Audit & Risk Committee Meeting 6 December 2021
TLDRThe meeting focused on the Waipa District Council's risk management and project updates, addressing the impact of COVID-19 on capital projects and service delivery. The council's commitment to continuous improvement in risk management practices was highlighted, with a presentation on the audit report and discussions on the community spatial plan project. The report emphasized the need for a robust risk assessment and management process, especially for critical projects. Updates on the annual report and audit were also provided, with all but one management letter point addressed.
Takeaways
- 😀 The meeting is the last one for the year and attendees are welcomed to express their thoughts and ideas.
- 🎄 There's a festive atmosphere with staff having a 'very merry Christmas' background, and the meeting is expected to conclude around 3 PM.
- 🙇♂️ Apologies are noted for Jim's absence, Gary's lateness, and Andrew's temporary departure during the meeting.
- ⏰ The meeting agenda includes handling apologies, voting processes, and addressing matters of interest without any late items added.
- 🗣️ Voting within the meeting is generally done by voice, with a possibility of a show of hands for those against a resolution.
- 📋 The minutes from the last quarterly meeting on September 20th are confirmed as accurate, with no corrections needed.
- 📊 The parliamentary report on risk management is presented, highlighting the importance of a risk management framework and culture within councils.
- 🏛️ Waipa District Council is praised for its continuous improvement approach to risk management, with a maturity assessment conducted in 2018.
- 🔍 The report found that some councils lack a formal risk management framework, and recommends that all councils prioritize establishing one.
- 🤔 The challenge of communicating risk management to the community is discussed, with the suggestion to use long-term planning processes for clearer communication.
- 🏢 The importance of training and development for elected members and staff in understanding their roles in risk management is emphasized.
Q & A
What is the main focus of the meeting in the provided transcript?
-The main focus of the meeting is to discuss various aspects of the Waipa District Council's operations, including risk management, project updates, and financial reporting.
What is the significance of the report presented by Andrea and Nicole?
-Andrea and Nicole presented a report on risk management observations, highlighting the importance of having a risk management framework in place and the need for continuous improvement in risk management practices across councils.
What is the status of the council's risk management framework?
-The council has a risk management framework in place, and there is a culture of continuous improvement in regards to risk management, as demonstrated through the journey the council has been on in terms of learning and improving its approach to risk management.
What is the importance of communicating risks to the community?
-Communicating risks to the community is important to ensure transparency, to keep the community informed about potential challenges that could affect the delivery of services, and to manage community expectations effectively.
How does the council plan to address the issue of staff vaccination against COVID-19?
-The council is consulting on a policy of mandating all staff to be vaccinated unless medically exempt. The implementation of this policy is subject to the outcome of the consultation and further discussions with staff.
What is the impact of COVID-19 on the council's service delivery?
-COVID-19 has introduced a level of uncertainty that affects the council's planning assumptions, potentially impacting the economy and the ability to support people and maintain service levels.
What is the council's approach to managing cyber security risks?
-The council is actively working on reducing cyber security risks by implementing a training program, benchmarking statistics, and ensuring that the general cyber security risk is well managed.
What is the status of the council's annual report and audit?
-The annual report and audit process has been completed, but the management letter points from the auditors are still being finalized. The full management letter, including previous findings, will be reported on at the March meeting.
What changes are planned for the Audit and Risk Committee's work program for the next year?
-The work program for the next year will follow a similar approach to the current year, with one schedule change due to logistics, moving the payroll audit to the fourth quarter. A new deep dive process will also be included.
How does the council ensure compliance with its policies and risk management framework?
-The council conducts regular reviews and assessments, such as the internal audit report on project management, to ensure compliance with its policies and risk management framework. It also implements continuous improvement plans based on feedback and reviews.
What is the role of the Audit and Risk Committee in overseeing the council's approach to climate change?
-The Audit and Risk Committee's role is to ensure that the council acknowledges climate change as a significant risk, has appropriate mitigations in place, and that the risks are being effectively managed. The committee will also review how climate change is integrated into the council's strategy and policy.
Outlines
😀 Meeting Opening and Apologies
The meeting begins with the chair welcoming everyone and addressing preliminary matters such as the schedule and apologies for absences or lateness. A motion to accept these apologies is carried out, and the process for voting on motions is clarified. The agenda is confirmed, and it is decided to move to the minutes of the last meeting.
😀 Minutes Review and Acceptance
The minutes from the previous meetings on September 20th and another recent meeting are reviewed for accuracy. No corrections are suggested, and both sets of minutes are accepted as accurate records. A motion is moved and seconded to approve the minutes, which is carried without opposition.
😀 Parliamentary Report on Risk Management
Andrea and Nicole are welcomed to discuss a parliamentary report on risk management. The report is tabled in October, and key findings are highlighted. It is noted that Waipa District Council demonstrates a strong risk management culture, and several councils lack a formal risk management framework. The discussion emphasizes the importance of such frameworks and the role of elected members in managing risks.
😀 Case Studies and Risk Management Findings
Key findings from the report include the need for councils to have formal risk management frameworks, the role of risk managers, and the importance of supporting elected members in understanding their risk management roles. Examples from Waipa and other councils illustrate different approaches to risk management training and the use of specialized tools for risk assessment.
