A G E N D A
COUNCIL MEETING
Wednesday, 26 August 2020, 9.00AM
Council Chamber Hauraki House William Street PAEROA
Membership
Mayor
D A Adams
Councillors
Cr P G Anderson Cr R D T Broad Cr P D Buckthought Cr C A Daley Cr R G E Garrett Cr B J Gentil Cr R Harris Cr S Howell Cr P A Milner Cr D Smeaton Cr A M Spicer Cr J R Tilsley Cr R L Wilkinson
Executive Leadership
L D Cavers D Peddie A de Laborde P Thom
Public Distribution
Paeroa Office/Library Plains Area Office Waihi Area Office/Library
Chief Executive L D Cavers
Hauraki District Council, P O Box 17, William Street Paeroa, New Zealand P: 07 862 8609 or 0800 734 834 (within the District) E: [email protected] www.hauraki-dc.govt.nz
Ngà Karakia Timatanga (opening)
(1)
Kia tau te rangimarie May peace be widespread Kia whakapapa pounamu te moana May the sea be like greenstone Hei huarahi ma tatou i te rangi nei A pathway for us all this day Aroha atu, aroha mai Let us show respect for each other Tatou i a tatou katoa For one another Hui e! Taiki e! Bind us all together!
(2)
Whakataka te hau ki te uru, Get ready for the westerly Whakataka te hau ki te tonga. and be prepared for the southerly. Kia mākinakina ki uta, It will be icy cold inland, Kia mātaratara ki tai. and icy cold on the shore. E hī ake ana te atākura he tio, May the dawn rise red-tipped on ice, he huka, he hauhunga. on snow, on frost. Haumi e! Hui e! Tāiki e! Join! Gather! Intertwine!
Karakia Whakamutunga (closing)
Kia whakai-ria te tapu Restrictions are moved aside Kia wātea ai te ara So the pathways is clear Kia turuki whakataha ai To return to everyday activities Haumi e. Hui e. Tāiki e! Join Gather Intertwine!
COUNCIL AGENDA
Wednesday, 26 August 2020 – 9.00am
Council Chambers, Hauraki House, William Street, Paeroa
Presentations
9.30am: Diane Drummond, General Manager – Hauraki Rail Trail Hauraki Rail Trail Activities update
11.30am: Councillor Dennis Tegg – Waikato Regional Council Potential option for public transport links between Paeroa, Kerepehi, Ngatea, Turua, and Thames
Order of Business Pages
1. Karakia timatanga (opening of meeting) – Cr Spicer 2. Apologies 3. Declarations of Late Items 4. Declarations of Interests 5. Confirmation: Council Minutes – 12-08-20 (2810006) 6 6. Receipt and adoption: Audit and Risk Committee (unconfirmed) Minutes - 10 11-08-20 (2809538)
7. Receipt: Hearings and Judicial Committee (confirmed) Minutes - 24-02-20 19 (2725494)
8. Receipt and adoption: Emergency Management Committee (unconfirmed) 25 Minutes -11-08-20 (2808925)
9. Proposed Risk Management Policy and Framework Council (2812329) 28 Appendix A - Proposed Risk Management Policy 2020 (2811252) 35 Appendix B - Proposed Risk Management Framework (2811253) 45 Appendix C - Proposed Risk Analysis Template (2811254) 58
10. CEO Monthly Report for August 2020 (2812298) 60 11. Hauraki Rail Trail Charitable Trust Report June 2020 (2814936) 62 12. Change of Councillor Appointee - Hauraki Gulf Forum and 150 Wharekawa Coast 2120 (2815648)
13. New Lease 179 Kerepehi Town Road (2815651) 152 14. Water Services Report to Council August 2020 (covering July) (2812328) 160 15. Planning and Environmental Report - July 2020 (2814055) 169 16. Annual Report - Alcohol Regulatory and Licensing Authority 2020 (2809881) 180 17. Report on Emissions Inventories and Carbon Zero 2020 (2811612) 191
1 Council Agenda Template Doc. Ref: 2216520 Pages
18. Transport Report - July 2020 (2812280)Waste Management Activity Report - 225 July 2020 (2815120)
19. Waste Management Monthly Activity Report - July 2020 (2815120) 234
20. District Drainage Activity Report - July 2020 (2815118) 240 21. Receipt and adoption: Taramaire Drainage District Committee (unconfirmed) 243 Minutes - 06-08-20 (2815055)
22. Receipt and adoption: Western Plains Drainage Committee (unconfirmed) 245 Minutes - 06-08-20 (2815307)
23. Receipt and adoption: Eastern Plains Drainage District Committee 248 (unconfirmed) Minutes - 06-08-20 (2815172)
24. Receipt and adoption: Paeroa Rural Drainage District Committee 251 (unconfirmed) Minutes - 07-08-20 (2815395)
25. Ngatea Main Street Budget (2815594) 253
26. Public Excluded: Item 1: Ngatea Streetscape Building Purchase 259
The public be excluded from the following parts of the proceedings of this meeting.
The general subject of each matter to be considered while the public is excluded, the reason for passing this resolution in relation to each matter and the specific grounds under section 48(1) of the Local Government Official Information and Meetings Act 1987 for the passing of this resolution are as follows:
Item No. General subject Reason for passing this Ground(s) of each matter resolution in relation to Under Section to be each matter 48(1) for the considered Passing of this Resolution
1 Ngatea Section 7(2)(i) Section 48(1)(a) Streetscape Prejudice to Commercial That the public Building Purchase Position/Negotiations conduct of the To enable the local relevant part of authority holding the the proceedings of information to carry on, the meeting would without prejudice or be likely to result disadvantage, in the disclosure negotiations (including of information for commercial and industrial which good reason negotiations. for withholding would exist.
27. Karakia whakamutunga (closing of meeting)
2 Council Agenda Template Doc. Ref: 2216520 Council Agenda - 26-08-20 Page 6
HAURAKI DISTRICT COUNCIL MEETING
MINUTES OF A MEETING OF THE HAURAKI DISTRICT COUNCIL HELD IN THE COUNCIL CHAMBERS, WILLIAM STREET, PAEROA ON WEDNESDAY, 12 AUGUST 2020 COMMENCING AT 9.00 AM
PRESENT D A Adams (His Worship the Mayor), Cr P A Milner (Deputy Mayor), Cr P G Anderson, Cr R D T Broad, Cr C A Daley, Cr R G E Garrett, Cr B J Gentil, Cr R Harris, Cr S Howell, Cr D Smeaton, Cr A M Spicer, Cr J R Tilsley and Cr R L Wilkinson
IN ATTENDANCE Messrs L D Cavers (Chief Executive), A de Laborde (Group Manager - Engineering Services), D Peddie (Group Manager - Corporate Services), S B Fabish (Group Manager - Community Services), J McIver (Community Engagement Manager and Ms C Black (Council Secretary)
Karakia timatanga
Cr Wilkinson opened the meeting with a karakia.
APOLOGIES
RESOLVED
THAT the apology of Cr Buckthought be received and sustained.
C20/338 Garrett/Howell CARRIED
LATE ITEMS
None.
DECLARATIONS OF INTERESTS
The Mayor declared a Conflict of Interest regarding Item 9.– Life Education Trust.
CONFIRMATION: COUNCIL MINUTES: (29-07-20) (2792677)
RESOLVED
THAT the minutes of the meeting of the Hauraki District Council held on Wednesday, 29 July 2020 are received and confirmed as a true and correct record.
C20/339 Anderson/Tilsley CARRIED
MATTERS ARISING FROM THE MINUTES
There were no matters raised.
1 Council Minutes – 12-08-20 Doc Ref: 2810006 Council Agenda - 26-08-20 Page 7
PAEROA NETBALL INC. LEASE 2020 (2808233)
The Group Manager - Community Services and Development presented a report that sought Council’s approval that a formal letter be sent to the Paeroa Netball Association outlining Council’s concerns regarding the lack of progress on a new lease and public access to the netball facilities.
RESOLVED
THAT the report be received.
C20/340 Wilkinson/Broad CARRIED
RESOLVED
THAT Council approves that the formal letter, as outlined in the report, be sent to the Paeroa Netball Association outlining Council’s concerns regarding the lack of progress on a new lease and public access to the netball facilities, and
THAT the Council considers this decision to be insignificant under its Significance and Engagement Policy 2017, and
THAT Council informs the community and Paeroa Netball Association of its decision.
C20/341 Daley/Broad CARRIED
Presentations
Hauraki Citizens Advice Bureau - Trust Chair, Rae Waterhouse attended and updated on the activities of the Citizens Advice Bureau.
Creative Waikato Trust – Development Officer Paul Bradley and CEO, Dr. Jeremy Mayall attended to present the Creative Waikato - Phase 2 / Year 2 of Waikato Arts Navigator.
The meeting reconvened at 10.55am The meeting adjourned at 10.35am
DECLARATION: CONFLICT OF INTEREST
The Mayor declared a conflict of interest in the matter concerning the Life Education Trust and took no part in consideration of the matter,
COMMUNITY INITIATIVES REPORT - JULY 2020 (2807740) Appendix A – CHT 12 month accountability report 01-07-19 - 30-07-20 (2795552) Appendix B - CHT Strategic Plan 2020 to 2023 (2795547) Appendix C - Creative Waikato Report - Waikato Arts Navigator Stage 2 (2807153) Appendix D - Life Education Trust (2795062) Appendix E- CYAA Nomination Forms 2020 (2807164) Appendix F - Creative Communities Scheme 2020-21 Round 1 Application Form (2795065)
The Community Engagement Manager presented the monthly community initiatives activity report covering the month of July 2020.
RESOLVED
THAT the report be received.
C20/342 Spicer/Harris CARRIED
2 Council Minutes – 12-08-20 Doc Ref: 2810006 Council Agenda - 26-08-20 Page 8
Annual Citizens and Young Achievers Awards – 2020
A discussion was held to consider whether to postpone the Hauraki – 2020 Citizens and Young Achievers Awards until the following year due to the COVID-19 pandemic.
RESOLVED
THAT due to the COVID-19 uncertainty the annual citizens and young achievers awards be carried over to the 2021 year.
C20/343 Adams/Harris CARRIED
3-WATERS REVIEW - MOU WITH CROWN (2807317) Appendix A - three-Waters-Reform-Programme (2807311) Appendix B - 3 Waters Stimulus Funding Agreement 04 august 2020 (2807309) Appendix C - Simpson Grierson advice to SOLGM on MOU - signed 310720 (2807308) Appendix D - Notional Funding Allocations (2807307) Appendix E – Three Waters Stimulus Delivery Plan 04 August 2020 (2807305) Appendix F - Grant Funding Guidance 4 August 2020 (2807248)
The Group Manager Engineering Services and the Chief Executive presented a report that provided an update on the Governments reform programme for Three Waters and sought approval for the Council to enter into a Memorandum of Understanding with the Crown.
RESOLVED
THAT the report be received.
C20/344 Adams/Anderson CARRIED
RESOLVED
THAT the Council agrees to enter into a Memorandum of Understanding with the Crown, thus agreeing to participate in the initial stage of a central/local government Three Waters service delivery reform programme, and
THAT the Council authorise the Chief Executive to enter into the Funding Agreement to accept a grant from the Crown to spend on operating and/or capital expenditure relating to Three Waters infrastructure and service delivery, and
THAT the Council considers these decisions to be insignificant under its Significance and Engagement Policy 2017, and
THAT the Council informs the community that the Memorandum of Understanding has been entered into.
C20/345 Gentil/Daley CARRIED
NEW LEASE WAIKINO DOMAIN (2808405
The Group Manager - Community Services and Development presented a report to obtain Council approval for a lease agreement for the use of Council land at Waitekauri Road, Waikino (the Waikino Domain).
RESOLVED
THAT the report be received.
C20/346 Broad/Wilkinson CARRIED
3 Council Minutes – 12-08-20 Doc Ref: 2810006 Council Agenda - 26-08-20 Page 9
RESOLVED
THAT Council approve a Deed of Lease for Caprine Castle Ltd, for lease of 3.1ha from the Hauraki District Council at Waitekauri Road, Waikino (the Waikino Domain) for a period of 2 years with a renewal option of another two years, at an annual lease payment of $2,300, and
THAT the lease be subject to the conditions set out in the report.
C20/347 Spicer/Gentil CARRIED
COMMUNITY RECREATION REPORT - JULY 2020 (2808407) APPENDIX A - HDC - SPORT WAIKATO COORDINATORS REPORT - 01 APRIL - 30 JUNE 2020 (2808242)
The Group Manager – Community Services and Development presented the community recreation activity report covering the month of July 2020.
RESOLVED
THAT the report be received.
C20/348 Wilkinson/Garrett CARRIED
COMMUNITY FACILITIES REPORT - JULY 2020 (2808404)
The Group Manager – Community Services and Development presented the community facilities activity report covering the month of July 2020.
RESOLVED
THAT the report be received.
C20/349 Spicer/Harris CARRIED
Karakia whakamutunga
Cr Wilkinson closed the meeting with a karakia at 12.12pm.
CONFIRMED
D A Adams Mayor
26 August 2020
4 Council Minutes – 12-08-20 Doc Ref: 2810006 Council Agenda - 26-08-20 Page 10
HAURAKI DISTRICT
AUDIT AND RISK COMMITTEE
MINUTES OF A MEETING OF THE AUDIT AND RISK COMMITTEE HELD IN THE HAURAKI ROOM, WILLIAM STREET, PAEROA ON TUESDAY, 11 AUGUST 2020 COMMENCING AT 9.00 AM
PRESENT Mr C Buchanan (Independent Chair), Cr P A Milner, His Worship the Mayor D A Adams, Cr R Harris and Cr D Smeaton
IN ATTENDANCE L D Cavers (Chief Executive), D Peddie (Group Manager – Corporate Services), S Baker (Finance Manager) and Ms C Black (Council Secretary) APOLOGIES
RESOLVED
THAT the apology of Cr Daley be received and sustained.
ARC20/51 Adams/Smeaton CARRIED
LATE ITEMS
There were no late items.
DECLARATIONS OF INTERESTS
The CEO declared a conflict of interest in relation to Item 11 – Aon NZ Insurance.
CONFIRMATION: AUDIT AND RISK COMMITTEE MINUTES – (16-06-20) (2774322)
RESOLVED
THAT the minutes of the meeting of the Audit and Risk Committee meeting held on Tuesday, 16 June 2020 are received and confirmed as a true and correct record.
ARC20/52 Smeaton/Milner CARRIED
MATTERS ARISING FROM THE MINUTES
Update on security of zoom meetings for staff and elected members. The Group Manager advised that measures are in place to ensure security of zoom meetings are secure. The Chair and members asked that a report to the Audit and Risk Committee or Council still be prepared on this subject.
