Notice of Meeting:

I hereby give notice that an ordinary meeting of the Audit and Risk Subcommittee will be held on:

 

Date:                             Tuesday 5 December 2017

Time:                            2.00 pm

Venue:                          Otaru Room, Civic Centre, The Octagon, Dunedin

 

Sue Bidrose

Chief Executive Officer

 

Audit and Risk Subcommittee

PUBLIC AGENDA

 

MEMBERSHIP

 

Chairperson

Susie Johnstone

 

Deputy Chairperson

 

 

Members

Janet Copeland

Dave Cull

 

Doug Hall

Mike Lord

 

Chris Staynes

 

 

Senior Officer                               Sandy Graham, General Manager Strategy and Governance

 

Governance Support Officer      Wendy Collard

 

 

 

Wendy Collard

Governance Support Officer

 

 

Telephone: 03 477 4000

Wendy.Collard@dcc.govt.nz

www.dunedin.govt.nz

 

 

 

 

 

 

 

Note: Reports and recommendations contained in this agenda are not to be considered as Council policy until adopted.

 


Audit and Risk Subcommittee

5 December 2017

 

 

 

ITEM TABLE OF CONTENTS                                                                   PAGE

 

1        Apologies                                                                                                  4

2        Confirmation of Agenda                                                                              4

3        Declaration of Interest                                                                                5

4        Confirmation of Minutes                                                                             13

4.1   Audit and Risk Subcommittee meeting - 3 October 2017                           13     

Part A Reports (Committee  has power to decide these matters)

5          Audit and Risk Subcommittee Work Plan 2017/18                                           24

6        Schedule of Governance/Financial Policies                                                     29

7        2018 Meeting Schedule                                                                              32

8        Review of the Terms of Reference for the Audit and Risk Subcommittee            34

9        DCC Protected Disclosure / Whistleblower Policy - revised Nov 2017                   38            

Resolution to Exclude the Public                                                                             48

 

 


Audit and Risk Subcommittee

5 December 2017

 

 

 

1     Apologies

An apology has been received from Janet Copeland.

 

That the Subcommittee:

 

        “Approves the apology from Janet Copeland.”

2     Confirmation of agenda

Note: Any additions must be approved by resolution with an explanation as to why they cannot be delayed until a future meeting.


Audit and Risk Subcommittee

5 December 2017

 

 

Declaration of Interest

 

  

 

EXECUTIVE SUMMARY

1.     Members are reminded of the need to stand aside from decision-making when a conflict arises between their role as an elected or independent representative and any private or other external interest they might have.

2.     Elected or independent members are reminded to update their register of interests as soon as practicable, including amending the register at this meeting if necessary.

 

RECOMMENDATIONS

That the Committee:

a)     Notes/Amends if necessary the Elected or Independent Members' Interest Register attached as Attachment A; and

b)     Confirms/Amends the proposed management plan for Elected or Independent Members' Interests.

 

 

Attachments

 

Title

Page

a

Audit and Risk Subcommittee Members' Interest Register

7

  



Audit and Risk Subcommittee

5 December 2017

 

 


Audit and Risk Subcommittee

5 December 2017

 

 


Audit and Risk Subcommittee

5 December 2017

 

 


Audit and Risk Subcommittee

5 December 2017

 

 


Audit and Risk Subcommittee

5 December 2017

 

 



Audit and Risk Subcommittee

5 December 2017

 

 

Confirmation of Minutes

Audit and Risk Subcommittee meeting - 3 October 2017

 

 

RECOMMENDATIONS

That the Committee:

Confirms the public part of the minutes of the Audit and Risk Subcommittee meeting held on 3 October 2017 as a correct record.

