Supplementary Reports Agenda of Audit, Risk, and Finance Committee Meeting

5.3 Far North District Council Data Governance

File Number: A2664566

Author: Aisha Huriwai, Team Leader Governance Support

Authoriser: William J Taylor MBE, General Manager - Corporate Services

Purpose of the Report

To provide an update on the informal progress made to date and seek direction for data governance at the Far North District Council in the future.

Executive Summary

· A Data Governance Subcommittee was formed by the Audit, Risk, and Finance Committee.

· An informal meeting and a workshop have been held with the subcommittee members.

· A Vision / Mission and Strategic Intent has been developed for consideration as part of this report.

· An outline framework has been developed as a foundation for the data governance subcommittee to discuss at the meeting.

· The Subcommittee considered this report at their meeting on 12 September 2019 and made the following recommendation to the Audit, Risk, and Finance Committee in order to provide direction to the Chief Executive with regard to a Data Governance Framework.

Recommendation

That the Chief Executive:

a) adopts the following Data Governance Strategy

The data management framework will ensure that as an organisation we:

· Provide assurance of data security and data quality

· Maximize the benefit generation of information

· Designate accountability for data quality

· Enable evidence-based policy development

· Increase consistency and confidence in decision making

· Provide consistency in reporting

· Enable evidence-based business cases and strategies

b) include an overview of Data Governance in the committee / portfolio discussion in the new triennium, and explore options including, but not limited to:

i) A subcommittee dedicated to data governance, and / or

ii) A data governance portfolio

1) Background

In April the Audit, Risk, and Finance Committee confirmed the top 12 risks to the Far North District Council. ‘Decision Quality - Information Risks’ was one of the 12 risks identified. This lead to the Audit, Risk, and Finance Committee establishing a subcommittee at a meeting held 30 May 2019. At its next meeting held 25 July 2019 the Audit, Risk, and Finance Committee confirmed the terms of reference for the Data Governance Committee with a purpose to develop a clear understanding and definition of Data Governance and recommend direction to the Chief Executive Officer, through the Audit, Risk and Finance Committee, of a Far North District Council Data Governance Framework.

The objectives of the subcommittee were to develop a shared vision and strategy for data governance through the establishment, with staff, of the Data Governance Framework, that addresses the following points, as an effective way of managing the risks identified with ‘Decision Quality – Information Risks’:

· Assurance of data security and data quality

· Maximizing the benefit generation of information

· Designating accountability for data quality

· Enabling evidence-based policy development

· Increasing consistency and confidence in decision making

· Consistency in reporting

· Enabling evidence-based business cases and strategies

To that end, two informal sessions have been held. The first was a fact finding session and the second a workshop. Significant progress was made during these sessions, and the members of the subcommittee expressed satisfaction with the direction of data governance at, while at the same time identifying opportunities for improvement.

2) Discussion and Options

Following the 22 August 2019 workshop, staff developed the following vision, mission and overarching strategy for the subcommittee to consider and recommend for adoption.

Vision

‘To be a Council which is data driven and regard data as an enterprise asset, by having an effective and efficient data management environment, where our culture is that data drives all decision making’.

Mission

‘That we will achieve this by creating and implementing an effective data management framework, with robust standards, controls and procedures’.

Strategy

The key components of the data management framework, which are outlined will ensure that as an organisation we:

· Provide assurance of data security and data quality

· Maximize the benefit generation of information

· Designate accountability for data quality

· Enable evidence-based policy development

· Increase consistency and confidence in decision making

· Provide consistency in reporting

· Enable evidence-based business cases and strategies

Moving forward, the intention is to continue the momentum of the subcommittee, by drafting a report which will be considered by the Audit, Risk, and Finance (ARF) Committee (or its equivalent) in the new triennium. This report is to recommend to the ARF Committee either to re-form the Data Governance Subcommittee in the new triennium (with membership to be determined) or to propose an alternative way forward.

If the Committee decides to re-establish a Data Governance Sub Committee in the new triennium, the Sub Committee would consider a framework for creating and implementing policies and procedures to ensure data consistency, data standardization, and data use. This framework could include the following:

1. The creation of a Data Governance Strategy for FNDC.

2. The creation of a Data Governance Steering Committee Charter.

3. A formal decision-making structure for data standardization and approval.

4. To provide an overview of the mechanism for communicating data initiatives across the organization.

5. Identifying and defining best practices around data standardization.

6. The creation of a Data Governance Policy and Data Protection Policy.

Reason for the recommendation

To provide the Chief Executive with a Data Governance Framework.

3) Financial Implications and Budgetary Provision

There is no need for budgetary provision in adopting the recommendations in this report.

In continuing to develop and implement a data governance framework provides opportunity for cost savings.

Attachments

Nil

Compliance schedule:

Full consideration has been given to the provisions of the Local Government Act 2002 S77 in relation to decision making, in particular:

1. A Local authority must, in the course of the decision-making process,

a) Seek to identify all reasonably practicable options for the achievement of the objective of a decision; and

b) Assess the options in terms of their advantages and disadvantages; and

c) If any of the options identified under paragraph (a) involves a significant decision in relation to land or a body of water, take into account the relationship of Māori and their culture and traditions with their ancestral land, water sites, waahi tapu, valued flora and fauna and other taonga.