😀 Improving Risk Management Practices
Discussion on the importance of continuous improvement in risk management practices. Specific recommendations are given, including providing training for elected members, using sophisticated techniques for risk assessment, and having a clear plan to achieve desired risk management maturity. The meeting acknowledges the ongoing efforts and improvements made by Waipa District Council.
😀 Addressing Community Communication on Risks
Discussion on the challenges of communicating risk management practices to the community. It is suggested that using annual and long-term planning documents can help clarify risks and their management to the public. Examples from other councils are cited to illustrate effective communication strategies.
😀 Governance and Risk Reporting
The importance of including risk management in public session meetings rather than confidential sessions is discussed. Examples from other councils are cited, and Waipa's approach to open governance is praised. The committee also discusses the need for ongoing training for elected members to improve their understanding of risk management.
😀 Staff Training and Competence in Risk Management
The discussion highlights the need for staff training and regular competence assessments, especially in light of new regulations from Taumata Arowai. The council's efforts to improve sampling reliability for drinking water compliance are noted, along with the importance of maintaining staff competence in this area.
😀 COVID-19 Risk Management Update
An update on COVID-19 risk management is provided, including the implementation of a vaccination mandate for staff and the use of vaccine passes for public facilities. The committee discusses the potential impact on service levels and staff employment, as well as the legal and community response to these mandates.
😀 Managing Risks in Council Facilities
The committee discusses the decision to mandate vaccine passes for council facilities and the potential risks involved, including legal challenges and impacts on service delivery. The importance of transparent communication with the community about these decisions is emphasized.
😀 Quarterly Risk Report and Emerging Risks
The quarterly risk report is presented, highlighting emerging risks, including those related to COVID-19 and community isolation. The report notes that most risk mitigation actions are on track, and the committee discusses the importance of ongoing monitoring and improvement in risk management practices.
😀 Cybersecurity and High-Velocity Risks
The importance of managing high-velocity risks, such as cybersecurity threats, is discussed. The council's current cybersecurity measures and ongoing improvements are highlighted. The committee acknowledges the need for continuous vigilance and adaptation to new threats in the cybersecurity landscape.
😀 Improvements in Project Management Practices
A positive internal audit report on project management is presented, noting that the council's practices are consistent with good practice. Recommendations for further improvements include clarifying ownership of the project management framework, enhancing financial management practices, and incorporating health and safety considerations.
😀 Enhancing Project Management Framework
The committee discusses the importance of continuously improving the project management framework. Suggestions include better resource management, regular training for project managers, and leveraging internal best practices. The goal is to ensure the framework remains dynamic and effective.
😀 Strategic Importance of the Waipa Community Spatial Plan
An update on the Waipa Community Spatial Plan project is provided, emphasizing its strategic importance for the council's future planning. The committee is informed about the project's progress, risk management strategies, and the need for ongoing stakeholder engagement.
😀 Risk Management in Spatial Plan Development
The committee discusses the risk management process for the Waipa Community Spatial Plan, including a recent risk assessment workshop. The importance of identifying and mitigating high-level risks is highlighted, with plans to provide regular updates on the project's risk management status.
😀 Capital Program Progress and Challenges
The status of the capital program is reviewed, noting that overall expenditure is on target despite some delays caused by COVID-19. Key projects and their progress are highlighted, with a focus on reprogramming and adjusting timelines to accommodate delays and ensure successful project delivery.
😀 Addressing Supply Chain and Contractor Market Issues
The committee discusses challenges related to supply chain issues and the contractor market. Strategies to mitigate these risks, such as early contractor engagement and bundled contract options, are considered to ensure projects stay on track and within budget.
Mindmap
Keywords
💡Meeting
💡Apologies
💡Agenda
💡Risk Management
💡Audit
💡Governance
💡Quantitative Risk Assessment
💡Continuous Improvement
💡Elected Members
💡Cybersecurity
💡Project Management
Highlights
Meeting begins with welcoming attendees and addressing opening necessities.
Apologies are noted for absences and lateness, with a confirmation of attendees for the remainder of the meeting.
Meeting procedures, including voting protocols, are clarified for all participants.
Agenda items are reviewed, with no additional matters raised by attendees.
Minutes from the previous meeting are confirmed and accepted without corrections.
Introduction of guest speakers Andrea and Nicole to discuss risk management observations.
Presentation on risk management report, emphasizing the importance of a formal framework and culture of continuous improvement.
Key findings from the risk management report are shared, including the need for dedicated risk management roles and effective oversight.
Recommendations from the report are outlined, focusing on training for elected members and the application of sophisticated risk assessment techniques.
Discussion on the challenges of communicating risk management to the community and the importance of transparency.
Acknowledgment of Waipa District Council's positive approach to risk management and continuous improvement.
Committee members express appreciation for the risk management report and its insights.
Update on the COVID-19 situation and its impact on the council's risk profile and decision-making.
Review of the council's quarterly risk management report, highlighting emerging risks and mitigation actions.
Discussion on the importance of maintaining service levels and adapting to the evolving COVID-19 situation.
Committee members express their views on the balance between risk management and service delivery during the pandemic.
Meeting concludes with a motion to receive the reports and express gratitude to the presenters for their contributions.
Transcripts
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