AGENDA

Audit and Risk Committee

 


 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Vaughan Dennison (Chairperson)

Bruno Petrenas (Deputy Chairperson)

Grant Smith (The Mayor)

Susan Baty

Lew Findlay QSM

Adrian Broad

Jim Jefferies

Gabrielle Bundy-Cooke

Lorna Johnson

 

 

 

 

 

 

 


 

 

 


PALMERSTON NORTH CITY COUNCIL

 

 

 

 

Audit and Risk Committee MEETING

 

21 May 2018

 

 

 

Order of Business

 

NOTE:     The Audit and Risk Committee meeting coincides with the ordinary meeting of the Finance and Performance Committee meeting. The format for the meeting will be as follows:

-             Audit and Risk Committee will open and adjourn immediately to follow the Finance and Performance Committee

-              Finance and Performance Committee will open, conduct its business and then close.

1.         Apologies

2.         Notification of Additional Items

Pursuant to Sections 46A(7) and 46A(7A) of the Local Government Official Information and Meetings Act 1987, to receive the Chairperson’s explanation that specified item(s), which do not appear on the Agenda of this meeting and/or the meeting to be held with the public excluded, will be discussed.

Any additions in accordance with Section 46A(7) must be approved by resolution with an explanation as to why they cannot be delayed until a future meeting.

Any additions in accordance with Section 46A(7A) may be received or referred to a subsequent meeting for further discussion.  No resolution, decision or recommendation can be made in respect of a minor item.

3.         Declarations of Interest (if any)

            Members are reminded of their duty to give a general notice of any interest of items to be considered on this agenda and the need to declare these interests.

 

4.         Public Comment

To receive comments from members of the public on matters specified on this Agenda or, if time permits, on other Committee matters.

(NOTE:     If the Committee wishes to consider or discuss any issue raised that is not specified on the Agenda, other than to receive the comment made or refer it to the Chief Executive, then a resolution will need to be made in accordance with clause 2 above.)

5.         Confirmation of Minutes                                                                                    Page 7

“That the minutes of the Audit and Risk Committee meeting of 19 February 2018 Part I Public be confirmed as a true and correct record.”  

6.         Health and Safety Report Jan - Mar 2018                                                       Page 11

Memorandum, dated 3 May 2018 from the Human Resources Manager, Wayne Wilson.

7.         Delegations Manual - Amendment to Powers of Chief Executive                Page 23

Memorandum, dated 4 May 2018 from the Business Development Executive, Fiona Dredge.

8.         Management Agreed Audit Corrective Action Quarterly Progress             Page 31

Memorandum, dated 30 April 2018 from the Senior Internal Auditor, Vivian Watene.

9.         An Internal Audit Report - Rates Revenue Process                                       Page 55

Memorandum, dated 30 April 2018 from the Internal Auditor, Swati Joshi and the Senior Internal Auditor, Vivian Watene.

10.       Committee Work Schedule                                                                              Page 81

   

 11.      Exclusion of Public

 

 

To be moved:

“That the public be excluded from the following parts of the proceedings of this meeting listed in the table 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:

 

General subject of each matter to be considered

Reason for passing this resolution in relation to each matter

Ground(s) under Section 48(1) for passing this resolution

 

 

 

 

 

This resolution is made in reliance on Section 48(1)(a) of the Local Government Official Information and Meetings Act 1987 and the particular interest or interests protected by Section 6 or Section 7 of that Act which would be prejudiced by the holding of the whole or the relevant part of the proceedings of the meeting in public as stated in the above table.

Also that the persons listed below be permitted to remain after the public has been excluded for the reasons stated.

Chief Executive (Heather Shotter), Chief Financial Officer (Grant Elliott), General Manager, City Enterprises (Ray McIndoe), General Manager, City Future (Sheryl Bryant), General Manager, City Networks (Ray Swadel), General Manager, Customer Services (Peter Eathorne), General Manager, Libraries and Community Services (Debbie Duncan), Human Resources Manager (Wayne Wilson), General Manager, Marketing and Communications (Sacha Haskell), and Communications Advisor (name) because of their knowledge and ability to provide the meeting with advice on matters both from an organisation-wide context (being members of the Council’s Management Team) and also from their specific role within the Council.

Legal Counsel (John Annabell), because of his knowledge and ability to provide the meeting with legal and procedural advice.

Governance and Support Team Leader (Kyle Whitfield) and Committee Administrators (Penny Odell, Carly Chang and Rachel Corser), because of their knowledge and ability to provide the meeting with procedural advice and record the proceedings of the meeting.

[Add Council Officers], because of their knowledge and ability to assist the meeting in speaking to their report and answering questions, noting that such officer will be present at the meeting only for the item that relate to their respective report.