2. This section is subject to Section 79 - Compliance with procedures in relation to decisions.

Compliance requirement	Staff assessment
State the level of significance (high or low) of the issue or proposal as determined by the Council’s Significance and Engagement Policy	This is a matter of low significance
State the relevant Council policies (external or internal), legislation, and/or community outcomes (as stated in the LTP) that relate to this decision.	Te report signals an intention to create policies and strategies to add input into future planning at the Far North District Council
State whether this issue or proposal has a District wide relevance and, if not, the ways in which the appropriate Community Board’s views have been sought.	The community board views have not been sought as this is a district wide project
State the possible implications for Māori and how Māori have been provided with an opportunity to contribute to decision making if this decision is significant and relates to land and/or any body of water.	There are no specific implications for Māori
Identify persons likely to be affected by or have an interest in the matter, and how you have given consideration to their views or preferences (for example – youth, the aged and those with disabilities.	This report has no implications on any particular persons.
State the financial implications and where budgetary provisions have been made to support this decision.	There are no financial implications or need for budgetary provision
Chief Financial Officer review.	The Chief Financial Officer has not reviewed this report.

Audit, Risk, and Finance Committee Meeting Agenda

26 September 2019

6.4 Building Consent Accreditation Update

File Number: A2668605

Author: Trent Blakeman, Manager - Building Services

Authoriser: Dean Myburgh, General Manager - District Services

Purpose of the Report

To update the Audit Risk and Finance Committee on the Building Consent Authority’s (BCA’s) progress with preparation for the International Accreditation New Zealand (IANZ) audit scheduled for 30 September to 4 October 2019.

Executive Summary

This report provides an update on progress within the BCA in addressing the Building (Accreditation of Building Consent Authorities Regulations 2006) (the Regulations)) highlighted in the findings of the preliminary IANZ reports following visits in June 2019 and August 2019.

Fortnightly updates have been provided to the Accreditation Steering Group, the Strategic Leadership Team, IANZ and MBIE. In addition, monthly updates have been provided to either the Audit Risk and Finance Committee or Council (depending on the timing of scheduled meetings).

Work on the consolidated Work Schedule has largely been completed (92%). The two key areas that have not been completed are (1) Training Plans (Regulation 11) and (2) the clearing of the backlog of CCCs (back to 2005). These are currently being addressed and will be completed by 20 September 2019.

Key parts of the completed work within the Work Schedule are being audited by the Interim Quality Manager, with remedial actions being taken to address any remaining issues or non-compliances.

Statistical data is also included in this report showing compliance with and adherence to the 20 working day timeframe.

Recommendation

That the Audit, Risk, and Finance Committee receive the report “Building Consent Accreditation Update”.

Background

During the past few months BCA has been preparing for the biennial IANZ audit. The focus has been on addressing the findings of preliminary reports following IANZ visits in June 2019 and August 2019.

Discussion and Next Steps

A review of the ‘In progress’ tasks was last undertaken on Tuesday 10 September to determine overall completion of tasks associated with IANZ audit readiness. Audits are being completed by the Interim Quality Manager on completed tasks as well as those that are underway within the 8% ‘In Progress’ category. The latest estimate of completion suggests that compliance tasks and actions will continue right up to the IANZ audit date.

There are two main items that need to be cleared before Audit, namely the Training plans and the CCC process for current and lapsed applications. Inappropriate stopping of the clock for PIM checks has also being addressed as an issue.

Work Schedule Status

20-day Compliance (as at 13 September 2019)

The upward trend from the start of April to September 2019 signals good progress in achieving compliance with the 20 working days timeframe.

The current backlog of consents over 20 days has virtually been cleared (currently only 5 BCs are showing as being over 20 days).

The processing of consents is being completed with the assistance of external contractors (building consultants), particularly for higher complexity work where the BCA currently does not have the relevant competencies.

Further urgent work has been completed to establish the same reporting capability for Code of Compliance Certificates (CCCs) and Inspections. This was highlighted in the IANZ post-August visit report.

The expectation is that, if there are no further breaches to the twenty day time frame, the compliance rate will increase dramatically. The challenge going forward will be the rebuilding of in-house capacity and competence and transitioning away from contractors, firstly in inspections and later in processing. This should add to the capacity of the BCA and ensure that non-compliances, staff movements and fluctuations in the market can be pro-actively managed.

Current unissued Building Consents

29 August 2019 13 September 2019

The above traffic lights indicate the status of building consents in relation to statutory day compliance (green 0-15 days, amber 15-20 days and red >20 days).

The focus has been on clearing the red light ahead of the audit and ensuring no further breaches to the 20 day time frame. As can be seen from the traffic lights above, there are still some over runs in the red light, which leads to a lower compliance rate for Building Consents. The aim is to clear consents all the way to the green light and manage the system in the amber light only, this will allow a 5 day buffer.

As in-house capacity is re-built and more work is farmed out to contractors, the above will become a reality. Despite the current over runs the compliance rate for the year is currently at a three-year high.

Building Inspections

Good progress has been made in reducing the wait times for inspections from a high of 8-10 days a few months ago; the statistics are shown on the next page.

Inspection Statistics weekly report for 5-11September

Kerikeri 20 km/insp. 4.8 insp./day 63%

Paihia 27 km/insp. 4.8 insp./day 74%

Kaitaia 26 km/insp. 5.1 insp./day 78%

Hokianga 35 km/insp. 4.6 insp./day 61%

Average pass is 69%

Wait times as at 2:30 16/11/19 was next day for Kerikeri and Kaitaia, and 1 days wait for Paihia and Hokianga.

Code of Compliance Certificates

The ccc backlog will be cleared before the IANZ audit.

Financial Implications and Budgetary Provision

There are no financial implications related to this update report.

Attachments

Nil