Agenda of Audit Risk and Finance Committee

Audit Risk and Finance Committee item: 6.2

18 November 2024

TITLE:	Risk Management Activity Update
From:	Mandy Tepania, Audit and Assurance Lead
Authorised by Group Manager/s:	Bruce Howse, Pou Taumatua – Group Manager Corporate Services, on 06 November 2024

Whakarāpopototanga / Executive summary

The Risk management Activity Update report outlines the summary of Council’s progress in risk management related activities including Strategic and Operational.

Ngā mahi tūtohutia / Recommendation

That the report ‘Risk Management Activity Update’ by Mandy Tepania, Audit and Assurance Lead and dated 5 November 2024, be received.

Background/Tuhinga

Risk can be simply defined as “The effect of uncertainty on objectives”; Risk management is the assessment of this uncertainty, and encompasses both the likelihood of something happening, and the consequences or impacts if it were to happen, which can introduce both opportunity and hazards. Risk needs to be understood in order to make informed decisions.

Council uses tools to manage risk including a risk management framework, policy, and risk register which is maintained in council’s Process Manager (Promapp) risk module. Council maintains Strategic, Operational Groups, health and safety and project risk registers.

Strategic Risks:

Risks become strategic in nature (as opposed to operational) where the risk widely impacts the whole organisation. These risks are significant because they impact the ability of council to deliver against the Long-Term Plan (LTP). The LTP holds council accountable for their activities and long-term focus.

Operational Group Risks:

An operational risk presents a potential impact on council’s individual groups achieving their objectives. Operational group risks are identified and managed by group managers and their teams. Group risk must be regularly reviewed and reported as evidence of management.

Risk Management Matrix Evaluation Tool (to explain the ranking against each risk)

Likelihood	Consequence
Frequent (5)	5 Moderate	10 High	15 Extreme	20 Extreme	25 Extreme
Often (4)	4 Low	8 High	12 High	16 Extreme	20 Extreme
Likely (3)	3 Low	6 Moderate	9 High	12 High	15 Extreme
Possible (2)	2 Low	4 Low	6 Moderate	8 High	10 High
Rare (1)	1 Low	2 Low	3 Low	4 Low	5 Moderate

Likelihood

Consequence

Inconsequential (1)

Minor (2)

Moderate (3)

Major (4)

Severe (5)

Frequent (5)

Moderate

High

Extreme

Often (4)

Low

High

Extreme

Likely (3)

Low

Moderate

High

Extreme

Possible (2)

Low

Moderate

High

Rare (1)

Low

Moderate

Progress on risk management since the last meeting of the Audit, Risk and Finance Subcommittee includes:

1. The Strategic and Operational group risk registers have been refreshed following leadership review.

2. The risks and their treatment/controls (mitigation action/s) have been managed by staff through the Process Manager (Promapp) risk module. The monitoring of the strategic, corporate, operational and fraud, corruption and dishonesty risk registers is performed by the Corporate Strategy team monthly.

This report provides several summaries:

· Table 1 provides a brief overview on risks that have been updated/ added over the past month.

· Table 2 provides a table of high rated risks and above for Corporate/NRC Wide (Strategic) risks.

o Graph showing the strategic/corporate risk trend for 2024.

· Table 3 provides a table of high rated risks and above for Operational services

o Graph showing Operational risk trend for 2024.

· Deep Dive Schedule is summarised in Table 4.

· The Strategic/Corporate and Operational risk register for November 2024, pre-control (inherent) and post control (residual) is Attachment 1.

· Deep Dive Report – Management of data and information assets - Attachment 2.

· Deep Dive Report - Cyber Security Update – Attachment 3.

Table 1. Risks updated

Risk ID	Risk Title
R00080	Changes in legislation & central government policy impacting council’s resources, budgets and activities
	Updated Activity: Under review
Strategic Risk	There is a substantial reform programme in train but there are a lot of unknowns at this stage when it comes to how far the reforms will go and what will be required in terms of implementation. By the next Audit & Risk hui (next year) we will have more certainty around what the reforms are likely to entail, and we would have had the opportunity to better consider this risk and the associated controls we will put in place to manage the risk.
R00230	Climate Change Response
	Update Risk: For your information
Operational Risk	Risk trend remains steady. Mitigation and controls are in place or work in progress. New LTP resources will help to progress action items.
R00245	Failure to prepare for future local government review/reforms and its impacts
	Risk Update: Archived (include in Risk R00080)
Operational Risk	There is a risk that if council fails to adequately understand and/or prepare for the impact of the future of local government review and reforms then there will be adverse impacts on the organisation, reputation and potential negative impacts on community wellbeing.
R00094	Investment portfolio financial risk
	Risk Update: Trending â
Corporate Risk	Reduction in the likelihood of investment performance being impacted by a volatile market. Provisions have been made in preparation should there be a reduction. Residual rating has been decreased from Severe to Moderate (16 to 9)
R00270	Tāiki ē Strategic intent Te Tiriti Strategy and Implementation Plan
	Risk Update: Trending â
	Reduce risk factor relating to communication channels due to regular briefings with TTMAC, Co-Chairs and Te Raki councillors. Focus on Māori capability and capacity within council. Decreased the likelihood from Frequent to Often (15 to 12)
R00255	Economic Downturn
	Risk Update: Trending â
Corporate Risk	Economic downturn adversely impacting revenue sources. With a reduction in inflation and interest rates the risk identified here has reduced therefore the residual rating has been decreased from likely to possible (9 to 6)
R00256	Leasehold Property Remediation
	Risk Update: Information Update
Corporate Risk	Work continues now in Phase 2 – Notices have been extended from July to 27 November 2024 with work ongoing. Residual risk remains High (10)
R00271	Development and implementation of the Regional Pest Management Plan
	Risk Update: Trending â
Operational Risk	Decreased: The risk rating continues to fall with the plan nearly at completion and limited risk. Residual risk decreased from moderate to rare (2 to 1) Not showing on Table 3 as residual risk rating is well below high.
R00094	Investment portfolio financial risk
	Risk update: Trending â
Corporate Risk	Decreased due to the provisions made to cover any impact on investment Residual risk likelihood decreased from often to likely (12 to 9)
R00014	Cyber Security Attach
	Risk update: Trending â
Corporate Risk	Decreased as stated in the Deep Dive report attached due to additional controls as outlined in the security improvements roadmap including an incident response and recovery plan. Further reassessment in March 2025 to compliance with the NZISM standards through the ALGIM SAM for Compliance programme. Previous residual risk likelihood has a further reduction from Often to likely (16 to 12)
R00260	Lack of public knowledge – New rules relating to Marine Protected areas (Mimiwhangata and Rakaumangamanga)
	Risk Update: Trending â
Operational Risk	Communication continues to engage with the communities in promoting the rules surrounding Rāhui Tāpu marine protected areas - Mimiwhangata and Rakaumangamanga (Cape Brett) marine protected areas. Decreased residual risk likelihood Frequent to Often (15 to 12)

Table 1. Strategic /Corporate risks listed -rating high and above

	Extreme	High	Moderate	Low
Key –Residual rating	Extreme	High	Moderate	Low
Key – Trend	Increasing (I)	Decreasing (D)	New (N)	Static (S)

#	Risk Statement	Inherent Rating	Residual Rating	Trend
1 R00080	Changes in legislation and central government policy impacting council’s resources, budgets, and activities.	25	20	S ↔
Controls	Track central government proposals, policy and legislation; Council prepares and budgets for implementation of new policy; Process of engagement (budgets and feasibility of operations), Communication/workshop central government policies and plans; Ensure council processes, policies and plans are structured to be adaptable and responsive
2 R00252	Marsden Maritime Holdings (MMH) Investment – Capital raising risk	25	20	S ↔
Controls	Engage with MMH to signal sufficient lead in time for NRC responding to any capital raising; Commission independent financial expertise re undertake scenario modelling for capital raising options assessing impact on NRC’s financial strategy; Ensure NRC exerts control available to it over MMH as majority shareholder; Reserve any surplus funds at year end to compensate for reduction in dividend
3 R00258	Unintended marginalization of partners/stakeholders through council activities	25	16	S ↔
Controls	Te Tai Tokerau Māori and Council (TTMAC) Working party to ensure views of Māori are included in council functions; Ongoing collaboration with community working groups (Awanui River WG, Urban Whangārei WG, Kerikeri River WG etc 8 in total); Collaborative approach through joint committees, with implementation and planning
4 R00014	Cyber security attack	20	12	D â
Controls	Multiple layers of defences (perimeter & endpoint); Education programme; Modern detection applications in place; Network accounts with elevated permissions; Cyber Security Audit procedures; Security Risk Assessment and roadmaps; Current system releases/versions are maintained; Ongoing security roadmap actions/adjustments/reviews
5 R00221	Workload	20	15	S ↔
Controls	Analysis of workload issues; Resolve roadblocks as necessary; Consider impact on resources ($, people etc) work taken on aligns with LTP; Workloads improvement program and frameworks, e.g. streamlining P&C processes, improvement IT systems
6 R00239	Dealing with aggressive people – psychological harm	15	15	S ↔
Controls	Policy and Process for managing EAP/Staff counselling, Suspicious Activity, InReach Emergency Activation, Work Safely in the field planning, process for aggressive callers; Panic alarm and lockdown procedures; use of the Buddy System; Training available for all staff
7 R00256	Leasehold Property Remediation	16	10	S ↔
Controls	Follow legislative compliance and best practise in managing this risk.
8 R00012	Potential Non-compliance with Health and Safety at Work Act 2015	20	12	S ↔
Controls	Health & Safety Strategy project underway; H&S terms of reference established; H&S policy and procedures along with training; H&S hazard register; Monitor and reporting on incidents, trends to ELT, Audit & Risk
9 R00229	Management of data and information assets	16	12	S ↔
Controls	Project Plan development and monitored to manage data/information assets; Capability and knowledge to mitigate reliance on suppliers; Training programs and continued review/policy/procedure reviews; Work collaboratively testing environment developed programs; database backed up regularly; Robust test plans; Disaster management policy; security controls; Regular audits and reporting to monitor processes and governance
10 R00094	Investment Portfolio Financial Risk	15	9	D â
Controls	Mitigate by management-monthly account review, internal audit reporting, established operating cost reserve plan; active investment strategy; investment reviews by CEO and independent advisors, -
11 R00136	Capability and operational capacity to manage events and directives	20	12	S ↔
Controls	Succession plan in place reviewed annually; Processes & policy documented for staff to follow; Induction provided, a civil defence course available; regular exercises of emergency management skills; Learning and development is identified and completed for staff to maintain /increase capacity to perform; Recruitment process covering essential qualifications and competencies; Planning process including Long Term Planning and annual budgets to review structure and capacity of teams
12 R00015	Core IT applications/system are not designed and/or implemented to support all organisational processes, or applications will stop working	20	9	S ↔
Controls	IRIS next Gen Project; Ensure systems running current releases/versions; Alternative interim solutions considered and assessed based on critical needs; ensure participation in sector (SIG) activities and initiatives; Clear business case for new systems as required; additional workshops as required to complement planning processes and sufficient level of knowledge and background information
13 R00255	Economic Downturn	20	6	D â
Controls	With increased provision for doubtful debt; continued SIPO review for activities and what we are funding via rates
14 R00265	Consent Non-Compliance when completing work on behalf of NRC	15	9	S ↔
Controls	Legislation requirements (e.g. Consents) for project and contractors added to the templates to ensure staff complete whilst planning the work;
15 R00228	Policies and Protocols not clearly documented or followed	16	8	S ↔
Controls	Policy framework schedule: staff trained in finding and understanding policy and procedure requirements; Infrastructure in place (promapp, policy register, audits); Delegations manual; Contract management program, policy, procedures and training; Tendering policy & procedures; Current audit of all policy and procedures to ensure current and compliant