 

 

 

Attachments

 

Title

Page

A

Minutes of Audit and Risk Subcommittee meeting  held on 3 October 2017

14

 

 



 

Audit and Risk Subcommittee

UNCONFIRMED MINUTES

 

Unconfirmed minutes of an ordinary meeting of the Audit and Risk Subcommittee held in the Otaru Room, Civic Centre, The Octagon, Dunedin on Tuesday 03 October 2017, commencing at 3.12 pm

 

PRESENT

 

Chairperson

Susie Johnstone

 

 

 

 

Members

Janet  Copeland

Cr Doug Hall

 

Cr Mike Lord

 

 

 

IN ATTENDANCE

Sandy Graham (General Manager Governance and Strategy), Gavin Logie (Acting Chief Financial Officer), Andrew Slater (Risk and Internal Audit Manager) and Julian Tan (Audit NZ) and Amanda Nicholls (Audit NZ)

 

Governance Support Officer      Wendy Collard

 

 

 

 

1       Apologies

 

Moved (Susie Johnstone/Cr Mike Lord):

That the Committee:

 

Accepts the apologies from Mayor Dave Cull and Cr Chris Staynes.

 

Motion carried (AR/2017/056)

 

2       Confirmation of agenda

 

 

 

 

Moved (Susie Johnstone/Cr Mike Lord):

That the Committee:

 

Confirms the agenda with the following alteration and addition:

 

a)     The confidential section of the meeting be taken before the public section.

 

b)     New item – Meeting Schedule to be taken as Item 9.

 

Motion carried (AR/2017/057)

 

3       Declarations of interest

Members were reminded of the need to stand aside from decision-making when a conflict arose between their role as an elected representative or independent member and any private or other external interest they might have.

 

The following amendments were made to the Interest Register:

·      Janet Copeland advised that she was a Council member for the Southern Institute of Technology; a director of the Invercargill Sunrise Rotary; a Trustee of the Stoney Creek Trust; and was a shareholder in various publicly listed companies.

·      Mike Lord advised that he was a shareholder in various publicly listed companies and a director of the Mosgiel Rotary.

·      Susie Johnstone advised that she was a shareholder in various publicly listed companies.

·      Doug Hall advised that he was a director/shareholder of Valley View Developments Ltd; Director of Jonic Investments 2012 Ltd; shareholder of Geekfix Ltd; and Trustee of Hall Family Trust, Invercargill

 

 

Moved (Susie Johnstone/Cr Mike Lord):

That the Committee:

 

a)     Amends if necessary the Elected or Independent Members' Interest Register attached as Attachment A; and

b)     Confirms the proposed management plan for Elected or Independent Members' Interests.

Motion carried (AR/2017/058)

 

Resolution to exclude the public

Moved (Susie Johnstone/Cr Mike Lord):

That the Committee:

 

Pursuant to the provisions of the Local Government Official Information and Meetings Act 1987, exclude the public from the following part of the proceedings of this meeting namely:

 

General subject of the matter to be considered

Reasons for passing this resolution in relation to each matter

Ground(s) under section 48(1) for the passing of this resolution

 

Reason for Confidentiality

C1  Audit and Risk Subcommittee meeting - 2 August 2017 - Public Excluded

S7(2)(j)

The withholding of the information is necessary to prevent the disclosure or use of official information for improper gain or improper advantage.

 

S7(2)(c)(ii)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to damage the public interest.

 

S7(2)(b)(ii)

The withholding of the information is necessary to protect information where the making available of the information would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information.

 

S7(2)(c)(i)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to prejudice the supply of similar information or information from the same source and it is in the public interest that such information should continue to be supplied.

 

S7(2)(h)

The withholding of the information is necessary to enable the local authority to carry out, without prejudice or disadvantage, commercial activities.

 

S7(2)(a)

The withholding of the information is necessary to protect the privacy of natural persons, including that of a deceased person.

 

S6(b)

The making available of the information would be likely to endanger the safety of a person.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C2  Dunedin City Council Annual Report for the year ended 30 June 2017

S7(2)(b)(i)

The withholding of the information is necessary to protect information where the making available of the information would disclose a trade secret.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

The information in the annual report is subject to final audit clearance.