[Add Third Parties], because of their knowledge and ability to assist the meeting in speaking to their report/s [or other matters as specified] and answering questions, noting that such person/s will be present at the meeting only for the items that relate to their respective report/s [or matters as specified].

 

 

   


 

Palmerston North City Council

 

Minutes of the Audit and Risk Committee Meeting Part I Public, held in the Council Chamber, First Floor, Civic Administration Building, 32 The Square, Palmerston North on 19 February 2018, commencing at 9.00am

Members

Present:

Councillor Vaughan Dennison (in the Chair), The Mayor (Grant Smith) and Councillors Bruno Petrenas, Susan Baty, Adrian Broad, Gabrielle Bundy-Cooke, Lew Findlay QSM, Jim Jefferies and Lorna Johnson.

Non Members:

Councillors Brent Barrett, Rachel Bowen, Leonie Hapeta, Aleisha Rutherford and Tangi Utikere.

Apologies:

Councillors Duncan McCann (on Council Business), Karen Naylor (on Council Business) and Tangi Utikere (for lateness).

Councillor Leonie Hapeta left the meeting at 11.18am during consideration of clause 5.  She entered the meeting again at 11.20am during consideration of clause 6.  She was not present for clause 5.

 

The meeting adjourned at 9.01am.

The meeting resumed at 11.01am.

 

1-18

Apologies

 

Moved Vaughan Dennison, seconded Leonie Hapeta.

The COMMITTEE RESOLVED

1.  That the Committee receive the apologies.

 

Clause 1-18 above was carried 13 votes to 0, the voting being as follows:

For:

The Mayor (Grant Smith) and Councillors Brent Barrett, Susan Baty, Rachel Bowen, Adrian Broad, Gabrielle Bundy-Cooke, Vaughan Dennison, Lew Findlay QSM, Leonie Hapeta, Jim Jefferies, Lorna Johnson, Bruno Petrenas and Aleisha Rutherford.

  

2-18

Confirmation of Minutes

 

Moved Vaughan Dennison, seconded Bruno Petrenas.

The COMMITTEE RESOLVED

1.  That the minutes of the Audit and Risk Committee meeting of 20      November 2017 Part I Public be confirmed as a true and correct record.

 

Clause 2-18 above was carried 13 votes to 0, with 1 abstention, the voting being as follows:

For:

Councillors Brent Barrett, Susan Baty, Rachel Bowen, Adrian Broad, Gabrielle Bundy-Cooke, Vaughan Dennison, Lew Findlay QSM, Leonie Hapeta, Jim Jefferies, Lorna Johnson, Bruno Petrenas, Aleisha Rutherford and Tangi Utikere.

Abstained:

The Mayor (Grant Smith).

 

3-18

Health and Safety Report Oct - Dec 2017

Memorandum, dated 1 February 2018 from the Human Resources Manager, Wayne Wilson.

 

Moved Vaughan Dennison, seconded Bruno Petrenas.

The COMMITTEE RESOLVED

1.   That the Audit and Risk Committee note the information contained within the report dated 1 February 2018 and entitled “Health and Safety Report Oct – Dec 2017”.

 

Clause 3-18 above was carried 14 votes to 0, the voting being as follows:

For:

The Mayor (Grant Smith) and Councillors Brent Barrett, Susan Baty, Rachel Bowen, Adrian Broad, Gabrielle Bundy-Cooke, Vaughan Dennison, Lew Findlay QSM, Leonie Hapeta, Jim Jefferies, Lorna Johnson, Bruno Petrenas, Aleisha Rutherford and Tangi Utikere.

 

4-18

Business Continuity Planning PNCC update

Memorandum, dated 9 January 2018 from the Head of Emergency Management, Stewart Davies.

 

Moved Vaughan Dennison, seconded Bruno Petrenas.

The COMMITTEE RESOLVED

1.   That the Audit & Risk Committee note the report dated 9 January 2018 and entitled “Business Continuity Planning PNCC Update”, the programme for and progress of the Business Continuity Planning within the organisation.

2.   That Business Continuity Planning update be reported to the Committee 6 monthly.

 

Clause 4-18 above was carried 14 votes to 0, the voting being as follows:

For:

The Mayor (Grant Smith) and Councillors Brent Barrett, Susan Baty, Rachel Bowen, Adrian Broad, Gabrielle Bundy-Cooke, Vaughan Dennison, Lew Findlay QSM, Leonie Hapeta, Jim Jefferies, Lorna Johnson, Bruno Petrenas, Aleisha Rutherford and Tangi Utikere.

 

5-18

Internal Audit Plan 2018/19 (Year 2 of the 3 Year Plan)

Memorandum, dated 10 January 2018 from the Senior Internal Auditor, Vivian Watene.

Councillor Leonie Hapeta left the meeting at 11.18am.

 

Moved Vaughan Dennison, seconded Bruno Petrenas.