AUDIT AND RISK COMMITTEE - 2020 WORK PROGRAMME (2802963)
The Group Manager – Corporate Services presented the work programme to December 2020.
1 Audit and Risk Committee Minutes – 11-08-20 Doc ref: 2809538 Council Agenda - 26-08-20 Page 11
RESOLVED
THAT the report be received.
ARC20/53 Smeaton/Adams CARRIED
Audit and Risk Committee Self-Assessment Forms
Concerning the Audit and Risk Committee self-assessment forms, it was agreed that no change was required to the wording in the forms. The forms were distributed to the members to complete.
PROGRESS UPDATE AUDIT NZ RECOMMENDATIONS AUGUST 2020 (2803382) APPENDIX A - AUDIT NZ MANAGEMENT REPORT ACTION SCHEDULE (AUGUST-2020) (2802559)
The Finance Manager presented a report that provided a mechanism for the Audit and Risk Committee to adopt to monitor the Councils progress in relation to the implementation of recommendations Audit NZ have identified in previous audits of Council.
RESOLVED
THAT the report be received.
ARC20/54 Harris/Smeaton CARRIED
Staff advised that the Office of the Auditor General has released a statement to territorial authorities that the deadline for annual report adoption has been extended to December 2020. The Finance Manager advised that HDC intend to still meet the deadline of 31 October.
The Chair queried what the definition of ’suspense’ accounts was and asked staff if any review of account naming was required. The Finance Manager explained the methodology in naming of suspense accounts, adding that there was no requirement to review the naming of these accounts.
AUDIT AND RISK COMMITTEE – DEPARTURES FROM PROCUREMENT POLICY 1 JANUARY 2020 TO 30 JUNE 2020 (2803121)
The Group Manager – Corporate Services provided information regarding the uses of the ‘departure from procurement’ policy process that have occurred between 1 January 2020 and 30 June 2020.
RESOLVED
THAT the report be received.
ARC20/55 Adams/Milner CARRIED
The Finance Manager explained the departure from procurement policy process. Staff provided an explanation of how an assessment is made of a preferred supplier/contractor in relation to procurement. When assessing a preferred supplier/contractor consideration must be given to community outcomes but this has to be weighed against higher prices, as the cost does sit with the ratepayer.
2 Audit and Risk Committee Minutes – 11-08-20 Doc ref: 2809538 Council Agenda - 26-08-20 Page 12
REPORT ON AUTO APPROVED INVOICES AND MITIGATION (2803425)
The Finance Manager presented a report that provided a summary of invoices that were auto approved during the period 1 January 2020 – 30 June 2020.
RESOLVED
THAT the report be received.
ARC20/56 Harris/Smeaton CARRIED
The Finance Manager spoke on the patches that had been applied to council’s software to resolve the self-approval of invoice issue. It was emphasised that currently, no single person can approve an invoice. This process is monitored regularly on a weekly basis.
It was agreed that reporting to the Committee be an annual update as long as no issues are identified. If any issues are identified, that these be reported Committee at the next meeting.
RESOLVED
THAT issues regarding self-approved invoicing are only reported to the committee as required, except for an annual update.
ARC20/57 Milner/Adams CARRIED
TREASURY REPORT - 31 JULY 2020 (2803516)
The Group Manager - Corporate Services presented a report on the financial performance in relation to Council’s investments and liabilities.
RESOLVED
THAT the report be received.
ARC20/58 Smeaton/Adams CARRIED
Council’s performance is monitored on a regular basis to enable it to fulfil its requirements of managing investments and liabilities prudently, and in a way that promotes the current and future interests of the community. Council has policy limits to ensure this prudence.
The Group Manager and CEO provided examples of financial risk scenarios.
HEALTH AND SAFETY AUDIT AND RISK REPORT 4 AUGUST 2020 (2793791)
The Health and Safety Advisor attended the meeting and spoke to the Health and Safety report that detailed where Council is tracking in the areas of health, safety and wellbeing.
RESOLVED
THAT the report be received.
ARC20/59 Smeaton/Milner CARRIED
Declaration of Conflict of Interest
3 Audit and Risk Committee Minutes – 11-08-20 Doc ref: 2809538 Council Agenda - 26-08-20 Page 13
The Chief Executive declared an interest in the following item and took no part in the discussion.
INSURANCE PRESENTATION BY AON NZ (2803275)
The Finance Manager presented a report which advised that Aon New Zealand, through a Waikato LASS contract, have recently been reappointed as Councils Insurance broker.
The members were introduced to Mr Matthew Wilson, Aon New Zealand’s National Client Relationship Manager – Local Government Risk Practice and his colleague Deanna Macdonald, Local Authority Operations Manager. Matthew and Deanna provided a PowerPoint presentation and invited discussion on Aon’s provision of service to Council.
RESOLVED
THAT the report be received.
ARC20/60 Adams/Harris CARRIED
The meeting adjourned at 10.30am The meeting reconvened at 10.45am.
The meeting adjourned at 10.50am
COMMITTEE ONLY TIME
Staff vacated the Council chamber to allow the Chair to have committee only time with the Committee members.
The meeting reconvened at 11.10am.
AUDITOR GENERAL REVIEW ON LOCAL GOVERNMENT PROCUREMENT (2803053)
The Group Manager – Corporate Services presented a report regarding the insights gathered by the Controller and Auditor-General Office during its review into Local Government procurement.
RESOLVED
THAT the report be received.
ARC20/61 Adams/Smeaton CARRIED
Earlier in the year, the Office of the Controller and Auditor-General visited some 21 Councils to investigate how councils undertake procurement.
The Controller and Auditor-General has written an article (which was attached) outlining the insights they have gathered from those visits.
The Controller and Auditor-General encourages Council to reflect on the topics covered in its report and, where they see gaps, implement the necessary changes to strengthen their processes and procedures.
4 Audit and Risk Committee Minutes – 11-08-20 Doc ref: 2809538 Council Agenda - 26-08-20 Page 14
Matters of note raised:
Does your Council have adequate policies and processes in place for staff and elected members to:
• Declare and manage risks from conflicts of interest (which might affect all stages in the procurement life cycle)?
• Record gifts and hospitality from suppliers and potential suppliers?
The Chair requested Committee members consider if they believed the staff reports on procurement are adequate.
The members stated that they had no issues with staff reports relating to procurement.
Achieving broader outcomes through procurement:
• Is your Council clear about its role in promoting the social, economic, environmental, and cultural well-being of communities now and in the future?
• Does your Council understand how procurement can contribute to those outcomes?
• How have those outcomes been incorporated into your Council’s procurement policy and processes?
• Achieving community outcomes – reduce potential cost. The Committee members agreed that this is Council’s responsibility.
RESOLVED
THAT the Committee receive a short discussion paper on procurement focussed to meet the four wellbeing’s with an emphasis on economic outcomes.
ARC20/62 Adams/Milner CARRIED
PROPOSED RISK MANAGEMENT POLICY AND FRAMEWORK (2807188 APPENDIX A - PROPOSED RISK MANAGEMENT POLICY 2020 (2807189) APPENDIX B - PROPOSED RISK MANAGEMENT FRAMEWORK (2807190) APPENDIX C - PROPOSED RISK ANALYSIS TEMPLATE (2807191)
The Group Manager – Corporate Services and Finance Manager presented a report on the risk management policy and sought the Committees endorsement of the proposed Risk Management Policy and Framework.
RESOLVED
THAT the report be received.
ARC20/63 Harris/Smeaton CARRIED
During the audit of Council’s 2019 Annual Report, Audit NZ pointed out that Council’s Risk Management Policy was overdue for review.
Over the past few months, staff have reviewed a number of risk management policies from other Councils, along with HDC’s own existing policies.
5 Audit and Risk Committee Minutes – 11-08-20 Doc ref: 2809538 Council Agenda - 26-08-20 Page 15
There were three proposed documents for the Committee to consider:
Appendix A - Risk Management Policy, Appendix B – Risk Management Framework, and Appendix C – Risk Analysis Template.
Three options within the report were offered to the Committee to consider in making a decision on the preferred option.
RESOLVED
THAT the Committee endorses the proposed Risk Management Policy, Risk Management Framework, and Risk Analysis Template.
ARC20/64 Adams/Harris CARRIED
RISK REGISTER AUGUST 2020 (2803477) ATTACHMENT A – HDC RISK REGISTER - JULY 2020 (2794854)
The Finance Manager presented the report on corporate risk including the risk register to July 2020 for the Committee’s review.
RESOLVED
THAT the report be received.
ARC20/65 Milner/Smeaton CARRIED
KPMG INTERNAL AUDIT REVIEWS - PROGRESS REPORT (2803342) APPENDIX A - KPMG INTERNAL AUDIT REVIEWS PROGRESS REPORT - 11 AUGUST 2020 (2802656)
The Finance Manager presented the progress report against the matters raised by the KPMG internal Audit reviews.
RESOLVED
THAT the report be received.
ARC20/66 Harris/Smeaton CARRIED
It was noted that 25 corrective actions have been cleared with a further four in progress.
6 Audit and Risk Committee Minutes – 11-08-20 Doc ref: 2809538 Council Agenda - 26-08-20 Page 16
MATTERS TO BE TAKEN WITH THE PUBLIC EXCLUDED
RESOLVED
THAT the public from the following parts of the proceedings of this meeting.
The general subject of each matter to be considered while the public is excluded, the reason for passing this resolution in relation to each matter and the specific grounds under section 48(1) of the Local Government Official Information and Meetings Act 1987 for the passing of this resolution are as follows:
Item General subject Reason for passing this Ground(s) Under No. of each matter resolution in relation Section 48(1) for the to be considered to each matter Passing of this Resolution
1 Cybersecurity Section 7(2) (g) – Section 48(1)(a) That the Programme Maintain Legal public conduct of the Baseline Professional Privilege relevant part of the Assessment proceedings of the meeting would be likely to result in the disclosure of information for which good reason for withholding would exist.
2 Rates in Arears Section 7(2)(a) – Section 48(1)(a) That the Protect the privacy of public conduct of the natural persons, relevant part of the including that of proceedings of the deceased natural meeting would be likely to persons. result in the disclosure of information for which good reason for withholding would exist.
ARC20/67 Adams/Smeaton CARRIED
7 Audit and Risk Committee Minutes – 11-08-20 Doc ref: 2809538 Council Agenda - 26-08-20 Page 18
RESOLVED
THAT the public be re-admitted to the meeting and that the business in committee discussed be confirmed.
ARC20/71 Harris/Adams CARRIED
The meeting closed at with a karakia from Cr Milner at 12.10pm.
CONFIRMED
C Buchanan Chairperson
13 October 2020
9 Audit and Risk Committee Minutes – 11-08-20 Doc ref: 2809538 Council Agenda - 26-08-20 Page 19
HAURAKI DISTRICT COUNCIL
HEARINGS AND JUDICIAL COMMITTEE
MINUTES OF A MEETING OF THE HEARINGS AND JUDICIAL COMMITTEE HELD IN THE COUNCIL CHAMBERS, WILLIAM STREET, PAEROA ON MONDAY, 24 FEBRUARY 2020 COMMENCING AT 9.00AM
PRESENT Cr P A Milner (Chairperson), A Spicer (Deputy Chairperson) and His Worship the Mayor, D A Adams
IN ATTENDANCE Messrs P Thom (Planning & Environmental Services), Mr M Sexton (Dog Control Officer) and Ms C Black (Council Secretary)
KARAKIA TIMATANGA
Cr Spicer opened the meeting with a karakia.
APOLOGIES
There were no apologies.
LATE ITEMS
There were no late items.
DECLARATIONS OF CONFLICTS OF INTEREST
There were no conflicts of interest.
CONFIRMATION OF MINUTES
RESOLVED
THAT the minutes of the meeting of the Hearings and Judicial Committee held on Monday 16 December 2019 are received and confirmed as a true and correct record.
HJC20/01 Milner/Spicer CARRIED
1 Hearings & Judicial Committee Minutes - 24-02-20 Doc ref: 2725494 Council Agenda - 26-08-20 Page 20
The Chairperson opened the hearing at 9.05am
Matters to be taken with the Public Excluded
RESOLVED
THAT the public be excluded from the following parts of the proceedings of this meeting.
The general subject of each matter to be considered while the public is excluded, the reason for passing this resolution in relation to each matter and the specific grounds under section 48(1) of the Local Government Official Information and Meetings Act 1987 for the passing of this resolution are as follows:
Item General subject of Reason for passing this Ground(s) Under No. each matter to be resolution in relation to Section 48(1) for the considered each matter Passing of this Resolution
Item 1 Objection to Section 7(2)(a) – Section 48(1)(a) That Classification of dog Protect the privacy of the public conduct of under Section 33A natural persons, the relevant part of the Dog Control Act 1996 including that of proceedings of the deceased natural meeting would be likely persons. to result in the disclosure of information for which good reason for withholding would exist.
HJC20/02 Adams/Milner CARRIED
2 Hearings & Judicial Committee Minutes - 24-02-20 Doc ref: 2725494 Council Agenda - 26-08-20 Page 24
RESOLVED
THAT the public be re-admitted to the meeting and that the business in committee discussed be confirmed.
HJC20/05 Spicer/Adams CARRIED
Cr Spicer closed the meeting with a karakia at 10.00am.
CONFIRMED
P A Milner Chairperson
10 August 2020
6 Hearings & Judicial Committee Minutes - 24-02-20 Doc ref: 2725494 Council Agenda - 26-08-20 Page 25
HAURAKI DISTRICT COUNCIL
EMERGENCY MANAGEMENT COMMITTEE
MINUTES OF A MEETING OF THE EMERGENCY MANAGEMENT COMMITTEE HELD IN THE COUNCIL CHAMBERS, WILLIAM STREET, PAEROA ON MONDAY, 10 AUGUST 2020 COMMENCING AT 1.37PM
PRESENT Cr P Buckthought (Chair), Cr P A Milner, Cr R Garrett and Cr D Smeaton
IN ATTENDANCE P Shaw and M Tinworth (Fire and Emergency NZ), J Armit and M Delaney (St. John Ambulance Service), A Bubear - Waikato Group Emergency Management Office Waikato DHB and S Vowles via zoom (NEMA)
L D Cavers (Chief Executive), S B Fabish (Group Manager – Community Services & Development/Local Controller), P Thom (Group Manager – Planning and Environmental Services/Recovery Manager), C Moore (Senior Project Manager/Local Controller in training), J McIver (Community Engagement Manager/Response Manager), B Otto (Emergency Management Officer) and K McLaren (Community Engagement Officer/Acting Council Secretary)
Karakia timatanga Cr Buckthought opened the meeting with a karakia.
APOLOGIES
RESOLVED
THAT the apology of His Worship the Mayor, D A Adams be received and sustained.
EMC20/01 Milner/Smeaton CARRIED
DECLARATION OF LATE ITEMS
There were no late items.