Graphics below provides Strategic/Corporate Trends reported 2024

R00014, R00255 and R00094 decreased - (Economic Downturn rated moderate no longer in the high category)

Risks rated high and above that did not change are showing as static for November (12)

Table 3. Operational risks listed (High risk ranking and above)

Key – Inherent rating	Extreme	High	Moderate	Low
Key –Residual rating	Extreme	High	Moderate	Low
Key – Trend	Increasing (I)	Decreasing (D)	New (N)	Static (S)

#	Risk Statement	Inherent Rating	Residual Rating	Trend
1: R00270	Tāiki ē Strategic intent Te Tiriti Strategy and Implementation Plan	25	12	D â
Controls	Regular meetings and briefings with the Chair and Te Raki councillors
2: R00257	Caulerpa – Threat to marine life, shellfish and marine diversity along Northlands coastline	25	25	S ↔
Controls	Awaiting advice from crown due to receive mid-August on program of action moving forward
3: R00267	Gold Clam Biosecurity Response	25	10	S ↔
Controls	Developed an eDNA surveillance programme for review; continuation of surveillance activities – determined by the direction of the nationally led response with funding availability from council
4: R00269	Continuation of PF2050 Funding	25	15	S ↔
Controls	Awaiting National PF2050 confirmation of future funding – discussions underway
5: R00268	Eradication of Deer from Northland	25	6	S ↔
Controls	First have secured a two year of co-funding from DOC to support the operational activities in Russell State Forrest. Further funding will be sort in 2025
6: R00260	Lack of public knowledge – New Rules relating to Marine Protected Areas (Mimiwhangata and Rakaumangamanga)	15	12	D â
Controls	Effective communication through signage and media program; monitoring plan is developed, implemented and maintained; Compliance measures are planned and resourced
7: R00131	Treaty Settlements	16	12	S ↔
Controls	Proactive council involvement in the Treaty Settlement process; Participation in cross-council initiative to better inform central government about costs of treaty settlement implementation; Resource the work and be ready for opportunities; Meet regularly with Ministers and Te Arawhiti Agency to stay informed.
8: R00230	Climate change response	20	12	S ↔
Controls	Risk trend remains static with all controls in place and being managed. Progress on climate change strategies will improve as new initiatives approved through the recent LTP come online.

Graphics below visualise Operational Risk Trends for 2024

R00270 and R00260 decreased and there were no new risks identified this quarter.

Risks rated high and above against the risk matrix that did not change are showing as static for November (6)

Deep Dives

The Corporate Strategy Team facilitates risk owners to provide deep dives into each risk in accordance with the following schedule (Table 4), initially focussing on the risk with the highest pre-controls risk rating or where specifically requested due to increasing risk ratings.

Table 4. Risk deep dive schedule.

#	Risks	February 2024	May 2024	August 2024	November 2024	February 2025		May 2025
7	Cyber Security Attack	√
12	Economic Downturn		√
14	Dealing with Aggressive People			√
9 4	Management of data and information assets Cyber Security Update				√ √
9	Use of Firearms						√
3	Gold Clam Biosecurity Response							√

Attachments/Ngā tapirihanga

Attachment 1: Strategic and Operational Risk Register November 2024 ⇩

Attachment 2: Deep Dive Report Management of Data and Information Assets ⇩

Attachment 3: Deep Dive Report Cyber Security Update ⇩

Audit Risk and Finance Committee item: 6.4

18 November 2024

TITLE:	Fraud, Corruption and Dishonesty Activity Update
From:	Mandy Tepania, Audit and Assurance Lead
Authorised by Group Manager/s:	Bruce Howse, Pou Taumatua – Group Manager Corporate Services, on 06 November 2024

Whakarāpopototanga / Executive summary

The Fraud, Corruption and Dishonesty Update report provides the current state and any updates since the last report.

Ngā mahi tūtohutia / Recommendation

That the report ‘Fraud, Corruption and Dishonesty Activity Update’ by Mandy Tepania, Audit and Assurance Lead and dated 5 November 2024, be received.

Background/Tuhinga

As a public sector organisation, the council is entrusted with ratepayer funds and its staff consultants, volunteers, contractors, and elected members are expected to maintain public trust by exhibiting the highest standards of integrity and honesty throughout all council’s activities.

Definition:

Fraud: Is an intentional and dishonest act involving deception or misrepresentation, to obtain or potentially obtain, an advantage for themselves or any other person/organisation.

Dishonesty: An act (or omission) undertaken without the belief that there is consent or authority for doing the act (or omission).

Corruption: Refers to a person in authority exploiting their position for personal gain (e.g., receive gifts or other benefits to perform part of an official function, or omitting to perform an official duty resulting in personal gain for another).

A policy provides guidance to staff for reporting dishonest behaviour to the Fraud Limitations Officer (FLO). The below procedure outlines the steps taken.

A diagram of a company

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This report provides several summaries:

· Chart below provides a quick view of the 12 Fraud, Corruption and Dishonesty Risks Inherent/Residual controls in Table 1.

· Fraud Corruption and Dishonesty Risk Register including treatments/controls in place as identified in Table 2.

· Risk Management Matrix Evaluation Tool (ranking) Inherent/Residual Table 3.

Table 1. Report showing all Fraud Corruption and Dishonesty Risks scores (Inherent/Residual)

Table 2. Fraud Corruption and Dishonesty Risk Register current rating and controls.

Risks below are identified in the risk register as ongoing risks with controls in place to manage and monitor any breach in behaviours. All risks on this register have been reported including a brief overview of the controls in place for each. Risk ratings are adjusted when a regular review identifies and requires a policy or process change be made to remove or limit chances of fraudulent, corrupt or dishonest behaviours.

Inherent Rating	Extreme	High	Moderate	Low
Residual Rating	Extreme	High	Moderate	Low

#	Risk Statement	Inherent Rating	Residual Rating
1: R00085	Data Loss through theft, unauthorized access, or distribution	9	6
Controls	Processes and policies in place, automatic PC screen lock, staff education, laptops for offsite work with security controls
2: R00112	Theft and inappropriate use of council assets	6	4 â
Controls	Vehicle inventory checks (current & sold), regular stock takes, lockable storage, disposal of assets by public auction, restricted and monitored access to building, user reporting (internet, cell phones) Treasury management policy monthly performance reporting, BP fuel reporting
3: R00117	Conflict of Interest	9	6
Controls	Staff annual declaration of interests, tendering process requires disclosure, segregation of duties, minutes of meetings declaration of any conflict of interest, employment application forms include questions.
4: R00115	Supplier Invoice Fraud	6	4
Controls	Delegation limits and authoristion process in place, dual signatory procedure to release payments, segregation of duties in payment process, monthly actual vs budget reporting and review
5: R00121	Bribery and inappropriate receipt of gifts & secondary employment	6	4
Controls	Gift register reported to independent member of Audit & Risk subcommittee, annual declaration of conflict of interest performed and report to CEO, external audit, employment contract in place for all staff, application form asks if they continue with any other employment and if there is any conflicts of interest before commencing with employment
6: R00106	Fraud Corruption and Dishonesty	10	5
Controls	Raise awareness through policy, provide fraud dishonesty and corruption training to staff including positions susceptible to such activities eg ELT, DLT, managers, business supports and staff, Misstatement of financial statements, maintain appropriate levels of insurance, investigate and implement any internal/external audit recommendations promptly, Policy and Procedures for reporting and investigating any items reported, Policy and Procedure regular review (e.g. Fraud, Dishonesty and corruption policy, Protected Disclosures Policy, Code of Conduct Policy)
7: R00118	Recruitment Fraud	6	4
Controls	Police checks for all new employees, checking qualification documents, completed application questionnaires are checked, psychometric testing where requested, credit checks perform on new employees where appropriate (e.g. finance)
8: R00119	Theft of Bus Service Revenue	6	4
Controls	Monthly reconciliations, restricted access, Internal audits
9: R00114	Timesheet and expense claim fraud	6	4
Controls	Monthly budget monitoring, authorisation process and workflow, police checks obtained where necessary, timesheets, sickness, other leave signed off by manager, internal audit where appropriate
10: R00120	Material misstatement of the financial statements	6	3
Controls	Internal/ external audits, segregation of duties and sign off processes
11: R00113	Payroll Fraud	3	2
Controls	Monthly budget monitoring, payment run audit reports reviewed and verified separately from payroll function, payment run variance report (compare previous to current and verify differences), segregation of duties payroll processing and authorisation process, data matching processes over bank account details, CAAT are performed annually, Review by HR/ELT of staff on payroll
12: R00116	Koha Fraud	3	2
Controls	Approval, receipting and confirmation process in place and reviewed and updated regularly

Table 3. Risk Management Matrix Evaluation Tool (to explain the ranking) Inherent/ Residual

Likelihood	Consequence
Frequent (5)	5 Moderate	10 High	15 Extreme	20 Extreme	25 Extreme
Often (4)	4 Low	8 High	12 High	16 Extreme	20 Extreme
Likely (3)	3 Low	6 Moderate	9 High	12 High	15 Extreme
Possible (2)	2 Low	4 Low	6 Moderate	8 High	10 High
Rare (1)	1 Low	2 Low	3 Low	4 Low	5 Moderate

Likelihood

Consequence

Inconsequential (1)

Minor (2)

Moderate (3)

Major (4)

Severe (5)

Frequent (5)

Moderate

High

Extreme

Often (4)

Low

High

Extreme

Likely (3)

Low

Moderate

High

Extreme

Possible (2)

Low

Moderate

High

Rare (1)

Low

Moderate

Fraud Limitations Officer updates:

· An investigation is underway concerning a potential breach of the contract management policy and a related conflict of interest reporting issue.  Once the investigation is complete the findings will be reported to the CEO.

· An Internal Process error resulted in confidential information being accessed by a member of staff. The staff member reported the access immediately, and additional system security was applied to prevent any repeat of this occurring.

· #R000112 – Theft and inappropriate use of council assets – residual risk rating was reduced this quarter. NRC provided Fraud Corruption and Dishonesty online training to all staff plus communication relating to missing items was provided on the Aotahi platform. This ensured staff were aware of the current environment and to be more vigilant in the workplace.