The COMMITTEE RESOLVED

1.   That the Committee note the recommended changes to the Internal Audit 2018/19 and 2019/20 Plans in paragraphs 8 and 9 respectively.

2.   That the Committee endorse the Internal Audit 2018/19 Plan narrated in paragraphs 8 and 10.

 

Clause 5-18 above was carried 13 votes to 0, the voting being as follows:

For:

The Mayor (Grant Smith) and Councillors Brent Barrett, Susan Baty, Rachel Bowen, Adrian Broad, Gabrielle Bundy-Cooke, Vaughan Dennison, Lew Findlay QSM, Jim Jefferies, Lorna Johnson, Bruno Petrenas, Aleisha Rutherford and Tangi Utikere.

 

6-18

Risk Management Progress - YTD December 2017

Memorandum, dated 18 January 2018 from the Senior Internal Auditor, Vivian Watene.

Councillor Leonie Hapeta entered the meeting again at 11.20am.

 

Moved Vaughan Dennison, seconded Brent Barrett.

The COMMITTEE RESOLVED

That the Committee note:

1.   Management’s risk management progress made to the Strategic and Operational Risk Profiles.

2.   The Year-to-Date Residual Risk status for the key Strategic and Operational risks.

 

Clause 6-18 above was carried 14 votes to 0, the voting being as follows:

For:

The Mayor (Grant Smith) and Councillors Brent Barrett, Susan Baty, Rachel Bowen, Adrian Broad, Gabrielle Bundy-Cooke, Vaughan Dennison, Lew Findlay QSM, Leonie Hapeta, Jim Jefferies, Lorna Johnson, Bruno Petrenas, Aleisha Rutherford and Tangi Utikere.

 

7-18

Internal Audit 2017/18 Plan Progress - YTD December 2017

Memorandum, dated 18 January 2018 from the Senior Internal Auditor, Vivian Watene.

 

Moved Vaughan Dennison, seconded Leonie Hapeta.

The COMMITTEE RESOLVED

1.   That the Committee note the progress of the Internal Audit 2017/18 Plan.

 

Clause 7-18 above was carried 14 votes to 0, the voting being as follows:

For:

The Mayor (Grant Smith) and Councillors Brent Barrett, Susan Baty, Rachel Bowen, Adrian Broad, Gabrielle Bundy-Cooke, Vaughan Dennison, Lew Findlay QSM, Leonie Hapeta, Jim Jefferies, Lorna Johnson, Bruno Petrenas, Aleisha Rutherford and Tangi Utikere.

 

8-18

Committee Work Schedule

 

Moved Vaughan Dennison, seconded Bruno Petrenas.

The COMMITTEE RESOLVED

1.   That the Audit and Risk Committee receive its Work Schedule dated February 2018.

 

Clause 8-18 above was carried 14 votes to 0, the voting being as follows:

For:

The Mayor (Grant Smith) and Councillors Brent Barrett, Susan Baty, Rachel Bowen, Adrian Broad, Gabrielle Bundy-Cooke, Vaughan Dennison, Lew Findlay QSM, Leonie Hapeta, Jim Jefferies, Lorna Johnson, Bruno Petrenas, Aleisha Rutherford and Tangi Utikere.

     

The meeting finished at 11.43am

 

Confirmed 21 May 2018

 

 

 

Chairperson


 

 

 


PALMERSTON NORTH CITY COUNCIL

 

Memorandum

TO:                                Audit and Risk Committee

MEETING DATE:           21 May 2018

TITLE:                            Health and Safety Report Jan - Mar 2018

DATE:                            3 May 2018

AUTHOR/S:                   Wayne Wilson, Human Resources Manager, Headquarters

 

 

RECOMMENDATION(S) TO Council

1.         That the Audit and Risk Committee note the information contained within this         report.

 

 

 

2.   Report

This report covers the period 1 January to 31 March 2018.  The information included in this report is discussed at the appropriate H&S Committee, the Main H&S Committee and Management Team. 

 

Hazards, Incidents and Near Misses Reported

 

 

Quarter

Jun 16

Sep 16

Dec 16

Mar 17

Jun 17

Sep 17

Dec 17

Mar 18

Hazards

 

15

21

15

10

7

4

3

3

Incidents

 

40

45

31

56

20

58

12

33

Near Misses

21

67

24

24

28

27

8

23

Lost Time (days)

 

67.3

 

154.6

 

215.0

 

215.6

 

140

 

129.15

 

133.06

 

93.8

L.T. Injuries

 

10

 

11

 

14

 

13

 

9

 

17

 

9

 

12

 

 

 

 

 

 

 

 

 

 

Two injuries accounted for 50% of the lost time.  Only 1 injury was not in City Enterprises.


 

 

Attachment One is the City Enterprise report from People Safe.  This report covers the month of March with commentary for the quarter as well.  National benchmarks included show that City Enterprises incident and lost-time rates are well below these national benchmarks. 

