Skip navigation
Council member and meetings
Audit and Risk Committee
Back to contents

MINUTES OF A MEETING OF THE
AUDIT AND RISK COMMITTEE
HELD ON TUESDAY, 4 AUGUST 2009 AT 2.30 PM
IN THE COMMITTEE ROOM, LEVEL 15
CIVIC ADMINISTRATION BUILDING
1 GREYS AVENUE, AUCKLAND

PRESENT: Councillor Richard Northey, ONZM Chairperson
  Councillor Douglas Armstrong, QSO Deputy Chairperson
  Mr Roy Tiffin  

  1. Top APOLOGIES

    That the apology from Councillor Goldsmith be accepted.

    CARRIED

  2. Top CONFIRMATION OF MINUTES

    That the minutes of the Audit and Risk Committee meeting held on Thursday, 9 April 2009 be confirmed as a true and correct record.

    CARRIED

  3. Top EXTRAORDINARY BUSINESS

    There was no extraordinary business.

  4. Top PUBLIC FORUM

    There were no requests to speak in public forum.

  5. Top RISK AND ASSURANCE UPDATE AND ACHIEVEMENTS AGAINST 2008/09 INDICATIVE WORK PROGRAMME AND OBJECTIVES

    That the Audit and Risk Committee notes:

    1. That Risk and Assurance completed a substantial and useful body of work over the 2008/09 year which, while dominated by high priority unscheduled probity requests, other advisory work and special reviews, included good progress on work in the ongoing development of risk management, ethics and internal control frameworks.
    2. That the high priority unscheduled work displaced much of the approved indicative work programme for this year, which, in turn, will require carrying over to the following year if still relevant and appropriate.
    3. That from the reviews Risk and Assurance has completed, the following observations, similar to those that have been made to the Audit and Risk Committee before, can be made:
      1. over the last two years, across the organisation generally, compliance has improved but monitoring is still required on a systematic basis
      2. to the best of our knowledge, most areas that have been reviewed are progressing satisfactorily
      3. in areas that have been found to be inadequate or unacceptable, progress is now being made and we will continue to monitor and report back to the Audit and Risk Committee.

    CARRIED

  6. Top REVIEW OF RISK AND ASSURANCE - YEAR ENDED 30 JUNE 2009

    That the Audit and Risk Committee notes that the Risk and Assurance group of Auckland City Council has:

    1. Met its responsibilities and obligations specified in the Risk and Assurance Charter and the objectives specified in the approved 2008/2009 Work Programme, which was appropriately planned, approved and implemented, subject to the fact that there was substantive and appropriate re-prioritisation of Assurance work during the year because of urgent enquiries, probity issues and investigations, and a lack of resources for Risk work.
    2. Complied with the standards included in the Auckland City Council Assurance Services Manual and generally accepted standards for risk and assurance functions.
    3. Provided an effective and efficient service, meeting the needs of its customers and adding value to the organisation.

    CARRIED

  7. Top PROGRESS AGAINST RISK AND ASSURANCE RECOMMENDATIONS

    That the Audit and Risk Committee notes:

    1. The indicative risk, significance/severity and progress against summary recommendations for each of the reviews (to 31 December 2008) that have been included in attachments 3 of this report.
    2. Overall, the organisation is progressing the Risk and Assurance recommendations satisfactorily and is continuing to make improvements as appropriate in the circumstances.

    CARRIED

  8. Top RISK AND ASSURANCE INDICATIVE WORK PROGRAMME FOR 2009/10

    1. That the Audit and Risk Committee notes:
      1. That this year the key driver for determining the work programme has been the environment of uncertainty and change that has been caused by:
        1. general economic conditions and the subsequent operating constraints, and
        2. the outcomes of the Royal Commission, Government decisions and subsequent Regional Governance initiatives which will lead up to the transition to the new Auckland Council and Local Boards, including interactions with, and responses to, the Auckland Transition Agency, Government, other Auckland Councils and the CEO of the new Auckland Council when in place, and
        3. the likely importance of risks and risk registers associated with the transition to the new Auckland Council and Local Boards.
      2. The summary of work programmes for the 6 years to 2010/11 and the indicative work programme for the 2009/10 year.
    2. That the Audit and Risk Committee approves the Risk and Assurance objectives for 2009/10 as set out in the attachment 2.

    CARRIED

  9. Top RISK MANAGEMENT UPDATE

    That the Audit and Risk Committee notes that, within the current environment of great change and uncertainty, which will impact progressively over a number of months and on an undefined timetable:

    1. The legislation work stream for regional governance is well defined, currently adequately resourced, although this may be an issue in the future, and that risk management for this area is satisfactory.
    2. The legislation work stream for changes to other legislation having a significant impact on local government, particularly the Ministerial Review of the Local Government Act, is less able to be defined but aspects of these proposals will probably prove important.
    3. A risk register is being developed in readiness for transition implications that, at this point, are not well defined with council currently having limited influence.
    4. Business as usual is well resourced at present and groups are managing their risks in the normal course of business.

    CARRIED

  10. Top EXCLUSION OF THE PUBLIC : LOCAL GOVERNMENT OFFICIAL INFORMATION AND MEETINGS ACT 1987

    1. That the public be excluded from the following part(s) of the proceedings of this meeting.

    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 follows.

    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 relevant part of the proceedings of the meeting in public, as follows:

    Item No. General subject of each matter to be considered Reason for passing this resolution in relation to each matter Particular interest(s) protected (where applicable) Ground(s) under section 48(1) for the passing of this resolution
    C1 Risk and Assurance Update and Achievements against 2008/09 Indicative Work Programme and Objectives Public conduct of matter would be likely to result in disclosure of information for which good reason to withhold exists under section 7. Section 7(2)(a)

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

    Section 7(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.

    Section 7(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.

    In particular, council needs to keep the information confidential to protect the privacy of individuals and of the ongoing information in order to enhance and promote a regime of continuous improvement.

    		 Section 48(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 Progress Against Risk and Assurance Recommendations Public conduct of matter would be likely to result in disclosure of information for which good reason to withhold exists under section 7. Section 7(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.

    Section 7(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.

    In particular, council needs to keep the information confidential to protect the privacy of individuals and of the ongoing information in order to enhance and promote a regime of continuous improvement.

    		 Section 48(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 Risk and Assurance Indicative Work Programme for 2009/10 Public conduct of matter would be likely to result in disclosure of information for which good reason to withhold exists under section 7. Section 7(2)(a)

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

    Section 7(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.

    Section 7(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.

    In particular, council needs to keep the information confidential to protect the privacy of individuals and of the ongoing information in order to enhance and promote a regime of continuous improvement.

    		 Section 48(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.

    1. That Bede Kearney and Simon Tran of Audit New Zealand be permitted to remain at this meeting after the public has been excluded for confidential items C1 to C3, because of their knowledge of the subjects which will be of assistance in relation to the discussion.

    CARRIED

    There being no further business the Chairperson declared the meeting closed at 3:42 pm.