Attachments/Ngā tapirihanga

Attachment 1: Fraud Corruption and Dishonesty Risk Register Nov 2024 ⇩

Audit Risk and Finance Committee item: 6.5

18 November 2024

TITLE:	Health and Safety report for first quarter of 2024-25 financial year
From:	Tamsin Sutherland, Health and Safety Advisor and Beryl Steele, Human Resources Manager
Authorised by Group Manager/s:	Bruce Howse, Pou Taumatua – Group Manager Corporate Services, on 06 November 2024

Whakarāpopototanga / Executive summary

This report is to inform the council of the activity in Health and Safety for the period July - September 2024.

An overview/summary of the report includes:

· A summary of the events, investigations and outcomes that have occurred in this period.

· Overall number of incidents/hazards has declined this quarter, this is common after successful implementation of an improved reporting system as staff revert to under reporting.

· Health and safety training has continued to be a priority in this period.

· A new health and safety management system started a phased implementation on 7 October.

Ngā mahi tūtohutia / Recommendation

That the report ‘Health and Safety report for first quarter of 2024-25 financial year’ by Tamsin Sutherland, Health and Safety Advisor and Beryl Steele, Human Resources Manager and dated 5 November 2024, be received.

Background/Tuhinga

1. Health and safety performance

A summary of the health and safety performance for the period July to September 2024 is show in Table 1 below:

· A “pre-application” audit has been carried out for Union East Street, prior to applying for a Location Compliance Certificate. Remedial work was identified by the audit and steps are being undertaken to ensure the site meets requirements, before formal assessment – scheduled for mid-November.

· The programme of policy review and process update is ongoing.

· A “Health and safety implementation plan” has been provided to Ministry for Primary Industries and discussed with them. MPI requested a statement on progress in health and safety, in order to satisfy themselves that good progress is being made in terms of achieving and maintaining compliance. This is part of MPI’s due diligence in funding project work through Councils, and relates to wilding pine, deer eradication, gold clam response and Caulerpa projects at Council.

· Health and safety training undertaken in this period includes first aid, 4WD skills, dog safety and a new Defensive Driver course, which has been very well received by staff.

· Incident reporting has fallen in this quarter, some of this will be due to less field work in the winter season. It is very common following the successful implementation of an improved reporting system that incident report numbers rebound down after a period of improvement.

· A new software system for Health and Safety was launched on 7 October, training has been running to upskill staff in this system.

· Staff engagement in health and safety was strong during the nomination and election process for new Health and Safety Reps. A record number of nominations were received for Reps from diverse work groups. This has resulted in a better spread of Reps across Council teams. The number of nominations for the Health and Safety Committee roles triggered an election, for the first time. We now have a Committee including all Council Groups and 26 Health and Safety Reps, which ensures all offices and groups have representation.

2. Risk Management

The critical risks identified included 12 critical risks staff face. The ‘fatigue’ hazard has been updated to reflect a broader spectrum of risks, referred to as ‘psychosocial risk’. Psychosocial hazards can be defined as:

The design and management of work and its social organisational context that may have the potential for causing mental or physical harm. – WorkSafe NZ

This includes harm from bullying, poorly organised work, or fatigue.

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Table 1: Health and safety performance lead and lag indicators July 2024 to September 2024

The programme of deep dive reviews by ELT members of the critical risks continues, and has included a review of helicopters, firearms, and lone & remote working in the past quarter.

Health monitoring was overdue for some staff and is in progress at the time of writing. Where Council exposes staff to situations that may affect their health, such as noise or chemical sprays, there is an obligation to monitor any health impacts from this exposure. Health and safety are working with managers to ensure that the correct health monitoring tests are administered to the right staff at the correct frequency. This has been difficult information for H&S and managers to track in Enterprise/Infor. It is anticipated that this will be managed in Safety Champion by April 2025.

The storage of hazardous substances has not been compliant with requirements in NRC’s Whangārei premises. Each team has held a compliant inventory of hazardous substances for their team. However, these have not been considered holistically, for either total volumes held or compatibility requirements. Reviewing the sum of all the inventories identified that both Water Street and Union East Street required Location Compliance Certificates. The storage of bulk materials has been moved to Union East Street, ensuring that Water Street does not require a Certificate. At Union East Street the addition of a waste container wash facility, two hazardous chemical containers, for flammable and corrosive materials has upgraded the storage. Staff induction to the safe working practices and emergency arrangements are being carried out, before the Location Compliance Certificate assessment is booked.

The Harmful Communications Policy has been adopted, to provide staff with more clarity on terminating visits and conversations where members of the public become abusive. Guidance is now available on the NRC website for the public regarding NRC expectations. Further guidance is in final draft on the use of body cams during site visits. We hope the use of body cameras will deter aggressive behaviour towards Council staff.

Health and safety have been working closely with the Nursery and the Tsunami Siren install project to ensure contractor management is effective.

Safety Champion launched on 7 October. This is bespoke health and safety software. The adoption of Enterprise/Infor created barriers to reporting incidents, and the system is very challenging to report/oversee training and health monitoring information. As a short term improvement, an alternative system was adopted for incident reporting, which was well received. Safety Champion has a staged launch, initially an incident reporting module. Before the end of 2024, the chemicals inventory will be held within Safety Champion. Over the next 6 months, this will also be used to hold the health and safety hazard register and the training and health records for health and safety. This will help managers track competency and health monitoring status for staff.

The NRC GIS team have submitted an application for the ALGIM national awards based on the recommendation from the health and safety Auditor. The Before You Go and Take 5 safety system for field staff, developed by NRC staff, was commended by the auditor as market leading.

3. Injuries, incident and hazards

The most frequent incident type for the July-September 2024 quarter was vehicle overspeed reports. Although the most frequent incident for the quarter, the number of these incidents is significantly lower than it was prior to the implementation of speed management reporting in February 2023. The number of contractor incident reports has risen as contract managers stress the importance of reporting incidents to NRC, however, this still represents very significant under reporting.

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Figure 1: Health and safety event reports categorised by type for the July to September 2024 quarter – note vehicle incidents include near misses whilst driving

Workstation assessment training for NRC staff has provided an internal resource to carry out workstation assessments. These assessments have identified a number of workstations where staff work in discomfort. As these are identified more appropriate equipment is provided to ensure staff do not developing ergonomic injuries.

4. Events reported

55 incidents were reported in this quarter, this is a significant drop in reporting compared to the previous 12 months.

17 overspeed events were identified in ERoad for this period, plus two speeding tickets. NRC vehicles travel in excess of 100,000kms per month. The number of incidents recorded represents an average of 1 speeding event per 20,666 kms driven this quarter. This compares to an average of 1 event per 29,603 kms driven over the past 12 months, an overall downward trend, but a disappointing quarter.

5. Events of interest

Note: the events of interest only detail high risk events, or events which affect large groups of people.

The following events are events of interest from the quarter July to September 2024:

Contractor incidents:

· A firearms incident was reported by a contractor, a parked, branded vehicle was damaged whilst the contractor was away from the vehicle, carrying out work for NRC. The reporting to the Contract Manager was immediate, and work was halted while the threat was assessed. A new safe system of work has been developed between council and contractor and implemented before the work re-started. Police have been involved in the incident investigation.

· Severe allergic reaction in a field worker to previously unknown trigger.

· Building re-development incidents include the discovery of an unknown site of buried asbestos during digging works, and a property damage incident, both of which were reported promptly.

NRC incidents:

· Member of staff had to take evasive action to avoid collision with aggressive driver, was then chased by the other driver and verbally abused when they stopped the vehicle.

6. H&S Strategy work programme

Due to delays in the customisation build of Safety Champion, the health and safety team are behind the planned progress for implementation in some areas of the H&S Strategy. These delays include:

· Tracking staff training for competency components.

· Reporting health and safety information.

· Short term administrative support for the H&S team during the transition to Safety Champion has been advertised on a fixed term basis. This will minimise the impact of the transition on staff resourcing.

7. Legislation updates

There are no legislative changes to note since the last report.

Case law developments in health and safety provide some clarity regarding the interpretation of the Act. A case regarding liability for named executives under the Health and Safety at Work Act is currently before the courts. This has the potential to impact all employers.

A test case of the application of the Proceeds of Crime Act to health and safety offences has been successfully taken to the High Court by the police. A business owner has forfeited profits from operating in repeated, knowing contravention of health and safety requirements, which resulted in a fatality.

In a recent decision, a Health and Safety Advisor (consultant) was found guilty of offences under the Health and Safety at Work Act. A member of staff suffered life changing injuries in a vehicle incident. The situation had been flagged as a significant concern by the Advisor during a site visit, but he did not take action to remedy the issue. Being aware of an issue, but not resolving it, was the basis of the legal action.

Attachments/Ngā tapirihanga

Nil

Audit Risk and Finance Committee item: 6.6

18 November 2024

TITLE:	Regulatory Services Quarterly Report
From:	Colin Dall, Pou Whakaritenga - Group Manager Regulatory Services
Authorised by Group Manager/s:	Colin Dall, Pou Whakaritenga - Group Manager Regulatory Services, on 07 November 2024

Whakarāpopototanga / Executive summary

This report covers the council’s consent processing and compliance monitoring functions/activities for the period 1 July to 30 September 2024. A separate report on formal enforcement activities is included in the Confidential section of this committee agenda.

The following is a high-level summary of our consent application processing and compliance monitoring functions/activities during the reporting period:

Consents

Metric	July 2024	August 2024	September 2024	Total
Applications received¹	35	32	32	99
Decisions issued²	22	29	20	71
Outside timeframes	0	0	0	0
Hearings	0	0	0	5³
Objections/appeals	0	0	0	4⁴

1 An application may include multiple activities which individually require a resource consent.

2 The number of decisions issued is based on the total number of activities that required a resource consent.

3 Two of the five hearings started in the previous financial year but finished in the current financial year.

4 There is also an appeal that had not been resolved that was lodged prior to 1 July 2023.

Of the applications in progress at the end of September 2024, 34 were received more than 12 months ago (two less than the previous reporting period).

Compliance Monitoring Events

Classification	Total	Full Compliance	Low Risk Non-compliance	Moderate Non-compliance	Significant Non- compliance	Not Exercised during Period
Air Discharge	56	55	0	0	0	1
Bore Consent	9	5	3	0	0	1
Coastal Discharge	58	43	5	10	0	0
Coastal Permit	118	87	22	4	0	5
FDE Discharge Permit	239	182	0	36	19	2
FDE Permitted activity	81	71	0	5	5	0
Land Discharge	210	155	25	22	0	8
Land Use Consent	201	184	7	3	0	7
NES-CF	140	112	17	10	1	0
Water Discharge	167	99	24	35	7	2
Water Permit	106	104	2	0	0	1
Water Take	471	375	68	27	0	1
Period Total	1856	1472	173	152	32	27
Percentage		79.3	9.3	8.2	1.7	1.5
2023/24 Total	5354	3872	569	488	68	366
Percentage		72.3	10.5	9.1	1.3	6.8

Environmental Incidents

A total of 297 environmental incidents were recorded and investigated in the reporting period (141 in July, 79 in August and 77 in September). The following graph compares the number of environment incidents investigated for each main incident category with the mean (average) number of incidents investigated for the same category and reporting period for the previous 10-year period. The colour coding for the incidents investigated in the current reporting period gives the assessed scale of adverse effects of the incident.