DECLARATIONS OF INTERESTS
There were no declarations.
LOCAL CONTROLLER’S QUARTERLY UPDATE [2793131]
The Local Controller presented a report that provided the committee with a quarterly update on activities of the Local Controller.
RESOLVED
THAT the report be received.
EMC20/02 Smeaton/Garrett CARRIED
1 Emergency Management Committee Minutes - 10-08-20 Doc Ref. 2808925 Council Agenda - 26-08-20 Page 26
EMERGENCY MANAGEMENT OFFICER UPDATE [2793147] Appendix A: National Disaster Resilience Strategy [2794000] Appendix B: Guide to National CDEM Plan 2015 [2807319] Appendix C: Waikato CDEM Group Plan 2016-21 [2807151]
The Emergency Management Officer presented a report that provided the Committee with an update on Emergency Management activities to date.
RESOLVED
THAT the report be received.
EMC20/03 Smeaton/Garrett CARRIED
COVID-19 UPDATE (2793044)
The Response Manager presented a report that provided an update on the Emergency Management activities during the COVID-19 response.
RESOLVED
THAT the report be received.
EMC20/04 Milner/Smeaton CARRIED
CAPABILITY ASSESSMENT MONITORING AND EVALUATION REPORT [2793071] Appendix A: CAR [2793979] Appendix B: CAR Work Plan 2019 [2795063]
The Response Manager presented a report that included an externally contracted capability assessment monitoring and evaluation report.
RESOLVED
THAT the report be received.
EMC20/05 Garrett/Smeaton CARRIED
RESOLVED
THAT the Emergency Management Committee receives the Capability Assessment Report – 2019, and
THAT the Capability Assessment Report Work Plan 2019 be approved.
EMC20/06 Smeaton/Garett CARRIED
PUBLIC INFORMATION MANAGEMENT FUNCTION QUARTERLY UPDATE [2793069]
The Response Manager presented a report that provided the committee with a quarterly update on the Public Information Management Function.
RESOLVED
THAT the report be received.
EMC20/07 Milner/Garett CARRIED
2 Emergency Management Committee Minutes - 10-08-20 Doc Ref. 2808925 Council Agenda - 26-08-20 Page 27
WELFARE FUNCTION QUARTERLY UPDATE [2793074] Appendix A - Welfare Business Plan
The Emergency Management Officer presented a report and that provided the Committee with a quarterly update on the Welfare Function. A copy of the HDC Welfare Business Plan covering 1 July 2020 - 30 June 2021 was attached for the member’s information.
RESOLVED
THAT the report be received.
EMC20/08 Smeaton/Milner CARRIED
RECOVERY MANAGER FUNCTION QUARTERLY UPDATE [2792870]
The Recovery Manager presented a report that provided the Committee with a quarterly update on the Recovery Function.
RESOLVED
THAT the report be received.
EMC20/09 Smeaton/Milner CARRIED
EXTERNAL ADVISORS VERBAL UPDATE
The external advisors to the committee provided a verbal update on activities to date.
FENZ – Paul Shaw and M Tinworth St. John – John Armit and M Delaney Waikato Group CDEM Update - Andrew Bubear NEMA (MCDEM) Update - Suzanne Vowles
Karakia whakamutunga Cr Buckthought closed the meeting with a karakia at 3.13pm.
CONFIRMED
Cr P Buckthought Chairperson
16 November 2020
3 Emergency Management Committee Minutes - 10-08-20 Doc Ref. 2808925 Council Agenda - 26-08-20 Page 28
FOR DECISION MŌ TE WHAKATAUNGA
TO Mayor and Councillors
AUTHOR Duncan Peddie Group Manager Corporate Services
FILE REFERENCE Document: 2811255 Appendix A: 2811252 Risk Management Policy Appendix B: 2811253 Risk Management Framework Appendix C: 2811254 Risk Analysis Template PORTFOLIO HOLDER/S Councillor Daley Finance portfolio MEETING DATE 26 August 2020
SUBJECT Proposed Risk Management Policy and Framework
SUMMARY | TE WHAKARĀPOPOTANGA
Council’s Risk Management Policy was overdue for review. This paper presents a proposed Policy and Framework for Council’s consideration. The Audit and Risk Committee have reviewed the proposed Policy and Framework as presented in this paper, and have recommended them to council for adoption.
The decision is not considered to be a significant decision.
Whaarangi 1 | 7 M 2807185 Council Agenda - 26-08-20 Page 29
RECOMMENDATION | TE WHAIKUPU
THAT the report be received.
THAT the Council: a) Adopt the proposed Risk Management Policy and Framework as presented.
OR
b) Adopt the proposed Risk Management Policy and Framework with amendments, if any.
OR
c) Instructs staff to engage an external independent resource to develop a Risk Management Policy and Framework.
1 PURPOSE | TE ARONGA
To present Council with a proposed Risk Management Policy and Framework for their consideration.
2 BACKGROUND | TE KŌRERO Ā MUA The history:
During the audit of Councils 2019 Annual Report, Audit NZ pointed out that Council’s Risk Management Policy was overdue for review.
Over the past few months, staff have reviewed a number of risk management policies from our fellow Councils, along with our existing policies. We have three proposed documents for the Council to consider: Appendix A - Risk Management Policy Appendix B – Risk Management Framework Appendix C – Risk Analysis template
The Audit and Risk Committee considered the above documents on the 11th of August 2020. The Committee resolved to recommend to council, that the risk documents be adopted as presented.
3 THE ISSUES | NGĀ TAKE
It is widely accepted that having a well embedded Risk Management Policy and practices within an organisation is good business practice. It is also accepted that the policy and framework should be reviewed periodically to ensure it is still fit for purpose.
3.1 Councils current Risk Management Policy and Framework are overdue for review.
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4 ENGAGING WITH OUR COMMUNITIES | KIA UIA TE HAPORI WHĀNUI
Staff consider that the Council does have enough of an understanding of community views and preferences on this matter. The level of engagement considered appropriate for this matter, at this point in time, is to not to engage at this time.
5 OUR OPTIONS | NGĀ KŌWHIRINGA A MĀTOU
Staff have identified the following options for the Council to consider: Adopt the proposed Risk Management Policy and Framework. Adopt the Proposed Risk Management Policy and Framework with amendments, if any. Engage an external independent resource to develop a Risk management Policy and Framework for Council
These options and their advantages and disadvantages are outlined below.
5.1 OPTION 1: Endorse the proposed Risk Management Policy and Framework.
ABOUT THIS OPTION Staff have reviewed a number of risk management policies from our fellow Councils along with our current policy. Risk management policies amongst the sector both in New Zealand and Australia are somewhat generic based on proven core principles that apply across the public and private sector, with tweaks to reflect individualism. ADVANTAGES DISADVANTAGES Risk Management policies across the sector There may be very recent developments in have been influenced over recent years by the area of Risk Management that might not advice from advisors such as KPMG and be reflected in the Policies or literature Deloitte’s who specialise in this area. reviewed by staff.
FINANCIAL COSTS
Whole of life costs Capital costs: N/A Ongoing annual operating: N/A One off operating cost: N/A Budget source N/A Changes to budgets In order to accommodate these costs there will not need to be changes to budgets.
Impact on the Council’s debt There is no impact on the Council’s debt
Potential impact on rates There will be no impact on rates as there are no additional financial expenditure associated with this option.
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5.2 OPTION 2: Endorse the proposed Risk Management Policy and Framework with amendments, if any.
ABOUT THIS OPTION Opportunities for improvement may emerge when the proposal is considered by the Council. This option provides for such improvements to be incorporated into the final document adopted by Council. ADVANTAGES DISADVANTAGES Provides for an opportunity to submit an There may be very recent developments in improved policy to Council. the area of Risk Management that staff may not be aware.
FINANCIAL COSTS
Whole of life costs Capital costs: N/A Ongoing annual operating: N/A One off operating cost: N/A
Budget source N/A Changes to budgets In order to accommodate these costs there will not need to be changes to budgets.
Impact on the Council’s debt There is no impact on the Council’s debt
Potential impact on rates There will be no impact on rates as there are no additional financial expenditure associated with this option
5.3 OPTION 3: Engage an external independent resource to develop the proposed Risk Management Policy and Framework.
ABOUT THIS OPTION Engagement of the right external advisor should ensure that Councils Risk Management Policy would be based on the most up to date theory in this area.
ADVANTAGES DISADVANTAGES Provides for an opportunity to submit an Cost. improved policy to Council.
FINANCIAL COSTS
Whole of life costs Capital costs: N/A Ongoing annual operating: N/A One off operating cost: $15,000 - $25,000
Budget source Corporate Services Changes to budgets In order to accommodate these costs there will need to be changes to budgets.
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Impact on the Council’s debt There is impact on the Council’s debt as Council will need to borrow for this unbudgeted expenditure
Potential impact on rates There will be impact on rates as there additional financial expenditure associated with this option
6 PREFERRED OPTION| TE KŌWHIRINGA MATUA
Staff recommend proceeding with option 2 – Endorse the proposed Risk Management Policy and Framework with amendments, if any.
6.1 LINKAGES
STRATEGIC The preferred option IS consistent DIRECTION with the Council’s strategic direction, including community outcomes. LONG TERM PLAN / The preferred option IS consistent ANNUAL PLAN with the long term plan and/or ALIGNMENT annual plan programmes and budgets. POLICIES, BYLAWS The preferred option IS consistent AND PLANS with the Council’s other ALIGNMENT strategies, policies, bylaws and plans. SIGNIFICANCE The decision IS NOT considered ASSESSMENT significant under the Council’s Significance and Engagement Policy 2017. IMPLICATIONS FOR The decision DOES NOT involve a MĀORI significant decision in relation to land or a body of water.
6.2 ASSESSING THE RISKS
Staff have identified the following risks associated with the recommended option.
Risk Description of risk Level of risk How we could soften the risk remaining Regardless of option is Low Lead and promote a risk aware Low the installing of a risk culture across the organisation.
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Risk Description of risk Level of risk How we could soften the risk remaining aware culture across all staff and Governance at Implement the risk HDC management framework across the organisation. Group Managers to ‘own’ risks relevant to, or arising from, their groups. Group Managers to lead and promote a risk aware culture within their groups.
7 NEXT STEPS | TE ARA KI MUA
Timeframe Action Comments
Should Council adopt the proposed Risk Management Policy and Framework staff will update the policy register and implement the risk management framework across the organisation.
8 Approval
Prepared by Steve Baker Finance Manager Approved by Duncan Peddie Group Manager Corporate Services
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APPENDIX A
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Appendix A
2020 Draft Risk Management Policy
our home, our future tō tātou rohe kāinga, tō tatou ao tūroa
Council Agenda - 26-08-20 Page 36
Contents
1. Introduction ...... 1
2. Objective ...... 1
3. Policy ...... 2
4. Roles and Responsibilities ...... 4
5. Delegations ...... 6
6. Related Council policies/strategies or guidelines ...... 6
7. Glossary ...... 6
8. Review ...... 7
9. Document management and control ...... 7
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1. Introduction
1.1. This Risk Management Policy (policy) sets out the Hauraki District Council’s decision on risk management strategies, processes and operations. It is made in accordance with the Joint Australian New Zealand International Standard Risk Management – Principles and Guidelines (AS/NZS ISO 31000:2009).
1.2. We care about risk management at Hauraki District Council (HDC) because it supports how we achieve our organisational objectives.
1.3. This policy provides us with the ability to determine the impact of uncertainty upon things that we value. We seek to better understand risk because it informs the decisions that we make in order to protect and develop that value.
1.4. This policy does not set out how risk management is implemented. Approaches for implementing risk management are detailed in the Risk Management Framework (MagiQ document 2805491).
2. Objective
2.1. Risk management is the coordinated set of knowledge, behaviours, and practices that we use to control the risks that can impact on the things that we value. As such, risk management aims to reduce threats and maximise opportunities.
2.2. The purpose of this policy is to provide a consistent process to enhance efficient operations, effective processes and successful strategies that increase the likelihood of achieving the best outcomes for the district and the Council by:
a) Ensuring risk-based information is available to support good decision-making b) Providing assurance that risks are being appropriately addressed and managed, and c) Ensuring compliance with applicable legislation and regulation.
2.3. The Council’s approach to risk management is consistent with the Joint Australian New Zealand International Standard Risk Management – Principles and Guidelines (AS/NZS ISO 31000:2009). That Standard provides the following principles of risk management:
d) Risk management creates and protects value e) Risk management is an integral part of all organisational process f) Risk management is a part of decision making g) Risk management explicitly addresses uncertainty h) Risk management is systematic, structured and timely i) Risk management is based on the best available information j) Risk management is tailored k) Risk management takes human and cultural factors into account
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l) Risk management is transparent and inclusive m) Risk management is dynamic, iterative and responsive to change n) Risk management facilitates continual improvement of the organisation
3. Policy
3.1. Risks can be positive or negative and can be ‘risks to Council’ or ‘risks to the district’.
3.2. Positive risks, or risks of opportunity, should be embraced, in a cost-effective manner, to the extent that they help Council or the district to meet its objectives.
3.3. Negative risks should be managed in a cost-effective manner so that they do not detract from Council or the district meeting its objectives.
3.4. In tabular form these concepts can be shown as follows:
Negative risk Positive risk District 3 4 risk Understanding risks for the Understanding opportunities for district and assessing Council’s the district and assessing role in managing those risks Council’s role in developing those opportunities
Council 1 2 risk Understanding and managing Understanding and exploiting risks for Council and its opportunities for Council immediate stakeholders
3.5. Council’s initial approach will be to focus on quadrant one while remaining aware of the responsibilities and possibilities under quadrants two, three and four.
3.6. Council has a formal risk management framework that principally focuses on quadrant one risks. This approach will be reviewed as part of each policy review, or sooner if required.
Commitment to risk management: 3.7. Council recognises that early and systematic identification, analysis and assessment of risks and the development of plans for controlling and mitigating risk are necessary to achieve its desired objectives.
As such, Council is committed to identifying, analysing, assessing and appropriately managing the risks to its objectives
3.8. Risk management is the responsibility of everyone.
3.9. Council encourages intelligent and informed risk-taking and risk-acceptance in pursuit of its objectives.
3.10. Adverse risks that Council is exposed to are either avoided or if it is not possible to avoid those risks controlled to an acceptable level.
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Identification of risks 3.11. All staff members are empowered, and expected, to identify and communicate risks. Identified risks will be recorded in a risk management plan. Where, for whatever reason, direct reporting lines are not able to be used to communicate identified risks, alternative methods will be made available. These will include, but not be restricted to, direct notification to Group Managers or the Chief Executive.
Analysis of risks 3.12. Risks will be analysed to determine potential causes, the likelihood of occurrence, and the potential consequences if they do occur.