 

 

Investigations

No investigations required this quarter.

 

Previous Investigations

Number of Recommendations                                   24

Number of Recommendations Completed                22

The 2 outstanding recommendations relate to a formal external review of our H&S processes and procedures which will occur on 16 April.

Training

 

Attached is a report on H&S specific training undertaken this calendar year.  This captures most of the training provided but not all, as H&S can be a component of other courses and it does not capture the on-the-job instruction type learning.  The highlighted courses are those that new employees undertake.  Not included is the H&S induction that all new staff receive.  93 individual staff received training in this quarter. As expected the majority are from City Enterprises.

 

 

 

 

 

Wayne Wilson

HUMAN RESOURCES MANAGER

 


 

Attachment One

City Enterprises –Health and Safety Report, March 2018

Executive Summary

This report provides a high-level overview of the health and safety performance of City Enterprises for month end March 2018.  The trends over the eleven months to date are presented, together with a brief Quarterly Report at 2018-Q1.  

·    We are still performing very well against national benchmarks for Total Recordable Injuries and Lost Time Injuries per 200,000 hours worked.

·    No Notifiable Incidents this month, and only 1 in the past 6 months reporting period.

·    Four new Lost Time Injuries and 1 LTI in its third month.

·    Quarterly, in 2018-Q1 there has been an increase in all metrics compared to the previous quarter 2017-Q4.  This was mainly due to one Notifiable Incident in January, which was the first in 8 months and has not been repeated since. 

·    People Safe system development and information input, and reviewing reports, are progressing but this needs more staff time in order to sustain good progress.

 

People Safe - Progress

Work is ongoing with information entry for periodic staff training and equipment testing, though progress is limited due to a lack of dedicated staff time available.  We are taking a fresh look within Logistics and Support team at some administrator duties to see if some time can be freed up to assist with this.  We have also convened a meeting of City Enterprises managers to see what can be done to resource this better, and/ or increase efficiency.  

 

National Benchmarks and Commentary

The following are key benchmarks from Zero Harm NZ’s Business Leaders’ Health and Safety Forum.  More at http://www.zeroharm.org.nz/our-work/benchmarking/

Note this benchmark is derived from similar higher-risk industries such as forestry and construction.    City Enterprises is still performing very well compared to the national benchmark for all employers. 


TRIFR = total medical treatment injuries, restricted work injuries, lost time injuries and fatal injuries.
Benchmark 2016 = 
3.29 / 200,000 hours worked
Benchmark

Frequency of Total Recordable Injuries this month is slightly higher than last month, the highest in the five months to date.  However it is still well below the benchmark level per 200,000 hours worked. 

 

Benchmark (Total per 200,000 hours)LTI = where an injury prevents a return to work for 1 day/ shift or more.
Benchmark 2016 = 
1.54 / 200,000 hours worked
 

The number of new Lost Time Injuries at 4 cases or 1.45 per 200,000 hours worked is the highest in the 10-month reporting period to date.  However, the total number of actual hours lost to LTIs this month at 199 has dropped back to a more normal level.  See the graph over the page. 

 

 

 

 

Of the above, 16% of the hours lost (32 of 199) were due to just 1 staff member’s injury, and the staff member’s recovery time is now in its third and hopefully final month.  This reinforces the observation that the more serious injuries leading to Lost Time (more than one day) have a disproportionate effect on the total number of hours lost across City Enterprises.

The analysis of injuries by activity type (see Page 5 below) highlights the highest risk group of activities in terms of injuries are: working around vehicles; operating mobile plant and manual handling.  We remain alert to this risk. 

Overall though, City Enterprises remains consistently below the national benchmark for LTI for all employers. 

ACC Loading

A query was received from the February 2018 CE Advisory Board meeting to reconcile the reported good results against national benchmarks (see previous section) and the ACC loading that is applied for PNCC.  Wayne Wilson Human Resources Manager advises that, “The Zero Harm NZ benchmark and the ACC Experience rating are calculated quite differently.  The Zero Harm relates to the number of injuries per 200,000 hours worked, while experience rating is calculated using the cost to ACC of those injures.  Experience rating is also split into the ACC classifications so that similar work are in the same classification.  The Council insists that all injuries are treated by a Doctor and this along with some historical injuries account for our higher experience rating”.  Therefore while City Enterprises averages only 2 new LTI cases per month from our 264 staff (or 0.76%), in February 2018 for instance 49% of all hours lost (160) were from one person.  The more serious Lost Time Injuries would cost ACC disproportionately large dollar sums and that would be the main driver of the ACC loading. 

Notifiable Events

There were no Notifiable Events in the reporting period. 