A graph of a number of people

Description automatically generated with medium confidence

Ngā mahi tūtohutia / Recommendation

That the report ‘Regulatory Services Quarterly Report ’ by Colin Dall, Pou Whakaritenga - Group Manager Regulatory Services and dated 31 October 2024, be received.

Background/Tuhinga

Compliance ratings specified in this report are those recommended by the Ministry for the Environment’s “Best Practice Guidelines for Compliance, Monitoring and Enforcement under the Resource Management Act 1991” (2018):

	Compliance grade
	FULL COMPLIANCE with all relevant consent conditions, plan rules, regulations, and national environmental standards.
	LOW RISK NON-COMPLIANCE. Compliance with most of the relevant consent conditions, plan rules, regulations, and national environmental standards. Non-compliance carries a low risk of adverse environmental effects or is technical in nature (e.g. failure to submit a monitoring report).
	MODERATE NON-COMPLIANCE. Non-compliance with some of the relevant consent conditions, plan rules, regulations, and national environmental standards, where there are some environmental consequences and/or there is a moderate risk of adverse environmental effects.
	SIGNIFICANT NON-COMPLIANCE. Non-compliance with many of the relevant consent conditions, plan rules, regulations, and national environmental standards, where there are significant environmental consequences and/or a high risk of adverse environmental effects.

Table 1: Applications Received 1 July to 30 September 2024

IRIS ID	Consents Required	Received Date	Applicant	Description
APP.004111.01	3	1/07/2024	Far North District Council	To discharge treated wastewater to the Waitangi Wetlands within the Waitangi Forest (near Skyline Road) on Lot 1 DP 137183, at or about location co-ordinates 1690245E 6099451N.
APP.012944.01	1	1/07/2024	Carpenter Investments Limited	Replacement consents for a marine farm in coastal marine area at Waikare Inlet, Bay of Islands (ex-lease #124).
APP.012995.01	1	1/07/2024	Carpenter Investments Limited	Replacement consents for a marine farm in Waikare Inlet, Bay of Islands (ex-lease #345).
APP.045921.01	1	1/07/2024	Mr J Dickson	Unconsented boat ramp in coastal marine area adjacent to Haven Close, Ngunguru.
APP.045940.01	1	1/07/2024	Northland Regional Council	Two Temporary swing moorings for Caulerpa control in coastal marine area in Omakiwi Cove, Bay of Islands.
APP.045954.01	1	1/07/2024	A R McPherson	Place a swing mooring in the coastal marine area at location co-ordinates 1720653E 6088004N in Wharf Road Mooring Zone, Whangaruru.
APP.045962.01	3	4/07/2024	Oceans Resort Body Corporate 349622	Existing bore for commercial use at Marlin Place, Tutukaka.
APP.034765.01	2	5/07/2024	Te Puna Inlet Oysters (2019) Limited	Replacement consents for a pile mooring and discharge from oyster washing facility at Opete Creek, Bay of Islands.
APP.037637.02	1	5/07/2024	Marsden Maritime Holdings Limited	Replace consent for discharges from a boat maintenance facility at Marsden Cove Marina (Marsden Point).
APP.045963.01	3	5/07/2024	Te Hau Ora O Ngapuhi Limited	Earthworks for site development for 90 residential units at Bisset Road and Rimu Place, Kaikohe.
APP.045964.01	3	5/07/2024	N L Mirtle & D A Leslie	Earthworks near wetland and domestic on-site wastewater discharge at Tauranga Bay Beach Road, Tauranga Bay.
APP.045965.01	3	8/07/2024	Quixotic Trustee Limited	Bore construction at Paroa Bay Road, Russell.
APP.045932.01	1	9/07/2024	Far North District Council	Two temporary bridges in coastal marine area on Hihi Road, Hihi.
APP.045970.01	1	10/07/2024	Kainga Ora - Homes and Communities	Discharge to land for remediation of contaminated land at 4-6 Wilkinson Avenue, Te Kamo, Whangārei.
APP.045971.01	1	11/07/2024	Jackson Hikurangi Limited	Earthworks for residential subdivision at 54 and 56A George Street, Hikurangi.
APP.041517.01	2	12/07/2024	Minargo Trust	Replacement consents for a pontoon and increase in dredge area; new consent for a permanent vessel berth in Opete Creek, Purerua Peninsular (Rangihoua Road).
APP.045972.01	3	15/07/2024	M A Masters	Bore construction at Unahi Road, Karikari Peninsula, Awanui.
APP.045973.01	3	15/07/2024	J Mortensen	Bore construction at Puketī Road, Ōkaihau.
APP.045974.01	3	16/07/2024	C & J Wood	Earthworks in flood zone at Grey Heron Close, Mangawhai Heads, Mangawhai.
APP.045976.01	3	16/07/2024	D L O'Leary & R N Brockbank	Bore construction at Sulenta Loop Road, Waipapakauri.
APP.045977.01	3	16/07/2024	Logan King Trust	Bore construction at Lot 1,DP 140708 Gill Road, Awanui.
APP.045978.01	3	17/07/2024	E J Turner	Bore construction at 10 Brooks Road, Braigh.
APP.045979.01	2	17/07/2024	Utakura 7 incorporation	Wastewater discharges for papakainga development of ten houses at Horeke Road, Horeke
APP.045980.01	3	18/07/2024	The Esplanade Residential Limited	Earthworks and associated activities for a subdivision at Beacondale Place, Te Kamo, Whangārei.
APP.045981.01	2	19/07/2024	W & T McCarthy Family Trust & McCarthyforde Trustees Limited	Discharge domestic wastewater at Aucks Road, Okiato, Russell.
APP.045983.01	3	19/07/2024	Ketenikau Developments Limited	Subdivision works at 29 Ketenikau Road, Whangārei.
APP.031351.01	4	22/07/2024	Waipapa Pine Limited	Replace existing air discharge consent and new activities for a timber processing plant at State Highway 10, Waipapa.
APP.045987.01	1	22/07/2024	Kingheim Limited	Earthworks for rock revetment wall outside coastal marine area at Gillies Avenue, Karikari Peninsula.
APP.045989.01	1	23/07/2024	Projects HB Limited	Discharge to land from a lifestyle village at Peter Snell Road, Ruakākā.
APP.041986.01 s125	1	25/07/2024	Agrotrust Limited	Take water from an unnamed tributary of the Waikopiro Stream for the purpose of filling a dam reservoir associated with the development of an orchard at State Highway 1, Pākaraka.
APP.045990.01	2	25/07/2024	Upson Downs Limited	Sediment discharge at Te Maire Road, Te Kopuru.
APP.045991.01	1	26/07/2024	Top Energy Limited	To place an underground cable in the coastal marine area at Ōmanaia River.
APP.040907.01	1	29/07/2024	Oranga Kai Limited Partnership	Replacement consent for a short term groundwater take for the purposes of frost protection and horticultural irrigation of fifteen hectares of avocado trees at Mangakāhia Road, Kaikohe.
APP.045996.01	3	29/07/2024	Sands Road (Whangarei) LP	Reconsent for Stages 3, 4, and 5 subdivision earthworks at Sands Road, Glenbervie.
APP.043217.01	1	30/07/2024	Fonterra Limited	Emergency take water from a reservoir for milk processing purposes at the Kauri Dairy Factory and Maungaturoto Dairy Factory.
APP.045999.01	3	1/08/2024	Institute of Geological & Nuclear Sciences Limited	Four exploratory bores at Ahipara for Aqua Intel Aotearoa, Te Hiku Water Study.
APP.046000.01	3	1/08/2024	A F Abercrombie	Site development works to construct a modular house factory at State Highway 10, Puketona.
APP.046001.01	3	1/08/2024	P L Lulich Limited	Bore construction at Island Road, Turiwiri, Dargaville.
APP.031467.01	3	2/08/2024	Southern Skies Trust & M V & L J Evans	Construct a replacement seawall and renew consent for jetty at Far North Road, Pukenui.
APP.037645.01	1	2/08/2024	J C & E de Wolf Trustee Company Limited	Replacement consent to discharge treated wastewater to land at Waipapa Road, Kerikeri.
APP.044420.04	3	5/08/2024	Allim Limited	Section 127 change to earthworks for site development at Pīpīwai Road, Ngāraratunua.
APP.046009.01	1	5/08/2024	Te Aupouri Commercial Development Limited	Earthworks and wastewater system for a papakāinga development at Lamb Road, Pukenui.
APP.013001.01	1	6/08/2024	S H R & T M Murray	Replacement consents for a marine farm in Pārengarenga Harbour (ex-lease #357).
APP.046013.01	1	6/08/2024	Main Road Properties Limited	Discharges associated with a wastewater system for a manufacturing facility at State Highway 12, Maungaturoto.
APP.046016.01	1	6/08/2024	Gemscott Falls Limited	Remediation of contaminated land at Ngunguru Road, Tikipunga.
APP.045969.01	1	7/08/2024	Coastguard Whangaroa Inc	Pontoon and associated activities in the coastal marine area adjacent to Whangaroa Marina in Whangaroa Harbour.
APP.046017.01	1	7/08/2024	Z Energy Limited	Discharge stormwater to land from a petrol station (from potentially contaminated land) at State Highway 10, Taipā.
APP.046018.01	2	8/08/2024	A L R & T D Lugtigheid	Discharges associated with a sileage storage area at Mititai Road, Ōkahu.
APP.039332.01 s125	1	9/08/2024	LJ King Limited	Extension to lapse date for a groundwater take for horticultural use at Far North Road, Kaitāia.
APP.046030.01	2	9/08/2024	G & D-M Trask	Domestic discharge to land at Motel Road, Tutukaka.
APP.046031.01	3	13/08/2024	Matatina Marae Trust	Earthworks and associated activities for a proposed papakāinga at Nathans Road (private) Waipoua Settlement.
APP.038513.01 s125	1	16/08/2024	Te Runanga o Ngai Takoto	Take groundwater for irrigation at Kaimaumau.
APP.046032.01	1	16/08/2024	ForestryCo Limited	Installation of a debris trap in Waipahihi Creek, in Pumanawa Forest at Tauranga Bay Road, Kaeo.
APP.046034.01	1	20/08/2024	Ritchies Transport Holdings Limited	Remediation of potentially contaminated land at State Highway 1, Kaiwaka.
APP.012886.01	1	21/08/2024	M J & J M Fleming	Oyster farm lease No. 14 at Waitapu Bay Whangaroa Harbour.
APP.012921.01	1	21/08/2024	M J & J M Fleming	Replacement consents for marine farm in Waipatu Bay, Whangaroa Harbour (ex-lease #57).
APP.008857.01	1	22/08/2024	M I Armstrong & P A Harris	Take groundwater for irrigation at Mangonui.
APP.046046.01	1	23/08/2024	Far North District Council	Earthworks and associated activities within 10 metres of a wetland to install and operate stormwater network infrastructure at Marreine Place, Tokerau Beach.
APP.013576.01	1	26/08/2024	Mt Farms Pahi Limited	Replacement consent inclusive of a change in species and methodology for a marine farm in the Kirikiri Inlet, Kaipara Harbour (ex-lease #277).
APP.046047.01	1	26/08/2024	J Dunn	Effluent discharge from two industrial and two residential units to land at Wiroa Road, Kerikeri.
APP.045568.01	1	28/08/2024	KDC	Place, use and occupy space in the coastal marine area with a tidal gate structures in Awarua River, Rūāwai.
APP.006148.02 s125	1	29/08/2024	C D Tompkins	Alter a boat shed in the coastal marine area adjacent to Riverside Drive, Whangārei.
APP.046053.01	3	29/08/2024	D P Holy	Bore construction at Purerua Road, Te Tii.
APP.042456.01	3	30/08/2024	Tararua Wind Power Limited	Section 127 change to project envelope in two locations – Earthworks for the construction of a wind farm and site access at Maitahi Road, Mamaranui.
APP.043510.01	3	30/08/2024	Neil Construction Limited	Earthworks for the development of a residential subdivision at Kāpiro Road, Kerikeri.
APP.046058.01	4	30/08/2024	P.A.G. Trustees KMR Limited	Discharge from two existing silage pads and one new standoff area at State Highway 12, Rūāwai.
APP.046061.01	1	30/08/2024	Mangawhai Hills Limited	Earthworks for subdivision development at Cove Road, Mangawhai.
APP.046063.01	1	3/09/2024	Heron Point Limited	Site development works for a 17 lot subdivision at Hihitahi Rise, Paihia.
APP.041130.01 s125	1	4/09/2024	Hira Estates Limited	Discharge secondary treated wastewater to land for a commercial building at Freyburg Road, Rūāwai.
APP.046069.01	3	4/09/2024	Institute of Geological & Nuclear Sciences Limited	Construction of two monitoring bores at Ari Ari Road, Poutō Peninsula.
APP.046075.01	3	6/09/2024	Greenstar Properties (NZ) Limited	Site development works at Reservoir Rise, Whangārei.
APP.046083.01	1	10/09/2024	Summit Forests New Zealand Limited	Earthworks for forest roads and skids for harvest operations at Dutton Road, Peria.
APP.005055.02	1	11/09/2024	Northport Limited	Replacement consents for dredging of the Turning Basin and associated activities at Marsden Point, Whangārei Harbour.
APP.046049.01	1	11/09/2024	A Misecue	Swing mooring in Wharf Road Mooring Zone, Whangaruru Harbour.
APP.046086.01	3	11/09/2024	D P Holy	Bore for domestic and stock use at Purerua Road, Te Tii.
APP.046087.01	1	11/09/2024	R & J Hilton-Jones	Domestic discharge to land at Landowners Lane, Tutukaka
APP.046092.01	1	11/09/2024	A Trevelyan	Site development works at Kauri Grove, Mangawhai.
APP.046103.01	3	12/09/2024	G Henwood	Bore construction for domestic use at State Highway 10, Mangonui.
APP.037936.01	2	13/09/2024	P J & K A Thornton	Discharge secondary treated wastewater to land Manawaora Road, Russell.
APP.046104.01	2	13/09/2024	A B Allen & E Hunt	Domestic discharge at Waiotoi Road, Ngunguru (replacement of expired consent AUT.029105.01.01).
APP.046105.01	1	16/09/2024	J A Roberts	MM4 swing mooring at Te Uenga Bay, Bay of Islands.
APP.046106.01	1	16/09/2024	Carrington Farms Jade LP	Bore construction for domestic, stock and community water supply at Matai Bay Road, Kaitāia.
APP.046107.01	3	16/09/2024	Firth Industries Limited	Bore construction at Moir Point Road, Mangawhai Heads.
APP.046108.01	1	16/09/2024	Tararua Wind Power Limited	New transmission lines between the wind farm and sub-station at Kaiwaikawe Wind Farm – Grey Street, Awakino Road, and Parore West Road, Dargaville.
APP.045525.01	1	17/09/2024	P J Thornton	Swing mooring 4248 – Waipohutukawa Bay, Bay of Islands.
APP.045540.01	1	17/09/2024	P Dingley	Bay of Islands - Parorenui Bay.
APP.045548.01	1	17/09/2024	B Dee	Bay of Islands - Pareanui Bay.
APP.045549.01	1	17/09/2024	J Dee	Bay of Islands - Pareanui Bay, Russell. Temporary consented swing mooring due to CAN (no anchoring) in place for Caulerpa in Te Uenga Bay.
APP.046112.01	1	17/09/2024	J W & M J Dadson	Section 125 extension to lapse date to install a bore to access water for domestic and stock use on that property at Mataraua Road, Kaikohe.
APP.046113.01	1	17/09/2024	Northland Regional Council	Take water from Lake Taharoa for biosecurity purposes at Kai Iwi Lakes.
APP.046114.01	4	17/09/2024	Paparoa Gospel Hall Trust	Earthworks for site development for the construction of a church within a flood hazard area at 70 and 136 Franklin Road, Paparoa.
APP.046115.01	3	17/09/2024	Meridian Energy Limited	Install five bores (Piezometer Installation) at Site 1: 626 Port Marsden Highway, Ruakākā and Site 3: 445 Marsden Point Road, Ruakākā.
APP.046120.01	1	19/09/2024	Ngati Manawa Marae Trustees	Discharge wastewater to land from a wharekai at West Coast Road, Panguru.
APP.046033.01	1	20/09/2024	Robinia Investments Limited	Jetty and floating pontoon in the coastal marine area at Russell Whakapara Road, Russell.
APP.046122.01	1	20/09/2024	G & L Howell	Domestic discharge at Christie Close, Pātaua North.
APP.046126.01	1	23/09/2024	Parihaka Marae Trustees	Discharge wastewater at Parihaka Marae, Te Iringa Road, Kaikohe.
APP.046128.01	1	24/09/2024	Shepherd Property Development Limited	Earthworks and stormwater conversion for a subdivision at 19 Cemetery Road, Maunu, Whangārei.
APP.046129.01	2	24/09/2024	Bidfood Limited - Auckland Food Service North	Discharge of wastewater for a distribution centre at 15-19 Kahikatearoa Lane, Waipapa.
APP.046130.01	1	25/09/2024	WSP New Zealand Limited	Earthworks within a flood hazard area for carpark upgrade at corner of Alamar Crescent and Olsen Avenue, Mangawhai Heads.