3.13. The causes, likelihood and consequence will be recorded in a risk management plan.
3.14. In accordance with the principle that risk management is tailored, the analysis of risks will reflect the relevant objectives of the Council, organisation, group, unit or project.
3.15. For the high-level ‘corporate risk management plan:
3.15.1. The likelihood of a risk event occurring will be assessed in accordance with the Likelihood Table included as in Step 4 of the Risk Management Framework
3.15.2. The potential consequences if a risk event occurs will be assessed in accordance with the Consequence Assessment included in step 3 of the Risk Management Framework.
3.15.3. The assessments of the likelihood of a risk event occurring and the potential subsequent consequences will be considered together in accordance with Step 5, the Risk Management Matrix included in the Risk Management Framework.
3.15.4. The analysis of risks at subsidiary levels will be undertaken in a manner consistent with the above but may be tailored to suit the relevant circumstances.
Evaluation of risks 3.16. Analysed risks will be evaluated against criteria to determine whether a risk is tolerable in its current state or whether further action is required.
3.17. The evaluation of risks will consider established risk tolerances for such risks, as well as any risk-specific factors.
3.18. The evaluation of risk will include reference to the Risk Response table included in the Risk Management Framework.
Treatment of risks 3.19. Where residual risk is considered to be too high, risk treatments will be applied to reduce the residual risk to an acceptable level.
3.20. In considering risk treatments consideration will be given to both the costs and effort involved in the treatment and the potential benefit from the risk reduction.
3.21. Risk treatment can involve:
a) Avoiding a risk by deciding not to start or continue with the activity that gives rise to the risk. b) Taking or increasing risk in order to pursue an opportunity
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c) Removing the risk source d) Changing the likelihood of the risk occurring e) Changing the consequence if the risk occurs f) Sharing the risk with another party or parties, or g) Retraining the risk by informed decision.
Recording of risks 3.22. Risks, controls and mitigations will be recorded in a risk management plan.
3.23. A high level organisation-wide ‘corporate risk management plan’ will be maintained to record and report on risks of Council-wide significance.
3.24. Subsidiary risk management plans will be prepared as appropriate throughout the organisation. These may include, but will not be limited to:
a) Group risk management plans b) Activity risk management plans (within Activity Management Plans) c) Asset risk management plans (if appropriate to be separate from Activity Management Plans) d) Specialists risk management plans (for example, health and safety) e) Project risk management plans, and f) Any other risk management plan relevant to helping Council achieve its objectives.
Reporting of risks 3.24.1. Identified risks, and the associated controls, mitigations and accountabilities, will be reported in accordance with the risk review and reporting table set out in step 9 of the Risk Management Framework.
3.24.2. Risk management plans will be reported regularly to both the Management Team and the Committee responsible for risk.
Accountability for risks: 3.24.3. Specific accountability for each risk, control and mitigation will be identified and recorded in a risk management plan.
4. Roles and Responsibilities
Assigning specific responsibilities to specific roles provides clarity and strengthens the overall risk management framework.
Governance Responsibility Council Determine organisations risk appetite.
To be assured that a risk management framework is in place and that risks are being appropriately managed
Committee Subject to the governing body’s delegated authority, the responsible Committee responsible for risk has responsibility to:
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Review the risk management framework Consider matters related to the quality assurance and internal controls in the organisation including by enquiry and monitoring of risk matters Advise the governing body on matters of risk and provide objective advice and recommendations for the governing body’s consideration
Management Responsibility Chief Assist Council to determine organisations risk appetite. Executive Approve the risk management framework and recommend it to the Committee responsible for risk.
Lead and promote a risk aware culture across the organisation.
Implement the risk management framework across the organisation Group ‘Own’ risks relevant to, or arising from, their groups. Managers Lead and promote a risk aware culture within their groups ELT Endorse the risk management framework and champion it to the organisation.
Monitor effective implementation of the risk management framework across the organisation.
Receive and consider risk management plans on a quarterly basis
Receive and consider other risk-related reports on an as- required basis.
Provide direction on risk tolerance at a general and risk- specific level.
Periodically review the risk management framework to ensure it remains appropriate. Risk Develop and maintain the risk management framework. Manager Facilitate the population and ongoing review of the high level ‘corporate risk management plan’.
Manage the interface between subsidiary risk management plans and the high level ‘corporate risk management plan’.
Advise on potential risk treatments for identified risk.
Consider and, where necessary, challenge the risks, controls, mitigations and accountabilities included (or not included) in risk management plans across the organisation.
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Support budget and business unit managers to implement the risk management framework in their departments and teams.
Lead the integration of risk management principles into other Council decision-making processes. Budget and Develop, populate and manage the risk management plan Business for their unit in accordance with the risk management Unit framework. Managers ‘Own’ risks relevant to or arising from, their teams.
Lead and promote a risk aware culture within their units/teams Staff and Provide support in identifying risk. Contractors As appropriate, ‘own’ risks, controls or mitigations.
5. Delegations
5.1. The Chief Executive or their nominee has delegated authority for the implementation of this policy.
6. Related Council policies/strategies or guidelines
6.1. Joint Australian New Zealand International Risk Management – Principles and Guidelines (AS/NZS ISO 31000:2009).
6.2. Risk Management Framework (document 2805491)
7. Glossary
7.1. Some policies may require a definition section. The purpose of this section is to define areas that may need clarification.
Committee means the Audit and Risk Subcommittee, or a responsible for subsequent Committee of Council established with risk similar roles, responsibilities and powers. is a process, policy, device, practice or other action that reduces the likelihood of a risk event occurring or Control reduces the potential consequence of that risk event before the risk event occurs means the entity known as the Hauraki District Council Council and includes the governing body and the organisation. Governing body Means the mayor and all councilors. is a process, policy, device, practice or other action Mitigation that is intended to reduce the consequence of a risk
event after the risk event has occurred.
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means the operations, processes and staff of Hauraki Organisation District Council led by the Chief Executive. is the risk remaining after risk treatment. (AS/NZS Residual risk ISO 31000/2009) is the effect of uncertainty on objectives. (AS/NZS ISO Risk 31000/2009) an organisation’s approach to assess and eventually Risk Appetite pursue, retain, take or turn away from risk. is an occurrence or a change in a particular set of Risk event circumstances that gives rise to, or modifies, a risk is the coordinated activities to direct and control an Risk management organisation with regard to risk. (AS/NZS ISO 31000/2009) is the combined suite of tools and processes, including Risk management this policy and supporting procedures, by which framework Council manages risk. is a schedule that records risks and the controls, Risk management mitigations, risk treatments, and accountabilities plan associated with those risks. Risk register is the same as a ‘risk management plan’. is the process to modify risk. (AS/NZS ISO Risk treatment 31000/2009 an organization’s or stakeholder’s readiness to bear Tolerable Risk the risk after risk treatment in order to achieve its objectives
8. Review
8.1. The policy will be reviewed within three years after the first policy is adopted by the Council and then at intervals determined by the Council.
9. Document management and control
Hauraki District Council Draft Risk Management Policy Title 2020 Sponsor Group Manager Corporate Services Approved by: [name and job title] Adoption date: [date] Review by: [date] File ref: 2804708 Property of Hauraki District Council
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Appendix B
Hauraki District Council Risk Management Framework
Guidelines for staff
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Document management and control
Title Hauraki District Council Risk Management Framework Sponsor Group Manager Corporate Services Approved by: [name and job title] Adoption date: [date] Review by: [date] File ref: 2805491 Property of Hauraki District Council
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Table of Contents
...... 1 Hauraki District Council ...... 1 Document management and control ...... 2 Definitions ...... 5 Hauraki District Council - Risk Management Process ...... 6 Step 1: Project objectives ...... 6 Step 2: Risk identification ...... 6 Step 3: Consequence assessment ...... 8 Step 4: Likelihood Assessment ...... 10 Step 5: Evaluate the risk using the risk matrix ...... 10 Step 6: Risk analysis ...... 11 Step 7: Risk action plan ...... 11 Step 8: Assess risk again ...... 11 Step 9: Risk review and reporting ...... 12 Risk Management Framework Review ...... 13
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Purpose
The nature of Hauraki District Council’s activities and operating environment means that the Council is exposed to a wide range and high level of continuing risk in delivery of its services and conduct of its business.
Whilst risk is inherent in all activities, the management of risk is good business practice and integral to sound corporate governance. In addition, the Council is accountable to its communities, as well as large and diverse groups of other stakeholders, businesses and government agencies.
Risk management is the coordinated activities to direct and control an organisation with regard to risk1.
The Risk Management Framework has been informed by the AS/NZS ISO 31000 2009 Risk Management Principles and Guidelines and forms part of the Hauraki District Council’s internal control arrangements.
The Framework sets out a common “Hauraki Way” for identifying, managing, monitoring, reviewing and reporting of risk.
The Risk Management Framework should be read in conjunction with the Council’s Risk Management Policy (MagiQ 2804708) which details the Council’s underlying approach to risk and risk management.
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Definitions
Risk management Sets out a common, systematic “Hauraki Way” for framework identifying, managing, monitoring, reviewing and reporting of risk. Also known as risk management process.
Risk Appetite IS the amount of risk that an organisation is willing to accept in pursuit of value Risk Maturity Based on assessment of current state of our risk management framework against the KPMG’s maturity framework. Scale - weak to advanced Risk assessment The overall process of risk identification and analysis.
Risk identification The process of identifying, considering and rating risks.
Risk analysis The process of evaluating in detail the causes and consequences of a risk, and the identification of appropriate mitigations to reduce the initial risk rating.
Risk rating (initial) The magnitude of a risk or combination of risks expressed in terms of the consequences and likelihood of that risk at a point in time.
Risk rating The magnitude of a risk or combination of risks expressed (residual) in terms of the consequences and likelihood, with additional controls and mitigations in place.
Risk owner Staff may be appointed as risk owners for specific risks within their area of responsibility. As a risk owner, they will be responsible for: Ensuring that risk information is kept up to date and relevant. Ensuring mitigating action is carried out. Reporting and escalating any changes to the risk information.
Internal controls Are the processes and procedures used to govern, oversee and manage the Council’s services and work programme.
Consequence Consequence is an assessment of the impact of the risk event occurring. (See Step 3)
Likelihood Likelihood is the probability or frequency of the risk event occurring. It’s usually rated in terms of an annual occurrence and a percentage chance of the event happening within a specified timeframe. (See Step 4)
Risk matrix The risk matrix enables the relative priority of all risks to be assessed – that means that all identified risks are represented in a form that readily portrays their significance in comparison to other risks that the Council has identified. (See Step 5)
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Hauraki District Council - Risk Management Process
There are nine steps in the risk management process.
Step Know and articulate project objectives. 1
Step Identify the risks that can cause a hazardous or unwanted event or 2 occurrence, or that compromise achievement of objectives. Risk categories have been developed and should be used as a prompt for risk identification.
Step Describe the consequences of the event and assign the severity level 3 (using the risk matrix).
Step Assess the likelihood of the risk (using the risk matrix). 4
Step Evaluate the risk (using the risk matrix) to categorise the risk without 5 safeguards in place.
Step Undertake risk analysis (for example the bow tie analysis to understand 6 the mitigation strategies and controls).
Step Develop a risk action plan. 7
Step Assess the risk again with safeguards in place. 8
Step Action, report, monitor and review. 9
Step 1: Project objectives
In order to undertake a risk assessment, it is first necessary to clearly understand the project objectives, or outcomes which the activity is intended to achieve. This is the responsibility of the project manager, project sponsor, or in the case of a business as usual activity, the responsible manager.
Step 2: Risk identification
The next step is to identify risks which may hinder the achievement of the objectives. Ideally this exercise would be facilitated by an organisation risk champion.
When identifying risks, the following risk categories should be used to prompt risk thinking. These should correlate to the categories of the Risk Maturity and also Risk Appetite.
Financial & economic Health and safety (both staff and public) Legal compliance Political reputation
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Human resources Operations (includes project) Information (and communication, IT and data) Environment (natural disasters, industry change, cultural and demographic change, Central government change).
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Step 3: Consequence assessment
The third step is to determine the impact and consequences of the risks identified. Criteria are provided for this assessment to provide a common understanding and application of assessments of consequence. The criteria are as follows:
Risk consequence assessment criteria Rating → Insignificant (1) Minor (2) Moderate (3) Major (4) Catastrophic (5)
Risk category↓ Financial / Loss less than $5,000 or Loss $5,000 to $50,000 Loss $50,000 to Loss $200,000 to $1m in Loss of $1m or greater in Economic less in any 12 month in any 12 month period. $200,000 in any 12 any 12 month period. any 12 month period. period. month period. Health & Minor incident, no Incident incurring minor Incident requiring Serious injury or Loss of life. Safety medical attention injury, short term significant medical hospitalisation to several Wide-spread injury or needed. sickness, or requiring attention and 2 weeks to people. illness. No impact on public moderate medical 3 months impact, or Serious harm event with Event report and event health and safety. attention and up to 2 minor effect on many 3 + months impact to investigation to Health & Event report to Health & weeks. people. persons. safety officer. Safety officer. Event report to Health & Event report and Serious harm event Safety officer. investigation to Health & report and investigation Safety officer. submitted to Health & Safety officer. Human Permanent staff turnover Permanent staff turnover Permanent staff turnover Permanent staff turnover Permanent staff turnover Resources of 0 to 10% p.a. 10 to 15% p.a. 15 to 20% p.a. 20 to 30% p.a. exceeds 30% p.a. Can be absorbed within Minor incident contained Significant impact likely Important organisation Organisation targets normal operations, with local resources. to be of medium term targets cannot be cannot be achieved. minimal impact. significance to the achieved. Substantial Substantial organisation and require organisational changes organisational changes additional resource. and/or additional and/or additional resource needed. resource needed. Legal HDC sued or fined less HDC sued or fined HDC sued or fined HDC sued or fined HDC sued or fined in than $5,000. between $5,000 to between $50,000 to between $200,000 to excess of $1m. $50,000. $200,000. $1m.