 

 

 

This Month

6 Months to Date

Fatalities

0

0

Notifiable Incidents under H&S at Work Act 2015

0

1

 

Range of Incidents, Injuries and Near-hits

The graph below illustrates the range of incidents, injuries and near-hits encountered.  It includes “general pain and discomfort”, which are reported through People Safe.  This remains a significant issue; manual handling and lifting refresher courses are being maintained. 

The monthly totals continue to show a slight but continuous reduction over time.  The reporting of near-hits remains high, which is pleasing (in terms of workplace culture) and the observations gained are fed back into the workforce though the People Safe system, tool box meetings and the like. 

 

 


 

 

Injuries by Activity Type

The graph below illustrates the range of injures by activity. 

This month’s recorded injuries again centred mostly around working with vehicles and manual handling.  These are in the highest risk group of activities in terms of injuries: working around vehicles; operating mobile plant and manual handling accounting for (13+12+11+30) = 66%.  Staff training is focused accordingly.  Vehicles and plant are well maintained through the on-site Garage service.  Wet weather may be factor (see Page 3 above). 

 

Quarterly Report

When full historic data are available, quarterly reports will provide the following:

1.    The latest Quarter’s results

2.    Comparison with previous Quarter

3.    Comparison with the same Quarter from the previous year

4.    12 months to date

At the moment we have sufficient data for 1 and 2 above.  The next monthly report will include item 4, which is a summary of the 12 months to date. 

 


 

 

 

Quarterly Metric

Benchmark

2017-Q4

2018-Q1

Change, %

All Incidents (injury and non-injury); per 200,000 hours

-

1.81

2.42

+33

Total Recordable Injuries (TRIFR); per 200,000 hours

3.29

1.09

1.21

+11

Lost Time Injuries (LTI); per 200,000 hours

1.54

0.48

1.09

+125

Fatalities; number

-

0

0

0

Notifiable Incidents under H&S at Work Act 2015; number

-

0

1

+100

 

There has been an increase in all metrics compared to the previous quarter.  This was mainly due to one Notifiable Incident in January, which the first in 8 months and has not been repeated since.  All metrics remain well below national benchmarks.  The next Quarterly Report is due in early July for 2018-Q2. 

PeopleSafe Metrics

We remain mindful that lagging indicators such as those in the previous section represent failure.  They must be supplemented by other measures that provide positive assurance that good practices aimed at preventing injuries and incidents are implemented (leading indicators).  PeopleSafe provides a number of metrics against which we can measure our preparedness.

This month shows a slight improvement in how up to date we are, but we remain short of staff time resources to make significant progress.

Our targets are summarized below and expanded upon in the following paragraphs.

 

 

Up to Date

 

PeopleSafe Metric

Target, %

Complete, %

Comments

Stories

90

98

Some reviews overdue for recording.

Gear

95

99

Large group tested in March.

Safety Plans

95

-

 

In process.

People

98

-

100% of staff in the system, but completing data entry of each staff member still in process.

Training

90

97.5

Some data entry still in process

 

Stories.  175 Stories have been told in the year to date, with 11 in the last month.  “Tell Your Story” is the PeopleSafe way of recording events that happen at work such as Accidents, Injuries, Close Calls, Damage, Risks and Hazards.  All staff members on the People Safe system get a login so they can easily let us know what’s going on.   4 reviews are in progress, all 4 of which are overdue.  This is (171/ 175) = 98% up to date, which is a 3% improvement on last month.  

 

 

Gear.  We have 966 items logged in People Safe, sorted into 45 types ranging from heavy trucks to portable electrical appliances.  The 32 items of equipment held in the former laboratory building have been disposed of.  The latest scheduled safety testing during March has been completed by B&M Electrical and records will be loaded into People Safe.  We are (958/ 966) = 99% up to date, which is a 2% improvement on last month.   

Risks and Safety Plans.  This is a work in progress, because we need to document all of our plans in the People Safe system.  Currently we have:

·    Risks: no new risks identified this month, though 18 new Risks remain to be reviewed. 143 in total Risks documented. 

·    Safety Plans: No new scheduled Safety Plan reviews are due in the next month, though 3 existing plans have expired and need renewal.  Arising from this we have 29 Plans and Actions needed; these are in process. 

This has been the case for some time and we will require more staff time resources to maintain momentum.  Once we have established our plans in the People Safe system we will aim to have 95% of all actions up to date at each month-end.

People.  All 228 staff members in the teams that use People Safe are in the system.  We added 6 new staff this month.  Completing all People information in the system is well progressed.  When this is complete we will aim to have all People information 98% up to date at all times. 

Training. The training for the Job Skillsets is making process.  We have a range of 172 training courses and skills logged in the system for tracking against staff skillsets.  Once we have established our training records in the People Safe system we will aim to have 90% of all training actions up to date at each month-end.  1782 training tasks have been done in the year to date, with 3 in the last month.  45 training tasks are expired or not up to date.  That’s (1737/ 1782) = 97.5% up to date.  This sustains last month’s level.   