Table 2: Consents Decisions Issued 1 July to 30 September 2024

IRIS ID	Consents Required	Description	Issue Date
AUT.003953.01.03	2	Kaipara Kumara Ltd - Discharge wash water and take water from a bore for kumara washing purposes at Reeves Street, Rūāwai.	1/07/2024
AUT.004732.01.05	1	Sayang Limited - Take water for irrigation at Waimatenui Road, Kaikohe.	2/07/2024
AUT.007046.05.01	5	Golden Bay Cement - Earthworks for quarry expansion at Boundary Road, Hikurangi.	2/07/2024
AUT.042489.01.02	1	BP Oil NZ Ltd - Discharge vehicle wash water to land at State Highway 10, Waipapa.	2/07/2024
AUT.015967.01.04	2	Cavalli Properties Ltd - Discharge for communal wastewater system at Matauri Bay.	3/07/2024
AUT.041876.01.02	1	Rosyth Farm Ltd - Surface water take for a dairy shed at Rosyth Road, Waipū.	3/07/2024
AUT.045270.01.01	7	EB Developments Ltd - Divert stormwater for within stormwater network at Tāmure Place, Ruakākā.	5/07/2024
AUT.009495.01.03	1	Taipa Water Supply Ltd - Take for irrigation and public water supply, Ōruru River.	9/07/2024
AUT.045926.01.01	5	Far North District Council - Reconstruct bridge in the coastal marine area in Whangae River, Ōpua.	15/07/2024
AUT.045938.01.01	3	Condon - Bore construction at Babylon Coast Road, Ōmāmari, Dargaville.	15/07/2024
AUT.045639.01.01	6	North Views, Harris & Armstrong - Concrete channel in the tributary of Kanekane Stream Wrathall Road, Mangonui.	18/07/2024
AUT.045900.01.01	1	PF Olsen Ltd - Afforestation or red zone land at Pukepuke Road, Kaeo (NES-PF).	19/07/2024
AUT.044499.01.01	4	Maria - Divert flood waters in flood zone for subdivision works at Packard Road and Ōruru Road, Taipā.	22/07/2024
AUT.045885.01.01	2	West - Discharge domestic wastewater to land at Whangaumu Street, Tutukaka.	23/07/2024
AUT.033128.02.01	1	Bradford - Relocated Non MM4 swing mooring 888 in the coastal marine area in Pomare Bay, Bay of Islands.	24/07/2024
AUT.045939.01.01	1	Far North District Council - Temp groundwater take for dewatering for Baffin Street, Ōpua pump station upgrade.	24/07/2024
AUT.045954.01.01	1	McPherson - Swing mooring in the coastal marine area in Wharf Road Mooring Zone, Whangaruru.	25/07/2024
AUT.016288.01.03	1	Full JAARS Trust and The Seaview Trust - Jetty in the coastal marine area in Kerikeri Inlet, Bay of Islands.	29/07/2024
AUT.045921.01.01	1	Dickson - Boat ramp in the coastal marine area adjacent to Haven Close, Ngunguru.	29/07/2024
AUT.045940.01.01	2	Northland Regional Council - Non MM4 temporary swing mooring 4264 in the coastal marine area in Omakiwi Cove, Bay of Islands.	29/07/2024
AUT.009466.01.04	1	Harrison Holdings & Investments Ltd - Abrasive blasting operation at North Road, Kaitāia.	31/07/2024
AUT.045962.01.01	3	Oceans Body Corporate 349622 - Bore at 33 Marlin Place, Tutukaka.	31/07/2024
AUT.045945.01.01	2	Moore - Discharge domestic wastewater at Tutukaka Block Road, Tutukaka.	2/08/2024
AUT.045964.01.01	4	Leslie and Mirtle - Discharge domestic wastewater at Tauranga Bay Beach Road.	5/08/2024
AUT.045965.01.01	3	Quixotic Trustee Ltd - Bore construction at 117 Paroa Bay Road, Russell.	5/08/2024
AUT.034765.02.01	2	Te Puna Inlet Oysters (2019) Ltd - Pile mooring 2426 in the coastal marine area at Opete Creek, Poukoura Inlet, Bay of Islands.	6/08/2024
AUT.045852.01.01	2	Wagener - Discharge domestic wastewater at Kent Street, Whangaroa.	8/08/2024
AUT.045948.01.01	3	Northland Regional Council - Groundwater monitoring bores at Lake Ngatu.	8/08/2024
AUT.045972.01.01	3	Masters - Bore construction at 54 Unahi Road, Awanui.	8/08/2024
AUT.045973.01.01	3	Mortensen - Bore construction at 493 Puketi Road, Ōkaihau.	8/08/2024
AUT.045978.01.01	3	Turner - Bore construction at 10 Brooks Road, Waipū.	8/08/2024
AUT.045976.01.01	3	Brockbank and O'Leary - Bore construction at Sulenta Loop Road, Waipapakauri.	12/08/2024
AUT.045977.01.01	3	Logan King Trust - Bore construction at 268 Gill Road, Awanui.	12/08/2024
AUT.006873.01.05	5	Dicksons Transport & Quarries Ltd - Earthworks for quarry operation.	15/08/2024
AUT.045981.01.01	2	W and T McCarthy Family Trust - Discharge domestic wastewater at Aucks Road, Russell.	15/08/2024
AUT.045902.01.01	3	Dickson - Groundwater monitoring bores at Mangakahia Road, Titoki.	16/08/2024
AUT.045932.01.01	2	Far North District Council - Two temporary road bridges in the coastal marine area, Hihi.	16/08/2024
AUT.045974.01.01	3	Wood - Earthworks in flood zone, Mangawhai Heads.	16/08/2024
AUT.041517.01.02	6	Minargo Trust - Pontoon facility in Opete Creek, Poukoura Inlet.	19/08/2024
AUT.045821.01.01	4	Finch Limited - Earthworks near a wetland at Estuary Drive, Mangawhai (NES-FW).	19/08/2024
AUT.045983.01.01	5	Ketenikau Developments Ltd - Subdivision works at 29 Ketenikau Road, Whangārei.	20/08/2024
AUT.045999.01.01	3	Institute of Geological and Nuclear Science Limited - Four exploratory bores at Ahipara.	20/08/2024
AUT.045924.01.01	3	Kainga Ora - Homes and Communities - Bulk earthworks at Tikipunga.	23/08/2024
AUT.045979.01.01	2	Utakura 7 Incorporation - Wastewater discharge for papakāinga at Horeke Road, Horeke.	23/08/2024
AUT.046001.01.01	3	P L Lulich Ltd - Bore construction at Island Road, Turiwiri, Dargaville.	23/08/2024
AUT.040907.01.07	1	Oranga Kai Limited Partnership - Short term water take at 6258 Mangakāhia Road, Kaikohe.	27/08/2024
AUT.043217.01.02	1	Fonterra Limited - Surface water take at Hukerenui Road, Ruatangata.	27/08/2024
AUT.045935.01.01	1	Kainga Ora - Stormwater discharge at 1690H Waikare Road, Waikare.	27/08/2024
AUT.046000.01.01	3	Abercrombie - Site development works at State Highway 10, Puketona.	27/08/2024
AUT.037645.01.02	1	J C & E de Wolf Trustee Company Limited – On-site effluent system at Waipapa Road, Kerikeri.	28/08/2024
AUT.003796.01.04	1	Doubtless Bay Water Supply Co Ltd - Groundwater take for public supply at Taipā.	30/08/2024
AUT.045991.01.01	2	Top Energy Limited - To place an underground cable in the coastal marine area at Ōmanaia River.	2/09/2024
AUT.045996.01.01	3	Sands Road (Whangarei LP) - Subdivision works at Sands Road, Glenbervie.	4/09/2024
AUT.046030.01.01	2	Trask - Domestic discharge to land at Motel Road, Tutukaka.	4/09/2024
AUT.004111.01.06	4	Far North District Council - Kerikeri Wastewater Treatment Plant.	5/09/2024
AUT.045963.01.01	4	Te Hau Ora o Ngapuhi Ltd - Site development earthworks at Bisset Road and Rimu Place, Kaikohe - NES-FW.	6/09/2024
AUT.045980.01.01	4	The Esplanade Residential Ltd - Subdivision works at Beacondale Place, Te Kamo, Whangārei.	6/09/2024
AUT.045865.01.01	1	Puketi Ridge Ltd - Take surface water for dairy shed supply at Waiare Road, Kerikeri.	9/09/2024
AUT.046032.01.01	1	ForestryCo Limited - Debris trap - Waipahihi Creek, in Pumanawa Forest at 174 Tauranga Bay Road, Kaeo.	10/09/2024
AUT.044420.01.02	6	ALLIM Ltd - Replace and use a culvert at Pīpīwai Road, Ngāraratunua (NES-FW).	12/09/2024
AUT.046046.01.01	2	Far North District Council - Earthworks near a wetland for stormwater network at Marreine Place, Tokerau Beach.	13/09/2024
AUT.031351.01.02	6	Waipapa Pine Ltd - Discharges at timber processing plant at State Highway 10, Waipapa.	17/09/2024
AUT.045990.01.01	2	Upson Downs Limited - Harvest commercial forestry at 265 Te Maire Road, Te Kopuru.	17/09/2024
AUT.046018.01.01	2	Lugtigheid - Silage storage area at Mititai Road, Arapohue.	19/09/2024
AUT.046053.01.01	3	Holy - Bore construction at Purerua Road, Te Tii.	19/09/2024
AUT.008857.01.03	1	Armstrong and Harris - Take groundwater for irrigation at Mangonui.	20/09/2024
AUT.043510.01.02	7	Neil Construction Ltd - Subdivision earthworks at Kāpiro Road, Kerikeri.	23/09/2024
AUT.045014.02.01	4	Meridian Energy Limited - Vegetation clearance, Ruakākā.	24/09/2024
AUT.045356.01.01	1	Meridian Energy Limited - Construction of a solar energy farm at McCathie Road, Ruakākā.	24/09/2024
AUT.031467.01.02	6	Southern Skies Trust - Seawall in the coastal marine area at Far North Road, Pukenui.	30/09/2024
AUT.046058.01.01	7	P.A.G. Trustees KMR - Discharge from two silage pads at 3835 State Highway 12, Rūāwai.	30/09/2024

Table 3: Applications more than 12 months old on 30 September 2024

IRIS ID	Applicant	Description	Received Date	Comments
APP.004835	Far North District Council	Kerikeri urban area stormwater discharges	4/10/2011	S92 hold for information on flooding effects. FNDC have completed a review of the current model and will be providing an addendum to the current application by March 2025.
APP.037501	Hare Patau Hohepa Tepania	Marine farm at Southern end of 90 Mile Beach (Te Oneroa-a-Tōhē)	3/03/2015	S37 extension requested by applicant to allow discussions with Te Hiku about activities on Te Oneroa-a-Tōhē.