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Reputation Negative reaction from Loss of confidence A manageable loss in Major loss in community Insurmountable loss in individuals or local among sections of the community confidence. confidence requiring community confidence. interest groups. community Negative media coverage substantial time to Negative media coverage Local adverse political Negative media coverage nationwide for several remedy. nationwide for more than comment and/or media nationwide for up to 2 days. Negative media coverage 2 weeks. coverage for several days Regional adverse nationwide for up to 2 Nationwide adverse days Local adverse political political comment and/or weeks political comment for comment and/or media media coverage for a Nationwide adverse more than 1 week. coverage for several week. political comments for days. several days Operational Isolated loss of Loss of operational Substantial loss of Substantial loss of Substantial loss of operational capability. capability in some areas. operational capability for operational capability for operational capability for No affect on strategic Strategic goals and 1 to 2 weeks. 2 to 4 weeks. over 4 weeks. goals and only levels of service Serious disruption to Serious disruption to Serious disruption to temporary affect on level temporarily affected. strategic goals and LOS. strategic goals and LOS. strategic goals and LOS. of service. In the case of essential In the case of essential In the case of essential In the case of essential In the case of essential services (such as water services (such as water services (such as water services (such as water services (such as water supply) impact of 3 – 12 supply) impact of 12 – supply) impact of 24 – supply) impact of > 72 supply) impact of < 3 hrs to < 100people, or< 24 hrs to < 100 people, 72 hrs to < 100 people, hrs to ≥ 100 people. hrs to < 100 people. 3 hrs to > 100 people or or3 – 12 hrs to > 100 or12 – 24 hrs to > 100 key customers. people or key customers. people or key customers. Project Negligible impact on Minor effects relatively Some project objectives Important project Project objectives cannot impacts project objectives. easily rectified. affected. objectives cannot be be met. achieved. Natural Localised short term Localised minor Moderate environmental Major effect and, long Serious damage of environment reversible damage to reversible damage to damage, local term impact. national importance and aquatic and/or terrestrial aquatic and/or terrestrial importance. Prosecution expected. irreversible impact. ecosystems, and/or ecosystems. Prosecution possible. Widespread long term Prosecution expected. visual effects. Temporary reduction to Widespread medium reversible damage to Widespread irreversible No identifiable reduction one species. term reversible damage aquatic and/or terrestrial damage to aquatic in species. to aquatic and/or ecosystems. and/or terrestrial terrestrial ecosystems. Significant reduction in ecosystems. Moderate reduction in one or more species. Permanent loss of one or one or more species. more species.
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Step 4: Likelihood Assessment
Likelihood is the probability or frequency of the risk event occurring. It’s usually rated in terms of an annual occurrence and a percentage chance of the event happening within a specified timeframe.
Information on past experience and frequency and future trends may inform your assessment of likelihood.
The following criteria are intended to provide a common understanding and application of assessments of likelihood.
Likelihood Criteria % For asset management risks (within 12-24 specifically, months) is the event likely to occur (1) Rare 0 - 10 > 20 Years (2) Unlikely to occur 10 - 25 Within 10-20 Years
(3) Possible 25 - 75 Within 6-10 years (4) Likely to occur 75 - 90 Within 2-5 Years
(5) Almost certain 90 - Within 1 Year 100
Step 5: Evaluate the risk using the risk matrix
This step involves placing the consequence and likelihood ratings on the risk matrix to provide an overall risk rating. The risk matrix enables the relative priority of all risks to be assessed – that means that all identified risks are represented in a form that readily portrays their significance in comparison to other risks that the Council has identified.
Consequence Insignificant Minor Moderate Major Catastrophic Likelihood Almost Moderate Moderate High Extreme Extreme certain Moderate Moderate High Extreme Extreme Likely
Low Moderate Moderate High High Possible
Low Low Moderate High High Unlikely
Low Low Low Moderate High Rare
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Step 6: Risk analysis This step involves consideration in detail of the causes, consequences, mitigations and controls for a particular risk.
Mitigations are potential, preventive measures to reduce the likelihood of the risk or to reduce the consequence of the risk in case it occurs.
Controls are plans that would be implemented in the event that the risk materialises.
The risk analysis exercise is the responsibility of the project manager, project sponsor, or in the case of a business as usual activity, the responsible manager and/or risk owner.
There is a template for risk analysis (#2806646).
Step 7: Risk action plan The risk action plan is an output of the risk analysis exercise. It is documented in the same template as the risk analysis (#2806646) and records the agreed mitigations and controls that will be acted upon in order to reduce the overall risk.
Step 8: Assess risk again Following the risk analysis and development of the risk action plan, repeat steps 3 – 5 again to determine a risk rating with the new controls in place. This rating is known as the residual risk rating.
The residual risk rating should be recorded in the department or project risk register by Budget/ Business Unit Managers.
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Step 9: Risk response review and reporting
The frequency of reviews and reporting will differ depending on the overall risk rating. As a general guide:
Overall risk Action Reporting rating Extreme Urgent and active Immediate notification to relevant management required\risk group manager treatment plan must be implemented immediately to Advise ELT, Audit and Risk reduce the risk exposure to Committee, immediately to allow an acceptable level tracking of risk.
Regular reporting required. If deemed necessary advise Council Includes reporting to Audit as soon as possible and Risk Committee and Council Included in Organisational risk registers including project risk registers
High Management attention is Notification to relevant group required. manager Risk treatment plan required. Advise ELT to allow tracking of risk Regular reporting required Includes reporting to Audit Advise Audit and Risk Committee at and Risk Committee and next meeting. Council Progress to be communicated to ELT bi monthly
Included in Organisational risk registers including project risk registers
Moderate Management responsibility to Included in management level risk monitor registers including project risk registers Focus on internal controls are effective and monitoring the Progress to be communicated to GM ongoing risk bi monthly
Low Can be monitored using Included in management level risk routine practices. registers including project risk registers Focus on ensuring internal controls are effective. Progress to be communicated to GM bi monthly
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Risk Management Framework Review
The Risk Management Framework will be reviewed tri-annually in conjunction with the Council’s Risk Management Policy.
For pragmatic purposes, the Chief Executive may make minor adjustments to the Risk Management Policy at any stage.
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Appendix C
Risk analysis template
Project Name Project objective(s) Risk assessment date
Conducted by
Brief project overview
<
Risk assessment
At this point in time, <
Review Plan Review period This risk assessment will be reviewed <
Review date The next review date is <
Overall risk assessment Consequence Likelihood Initial assessment Revised assessment (with controls) There is a risk that….. There is a risk that…..
There is a risk that….. There is a risk that…..
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Current project issues
At the time of conducting this risk assessment, there were a number of project issues identified. These include: <
Risk: There is risk that <
Risk: There is risk that <
Risk: There is risk that <
Risk: There is risk that <
Risk action plan As a result of this risk analysis the following actions will be taken.
Action Owner Date to be completed by
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FOR INFORMATION NGĀ MŌHIOTANGA
TO Mayor and Councillors
AUTHOR Chief Executive – Langley Cavers
FILE REFERENCE Document: 2810525
MEETING DATE Wednesday, 26 August 2020
SUBJECT Chief Executives Monthly Report – August 2020
RECOMMENDATION | TE WHAIKUPU
THAT the report be received.
THAT Council approves the appointment of Councillor Wilcock of Matamata-Piako District Council as the alternative to Mayor Ash Tanner on the Waikato Plan Leadership Committee.
THAT the Council considers this decision to be insignificant under its Significance and Engagement Policy 2017
1 Staff
Louise Chick has joined the Project Management Office for a fixed term to cover a period of parental leave for Ruth Vivian who has had a baby girl.
We are currently recruiting for a further Project Manager to join the PMO. Applications closed on 17 August and are currently being processed.
Sharlene Rumney has secured a permanent part time role as Library Assistant after working as a casual since November last year. An appointment to a further Library Assistant position was pending at the time of writing this report.
Recruitment is also underway for a Development Engineer to replace Warwick Meyer who left during the initial period of COVID.
Advertising for Pool Lifeguard seasonal positions will start shortly as we prepare for the opening of the swimming pool season.
Steve Fabish was fare-welled from his Group Manager Community Services and Development role in mid-August. There is no current intention to recruit for a replacement Group Manager, with a review of the current structure underway to make sure it is fit for purpose both now and into the future before any final decisions are made.
Whaarangi 1 | 2 2810525 Council Agenda - 26-08-20 Page 61
2 Council Appointment to Waikato Plan Committee
At the Council meeting held on the on the 24 June 2020 Council approved the appointment of Mayor Ash Tanner of Matamata-Piako District Council (MPDC) as the Hauraki and MPDC appointee to the Waikato Plan Leadership Group.
Subsequent to this MPDC also appointed Mayor Ash Tanner. MPDC also appointed an alternate to Mayor Ash Tanner on the Committee. They have resolved their Councillor Wilcock to be the alternate for representation of the Eastern Sub-region on the Committee. Councillor Wilcock will attend Waikato Plan Leadership meetings that Mayor Tanner is unable to attend.
Cr Wilcock is a dairy farmer from Matamata, and has an active involvement in numerous local community organisations encompassing health, education and sport.
Her current experience in governance includes being the chair of the Agrecovery Foundation, for which she represents the dairy industry. A second term Councillor with MPDC her responsibilities include being chair of the District Licensing Committee, being on the Matamata Community Stadium Working Group, Chairing the Solid Waste Working Party along with being a qualified hearings commissioner.
Further information on Cr Wilcock can be found at the following link.
https://www.mpdc.govt.nz/mayor-and-councillor-profile/adrienne-wilcock
Langley Cavers Chief Executive
Whaarangi 2 | 2 2810525 Council Agenda - 26-08-20 Page 62
FOR INFORMATION | NGĀ MŌHIOTANGA
TO Mayor and Councillors
AUTHOR Rebecca Jenks Economic Development Officer
FILE REFERENCE Document: 2814893 Appendix A: 2788294 Appendix B: 2774879
PORTFOLIO HOLDER/S Councillor Harris Community Growth portfolio
MEETING DATE 26 August 2020
SUBJECT Hauraki Rail Trail Charitable Trust Report
RECOMMENDATION | TE WHAIKUPU
THAT the report be received.
Whaarangi 1 | 2 M Insert doc number Council Agenda - 26-08-20 Page 63
1 PURPOSE | TE ARONGA
The purpose of this report is to provide the Council with the Hauraki Rail Trail Charitable Trust’s six monthly report and their Enhancement Strategy.
2 BACKGROUND | TE KŌRERO Ā MUA
This report is received in accordance with the funding agreement between the Settlor Councils and the Hauraki Rail Trail Charitable Trust which states that the Trust will report to Council twice yearly.
3 CONTENT
The report in Appendix A includes an update on the activities of the Hauraki Rail Trail Charitable Trust over the past six months as well the Trust’s budget. Also attached in Appendix B is the Trust’s Enhancement Strategy for the Hauraki Rail Trail.
Approval
Prepared by Rebecca Jenks Economic Development Officer Approved by Peter Thom Group Manager Planning & Environmental Services
Whaarangi 2 | 2 M Insert doc number Council Agenda - 26-08-20 Page 64
The Hauraki Rail Trail Charitable Trust Six Monthly Report June 2020
The Hauraki Rail Trail Charitable Trust is reporting on activity undertaken in the past six months.
The Trust has established a strong position for itself with the governance model working well and recognized as one on the leading exemplars within New Zealand and Australasia. Pre-COVID we had been invited to present on Trust’s turnaround at the TRC Trails conference in Alice Springs, however this has now been delayed due to travel restrictions.
We are pleased to advise that in December, Audit NZ again gave a clean bill of health to the Trust. The public sector audit identified that the Trust is carrying out its activities effectively and efficiently with no waste or probity issues.
Extensions to the trail from Te Aroha to Matamata and from Kaiaua to Pūkorokoro Miranda are nearing completion. Planning has started for an official opening in November 2020, subject the trail being accepted as part of the Nga Haerenga Great Ride network. We cannot foresee any issues arising with this approval.
COVID-19 The Hauraki Rail Trail had to close the trail network under level 4 protocols, as the Trust was unable to provide a safe environment for users. The trail width does not allow for a 2-metre passing zone, and narrow bridges presented a touch-based health hazard and would have to have been closed off. In addition, toilets were not able to be serviced presenting a further bio-hazard for users and for staff. Level 3 allowed for usage of the trail, and the Trust asked for self-registration. Over 750 people registered their rides which was able to be managed through the Trail Manager software that the Trust already had in place. Level 2 allowed for larger groups, and Level 1 is almost back to a ‘normal’ window. Numbers of the trail took a deep dive during the closure, but bounced back immediately to pre- COVID numbers, showing the importance our local community places on having the Great Ride in our backyard.
COVID-19 also presented an opportunity to re-position the Hauraki Rail Trail in the Great Ride Network. HDC staff, along with MBIE and NZCT officials and Trust members evaluated the Trail offering and established a gap in the Great Ride network for a ‘nursery’ grade trail. The HRT is ideally placed to offer an entry-level multi-day entry point into the ride market. This would involve a major upgrade to the trail surface, landscaping and trail-support network. The Trust made a bid to the Crown Infrastructure Partnership for $21.64m which has been shortlisted for ministerial consideration. The Trust engaged MartinJenkins, an economic assessment company often employed by MBIE, to undertake an evaluation of the proposal, and it came out in favour of the project. If successful in attaining the funding, the project will support 139 construction jobs and over time a further 600 tourism related jobs. There is no definitive time-frame for when a decision will be made. Regardless of the outcome, the Trust supports that the direction outlined in the proposal is the best way forward for the Trail and will endeavour to ensure all works aim to meet this outcome.
Financials FY2020 financials have run to budget. The large variations in the draft below relate to the timing of invoices for income/expenditure relating to grants and will flow onto FY2021. The Trust was able to meet the cost of the $90,000 Enhancement strategy from fund-raising and reserves so did not require to draw down the request for financial support from settlor councils.
Council Agenda - 26-08-20 Page 65
FY2021 will still run to projected 3-year budgets presented in 2018 with the Official Partner programme reviewed downwards to reflect lower financial contributions as it is expected that the pandemic has impacted business confidence. The Trust is working with the Settlor Councils to determine ten-year budgets to support the LTP process which will be available week ending 17 July 2020. We are waiting on Audit NZ to confirm the expenses for the next three years.
Staff Increase The Ministry of Business, Innovation and Employment (MBIE) has supported all Great Rides in New Zealand to increase their capacity in administration for a three-year period. It is possible this support will continue beyond that period of time. The Trust has employed an additional 0.6FTE as a business support administrator to support the Trust and the CEO. A main focus of this new position is servicing and expanding the Official Partner Programme along the trail network. MBIE funding allowed for the purchase of a small vehicle to aid the staff member to travel across the network.