C3  Report to the Council on the interim audit of Dunedin City Council for the year ended 30 June 2017

S7(2)(a)

The withholding of the information is necessary to protect the privacy of natural persons, including that of a deceased person.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 This report is confidential because it refers and impacts Council staff positions where those staff have not had the opportunity to respond or comment on the report.

C4  Strategic Risk Register Update - Sept 2017

S7(2)(c)(ii)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to damage the public interest.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C5  Update on the DCC Internal Workplan - Sept 2017

S7(2)(b)(ii)

The withholding of the information is necessary to protect information where the making available of the information would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information.

 

S7(2)(c)(i)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to prejudice the supply of similar information or information from the same source and it is in the public interest that such information should continue to be supplied.

 

S7(2)(h)

The withholding of the information is necessary to enable the local authority to carry out, without prejudice or disadvantage, commercial activities.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C6  External Audit Outcomes Report - Sept 2017

S7(2)(c)(ii)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to damage the public interest.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C7  Internal Audit Outcomes Report - Sept 2017

S7(2)(c)(ii)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to damage the public interest.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C8  Internal Audit - Goods & Services Tax

S7(2)(a)

The withholding of the information is necessary to protect the privacy of natural persons, including that of a deceased person.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

The report is considered confidential because it refers to Council staff positions where those staff may not have had the opportunity to respond or comment on the report.

C9  Dunedin City Holdings Ltd - Update on Audit and Risk Activity

S7(2)(b)(ii)

The withholding of the information is necessary to protect information where the making available of the information would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C10  DCC Comply With Legal Compliance Survey - initial findings (2016-17)

S7(2)(c)(ii)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to damage the public interest.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C11  DCC Procurement and Contract Management Policy - draft Sept 2017

S7(2)(b)(ii)

The withholding of the information is necessary to protect information where the making available of the information would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C12  Sensitive Expenditure Policy - revised Sept 2017

S7(2)(b)(ii)

The withholding of the information is necessary to protect information where the making available of the information would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C13  Top 100 Suppliers 2015/16

S7(2)(h)

The withholding of the information is necessary to enable the local authority to carry out, without prejudice or disadvantage, commercial activities.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

The information in this report is commercially sensitive.

C14  Treasury Risk Management Compliance Report

S7(2)(h)

The withholding of the information is necessary to enable the local authority to carry out, without prejudice or disadvantage, commercial activities.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C15  Protected Disclosure Register

S7(2)(a)

The withholding of the information is necessary to protect the privacy of natural persons, including that of a deceased person.

 

S7(2)(c)(i)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to prejudice the supply of similar information or information from the same source and it is in the public interest that such information should continue to be supplied.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C16  Investigation Register

S6(b)

The making available of the information would be likely to endanger the safety of a person.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 6.

The matters detailed in this report are subject to investigation and information should remain confidential so as not to prejudice the investigation and any possible outcomes of the investigation.

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, or Section 6 or Section 7 or Section 9 of the Official Information Act 1982, as the case may require, which would be prejudiced by the holding of the whole or the relevant part of the proceedings of the meeting in public are as shown above after each item.

 

That Julian Tan (Audit Director, Audit NZ) and Amanda Nicholls (Audit Manager, Audit NZ) be permitted to remain at the meeting, after the public has been excluded, because of their knowledge of Items C2 and C3.  This knowledge, which would be of assistance in relation to the matters discussed, was relevant because they would be reporting on the item under consideration.

Motion carried (AR/2017/059)

 

The meeting concluded at 3.15 pm

 

The meeting resumed in public at 5.33 pm.


 

 

4      CONFIRMATION OF MINUTES

4.1    Audit and Risk Subcommittee meeting - 2 August 2017

 

Moved (Chairperson Susie Johnstone/Cr Doug Hall):

That the Committee:

 

Confirms the public part of the minutes of the Audit and Risk Subcommittee meeting held on 2 August 2017 as a correct record.

