therefore, we are proposing a relatively simple TOR to ensure that effort is not duplicated, and that work can be scaled as appropriate for the activity area. The draft TOR (attachment 1) includes the following sections.
· Purpose
· Principles
· Definitions
· Approach
· Focus Areas
· Roles and Responsibilities
Staff request feedback on overall approach set out in the draft TOR. If agreed, the Roles and Responsibilities will need to be reviewed based on the Committee Structure for the new Triennium. A section on implementation time/resources needs to be completed, however, this is dependent on the overall feedback on the approach in the draft TOR.
5. Considerations
5.1 Risks and Mitigations
There are no significant risks associated with this matter/subject/project/initiative.
5.2 Climate Change
The matters addressed in this report are not sensitive to the effects of climate change. Staff have also considered the effect of the initiative on greenhouse gas emissions and recommend that there will be no effect at this stage.
5.3 Implications for Māori
There are no implications for Māori over and above the general population.
5.4 Community Engagement
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Engagement with the community is not required as the recommended proposal / decision [relates to internal Council matters only]. |
Depending on the detailed approach chosen, there could be a requirement to conduct customer research as an element of planning and reviewing effectiveness.
5.5 Financial Implications
There are no material unbudgeted financial implications and this fits within the allocated budget at this stage. The proposed approach to reviewing efficiency and effectiveness will require extra up-front investment to deliver any approved detailed reviews and to implement improvements. The proposed approach is intended to focus additional investment to areas which are likely to deliver an overall saving in the medium term
6. Next Steps
The proposed Terms of Reference will be updated to incorporate any feedback and direction from the Risk and Assurance Committee.
Attachment 1 - Draft Terms of Reference ⇩