APP.038180	Whangarei District Council	Comprehensive stormwater network consent for Upper Whangarei Harbour catchments	25/02/2016	S37 extension requested by applicant. Addendum updating the application has now been received. The council has engaged a consultant to process the application.
APP.038601	North Western Mussels Limited	Mussel spat catching farm off the West Coast of 90 Mile Beach (Te Oneroa-a-Tōhē)	15/07/2016	S37 extension requested by applicant to allow discussions with Te Hiku about activities on Te Oneroa-a-Tōhē.
APP.037958	Oranga Kai Limited Partnership	Groundwater take for an avocado orchard at 6258 Mangakāhia Road, Kaikohe	28/07/2017	A hearing was scheduled for mid-November 2024. However, it has now been rescheduled to February 2025 at the request of submitters and with the agreement of the applicant.
APP.005059	Golden Bay Cement	Stormwater discharges to CMA from a cement manufacturing site, Portland	9/11/2018	Section 128 review. Review of conditions now completed. Council to issue decision by end of December 2024.
~~APP.007161~~	~~Mangawhai Harbour Restoration Society Incorporated~~	~~Replacement consents for dredging and associated activities in Mangawhai Harbour~~	~~10/03/2021~~	Resource consent has been granted for this application.
APP.004204	Fonterra Limited	Replacement consent to discharge process wastewater from the Maungaturoto dairy factory into the Ōtamatea River estuary	16/03/2021	S37 extension requested by applicant to allow discussions with Te Uri o Hau. CIA has been completed but has not yet been released to the applicant.
APP.000932	Far North District Council	Replacement consents for the Kaitāia wastewater treatment plant at Bonnetts Road, Kaitāia	24/08/2021	Application publicly notified with two submissions received. Applicant has requested s37 extension to allow discussions with submitters.
APP.030602	Far North District Council	Replacement consent for sludge storage facility at Kaitāia - jointly processed with WWTP application	24/08/2021	As above for APP.000932.
APP.002417	Far North District Council	Renewal of consents for the Kaikohe WWTP	27/08/2021	S37 extension requested by applicant to allow for discussions with tangata whenua on land disposal options and preparation of a CIA.
APP.037987	Tranquility Retreats Limited	Take water from a bore for the purposes of horticultural irrigation at McManus Road, Houhora	17/09/2021	Environment Court has issued consents for the 24 groundwater takes that were under appeal. Council has engaged a consultant to process this application, and it has been placed on hold awaiting additional information.
~~APP.043277~~	~~R Campbell~~	~~Groundwater take for an avocado orchard at 3190 Far North Road, Motutangi~~	~~19/11/2021~~	Application has been withdrawn.
APP.043278	Far North Packers Limited	Groundwater take for avocado processing plant at Waiharara, Awanui	19/11/2021	Environment Court has issued consents for the 24 groundwater takes that were under appeal. Council has engaged a consultant to process this application, and it has been placed on hold awaiting additional information.
APP.038410	Sandstone Orchards Limited Partnership	Groundwater take at Srhoj Road, Waiharara for irrigation of avocado orchard development	30/11/2021	Environment Court has issued consents for the 24 groundwater takes that were under appeal. Council has engaged a consultant to process this application, and it has been placed on hold awaiting additional information.
~~APP.043352~~	~~Kauri Mountain Farms Limited~~	~~Historic refuse disposal at 469 Kauri Mountain Road, Onerahi~~	~~9/12/2021~~	Resource consent has been granted for this application.
APP.004352	WDC	To discharge treated wastewater to the CMA (Limeburners Creek) at Kioreroa Road, Whangarei	17/12/2021	S37 extension requested by applicant to resolve issues with proposed consent conditions. Response to the last remaining issue in regard to draft conditions is being finalised by the applicant. Once the council has received this response, a decision under delegated authority should be able to be made on this application.
APP.043384	G S Jacobsen	Retrospective consent for a retaining wall and mooring, and proposed new boardwalk, 118 Waterfront Road, Pukenui	20/01/2022	S92 hold for further information. Applicant is now proposing to remove structures and withdraw this application.
APP.043505	Robert Campbell Trust	Short-term groundwater take for irrigation at 134 Big Flat Road, Waiharara	25/02/2022	Environment Court has issued consents for the 24 groundwater takes that were under appeal. Council has engaged a consultant to process this application, and it has been placed on hold awaiting additional information.
APP.043888	Carrington Estate Jade LP	Earthworks for residential subdivision at Matai Bay Road and Whatuwhiwhi Road	30/05/2022	S92 hold for assessment of NPS-FW and “natural inland wetlands”. Council has followed up regularly with applicant on progress. Complicated by application to FNDC for subdivision consent which is also on s92 hold.
APP.007205	Far North District Council	Replacement consents for discharges associated with operation of the Kāeo WWTP	27/07/2022	S37 extension requested by applicant to allow discussions with tangata whenua.
~~APP.003796~~	~~Doubtless Bay Water Supply Company Limited~~	~~Replacement consent to take groundwater for public supply at Taipa~~	~~28/07/2022~~	Resource consent has been granted for this application.
APP.007399	Far North District Council	To discharge treated wastewater to Hihi Stream, Hihi Beach WWTP	31/08/2022	S37 extension requested by applicant to allow discussions with tangata whenua.
APP.044441	Shoresite Properties Limited	Bulk earthworks for subdivision at Sun Valley Drive, Morningside, Whangarei	5/10/2022	S37 extension requested by applicant to allow for discussions with tangata whenua.
APP.044619	Kiripaka Holdings Limited	Earthworks for an 84 lot development at Kiripaka Road, Whangarei	24/11/2022	S37 extension agreed to by applicant to allow discussion and finalisation of consent conditions. Applicant has advised that they are awaiting geotechnical report for subdivision before progressing any further.
APP.044727	Quail Ridge Country Club Limited	Proposed pedestrian bridge across Kerikeri River	24/01/2023	S92 hold for information on flooding effects. Joint application with FNDC. Applicant has requested public notification and FNDC will be lead agency. Notification has not yet occurred.
APP.044932	Explore Limited	Jetty facility in the coastal marine area at Omakiwi Cove, Bay of Islands	18/04/2023	On s92 hold awaiting further information. Applicant has provided an initial response which was not adequate. Applicant is considering whether to provide further information or publicly notify application.
APP.002773	Imerys Ceramics New Zealand Limited	Renewal of consents for quarrying and processing halloycite and kaolin clay, Takou Bay	19/04/2023	Council and applicant in discussions regarding conditions of consent.
APP.002577	Far North District Council	Replacement consents for Rāwene wastewater treatment plant	28/04/2023	S37 extension to processing timeframes requested by applicant to allow it to discuss application with tāngata whenua. Applicant also awaiting outcome of a separate trial on a proposed new treatment system.
APP.044965	Vaco Investments (Waipū Project) Limited	Subdivision works at 47 Millbrook Road, Waipū	01/05/2023	Joint Hearing with WDC as lead agency scheduled to begin Monday 14 October 2024. This hearing was vacated due to the applicant requiring additional time to deal with NZTA. Hearing is to be rescheduled at a yet to be determined date.
APP.045010	Te Uri Mahoe Inc	Onsite wastewater disposal system for Mangamuka Marae at Iwitaua Road, Mangamuka	05/05/2023	On hold awaiting fee deposit to be paid. Council to follow up with agent to determine if application still required.
APP.019502	Far North District Council	Discharges from Kaitāia Resource Recovery Centre	31/05/2023	S37 extension to processing timeframes requested by the applicant to allow it to discuss the application with tāngata whenua.
APP.045333	Pattle Delamore Partners Limited	Discharges associated with a waste transfer station at 22 Church Street, Kaitāia	29/08/2023	S37 extension to processing timeframes requested by the applicant to allow it to discuss the application with tāngata whenua.
APP.045332	Pattle Delamore Partners Limited	Discharges from existing waste transfer station at 13-27 Paranui Road, Taipā	29/08/2023	S37 extension to processing timeframes requested by the applicant to allow it to discuss the application with tāngata whenua.