 

Motion carried (AR/2017/060)

     Clarification re IT policy

Part A Reports

5       Audit and Risk Subcommittee Work Plan 2017/18

 

A report from Civic provided a copy of the updated Audit and Risk Subcommittee Work Plan 2017/18.  Following discussion, it was agreed that the Asset Management Policy would be added and that staff be requested to progress the Health and Safety Annual Objectives and KPI report.

 

Moved (Susie Johnstone/Janet  Copeland):

That the Committee:

 

a)     Notes the Audit and Risk Subcommittee Work Plan 2017/18.

Motion carried (AR/2017/061)

 

6       Schedule of Governance/Financial Policies

 

A report from Civic provided a copy of the updated Schedule of Governance/Financial Policies. 

 

Moved (Susie Johnstone/Cr Mike Lord):

That the Committee:

 

a)     Notes the Schedule of Governance/Financial Policies

Motion carried (AR/2017/062)

 

7       10 Year Plan update - October 2017

 

A report from Community and Planning provided  an update on the development of the Council’s 10 year plan 2018-2028 (previously known as the Long Term Plan or LTP).

The General Manager Strategy and Governance (Sandy Graham) spoke to the report and responded to questions on quality assurance.

Following discussion it was agreed that the independent members of the Audit and Risk Subcommittee would be provided with draft Financial and Infrastructure Strategies following receipt by Councillors.

 

Moved (Susie Johnstone/Cr Mike Lord):

That the Committee:

 

a)     Notes the 10 year plan update – October 2017.

Motion carried (AR/2017/063)

 

8       Insurance Renewal Year Ended 30 June 2018

 

A report from Finance provided a summary of the insurance renewal for the Dunedin City Council for the year ended 30 June 2018.

The report detailed the changes that have been negotiated around policy terms, conditions, coverage, excesses and premiums applied. 

The material damage premium for 2017/18 have been impacted by a number of factors including: increase in insured values (8.5%) and tightening of local market pricing and capacity following recent insurance events (Kaikoura earthquakes and Edgecumbe flooding). 

 

 

Moved (Cr Mike Lord/Susie Johnstone):

That the Committee:

 

a)     Notes the Insurance Renewal Year Ended 30 June 2018.

Motion carried (AR/2017/064)

             

9       Meeting Schedule

 

 

There was a discussion on the 2018 Meeting Schedule and it was agreed that the Subcommittee would meet bi-monthly; however there was a request that the meeting be held on the first Thursday of the month.

 

 

 

The meeting concluded at 6.05 pm

 

 

 

 

..............................................

CHAIRPERSON

   

 

     


Audit and Risk Subcommittee

5 December 2017

 

 

Part A Reports

 

Audit and Risk Subcommittee Work Plan 2017/18

Department: Civic and Legal

 

 

 

 

EXECUTIVE SUMMARY

1      This report provides a copy of the updated Audit and Risk Subcommittee Work Plan 2017/18.  As this is an administrative report only, the Summary of Considerations is not required.

2      It should be noted that the items without ticks shown have not been scheduled for action in the 2017/18 year.

 

RECOMMENDATIONS

That the Committee:

a)     Notes the Audit and Risk Subcommittee Work Plan 2017/18.

 

 

 

Signatories

Author:

Wendy Collard - Governance Support Officer

Authoriser:

Kristy Rusher - Manager Civic and Legal 

Attachments

 

Title

Page

a

Audit and Risk Subcommittee Workplan 2017/18

25

 

 

 


Audit and Risk Subcommittee

5 December 2017

 

 


 


 


 


Audit and Risk Subcommittee

5 December 2017

 

 

 

Schedule of Governance/Financial Policies

Department: Civic and Legal

 

 

 

 

EXECUTIVE SUMMARY

1      This report provides a copy of the updated Schedule of Governance/Financial Policies.  As this is an administrative report only, the Summary of Considerations is not required.