In general, all of the above categories are progressing at about the same rate or slightly better than last month.  Full implementation of People Safe in terms of information input is taking some time due to lack of dedicated staff resources; we are looking at ways to address this from existing staff numbers. 

 

Paul Compton

Logistics and Support Manager 

12 April 2018


 

Attachment Two

Event

Jun 17

Sep 17

Dec 17

Mar 18

Accident and Event Investigation

 

12

 

 

Blood Levels Lead Based Paint

 

 

 

10

BRANZ Bracing Seminar

 

 

 

 

Brushwood Chipper Training

 

 

11

 

Business First Line Management L4

 

 

1

 

Chainsaws Use and Safety

 

 

 

 

Collections Induction

 

5

 

 

Confined Space Entry

 

 

5

15

Dealing with Difficult People

 

17

 

 

Dealing with Mental Health

 

24

 

 

Defibrillator Training

 

 

20

 

Driver Assessment Training

17

18

2

14

Driver’s License – Class 1R (Restricted)

 

 

1

 

Driver’s License – Class 2L (Learners)

1

 

 

 

Driver’s License – Class 5L (Learners)

1

 

 

 

Driver’s License – Class 4L (Learners)

1

 

1

 

Driver’s License – Class 1 (Car License)

3

4

2

4

Driver’s License – Class 2 (Medium Rigid Vehicle)

2

3

3

2

Driver’s License – Class 3 (Medium Combination)

 

 

1

 

Driver’s License – Class 4 (Heavy Rigid)

1

3

2

1

Driver’s License – Class 5 (Heavy Combination)

 

 

1

 

Driver’s License – Class 6 (Motorcycle)

 

1

 

 

Elevated Working Platform (Scissor Lift and Boom)

7

 

 

 

Emergency Management CIMS4

 

 

 

 

Endorsement (D) Dangerous Goods

1

 

 

 

Endorsement (F) Forklift

1

1

4

2

Endorsement (R) Roller

6

3

3

3

Endorsement (T) Tracks

6

3

2

3

Endorsement (W) Wheeled Special Type

6

3

3

4

Fall Arrest System Refresher, Rope & Abseiling Refresher

5

 

 

 

First Aid Certificate

3

2

1

1

Forklift OSH Certificate

9

3

 

 

Harassment Prevention and Awareness

 

 

34

42

H&S at Work Act 2015 (The Journey)

8

 

 

 

How To: Tell Your Story

1

 

 

 

Internal Training – Basic Asbestos Induction

1

 

 

 

Internal Training – Easy Start Orientation

2

12

23

10

Internal Training  - Collections Induction Video

 

8

 

 

Internal Training – Forklift SOP

 

 

6

 

Internal Training – Notifiable Events

1

 

 

 

Kerbside Collection Traffic Leader

4

 

 

 

Managing Performance Masterclass

 

 

 

 

Move at Work (Manual Handling)

 

32

 

 

NC in Sports Turf L5

1

 

 

 

NZ Certificate in Infrastructure Level 2

 

 

2

 

Playground Safety Inspections Level 2

 

 

2

 

Safe Work Zones

 

 

 

 

Site Induction Training: Collections

 

 

 

 

STMS Level 1 – Site Traffic Management

5

12

 

3

TC1 – Basic Traffic Controller Level 1

15

5

4

2

Tractor and LUV Training Level 2

 

 

6

 

Truck Loader Crane/Hi Ab

 

10

3

3

WCTL (Waste Collection Traffic Leader)

2

 

 

 

 

 

 

 

 

Total Number of Events

26

21

27

16

Total Number of Staff Attending

110

181

143

129

 

 

 

 

 

 

·    Highlighted Courses are for new staff, in addition all new staff complete a H&S induction.

·    In total 93 individual staff received training in this quarter.


 

 

 

Compliance and administration

Does the Committee have delegated authority to decide?

If Yes quote relevant clause(s) from Delegations Manual <Enter clause>

Yes

Are the decisions significant?

No

If they are significant do they affect land or a body of water?

No

Can this decision only be made through a 10 Year Plan?

No

Does this decision require consultation through the Special Consultative procedure?

No

Is there funding in the current Annual Plan for these actions?

Yes

Are the recommendations inconsistent with any of Council’s policies or plans?

No

 

 

Attachments

Nil

 

Wayne Wilson

Human Resources Manager

 

 

 

 


 

 

 


PALMERSTON NORTH CITY COUNCIL

 

Memorandum

TO:                                Audit and Risk Committee

MEETING DATE:           21 May 2018

TITLE:                            Delegations Manual - Amendment to Powers of Chief Executive

DATE:                            4 May 2018

AUTHOR/S:                   Fiona Dredge, Business Development Executive, City Corporate

 

 

RECOMMENDATION(S) TO Council

1.   That Council approves the following changes to the Delegations Manual:

a.       Addition to clause 140 with definitions for “Capital New Budget” and “Capital Renewal Budget” as set out in Appendix 1; and

b.      Replacement of existing clauses 204, 207, 208 and 209 with those set out in Appendix 1.