Fundraising Fundraising efforts since the last report include: Confirmed Project investment Council Contribution Additional Landscaping – Te Aroha to Matamata 364,000 0 Provincial Development Unit (PDU) to seal 640,000 0 Te Aroha to Matamata (led my MPDC) Additional Funding to complete the Kaiaua 85,670 0 Stopbank repair (Total $300,000) Shelters x 16 (Rotary project supported by MBIE) 185,000 0 Replacement cattle-stops Paeroa to Te Aroha 30,000 0 Weed Eradication (privot) 85,000 7,500 Resurfacing and water table modifications 9,680 4,840 Fencing improvements 60,000 0 Trail Improvements (Waikino) 40,000 0 Stop bank repair – Waitakaruru 40,240 20,120 Surface Repairs – Mangaiti 15,000 7,500 Support of Enhancement Strategy 45,000 0 Business Administrator Role (to support first three years) 90,000 0 1,689,590 39,960 (2.3%)
Funding applications in progress Waikato Regional Economic Development Fund 400,475 0 Trust Waikato (decision August 2020) 928,700 0 MBIE – Emergency Fund – Waikino Slippage 109,871 27,481 MBIE – Enhancing the Great Ride (leveraging Trust 928,700 0 Waikato) 2,340,265 27,481 (1.2%)
Historical Maritime Park Funding Support PDU – confirmed 730,771 0 PDU – in progress 418,000 0 1,148,771 0%
Trust Waikato: The application to Trust Waikato has the driving force behind the development of the enhancement strategy. The application has been submitted for just under $1m after dialogue with Trust Waikato CEO Dennis Turton. The fund has come under significant pressure from COVID19 applications. The intention is to leverage any funding raised from this source with investment from central government to further enhance the trail. The main focus of the application is around landscaping, seating and story-telling.
Asset Management Plan The three settlor councils of Hauraki, Thames-Coromandel and Matamata-Piako have commissioned an Council Agenda - 26-08-20 Page 66
Asset Management Plan to be developed for the Trail. This plan is nearing completion and is expected to finished week ending 17 July 2020. With the Hauraki Rail Trail approaching ten years of age, consideration from all parties is crucial to ensure the continuation of the trail at a Great Ride standard.
Gratitude The Trust would also like to recognize the efforts of the many different organisations and people that work together to provide successful outcomes for our community with their association with the Hauraki Rail Trail. These include but are not limited to:
Destination Coromandel: Hadley Dryden CEO, - for his vision and support around the Strategic Tourism Assets Protection Programme.
Matamata-Piako District Council staff: Chelsea Cannell, Suzanne Kampshoff and Manaia Te Wiata for their work around the extension and sealing projects.
Hauraki District Council Staff: Campbell Moore, Karolina Kirova and Andre Tribshraeny for the work around the extensions and also Mike Voykovich, Graham Dyer, Brett McKenzie, Craig Lindsey for their constant professionalism and commitment to keeping the trail in the best condition it can with the funding available. Rebecca Jenks: HDC Economic Development Officer – for the work that has gone into creating a Tourism strategy for Hauraki.
Thames-Coromandel District Council staff: Ric Balfour and Derek Thompson for their commitment extending the trail into Thames and their responsiveness to my many questions on trail related issues.
Rotary Area 4: Consisting of Rotarians from Matamata, Morrinsville, Te Aroha, Paeroa and Thames whose hard mahi and cash contribution has lead to a $185,000 shelter project for the Hauraki Rail Trail.
Tourism Action Group: A small group of key tourism partners including Eddie Morrow, Rebecca Jenks, Michael Tansey, Hadley Dryden and Diane Drummond that are shaping the future development of tourism in the region and supporting business through the pandemic.
Thank you to everyone (and there is a much larger list than the one above) that are dedicated to the success of this Great Ride.
Nga Mihi Nui
Diane Drummond Chief Executive Officer 10 July 2020 Council Agenda - 26-08-20 Page 67 people places land stories
HAURAKI RAIL TRAIL ENHANCEMENT STRATEGY Council Agenda - 26-08-20 Page 68
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
10 June 2020
Council Agenda - 26-08-20 Page 69
Contact Details Document Details: Dion Collier Date: 10 June 2020 WSP Reference: 2-69411.00 Paeroa Status: FINAL Corner of William & Marshall St Paeroa 3600 New Zealand Prepared by +64 7 889 8600 [email protected]
Stefan Steyn and Simon Banks
Reviewed by
Nick Aiken
Approved for release by
Dion Collier
Document History and Status Revision Date Author Reviewed by Approved by Status 1 25/5/2020 Stefan Steyn & Simon Banks Nick Aiken Dion Collier Draft 2 28/5/2020 Stefan Steyn & Simon Banks Nick Aiken Dion Collier Draft 2 3 10/6/2020 Stefan Steyn & Simon Banks Nick Aiken Dion Collier Final
Disclaimers and Limitations This report (‘Report’) has been prepared by WSP exclusively for the Hauraki Rail Trail Charitable Trust (‘Client’) in relation to development of an Enhancement Strategy for the Hauraki Rail Trail in accordance with the Short Form Agreement dated 10/12/19. WSP accepts no liability whatsoever for any reliance on or use of this Report, in whole or in part, for any use or purpose other than the Purpose or any use or reliance on the Report by any third party.
©WSP New Zealand Limited 2020 ii Council Agenda - 26-08-20 Page 70
Contents
Executive Summary ...... 2
1 Introduction ...... 4 1.1 Scope and Benefits ...... 4 1.2 Report Structure ...... 4
2 Existing Trail Environment ...... 7 2.1 Heritage ...... 7 2.2 Iwi and Cultural Connections ...... 7 2.3 Activities, Destinations and Attractions ...... 7 2.4 Access, Movement and Linkages (Movement Network) ...... 8 2.5 Land Use ...... 10 2.6 Landscape and Ecology ...... 10 2.7 Current Projects and Amenities ...... 11 2.8 Maintenance Challenges...... 12
3 Engagement ...... 14 3.1 Iwi Engagement ...... 14 3.2 Online Survey...... 15 3.3 Stakeholder Workshops ...... 18 3.4 Waikato Regional Council ...... 21
4 Design Framework ...... 23 4.1 Vision Statement ...... 23 4.2 Guiding Design Principles ...... 23 4.3 Mātauranga Māori ...... 24 4.4 Ecology and Sustainability ...... 25 4.5 Education and Interpretation ...... 25 4.6 Connections and Accessibility ...... 26 4.7 Experience and Aesthetics (Placemaking) ...... 27 4.8 History, Culture and Arts ...... 29 4.9 Economic Return ...... 30 4.10 Legibility and Wayfinding ...... 30 4.11 Function, Maintenance and Safety ...... 31
5 Journey Framework ...... 34 5.1 Section A: Kaiaua to Kopu ...... 36 5.2 Section B: Thames to Paeroa ...... 36
©WSP New Zealand Limited 2020 iii Council Agenda - 26-08-20 Page 71
5.3 Section C: Paeroa to Waihi ...... 36 5.4 Section D: Paeroa to Te Aroha ...... 37 5.5 Section E: Te Aroha to Matamata ...... 37
6 Implementation ...... 39 6.1 Detailed Design Guidelines ...... 39 6.2 Social Procurement ...... 39 6.3 Next Steps ...... 40 6.4 Further Engagement ...... 41
Development Outcome Maps ...... A
Iwi Engagement Report ...... B
Online Survey Report ...... C
Stakeholder Workshop Report ...... D
©WSP New Zealand Limited 2020 iv Council Agenda - 26-08-20 Page 72 people places land stories
EXECUTIVE SUMMARY
Unique Kuaka (Godwit) art installation responding to high ecological and cultural values at Watchman Road (Kuaka Gateway), Ahuriri/Napier Council Agenda - 26-08-20 Page 73
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
Executive Summary
The Hauraki Rail Trail links the communities of Kaiaua, Thames, Paeroa, Waihi, Te Aroha, and Matamata, and is managed by the Hauraki Rail Trail Charitable Trust (the Trust).
This report sets out a high-level Enhancement Strategy (the Strategy) for the Trail to use as a framework to guide decision making by the Trust and stakeholders to ensure that the Trail and all its components are developed in a consistent and coherent manner. The goal is to increase the attractiveness of the Trail to the visitor market and improve levels of local engagement with the Trail; while at the same time releasing the economic and social potential of the community.
Following collaboration with the Trust and engagement with iwi, stakeholders, and the community, several clear themes emerged. Drawing on these themes, a broad vision statement has been developed to guide the framework, which reflects the history and future of the Trail, the communities it connects, and the environment in which it sits:
A world class trail that welcomes all people to our places / lands / stories
To achieve this Vision, the Strategy sets out Guiding Design Principles to ensure that future enhancement work helps to define the character and identity of the Trail. These are:
1 Integration of Mātauranga Māori and Te Aranga design principles into the Trail. 2 Identify, protect, restore and enhance areas of natural ecological value through habitat restoration and enhancement, ensuring that the Trail is environmentally sustainable. 3 Promote interpretive and educational programmes that focus on raising environmental, cultural and heritage awareness, catering to different user groups. 4 Promote connectivity and accessibility between transportation networks, communities, recreational areas, destinations and attractions. 5 Ensure high quality user experience and aesthetics that reinforce the special characteristics of the Trail and encourage public enjoyment of the Trail and its environment. 6 Recognise, capture and express the rich cultural heritage of the area using public art and other creative platforms. 7 Promote projects that will attract economic investment and encourage economic return and are financially sustainable. 8 Ensure a holistic design approach that will ensure a common identity and support clear wayfinding and legibility across the Trail. 9 Create a functional, safe and low maintenance network that will balance the needs to all types of user groups and abilities whilst ensuring facilities and infrastructure are adaptive and resilient to change and risk.
These principles are incorporated into a Journey Framework and a set of Development Outcome Maps which identify enhancement opportunities and locations throughout the Trail. Exemplars of world class trails which have successfully implemented one or more of these design principles are highlighted, with links to the community engagement.
The Strategy is intended to be an active and dynamic document which can evolve and adapt over time. Implementing the Strategy will therefore require further engagement with iwi and stakeholders, to ensure enhancement activities respond to their respective needs and aspirations.
©WSP New Zealand Limited 2020 2 Council Agenda - 26-08-20 Page 74
INTRODUCTION
Steel sculptures of railway semaphore signals using built heritage to create a sense of ‘place’ at the Western Rail Trail, Hamilton
people places land stories Council Agenda - 26-08-20 Page 75
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
1 Introduction
The Hauraki Rail Trail (the Trail) is part of Ngā Haerenga | The New Zealand Cycle Trail Great Ride network. The Trail links the communities of Kaiaua, Thames, Paeroa, Waihi, Te Aroha, and Matamata. It is spread across Hauraki, Thames-Coromandel, and Matamata-Piako Districts. Several iwi have an interest in the area spanned by the Trail. An abundance of activities and attractions both on and off the Trail provide the opportunity to explore the region further.
The Trail is managed on behalf of the community by the Hauraki Rail Trail Charitable Trust (the Trust). The Trust has identified the need to develop a framework for enhancement of the Trail. The broad objective is to increase the attractiveness of the Trail to the visitor market and improve levels of local engagement with the Trail; while at the same time releasing the economic and social potential of the Trail for the community.
The success of the Trail to date has meant interest in its development has risen. Groups are reaching out to the Trust offering support and wanting to be involved in the continued development of the Trail. Currently, there is no strategy to guide development of the Trail and there is a concern that the opportunity presented by such support might not be optimised, and/or that continued development could be on an ad hoc basis and inadvertently detract from the Trail.
1.1 Scope and Benefits
This report sets out a high-level Enhancement Strategy (the Strategy) for the Trail to guide investment and decision making by the Trust to ensure that the Trail and all its components are developed in a consistent and coherent manner.
The Strategy has been developed by WSP in collaboration with the Trust, and is informed by engagement with iwi, stakeholders, and the community to better understand and respond to their respective needs and aspirations and share ideas. The Strategy also builds on and incorporates a range of existing work and initiatives.
The key benefits of developing this Strategy for the Trail include:
• Developing a cohesive identity to improve the integration of future development projects; • Opportunity to identify, enhance or promote special or unique places or experiences; • Build community awareness of the Trail and engagement on future enhancement work; • Optimising social and economic opportunities for the community; • Taking the visitor experience of the Trail from ‘good’ to ‘great’; and • Increasing connectivity of the Trail with the historic and natural heritage of the region.
1.2 Report Structure
The Strategy is structured to be succinct and easy to use, and is organised into the following sections:
• Introduction to the Strategy and key benefits; • Description of the existing Trail, assessing challenges, constraints and opportunities, as well as existing enhancement activities currently underway; • Summary of engagement undertaken to inform the Strategy and the themes which emerged from the responses; • A design framework and guiding design principles, to enable the Trust to evaluate projects and measure success in a consistent and coherent approach; • A Journey Framework which includes information on objectives, key characteristics, sub- design themes and journey specific opportunities for each section; • Opportunities for staging and implementation of the Strategy; and • Requirements for future engagement and development.
©WSP New Zealand Limited 2020 4 Council Agenda - 26-08-20 Page 76
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
The Strategy is supported by a series of Development Outcome Maps included at Appendix A. Exemplars of world class trails which have successfully implemented the guiding design principles are also highlighted within the report, with links to the community engagement.
©WSP New Zealand Limited 2020 5 Council Agenda - 26-08-20 Page 77 people places land stories
EXISTING TRAIL ENVIRONMENT
Timber boardwalk nestled into Keeble’s Bush, part of the He Ara Kotahi Pathway, Palmerston North (Image courtesy Palmerston North City Council) Council Agenda - 26-08-20 Page 78
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
2 Existing Trail Environment
The Trail extends for 160km from Kaiaua in the northwest, passing through Thames, Paeroa, and Te Aroha on the way to Matamata in the south and Waihi in the east. The five unique character sections which make up the Trail are, from north to south:
• A Kaiaua - Thames • B Thames – Paeroa • C Paeroa - Waihi • D Paeroa - Te Aroha • E Te Aroha - Matamata
The existing environment of the Trail was used as a starting point to understand and assess the challenges, constraints and opportunities of the project. This process has helped to identify where provision for additional development could occur to enhance the Trail.
2.1 Heritage
The landscape through which the Trail runs is steeped in history and Figure 1: Map of the Hauraki Rail Trail (source: contains numerous elements and www.haurakirailtrail.co.nz) features of natural, cultural and built heritage. Many of these features already contribute to the heritage and character of the Trail, but could be enhanced further (e.g. development of the historic railway lines). Other features have little known about them or have little visibility and present further opportunity for enhancement (e.g. the drainage and flood protection works which enabled the farming of the Hauraki Plains).
The Trail therefore has a significant opportunity to inform local residents and visitors about the unique heritage associated with the wider area, and in turn each Section of the Trail. These existing features and stories could be observed and interpreted throughout the corridor as part of enhancement activities.
2.2 Iwi and Cultural Connections
Engagement with iwi to inform the strategy has also indicated that there are potentially a number of sites of significance to iwi which are located along or near the Trail. Subject to further engagement and if there is a desire from the respective iwi to do so, these sites may also be able to be included as part of future enhancement work.
Improved connectivity or visibility to some of these sites from the Trail could help to improve iwi engagement with the Trail (i.e. make the Trail more appealing for iwi to use and contribute to). On the other hand, there may be sensitive sites which should be avoided. Again, further engagement with iwi will be required to explore this.