 

RECOMMENDATIONS

That the Subcommittee:

a)     Notes the Schedule of Governance/Financial Policies

 

 

 

Signatories

Author:

Wendy Collard - Governance Support Officer

Authoriser:

Kristy Rusher - Manager Civic and Legal 

Attachments

 

Title

Page

a

Schedule of Governance/Financial Policies

30

 

 


Audit and Risk Subcommittee

5 December 2017

 

 


 


Audit and Risk Subcommittee

5 December 2017

 

 

 

2018 Meeting Schedule

Department: Civic and Legal

 

 

 

 

EXECUTIVE SUMMARY  

1      A proposed schedule of meetings for 2018 is appended for the Subcommittee's information.  As this is an administrative report, no summary of considerations is required.

RECOMMENDATIONS

That the Committee:

a)     Notes the schedule of meetings for 2018.

 

 

Signatories

Author:

Wendy Collard - Governance Support Officer

Authoriser:

Sandy Graham - General Manager Strategy and Governance

Attachments

 

Title

Page

a

Audit and Risk Subcommittee Meeting Schedule

33

 

 

 


Audit and Risk Subcommittee

5 December 2017

 

 


Audit and Risk Subcommittee

5 December 2017

 

 

 

Review of the Terms of Reference for the Audit and Risk Subcommittee

Department: Civic and Legal

 

 

 

 

EXECUTIVE SUMMARY  

1      This report provides a copy of the Audit an Risk Subcommittee terms of reference for consideration.

RECOMMENDATIONS

That the Committee:

a)     Considers the Terms of Reference for the Audit and Risk Subcommittee

 

 

DISCUSSION

2      The Council makes delegations to Committees, Subcommittees and the Chief Executive Officer to ensure that decisions are made in an efficient manner and to facilitate community participation in democratic processes.  These delegations are recorded in the Committee Structure and Delegations Manual. 

3      The current delegation for the Audit and Risk Subcommittee is due for review and is attached (Attachment A) for consideration by the Subcommittee.

NEXT STEPS

4      If the Subcommittee wishes to amend the delegation, those changes will be presented to Council for its consideration and decision.

 

Signatories

Author:

Wendy Collard - Governance Support Officer

Authoriser:

Sandy Graham - General Manager Strategy and Governance

Attachments

 

Title

Page

a

Audit and Risk Subcommittee's Terms of Reference

36

 

SUMMARY OF CONSIDERATIONS

 

Fit with purpose of Local Government

This decision/report/proposal enables democratic local decision making and action by, and on behalf of communities.

 

Fit with strategic framework

 

Contributes

Detracts

Not applicable

Social Wellbeing Strategy

Economic Development Strategy

Environment Strategy

Arts and Culture Strategy

3 Waters Strategy

Spatial Plan

Integrated Transport Strategy

Parks and Recreation Strategy

Other strategic projects/policies/plans

 

There is no contribution to the Strategic Framework

Māori Impact Statement

There are no known impacts for tangata whenua

Sustainability

There are no implications for sustainability

LTP/Annual Plan / Financial Strategy /Infrastructure Strategy

There are not implications

Financial considerations

There are no financial implications

Significance

Not applicable

Engagement – external

There has been no external engagement

Engagement - internal

The has been no internal engagement

Risks: Legal / Health and Safety etc.

There are no identified risks

Conflict of Interest

There have been no conflicts of interest identified

Community Boards

There are no implications for Community Board

 

 


Audit and Risk Subcommittee

5 December 2017

 

 


 


Audit and Risk Subcommittee

5 December 2017

 

 

 

DCC Protected Disclosure / Whistleblower Policy - revised Nov 2017

Department: Corporate

 

 

 

 

EXECUTIVE SUMMARY

1      Council adopted the Protected Disclosure / Whistleblower Policy in May 2015.

2      Following a scheduled review by the Risk and Internal Audit Manager and General Manager Strategy and Governance, a revised Policy was approved by ELT in November 2017.