Attachments/Ngā tapirihanga

Nil

Ngā mahi tūtohutia / Recommendation

That the report ‘Regulatory Services Quarterly Report ’ by Colin Dall, Pou Whakaritenga - Group Manager Regulatory Services and dated 31 October 2024, be received.

Background/Tuhinga

<<enter text>>

Attachments/Ngā tapirihanga

Nil

Audit Risk and Finance Committee item: 6.7

18 November 2024

TITLE:	Guidelines for Selecting RMA Hearing Commissioners
From:	Colin Dall, Pou Whakaritenga - Group Manager Regulatory Services
Authorised by Group Manager/s:	Colin Dall, Pou Whakaritenga - Group Manager Regulatory Services, on 07 November 2024

Executive summary/Whakarāpopototanga

The Committee was provided a guidance framework for selecting and appointing RMA consent hearing commissioners for its consideration at its 28 August 2024 meeting. The Committee requested the following further actions be undertaken at that meeting:

1. GM Regulatory Services to obtain further criteria for the guidance framework and amend the table around making the assessment

2. GM Regulatory Services to amend the guidance framework table, there are two items as number 3

3. GM Regulatory Services to provide examples to clarify points around instances where consent matters wouldn’t involve hapu/iwi

4. GM Regulatory services to liaise with Consents Manager on any hearings due before committee reconvenes to review revised framework

5. GM Regulatory services to provide the revised guidance framework at the November ARF committee meeting

6. Revised ARF committee recommendation to be taken to the December council meeting

The original guidance framework has been revised in accordance with Actions 1, 2 and 5 and is set out in the Background/Tuhinga section of this report.

Examples to clarify points around instances where consent matters that require a hearing wouldn’t involve hapu/iwi are provided in the Background/Tuhinga section of this report also.

Since 28 August 2024, only one consent hearing has been scheduled, with two commissioners being appointed. The consent application is for a groundwater take and as reported in the agenda for Council’s 22 October 2024 meeting, Mr Hugh Leersnyder and Ms Sheila Taylor were appointed following liaison between the GM Regulatory Services and Consents Manager.

Should the Committee endorse the revised guidance framework, it will be presented to the Council at its December meeting for its consideration and approval.

Recommendation(s)

1. That the report ‘Guidelines for Selecting RMA Hearing Commissioners’ by Colin Dall, Pou Whakaritenga - Group Manager Regulatory Services and dated 5 November 2024, be received.

2. That the Committee recommends to council that it approves a guidance framework for selecting RMA hearing commissioners using the step and factors (guidelines) set out in the “Background/Tuhinga” section of this report.

Options

*No.*	*Option*	*Advantages*	*Disadvantages*
1	Status quo – delegated staff select RMA hearing commissioners for consent hearings in the absence of an approved documented guidance framework.	Quick and very efficient.	Lack of transparency in selection process.
2	Approved documented guidance framework used to select RMA hearing commissioners for consent hearings.	Selection process transparent. New/replacement appointments to the positions delegated to select RMA hearing commissioners will have documented guidance framework to follow.	None.

No.

Option

Advantages

Disadvantages

Status quo – delegated staff select RMA hearing commissioners for consent hearings in the absence of an approved documented guidance framework.

Quick and very efficient.

Lack of transparency in selection process.

Approved documented guidance framework used to select RMA hearing commissioners for consent hearings.

Selection process transparent.

New/replacement appointments to the positions delegated to select RMA hearing commissioners will have documented guidance framework to follow.

None.

The staff’s recommended option is Option 2. The recommended guidance framework is set out in the Background/Tuhinga section of this report.

Considerations

Being a purely administrative matter, Climate and Environmental impacts, Community Views, the Māori Impact statement and Financial implications are not applicable.

1. Implementation issues

Both options are easy to implement.

2. Significance and engagement

In relation to section 79 of the Local Government Act 2002, this decision is considered to be of low significance when assessed against council’s Significance and Engagement Policy because it is part of council’s day to day activities and is only to give effect to an administrative function. Council is able to make decisions relating to this matter without undertaking consultation or engagement with the community.

3. Policy, risk management and legislative compliance

Both options presented are legislatively compliant. The selection of RMA hearing commissioners must comply with the legislative requirements and any material conflicts of interest must be avoided to prevent potential challenge (procedural and/or judicial review proceedings) on commissioner selections.

Background/Tuhinga

RMA hearing commissioners should have the skills/qualifications that would enable a robust consideration and assessment of the activities for which consents are sought and their effects. At its 23 July 2024 meeting, the council approved a list of RMA hearing commissioners for delegated staff to use to arrange/select and appoint commissioners for consent hearings. The council also requested that a guidance framework be developed for that purpose to make the process more transparent. The Committee was presented a proposed guidance framework for its consideration at its 28 August 2024 and requested further details be included in the framework. The following is the revised framework including those details:

Steps and Factors	Responsible Officer(s)
1. Check if the consent applicant or a submitter has requested the council to use independent hearings commissioners. If so, only commissioners who are not members of the local authority can be appointed to hear and determine a consent application.	Consents Manager
2. Identify the issues that have been raised in submissions.	Reporting officer & Consents Manager
3. For hearings which the Northland Regional Council is the lead consent authority, determine whether a single commissioner would be sufficient to hear and determine the consent application or if more than one commissioner would be appropriate based on the: i. range and type of activities requiring consent, ii. issues raised in the staff report and/or submissions, and iii. number of submitters wishing to be heard. More than a single commissioner should be appointed when there are many submitters and a wide range of issues raised.	Consents Manager
4. For a Joint Hearing with a District Council where the District Plan is the primary consideration for the application, it is likely that the District Council will be lead consent authority and would be administering the hearing process for both councils. If only a single commissioner is required, then the selection of that commissioner lies with the District Council.
5. If complex technical issues are raised, then would need to identify a commissioner that has knowledge/experience regarding those issues. The guidelines for use of Māori commissioners contained in the Quality Planning website - https://www.qualityplanning.org.nz/node/680 (included below) will also be used to assess if an additional commissioner with knowledge/experience in Māori cultural issues is required. If it is determined that only a single commissioner is required, then the commissioner should have significant experience in RMA planning matters and our regional plan framework. Where more than one commissioner is required then one of commissioners must be appointed to chair the commissioner panel and hold a current chair certification.	Consents Manager (may be discussed with Group Manager Regulatory Services)
6. If the consent application is within the rohe of a hapū or iwi that has signed a Mana Whakahono ā Rohe, then the requirements of that agreement regarding consent hearings and Māori commissioners need to be followed.	Consents Manager
7. Select potential commissioner(s) from council approved list of commissioners.	Consents Manager
8. After selecting potential commissioners: i. Determine their availability and if they have any conflicts of interest. A potential commissioner with a conflict of interest would be given no further consideration. ii. Contact the consent applicant to determine hearing dates. This can become an iterative process when there is more than one commissioner required and/or the consent applicant is relying on multiple people to give evidence/support their application at the hearing. iii. After the above have been completed, recommend approval of the commissioner(s) to Group Manager Regulatory Services or Chief Executive Officer if the former is on leave or has a conflict of interest in relation to the consent application or a hearing commissioner.	Consents Manager
9. Approval of the commissioner(s) and the delegation of all relevant functions, powers and duties required by them.	Group Manager Regulatory Services or Chief Executive Officer
10. Approved commissioners sent standard contract for commissioner services for their signature.	Consents Manager
11. Copy of signed contract added into the council’s document management system.	Consents and Hearing Administrator

Use of Māori commissioners – Resource consent applications – Quality Planning Website

Where formal relationships and mechanisms between local authorities and iwi, or between the Crown and iwi, confer particular resource management functions and responsibilities on iwi, these must be adhered to. For example, Mana Whakahono a Rohe, iwi participation arrangements, memoranda of understanding, co-management agreements.