2.3 Activities, Destinations and Attractions
A large variety of activities, destinations and attractions occur adjacent to or in the immediate vicinity of the Trail. The Trail is not simply a cycling corridor, but a network of routes that connect communities and trail users to many nearby activities, destinations and attractions.
©WSP New Zealand Limited 2020 7 Council Agenda - 26-08-20 Page 79
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
The Trail is versatile and can be used for a variety of recreational activities, as well as commuter use in urban and peri-urban areas. Established activities on the Trail include, but are not limited to, recreational walking, running, cycling, swimming, fishing, bird watching, play and camping. Often these activities relate to destinations and attractions along the route.
The Trail also offers opportunities to connect, experience and interpret a variety of attractions along and immediately adjacent to the route. A number of art trails are located within close proximity to the Trail and there are aspirations to grow these attractions. These opportunities for heritage and art tourism add to the broad appeal of the Trail as a regional tourism destination.
Existing significant visitor attractions include (but are by no means limited to) the following:
• Karangahake Gorge - spectacular scenery and gold-mining heritage; • Shorebird Coast - unique coastal environment and endangered migratory seabirds; • Hobbiton - world class visitor attraction drawing up to 1 million visitors per year; and • Hot Springs - at Miranda, Te Aroha, and Matamata.
The Journey Framework described in Section 6 and the supporting Development Outcomes Maps (attached at Appendix A) identify existing and new destinations that are particularly desirable for trail users, such as nearby historic, natural and cultural features, historic sites, art trails, wildlife centres, outdoor adventure, villages and towns.
2.4 Access, Movement and Linkages (Movement Network)
The movement network refers to the system of tracks, connections and linkages that facilitate greater movement throughout the Trail. This network threads together the different sections of the Trail and is also a key part of the user experience. As such it makes an important contribution to the character, amenity and experience of the Trail.
The different activities, destinations and attractions offer a wide range of amenity experiences and opportunities, and their location and alignments are inherently linked to the movement network, access, underlying topography and landscaping. The Trail forms part of the Ngā Haerenga - New Zealand Cycle Trail network and intersects several local walking tracks, art trails and a variety of landscapes and scenery. These connections provide a range of benefits to a number of users, both local and international in origin.
The gentle topography of the Trail makes it a Grade One cycle trail which is suitable for riders of all ages, fitness and abilities. This gentle topography make the Trail suitable as a “nursery” ride, allowing people to develop their trail skills and cycling ability in a safe environment before embarking on some of the more challenging trails in the Great Ride network.
Other potential loops and extensions could eventually connect to the Trail and create an even more extensive trail system. The extensive network of pathways is broken into a variety of on and off-road portions that vary in surfacing, width and condition. In rural areas it is generally constructed of natural materials (compacted limestone, gravel and metal); with paved asphalt and concrete in more urban areas.
Within the movement network there are a number of transition points between Sections and surrounding land uses that can be identified as “gateways” or “thresholds”. Gateways and thresholds are important as they indicate where a change of an experience or opportunity can be expected to occur, and how to locate it; for example, from the Kopu Bridge and rural landscape to the more developed urban landscape of Kopu and Thames.
This means that the visibility of such ‘gateways’ is especially significant for legibility (easy user understanding) within the movement network. At present legibility is variable, but could be reinforced simply, for example by the use of vertical markers, artwork or Pou that can be seen from distance, and placement of a cohesive suite of way-finder type maps of the movement network.
©WSP New Zealand Limited 2020 8 Council Agenda - 26-08-20 Page 80
EXEMPLAR TRAIL World class trails and the guiding design principles they represent
HAWKES BAY TRAILS (KUAKA GATEWAY)
• Mātauranga Māori and Te Aranga design • Cultural heritage and public art • Interpretive information and educational programmes
QUOTES FROM ENGAGEMENT
Tiaki i te taiao – whanau, hapu and iwi engagement as critical “partners. Online storytelling with e-links or proximity [sensors] so you can have oral/aural history - take it into the e-dimension.
Art provides opportunities for local communities to display sense of place, tell stories. Council Agenda - 26-08-20 Page 81
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
The official HRT starting point is located at Kaiaua however, the Trail is accessible from the townships of Thames, Paeroa, Te Aroha, Waihi and Matamata. There are a number of existing and proposed trailheads as identified on the Development Outcomes Maps attached at Appendix A. Some of these trailheads and access points are not yet developed and signage varies significantly in its use, style and quality. Future development considerations of trailheads will also require new carparking or improvements to existing parking facilities and wayfinding signage.
Major trailheads are identified at the four extremities of the Trail at Kaiaua, Thames, Waihi, and Matamata, as well is at the main hub towns of Paeroa, and Te Aroha. Minor trailheads are identified at Waitakaruru, Pipiroa, Kopu, Matatoki, Puriri, Hikutaia, Karangahake, Waikino, Tirohia, Mangaiti, Te Aroha West, Manawaru, Wardville, and Firth Tower.
2.5 Land Use
Land use ownership adjoining the Trail comprises a large number of stakeholders. These generally include private, government, and business ownership. Because existing land use patterns have a significant influence on the existing and future development aspirations of the Trail, the Trust relies on partnerships with local businesses and partners to fulfil its vision and to create a trail network that is valuable to all the stakeholders, communities and users involved.
2.6 Landscape and Ecology
The Trail features varied and contrasting regional landscapes types: Tikapa Moana-o-Hauraki (Firth of Thames), Hauraki Plains, major rivers (Waihou, Piako, and Ohinemuri), and bush clad ranges (Coromandel and Kaimai Ranges, Karangahake Gorge). These landscapes provide a strong and unique identity and a sense of place to the Trail.
The Firth of Thames is a shallow intertidal mud and sand flat that extends form Thames to Kaiaua. It is a wetland of international significance registered under the RAMSAR Convention and covers approx. 8,500 hectares including shallow estuarine water and mudflats, shell banks, grass flats, mangrove forest, salt marsh and limited freshwater swamp margins.
The Firth has a distinctive U-shape, with the unique Miranda Chenier Ridges on its western shore from Kaiaua to Miranda (see Figure 2). This rare landform is of international geological significance and is used as high tide roosts by many birds (including threatened and endangered international migrants and native species).
Figure 2: Photo showing chenier shell ridge and mangrove wetland area near Kaiaua
The Hauraki Plains extend from the Firth of Thames in the north to Paeroa in the south. Following extensive drainage and stopbank works in the first half of the 20th century, these flat, fertile plains are now a farming area comprising predominantly dairy pasture. The Plains are drained by the Waihou and Piako Rivers, along with numerous smaller watercourses and canals.
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Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
There are significant natural areas (remnant stands of indigenous vegetation and wetlands), outstanding natural features, and amenity landscape spread throughout the plains. Extensive grazing and production forestry occur in the surrounding foothills.
The Coromandel and Kaimai Ranges form the eastern edge of the Plains, with the western edge bordered by the Hapuakohe Range. These ranges are aligned in a north- south direction. Due to their proximity to the Trail, the Coromandel Ranges and Kaimai Ranges form a dominant landscape backdrop to the towns of Thames, Paeroa, Te Aroha and Matamata.
Major waterfalls are located at Wairere Falls between Te Aroha and Matamata, and at Owharoa Falls in the Karangahake Gorge.
The Karangahake Gorge is located between the Hauraki Plains and the Waihi basin, where the Ohinemuri River flows in an east-west direction separates the Coromandel Figure 3: Photo showing the existing and Kaimai Ranges. HRT timber bench seat (‘bum seat’)
State Highway 2 runs along the northern side of the Gorge, with the Trail largely following the historic railway line on the southern side. The Gorge is a distinctive feature of the region and includes a diversity of environments home to many fauna and flora. It presents a variety of recreational options for hiking, running, biking, camping, fishing and sightseeing.
2.7 Current Projects and Amenities
Each Section of the Trail comprises a mix of planned and existing trail assets, amenities and facilities that are being developed or have already been installed via a range of projects. Some projects are led or funded by the Trust, while some are led by other stakeholders and user groups (with the approval of the Trust).
Some are not directly associated with the Trail, but as they are close to the Trail they are easily connected - e.g. Thames Coromandel District Council’s Cook’s Memorial project, or the Paeroa Historic Maritime Park. Projects are at various stages of planning, design and development. Examples of projects currently underway include installation of new trail furniture and seating (see Figure 3), weed control and planting projects, art trails, surface and lighting improvements.
Completion of the already designed rest areas and landscaping on the Te Aroha to Matamata section by Matamata-Piako District Council is also underway (see Figure 4). The proposed design includes three main rest areas with Toilet Facilities, signage, shade, and sitting areas and shelter. Low planting will visually soften the rest areas and provide high amenity spaces.
The design for the rest areas uses visual planting cues and design elements to enhance amenity and reinforce a sense of place. The planting will also provide some visual relief to the route, as well as biodiversity for bees and birds. Similar materials and planting is used to create cohesion along the route, including timber bench seats, local rock, compacted limestone surfaces, shelters and planting to reflect the rural nature of the surrounding environment.
To ensure a consistent and integrated vision and decision making process is achieved and greater consistency in the amenities and assets delivered, these projects are shown on the Development Outcome Maps at Appendix A.
©WSP New Zealand Limited 2020 11 Council Agenda - 26-08-20 Page 83
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
Figure 4: Design for Manawaru Road rest area in Section E - Te Aroha to Matamata (WSP)
2.8 Maintenance Challenges
As with all infrastructure, a number of maintenance challenges exist along the Trail which need to be considered in the development of any enhancement initiatives. These generally include:
• Trail surface upgrades to address wear and tear; • Litter and rubbish removal; • Mowing of grass shoulders; • Tree and shrub trimming; • Weed and pest plant removal; • Safety inspections; • Public toilets; • Signage; and • Sea level rise and flooding.
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ENGAGEMENT
One of the 87 Ngāti Kahungunu Marae uniquely represented along the timber boardwalks at Watchman Road (Kuaka Gateway), Ahuriri/Napier
people places land stories Council Agenda - 26-08-20 Page 85
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
3 Engagement
To support the Strategy and ensure it considered and responded to the needs and aspirations of iwi, stakeholders, and the community for the Trail, a Public Engagement Plan was prepared which set out the objectives and methods of the engagement proposed as part of the project.
The Engagement Plan was developed jointly by WSP and the Trust. The aim for engagement was to provide opportunities for active engagement with the intention of informed decision making, and to inform the wider community of the project and provide opportunities for their input.
The original engagement plan included face to face workshops, attendance at local markets and intercept surveys, but due to the COVID-19 pandemic and the subsequent Alert Level 4 lockdown, in person engagement was not possible and the timeframes for delivering the enhancement strategy remained. In the absence of face to face engagement activities there was increased promotion of the online survey and virtual workshops were held to capture stakeholder feedback.
The engagement results are summarised below, with further detail in separate reports as follows:
• Iwi Engagement Report (attached at Appendix B) • Online Survey Report (attached at Appendix C) • Stakeholder Workshop Report (attached at Appendix D)
3.1 Iwi Engagement
Iwi with an interest in the Trail were contacted by the Trust to participate in a series of hui in late April 2020. The hui were conducted using the Zoom video-conferencing facility, as the COVID-19 pandemic prevented face to face engagement. A summary of these hui is contained in the Iwi Engagement Report (attached at Appendix B). Hui were held with the following eight iwi:
• Ngāti Hako; • Ngāti Hauā and Ngāti Hinerangi (jointly); • Ngāti Maru; • Ngāti Rāhiri Tumutumu; • Ngāti Tamaterā; • Ngāti Tara Tokanui; and • Ngāti Whanaunga
In addition to the above iwi, it was not possible to arrange a suitable time for a hui with Ngāti Paoa. However, the Trust is committed to continuing the conversation with Ngāti Paoa representatives, and with all of the iwi with an interest in the Trail, as soon as possible.
The hui were informal and the kōrero covered a wide range of issues, including potential places of concern and/or opportunity for iwi, integration of Te Ao Māori (including use of stories and cultural knowledge), and methods to make the Trail more engaging and appealing for iwi and whānau. The following themes highlighted below have been identified from the hui:
• Ongoing dialogue between iwi and the Trust: needed to communicate stories and provide deeper connection between iwi and the Trust. Requires further work to develop a framework to facilitate iwi involvement on an ongoing and collaborative basis.
• Stories and interpretive signage: Narrative content and stories can be diverse and may not always be appropriate to be told more widely. Ownership must remain with iwi. Some stories are shared between iwi and there is a desire for iwi to work together to develop these stories to be communicated with the wider community. Sharing stories can be part of healing and share a future vision.
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Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
• Benefits to Iwi: opportunity to speak to injustices (e.g. taking of land for railway) and learn from the past to inform a sustainable future. Opportunities for the Trail to help develop and contribute to the Māori economy (e.g. through social procurement) and improve social development through engagement with the Trail (e.g. Hauora for youth).
• Focus on cycling is a barrier for whānau and iwi engagement: Cost of bikes is a barrier to entry, and current trail surface is not conducive to non-cyclist or less able users. More focus on a true multi-use facility is desirable.
• Connectivity to sites of significance: In some locations, improving connectivity between marae and towns to sites of significance to iwi would enhance access and provide learning opportunities. Need to avoid and/or explore potential alternative routes near sensitive sites.
• Hikoi and traditional journeys: traditional journeys around and along the trail undertaken by ancestors could be developed as modern day Hikoi for users of the Trail. Could assist iwi to re-engage / continue to engage with kaupapa.
• Use of Māori wellbeing frameworks: Apply an iwi lens to view decisions and measure success (e.g. Te Puni Kokiri indigenous approach to the Living Standards Framework or Ministry of Health concept of ‘te whare tapa whā’ – the four cornerstones of Māori health).
In addition to informing development of the Strategy, the hui provided an opportunity for the Trust to establish and develop relationships with the respective iwi. The Trust acknowledged that this relationship needs to be ongoing and deeper engagement will be required as part of further developing and implementing the Strategy.
3.2 Online Survey
A survey was developed using the online map-based questionnaire tool, Maptionnaire, which allowed capture of spatial information as well as traditional responses to questions. Participants could place problems, suggestions, or features on a map of the Trail. A full summary of the survey results is contained in the Online Survey Report (attached at Appendix C).
The survey focussed on the following questions:
• where there were problems; • what was valued about the Trail; and • what and where opportunities were for improvements to the Trail.
3.2.1 Current Perceptions
Respondents were asked about their perceptions of various aspects of the Trail so that places and priorities for enhancements could be better targeted.
Specific issues queried included:
• roughness in the surface quality; • way finding and directional signage; • opportunities for more interpretive information; • connections between the Trail and nearby amenities and services; • locations that were particularly pleasant or unpleasant; and • locations where additional features were needed.