3      No significant changes have been made to content of the Policy, however the structure and some wording has been revised to align with Council's wider policy suite, and clarify the internal process for the investigation and referral of disclosures (see section 6.4.3 and section 6.6).

4      In addition, the role of the Group Chief Financial Officer as primary contact for disclosure has been replaced by the General Manager Strategy and Governance (alongside the Director Organisation Development and Performance).

5      The revised Protected Disclosure / Whistleblower Policy is provided for Audit and Risk Subcommittee noting.

 

RECOMMENDATIONS

That the Subcommittee:

a)     Notes the revised Protected Disclosure / Whistleblower Policy – Nov 2017.

 

 

 

Signatories

Author:

Sandy Graham - General Manager Strategy and Governance

Authoriser:

Sue Bidrose - Chief Executive Officer 

Attachments

 

Title

Page

a

Protected Disclosure Whistleblower Policy - revised Nov 2017

41

 

SUMMARY OF CONSIDERATIONS

 

Fit with purpose of Local Government

This report enables democratic local decision making and action by, and on behalf of communities.

Fit with strategic framework

 

Contributes

Detracts

Not applicable

Social Wellbeing Strategy

Economic Development Strategy

Environment Strategy

Arts and Culture Strategy

3 Waters Strategy

Spatial Plan

Integrated Transport Strategy

Parks and Recreation Strategy

Other strategic projects/policies/plans

 

The Protected Disclosure / Whistleblower Policy serves as a critical mechanism for ensuring the prudent delivery of all Council strategies, activities and services, supporting staff agency, responsibility and probity, identifying and investigating those actions that may be of a corrupt or unlawful nature, and maintaining public confidence in the Council.

Māori Impact Statement

As a mechanism for strengthening Council probity and addressing potential instances of corruption or unlawful activity, the Protected Disclosure / Whistleblower Policy strengthens engagement and collaboration with community stakeholders including Kai Tahu.

Sustainability

As a mechanism for ensuring robust Council service delivery and business practices, the Protected Disclosure / Whistleblower Policy supports the long-term sustainability of the DCC.

LTP/Annual Plan / Financial Strategy /Infrastructure Strategy

There are no implications for the LTP/ Annual Plan/Financial/ Infrastructure Strategy.

Financial considerations

There are no financial implications.

Significance

This report is deemed low in terms of the Council's Significance and Engagement Policy.

Engagement – external

There has been no external engagement.

Engagement - internal

Feedback was sought from the GM Strategy and Governance, and members of the DCC Executive Leadership Team in the revision of the Protected Disclosure / Whistleblower Policy.

Risks: Legal / Health and Safety etc.

The Protected Disclosure / Whistleblower Policy addresses a number of mandatory Council legislative requirements and obligations, as established by the Protected Disclosures Act 2000 (the Act). 

Conflict of Interest

There are no known conflicts of interest associated with this report.

Community Boards

There are no known implications for Community Boards.

 

 


Audit and Risk Subcommittee

5 December 2017

 

 

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Audit and Risk Subcommittee

5 December 2017

 

 

Resolution to Exclude the Public

 

 

That the Audit and Risk Subcommittee:

 

Pursuant to the provisions of the Local Government Official Information and Meetings Act 1987, exclude the public from the following part of the proceedings of this meeting namely:

 

General subject of the matter to be considered

 

Reasons for passing this resolution in relation to each matter

Ground(s) under section 48(1) for the passing of this resolution

 

Reason for Confidentiality

C1  Confirmation of  the Confidential Minutes of Audit and Risk Subcommittee meeting - 3 October 2017 - Public Excluded

S7(2)(j)

The withholding of the information is necessary to prevent the disclosure or use of official information for improper gain or improper advantage.