 

 

 

1.         ISSUE

At the Finance and Performance Committee meeting of 19 March 2018, the Chief Financial Officer reported on the financial delegations from Council to the Chief Executive, especially in relation to authorising increases in expenditure over budget.  An issue was identified about the practicality of the current delegations in relation to small value capital programmes.  Consideration of this matter was referred to the Audit and Risk Committee.

This memo proposes amendments to the Chief Executive’s financial delegations from Council to ensure they are fully workable.

2.         BACKGROUND

The current delegations allow the Chief Executive to enter into any transaction less than or equal to 50% of the Specified Sum (50% is currently $800,000) provided the total amount of the Operating Budget at an Activity level or the Capital Programme Budget is not exceeded.

The Chief Executive may authorise an increase in expenditure over the Operating Budget or Capital Programme Budget provided that:

1)   Council has not previously declined to approve an increase in expenditure in relation to the relevant budget; and

2)   The Chief Executive is of the opinion that the original budget is not or will not be adequate to best achieve the intended outcome; and

3)   Savings are made from other Operating Budgets or Capital Programme Budgets to offset the increase (savings must not adversely affect the ability of the organisation to deliver intended levels of service); and

4)   The aggregate change to any Operating Budget or Capital Programme Budget cannot exceed 50% of the Specified Sum or 30% of the relevant budget, whichever is smaller.  The current maximum is $800,000 per annum.

The delegations require the Chief Executive to report details of budget variations to the Finance and Performance Committee.

Council approval is required for any expenditure requests outside of the above parameters.  As mentioned in the earlier report to the Finance and Performance Committee, these requests mainly cover events or timing(s) that were not foreseen during the budgeting process.

The current delegations appear to be working well in relation to Operating Budgets.  This is largely because they function at an Activity level which allows adequate flexibility for the organisation to function efficiently and effectively within the above parameters.  This is important if the organisation is to be agile and to achieve the desired goal of being driven and enabling.

In contrast, there is currently less flexibility in relation to capital expenditure as the delegations apply at the individual capital programme level.  The capital programmes in Council’s 10 Year Plan and Annual Budget range considerably in value.  In the Annual Budget 2017/18 for instance, the capital programmes range in value from $5,000 to $5,200,000.  For the smallest capital programmes, this means that approval from Council is required for additional expenditure above $1,500 per annum.

It is therefore proposed to amend the delegations for capital programmes by using the same approach as is used for operating expenditure.  Instead of applying the delegations to individual capital programmes, it is proposed that the delegations function at an Activity level.  This means that the Chief Executive would have authority to enter into transactions as long as the total Capital Renewal Budget or total Capital New Budget in respect of an Activity is not exceeded.

The Chief Executive would have authority to increase capital expenditure at an Activity level if equivalent savings were made from another Activity to offset the increase.  The other parameters set out above would still apply as would the requirement to report details to the Finance and Performance Committee.

As the financial limit for aggregate changes would apply at the Activity level the proposed approach effectively reduces the Chief Executive’s current authorisation in relation to the sum of potential changes to individual capital programmes within a single Activity. 

Exceptions would apply so that the Chief Executive could not enter into transactions related to individual capital programmes that Council has previously declined.  Similarly, the Chief Executive would not have authority to increase expenditure on individual capital programmes where Council has previously reduced the budget.

One of the consequences of the amended approach is that it would allow the Chief Executive to authorise expenditure on unbudgeted capital items.  It is proposed to limit that authority to $50,000 in each case.

The proposed changes are set out in the appendices including two new definitions.  Appendix 1 shows a clean version with the proposed changes incorporated.  A marked up version is shown in Appendix 2.

3.         NEXT STEPS

If the recommendation is adopted, the Council’s Delegations Manual will be amended accordingly.

4.         Compliance and administration

Does the Committee have delegated authority to decide?

If Yes quote relevant clause(s) from Delegations Manual <Enter clause>

No

Are the decisions significant?

No

If they are significant do they affect land or a body of water?

N/A

Can this decision only be made through a 10 Year Plan?

No

Does this decision require consultation through the Special Consultative procedure?

No

Is there funding in the current Annual Plan for these actions?

Yes

Are the recommendations inconsistent with any of Council’s policies or plans?

No

 

 

Attachments

1.

Appendix 1 - Proposed Amendments

 

2.