There are circumstances when Māori commissioners should be considered, such as for applications involving:

· any water-based issue (i.e. involving rivers, lakes, wetlands, groundwater, estuaries, harbours and coasts) such as:

o wastewater discharges to waterbodies

o taking of water

o inter-catchment water diversions

o large scale construction in waterways and the coastal marine area

o landfill developments

o use of geothermal resources

· developments near taiāpure and mātaitai

· developments that may impact on iconic waterbodies (e.g. Taupō-nui-a-Tia (Lake Taupo), Waikato River, Whanganui River and Te Waihora (Lake Ellesmere))

· proposals that are likely to affect marae, papakāinga, kōhanga reo, kura kaupapa Māori or other Māori institutions.

· proposals that may affect urupā (burial grounds), wāhi tapu (sacred sites), wāhi tupuna (ancestral sites) that are documented and/or known only to Māori (sometimes known as ‘silent files’),

· any use or development that may affect mahinga kai, (culturally significant resources used in medicine, weaving, carving, art, ornamentation or other customary usages)

· activities or issues likely to affect Māori ownership or management of resources including Māori land, reserves, statutory acknowledgments, mataitai and taiapure.

· development in the vicinity of iconic natural features such as maunga and awa.

· proposals associated with specific activities or issues that are identified in iwi management plans.

· proposals based on Māori values, customary usages, practices and beliefs, for example:

o facilities associated with marae-based education and training in Māori language, arts and culture.

o wānanga (e.g. Te Wānanga o Aotearoa, Te Wānanga o Raukawa, Te Whare Wānanga o Awanuiarangi)

o use of land/sites and activities on the surface of water associated with the expression of Māori culture, such as:

§ performing arts (e.g. kapa haka)

§ sports events (e.g. waka ama)

§ festivals, exhibitions and celebrations (e.g. Te Hui Ahurei a Tuhoe, Parihaka Peace Festival, Paihia Matariki Festival)

§ tourism developments for example:

§ restored/model Māori villages

§ Te Wairoa buried village, Whakarewarewa thermal village, Tamaki Māori Village, Mitai Māori Village.

§ Māori art and craft centres

§ New Zealand Arts and Crafts Institute, art galleries

§ operations or venues offering Māori cultural experiences

§ Te Puia heritage park, Whakarewarewa geothermal valley, Whanganui River waka tours, marae-based tourism

· special reserves for culturally significant resources, for example:

o tōtara trees - carving, construction, medicinal

o kahikatea (white pine) – construction

o kōwhai tree - medicinal, construction

o harakeke (flax) - textiles, construction, medicinal

o tī kōuka (cabbage tree) - textiles, medicinal

o pīngao (sand sedge) - textiles, ornamentation

o remnant karaka groves – food

o hīnau trees – food

o kawakawa (pepper tree) – medicinal

o kōkōwai (red orche) - ornamentation, construction

o mānuka (tea tree) - tools, construction, medicinal

o pounamu (greenstone) - tools, ornaments

o raupō (bulrush) - construction, textiles

o tūhua (argillite) – tools

o matā (obsidian) – tools

o tītī (sooty shearwater or mutton bird) – food

o kererū (wood pigeon) – food

o tuna (freshwater eel) – food

o korokoro (lamprey) – food

o tohorā (whales) - tools, food, ornamentation

Note: Pounamu resources are owned and controlled by Ngāi Tahu.

· Proposals in communities that have a high Māori population and that identify strongly with Māori cultural and spiritual values e.g. papakainga and marae-based communities, and other special communities and locations) including:

o Rātana (Rātana Church-based township)

o Ruatahuna (Ngāi Tūhoe/Ringatū)

o Parihaka (Whiti & Tohu movement)

o Ngāruawāhia (Kīngitanga)

o Whakarewarewa (traditional & natural heritage)

o Waitangi (Treaty of Waitangi)

· Proposals likely to be of significant interest to, and attract submissions from, Māori.

Examples of consent matters that require a hearing that wouldn’t involve hapu/iwi are when hapu/iwi have provided written approved for the consent application/proposal or have not submitted on the consent application/proposal.

Attachments/Ngā tapirihanga

Nil

Councillor John Blackwell		Councillor Joe Carr
Councillor Jack Craw		Councillor Rick Stolwerk
Ex-officio Councillor Geoff Crawford		Independent Tangata Whenua member George Riley
Independent Tangata Whenua member Dee-Ann Wolferstan		Independent Consultant Jonathan Eriksen
Independent Risk Advisor Steve Watene

Key
Complete		Underway	Deferred		Not Started
Year	Item			Status
2024	Business Continuity. Audit to review systems and processes in place against national best practice and lessons learned, conduct gap analysis.			Full audit review underway for all critical functions (14)
2023/2024	The Pathway Te Huarahi Tika Quality Review – New Quality program is underway across 24 different service delivery groups within NRC.			· 14 reviews completed. · 4 reviews underway · 6 reviews scheduled.
2023/2024	Health & Safety Improvement Opportunities report was presented to A&R subcommittee in May 2023. The subcommittee supports management implementing the high priority initiatives over the next 18 months subject to obtaining necessary budget approval from council.			· Safety Champion is now operational · Every department has champions · Incidents / Hazards registers are working as they should
2024	Local Government Act Section 17A Service Delivery Audits			· Economic Development - Completed · Governance - Completed · Māori Relationships - Underway · Communication & Engagement - Completed
2024	Internal Audit review on Infocouncil Agenda protocols			· Decision made to develop a Confidentiality Policy to be delivered 2024/2025
2024	Contract management Audit			· Audit is underway · Review current contracts · Review extensions to contract · Policy and framework
2024	Policy and Procedures Audit			· Identify and update policies that no longer serve our needs, · Identify processes needing review/update to provide simple steps staff can follow to support policy and service delivery
2024	IT Systems and Software Audit			· Collating a full list of software and services currently used at NRC. · Review of all software used to confirm fit for purpose and support a three-year improvement plan.
2024	Fraud Corruption and Dishonesty all staff awareness training			· Internal Awareness Training package in its final stages and due to be delivered to all staff in September.
2024	Payroll audit to provide assurance surrounding relevant processes, controls, compliance with policy as well as provide some benchmarking against similar sized organisations and best practice.			· External BDO Audit underway

Year	Item	Status
2024/25	Forest Management, audit of effectiveness of (outsourced) management, harvest schedule, health, and safety compliance, reporting etc. Biodiversity audit is completed – implementation will be reviewed as part of the overall audit outcomes.	Review deferred awaiting review outcome end of February 2024
2024/25	Internal Audit – NRC Firearms Officer will complete audit as per the Firearms Standing Operating Procedures (SOP)	Planned for Feb 2025
2024	Audit – Risk and Assurance Program – progression with Risk Appetite and Maturity following the Deloitte assessment completed in May 2022	Planned Q3/4 2024
2024/25	Fraud Detection Review – External provider to review NRC current processes	Planned for December 2024
2024/25	Financial Staff Benefit Policy Review – this review will include all policy relating to staff /councillor benefits/remuneration: Credit card, Travel, Expenditure,	Planned for Q3/4 2025
2025	Procurement Management – Audit of current procedures, framework and training needs	Planned for Q3/3 2025
2025/2026	Analytics (Accounts Payable, Bank Payments) External audit completed by Deloitte – Annual audit	Planned for Q4 2025
2025	Internal Audit Maturity review Risk – review of current system, engagement and reporting	Planned for Q3/4 2025
2024/25	Vehicle FBT – Audit on current use	Planned for Q3 2025
2025	Catering – Audit on consistency with Policy and procedures (Budget, approval)	Planned for Q3/4 2025
2025/2026	Annual Business Continuity Review – meeting with critical functioning services within NRC to ensure plans are up to date (contacts etc)	Planned for Q2 2026
2025	Business Continuity Review – Tabletop exercise	Planned Q3 2025

Item No.	Item Issue	Reasons/Grounds
7.1	Confirmation of Confidential Minutes - 28 August 2024	The public conduct of the proceedings would be likely to result in disclosure of information, the withholding of which is necessary to enable council to carry out, without prejudice or disadvantage, commercial activities s7(2)(h).
7.2	Report on Litigation and Enforcement July - September 2024	The public conduct of the proceedings would be likely to result in disclosure of information, the withholding of which is necessary to protect the privacy of natural persons, including that of deceased natural persons s7(2)(a).
7.3	Update on Council’s Current Redevelopments and Other Property Matters	The public conduct of the proceedings would be likely to result in disclosure of information, the withholding of which 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)(b)(ii), the withholding of which is necessary to enable council to carry out, without prejudice or disadvantage, commercial activities s7(2)(h) and the withholding of which is necessary to enable council to carry on, without prejudice or disadvantage, negotiations (including commercial and industrial negotiations) s7(2)(i).

TITLE:	Confirmation of Minutes - 28 August 2024
From:	Margaret Knight, PA to Group Manager Corporate Services
Authorised by Group Manager/s:	Bruce Howse, Pou Taumatua – Group Manager Corporate Services, on 06 November 2024

TITLE:	Receipt of Action Sheet
From:	Margaret Knight, PA to Group Manager Corporate Services
Authorised by Group Manager/s:	Bruce Howse, Pou Taumatua – Group Manager Corporate Services, on 07 November 2024

TITLE:	Internal Audit Schedule Update
From:	Mandy Tepania, Audit and Assurance Lead
Authorised by Group Manager/s:	Bruce Howse, Pou Taumatua – Group Manager Corporate Services, on 06 November 2024

TITLE:	Review of Business Continuity Plan
From:	Chris McColl, Organisational Projects Specialist
Authorised by Group Manager/s:	Bruce Howse, Pou Taumatua – Group Manager Corporate Services, on 05 November 2024

TITLE:	Financial Report to 31 October 2024
From:	Taka Skipwith, Financial Accountant
Authorised by Group Manager/s:	Bruce Howse, Pou Taumatua – Group Manager Corporate Services, on 12 November 2024

TITLE:	Performance of Councils Externally Managed Investment Funds - 30 September 2024
From:	Simon Crabb, Finance Manager
Authorised by Group Manager/s:	Bruce Howse, Pou Taumatua – Group Manager Corporate Services, on 12 November 2024

TITLE:	Responsible Investment Report - 30 June 2024
From:	Simon Crabb, Finance Manager
Authorised by Group Manager/s:	Bruce Howse, Pou Taumatua – Group Manager Corporate Services, on 25 October 2024

TITLE:	Tāika Forest and Forest Management Plan – Reporting Actual Performance Against Targets 2023/2024
From:	Phil Heatley, Strategic Projects and Facilities Manager and Donna Cooper, Property Officer
Authorised by Group Manager/s:	Bruce Howse, Pou Taumatua – Group Manager Corporate Services, on 09 October 2024