 

S7(2)(b)(i)

The withholding of the information is necessary to protect information where the making available of the information would disclose a trade secret.

 

S7(2)(a)

The withholding of the information is necessary to protect the privacy of natural persons, including that of a deceased person.

 

S7(2)(c)(ii)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to damage the public interest.

 

S7(2)(b)(ii)

The withholding of the information is necessary to protect information where the making available of the information would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information.

 

S7(2)(c)(i)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to prejudice the supply of similar information or information from the same source and it is in the public interest that such information should continue to be supplied.

 

S7(2)(h)

The withholding of the information is necessary to enable the local authority to carry out, without prejudice or disadvantage, commercial activities.

 

S6(b)

The making available of the information would be likely to endanger the safety of a person.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C2  Audit and Risk Subcommittee Action List report

S7(2)(a)

The withholding of the information is necessary to protect the privacy of natural persons, including that of a deceased person.

 

S7(2)(c)(i)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to prejudice the supply of similar information or information from the same source and it is in the public interest that such information should continue to be supplied.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C3  10 Year Plan update - December 2017

S7(2)(i)

The withholding of the information is necessary to enable the local authority to carry on, without prejudice or disadvantage, negotiations (including commercial and industrial negotiations).

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C4  Sensitive Expenditure Policy and Guidelines - Nov 2017

S7(2)(b)(ii)

The withholding of the information is necessary to protect information where the making available of the information would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C5  Health and Safety Monthly Report for October 2017

S7(2)(a)

The withholding of the information is necessary to protect the privacy of natural persons, including that of a deceased person.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C6  Health and Safety Annual Report for the year ending 30 June 2017

S7(2)(a)

The withholding of the information is necessary to protect the privacy of natural persons, including that of a deceased person.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C7  Strategic Risk Register Update - Nov 2017

S7(2)(c)(ii)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to damage the public interest.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C8  Update on the Dunedin City Council Internal Audit WorkPlan - Nov 2017

S7(2)(b)(ii)

The withholding of the information is necessary to protect information where the making available of the information would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information.

 

S7(2)(c)(i)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to prejudice the supply of similar information or information from the same source and it is in the public interest that such information should continue to be supplied.

 

S7(2)(h)

The withholding of the information is necessary to enable the local authority to carry out, without prejudice or disadvantage, commercial activities.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C9  External Audit Outcomes Report - November 2017

S7(2)(c)(ii)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to damage the public interest.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C10  Internal Audit - Holiday Pay Review

S7(2)(a)

The withholding of the information is necessary to protect the privacy of natural persons, including that of a deceased person.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

The report is considered confidential because it refers to Council staff positions where those staff may not have had the opportunity to respond or comment on the report..

C11  Internal Audit Outcomes Report - November 2017

S7(2)(c)(ii)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to damage the public interest.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C12  Treasury Risk Management Compliance Report

S7(2)(h)

The withholding of the information is necessary to enable the local authority to carry out, without prejudice or disadvantage, commercial activities.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C13  Protected Disclosure Register

S7(2)(a)

The withholding of the information is necessary to protect the privacy of natural persons, including that of a deceased person.

 

S7(2)(c)(i)

The withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to prejudice the supply of similar information or information from the same source and it is in the public interest that such information should continue to be supplied.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 7.

 

C14  Investigation Register

S6(b)

The making available of the information would be likely to endanger the safety of a person.

S48(1)(a)

The public conduct of the part of the meeting would be likely to result in the disclosure of information for which good reason for withholding exists under section 6.

The matters detailed in this report are subject to investigation and information should remain confidential so as not to prejudice the investigation and any possible outcomes of the investigation..

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, or Section 6 or Section 7 or Section 9 of the Official Information Act 1982, as the case may require, which would be prejudiced by the holding of the whole or the relevant part of the proceedings of the meeting in public are as shown above after each item.