Appendix 2 - Proposed Amendments Marked Up

 

 

 

Fiona Dredge

Business Development Executive

 

 

 

 



 


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PALMERSTON NORTH CITY COUNCIL

 

Memorandum

TO:                                Audit and Risk Committee

MEETING DATE:           21 May 2018

TITLE:                            Management Agreed Audit Corrective Action Quarterly Progress 

DATE:                            30 April 2018

AUTHOR/S:                   Vivian Watene, Senior Internal Auditor, City Corporate

 

 

RECOMMENDATION(S) TO Audit and Risk Committee

1.   That the Committee receive this Memorandum and its Appendixes for information.

 

 

 

ISSUE

1.         In accordance with the Internal Audit Charter, this Committee receives a quarterly update on the management agreed audit corrective actions from the internal audit reviews that have not been satisfactorily resolved past the agreed timeline.

 

2.         This Memorandum also includes the follow up on the external auditors’ recommendations from their audit of the Council’s annual accounts.

 

BACKGROUND

Internal Audit

3.         The timeline missed schedule on the management agreed corrective actions based on the recent follow-up is attached in Appendix A.  Items listed on this schedules are items that management has missed the agreed to action deadline by more than 6 months.

 

4.         Several corrective actions have been implemented and therefore will come off the schedule at the next reporting time.

 

 

External Audit

5.         The corrective actions recommended by the Audit New Zealand in Appendix B includes those items requiring management action from:

 

·    The Final Management Report 2016/17 received in November 2017 for the final audit of the Palmerston North City Council’s Annual Report.

·    Appendix B also includes items from the prior year audit that requiring further implementation.

NEXT STEPS

6.         Internal Audit will continue to follow up the Management Agreed Audit Corrective Actions and report to this Committee quarterly on this subject.

 

Compliance and administration

Does the Committee have delegated authority to decide?

If Yes quote relevant clause(s) from Delegations Manual <Enter clause>

Yes

Are the decisions significant?

No

If they are significant do they affect land or a body of water?

No

Can this decision only be made through a 10 Year Plan?

No

Does this decision require consultation through the Special Consultative procedure?

No

Is there funding in the current Annual Plan for these actions?

Yes

Are the recommendations inconsistent with any of Council’s policies or plans?

No

 

 

Attachments

1.

Appendix A Internal Audit Management Agreed Corrective Action - Timeline Missed

 

2.

Appendix B Implementation Progress on Audit NZ Recommendations

 

 

 

Vivian Watene

Senior Internal Auditor

 

 

  


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PALMERSTON NORTH CITY COUNCIL

 

Memorandum

TO:                                Audit and Risk Committee

MEETING DATE:           21 May 2018

TITLE:                            An Internal Audit Report - Rates Revenue Process

DATE:                            30 April 2018

AUTHOR/S:                   Swati Joshi, Internal Auditor, City Corporate

Vivian Watene, Senior Internal Auditor, City Corporate

 

 

RECOMMENDATION(S) TO Audit and Risk Committee

1.   That the Committee receive the Internal Audit report on the Rates Revenue process for information.

 

 

ISSUE

1.   In keeping with the Internal Audit Charter, this memorandum keeps you informed of the recently completed internal audit (Appendix A).

BACKGROUND

2.   This audit is part of the Internal Audit 2017/18 Plan approved by this Committee.

 

3.   The audit was carried out by the Internal Auditor; Swati Joshi.

 

4.   This was an audit on the Council’s internal controls on the rates revenue process to ensure the accuracy, completeness, validity and transparency of rates assessment information and collection.

conclusion

5.   The audit concluded that there is a sound system of internal controls designed to achieve its objectives in general. The controls are being applied consistently.

 

6.   However, as with all internal audits, we have made a suite of 25 recommendations for improvement.  Of which management has agreed to implement more than 80% of them. This is a satisfactory outcome.

 

NEXT STEPS

7.   The Auditors will follow up the management agreed corrective actions in due course.

 

Compliance and administration

Does the Committee have delegated authority to decide?

If Yes quote relevant clause(s) from Delegations Manual <Enter clause>

Yes

Are the decisions significant?

No

If they are significant do they affect land or a body of water?

No

Can this decision only be made through a 10 Year Plan?

No

Does this decision require consultation through the Special Consultative procedure?

No

Is there funding in the current Annual Plan for these actions?

Yes

Are the recommendations inconsistent with any of Council’s policies or plans?

No

 

 

Attachments

1.

Appendix A Internal Audit Report - Rating Processes

 

 

 

Swati Joshi

Internal Auditor

Vivian Watene

Senior Internal Auditor

 

 

 

 

 


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PALMERSTON NORTH CITY COUNCIL

 

Committee Work Schedule

TO:                                Audit and Risk Committee

MEETING DATE:           21 May 2018

TITLE:                            Committee Work Schedule

 

 

RECOMMENDATION(S) TO Audit and Risk Committee

1.   That the Audit and Risk Committee receive its Work Schedule dated May 2018.

 

 

Attachments

1.

Committee Work Schedule - May 2018

 

    


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