Different perceptions between those living within the three districts spanned by the Trail (‘locals’) and those from further afield (‘non-locals’) were also identified in some instances. Although local and non-local views were broadly consistent, where there were differences these could reflect levels of familiarity as well as priorities and perspectives in what makes a successful trail.
©WSP New Zealand Limited 2020 15 Council Agenda - 26-08-20 Page 87
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
Key findings of the survey, including notable differences between locals and non-locals, and extracts from the mapped results are highlighted below:
• Surface quality: ‘generally ok’ was the most frequent response, with equal numbers reporting the surface quality as positive (smooth or very smooth) and negative (rough or very rough). Where roughness was identified as an issue, locals reported locations over most of the Trail whereas non-locals primarily reported problems in Section C and Section A.
• Way-finding: only a small number of respondents reported finding their way along the Trail hard. Where way-finding was a problem, locations were identified by non-locals across the whole trail, whereas locals reported issues primarily in the townships. Paeroa and Kopu were identified as problem sites by both local and non-locals alike - see Figure 5.
• Connectivity perceptions: respondents perceptions varied, and respondents saw many locations where the Trail could be enhanced through improved connections to nearby facilities and services. Locals and non-locals tended to identify similar locations.
• Level of information: Multiple opportunities for providing more information were identified by locals and non-locals throughout the Trail - see Figure 6. Locations identified by locals were spread throughout the Trail, perhaps reflecting their higher level of local knowledge of potential information opportunities such as historical sites.
• Pleasantness: most respondents rated the Trail as either pleasant, with locals and non-locals alike identifying a large number of pleasant locations on Section C in the Karangahake Gorge - see Figure 7. Relatively few respondents identified pleasant locations in Section E, perhaps reflecting the relatively recent completion of this Section of the Trail. Although there were fewer unpleasant locations identified compared to pleasant locations, these were distributed throughout the Trail.
Figure 5: Way-finding problem locations
©WSP New Zealand Limited 2020 16 Council Agenda - 26-08-20 Page 88
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
Figure 6: Level of information problem locations
Figure 7: Pleasant locations
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Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
3.2.2 Opportunities for additional features
Respondents were invited to suggest what and where additional features could be developed to enhance the Trail. Potential sites were spread across the Trail with similarities between locals and non-locals. A list of features was provided for respondents to select, as well as the option for a free text ‘other’. More shelters and way finding signage was suggested by both locals and non-locals. Non-locals also identified the need for additional toilets, seating, and access to drinking water.
Table 5: Suggested additional features
Additional feature wanted ’Locals’ ’Non-locals’ Camping site 1 1 Car park 4 1 Drinkable water 2 8 e-bike charging station 2 2 Information and interpretation for site of significance (archaeological) 2 3 Information and interpretation for site of significance (ecological) 1 1 Seating 1 6 Shelter 10 10 Toilet 2 6 Way-finding signs 10 6 Other 16 26
Totals 51 70
The ‘other’ category allowed respondents to identify any additional features, with notable responses including:
• safety features on the Trail itself and where trail users interact with traffic; • route improvements; • provision of refreshment places; • providing space for mixed and more accessible trail use; • ecological enhancements such as planting and pest control; • better connections to further afield locations, and linking with train services; and • general comments about making sections ‘less boring’ with the use of apps, interpretive information, and local art.
3.3 Stakeholder Workshops
A series of workshops were held to delve more deeply into issues with stakeholders than would be possible in a survey. The intention was to also foster a conversation between the Trust and stakeholders, and between different stakeholders about enhancement priorities. A full summary of the workshops is contained in the Stakeholder Workshop Report (attached at Appendix D).
Workshops were conducted online through the Zoom video-conferencing facility, as the COVID-19 pandemic prevented face to face engagement. Workshops were targeted to different groups of stakeholders. Five workshops were conducted as follows:
• Workshop 1: Trail Advisory group • Workshop 2: Official partners of the Trail • Workshop 3: Elected members • Workshop 4: Council partners • Workshop 5: Representatives of cycling-related groups
©WSP New Zealand Limited 2020 18 Council Agenda - 26-08-20 Page 90
EXEMPLAR TRAIL World class trails and the guiding design principles they represent
JACKSON HOLE PATHWAYS GRAND TETON NATIONAL PARK - WYOMING, USA
• Wayfinding and legibility • Functional, safe and low maintenance • Ecological value and environmental sustainability
QUOTES FROM ENGAGEMENT
Critical to have smooth trail so that users can appreciate the views and not be too busy “concentrating on negotiating surface.
Kopu bridge underpass [needs] better connectivity… to Thames.
Connecting the Trail with biodiversity aims for each district. Council Agenda - 26-08-20 Page 91
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
The workshops were supported by some face-to-face engagement activities that took place before COVID-19 gathering restrictions were brought in. The online survey was also ‘live’ at the time of the workshops. The workshops supported the survey findings and provided insights into why problems identified through the survey might be significant areas for enhancement.
Discussion at the workshops was facilitated using the following prompts:
• If you were talking to a friend thinking of going on the Trail….
• What would you recommend most highly about the Trail? And how important would optimising or retaining that aspect be to enhance the Trail? • What would you warn them to be careful about the Trail? And how important would addressing that aspect be to enhance the Trail?
The following themes highlighted below have been identified from the workshops:
• An enhancement strategy that represents diverse interests: need to ensure the Trail engages with and represents the interests of all those living in the region, including those who currently do not use the Trail or are not involved with the Trail, particularly iwi and youth.
• Improving the Trail surface: improving the surface would improve the overall experience and open up the trail to more users (including young children and non-cyclists). However, a smoother path could also attract faster riders - creating potential safety conflicts.
• Making it easy to find your way: clearer, more visible signs would make it easier for users to enjoy the Trail experience and would reinforce the Trail’s identity. Particularly important in the urban areas and at key junctions to reduce confusion and distress, and to promote connections to local businesses.
• Opportunities to make the Trail interesting and pleasant: the Trail is an opportunity to share the rich social, cultural, and ecological qualities of the region - more than a cycling or walking experience. Specific examples included:
• Digital platforms were also recognised as emerging mediums for story-telling and information sharing. • Rest stops were opportunities to ‘inject joy and fun’ and break up longer sections. • Amenities such as water and shelter from the weather can also make the Trail more comfortable for users - especially on more exposed sections of the Trail. • Integration with other complementary activities (e.g. mountain biking trails linking from the Trail).
• Safety from traffic and hazards: keeping the Trail separated from vehicle traffic, and providing better warning where the Trail intersects with vehicles. Improving visibility, managing erosion, and trailside vegetation. Providing dedicated cycle bridges to separate Trail users from other traffic (e.g. single lane road bridges, farm bridges).
• Safety between users and avoiding conflicts: encouraging a multi-functional trail that was easy to use and can accommodate a range of users safely. More accessible for prams and wheelchairs, especially at main hubs and urban areas. Width and surface need to be fit for purpose (may not be the same throughout the Trail), with shared use promoted.
• Connections to promote economic opportunities: support for enhancement to the Trail to strengthen the economic community. Included rider support ventures (e.g. shuttles) as well as side ventures which ‘piggy-backed’ off the Trail itself, such as combined walking and cycling tours, new accommodation options, etc to showcase the whole region. However, concern noted around tourism markets and impacts of visitors and COVID-19.
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Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
• The social side of the Trail: important to get youth and families involved as regular users of the Trail as well as participating in the development of the Trail itself. Enhancement opportunities could be used to promote social cohesion within the community, sharing of experiences, and inclusion of different abilities and needs - especially beginner or less able cyclists (e.g. children, families, and seniors).
3.4 Waikato Regional Council
Waikato Regional Council (Regional Council) is a key partner of the Trust, and owns or manages approximately 25% of the land on which the Trail sits. The Regional Council is responsible for managing the flood protection system but is also involved in environmental enhancement and restoration projects. A specific one-on-one discussion was therefore held between the Trust and the Regional Council, in addition to participation in the stakeholder workshops.
The Regional Council controlled land represents a large amount of undeveloped land that could be utilised for enhancement opportunities, provided management and maintenance of the flood defences was not compromised. A number of opportunities were identified where the Trail can be integrated with natural features or existing habitat enhancement projects, including:
• Campbell Block habitat enhancement: Regional Council purchased land on eastern bank of Piako River at Pipiroa and planning habitat enhancement project. Major opportunity to integrate ecological restoration with the Trail and provide learning opportunities.
• Apple tree pump station upgrade: better controls and temperature gauges to reduce impact of drainage system. Opportunity to tell the story of historic drainage works on the Hauraki Plains: (and the people who undertook that work) and link to modern day flood defences and climate change.
• Links to the Firth of Thames RAMSAR area and Waihou and Piako Rivers: using Regional Council maintenance tracks to link Trail users to new boardwalks and/or viewing platforms (similar to the bird hide on the Thames foreshore). A number of old wharves and pontoons exist on the rivers.
• Possible alternative route on the northern approach to Paeroa: via the Historic Maritime Park and along the Ohinemuri River stopbanks to Stopbank Road in Paeroa - although mixture of Regional Council and privately owned land.
The Regional Council is working with the Trust and sharing information on future stopbank management and upgrading, and floodgate replacements, to ensure impacts and costs to the Trail are reduced over the long term. Where there are opportunities to combine this work with Trail enhancement initiatives, the Regional Council is happy to collaborate with the Trust
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DESIGN FRAMEWORK
Illuminated view of the karaka tree river crossing concept, unique cultural heritage storytelling using structures at the He Ara Kotahi Bridge and pathway, Palmerston North (Image courtesy Palmerston North City Council) Council Agenda - 26-08-20 Page 94
Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
4 Design Framework
The Strategy sets out a clear design framework to guide future development of the Trail, which will assist in the creation of a cohesive and coherent network. The framework provides a Vision Statement, Guiding Design Principles, and an indication of technical design parameters.
The framework was developed by drawing on the existing Trail environment and emerging themes from the engagement. It is also supported with examples and recommendations that can be used to aid in the development of a cohesive network.
In turn, this identity can guide the enhancement or emphasis of sections or locations of the route that offer specific opportunities, challenges or experiences. The Strategy also recognises the need to provide for a wide range of activities, whether for walking, cycling, passive recreation, tourism or as ‘links’ between other parts of the wider landscape, and seek to assist in the development of a facility that meets this need.
4.1 Vision Statement
A broad vision statement has been developed to guide the design framework, which reflects the history and future of the Trail, the communities it connects, and the environment in which it sits.
A world class trail that welcomes all people to our places / lands / stories
This vision statement reflects the desire to create and showcase a signature trail network and adjacent recreational spaces that provide a unique visitor experience rich in cultural, heritage, environmental, and recreational values.
This vision supports the desire for the Trail to benefit the region and its people. This regenerative reinvestment model aligns with the concept of Manaakitanga, central government policy (e.g. Zero Carbon, thriving tourism), and the mandate of the Regional Council and Department of Conservation to see tourism contribute to environmental outcomes.
4.2 Guiding Design Principles
The Guiding Design Principles (design principles) have been developed to achieve the vision statement, and will help to define the character and identity of the Trail. The Trust will use the design principles to develop and measure success of future enhancement activities. This will ensure a consistent approach is followed to enhancing the visitor experience, while at the same time aiming to achieve functionality and realise additional community benefits.
The design principles were developed by combining the input and feedback received from the public engagement process, the Trust and the wider team who contributed to the development of the Strategy. As the Trail develops, additional or modified principles could be identified and incorporated to guide the ongoing development of the Trail, increasing the adaptability, resilience and sustained effectiveness, of the strategy and design framework.
1 Integration of Mātauranga Māori and Te Aranga design principles into the Trail.
2 Identify, protect, restore and enhance areas of natural ecological value through habitat restoration and enhancement, ensuring that the Trail is environmentally sustainable.
3 Promote interpretive and educational programmes that focus on raising environmental, cultural and heritage awareness, catering to different user groups.
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Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
4 Promote connectivity and accessibility between transportation networks, communities, recreational areas, destinations and attractions.
5 Ensure high quality user experience and aesthetics that reinforce the special characteristics of the Trail and encourage public enjoyment of the Trail and its environment.
6 Recognise, capture and express the rich cultural heritage of the area using public art and other creative platforms.
7 Promote projects that will attract economic investment and encourage economic return and are financially sustainable.
8 Ensure a holistic design approach that will ensure a common identity and support clear wayfinding and legibility across the Trail.
9 Create a functional, safe and low maintenance network that is inclusive and accessible to a range of user groups and abilities, whilst ensuring facilities and infrastructure are adaptive and resilient to change and risk.
Each of the design principles are described and explored in more detail below.
4.3 Mātauranga Māori
Mātauranga Māori refers to the body of knowledge originating from Māori ancestors, including the Māori world view and perspectives, Māori creativity and cultural practices. Undertaken in partnership with iwi, incorporating this knowledge in an appropriate manner could significantly increase the depth and richness of the visitor experience, while also making the Trail more relevant, engaging and of greater benefit to iwi and whānau.
One way to give effect to Mātauranga Māori is through the application of Te Aranga Design Principles1. The principles outline a cultural landscape approach to design thinking and place- making which incorporates a series of Māori cultural values and principles. It is the aim that all future design work be developed consistently along the Trail in accordance with these principles:
• Māna: The status of iwi and hapū as mana whenua is recognised and respected; • Whakapapa: Māori names are celebrated; • Taiao: The natural environment is protected, restored and / or enhanced; • Mauri Tu: Environmental health is protected, maintained and / or enhanced; • Mahi Toi: iwi narratives are captured and expressed creatively and appropriately; • Tohu: significant sites and cultural landmarks are acknowledged; and • Ahi Kā: iwi have a living and enduring presence and are secure and valued within their rohe.
1 Auckland Design Manual. (2016). Te Aranga Principles - Auckland Design Manual. Retrieved September 1, 2016 - http://www.aucklanddesignmanual.co.nz/design-subjects/maori-design/te_aranga_principles
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Project Number: 2-69411.00 Hauraki Rail Trail Enhancement Strategy
The Te Aranga Design Principles address the processes of economic, social, environmental and spatial development changes. They are a set of outcome-based principles founded on Māori cultural values and formulated to provide practical guidance for enhancing outcomes for the design environment. The principles have arisen from a widely held desire to enhance mana whenua presence, visibility and participation in the design of the physical realm.
4.4 Ecology and Sustainability
The natural history and ecology of the area were both seen as opportunities to share information and make the Trail experience more interesting and interactive. Protection, restoration, and enhancement of habitats alongside and near the Trail will create more opportunities for users to engage with the natural world.
• Promote habitat restoration to support biodiversity; • Promote riparian enhancement along streams, rivers and wetlands; • Promote soil conservation and pest control; and • Promote the use of native plants in rural and urban areas;
All aspects of the Trail should be carefully considered in sustainability terms, from sourcing of materials for improvement works, through to management of new and existing facilities.
• Embrace sustainability principles to harvest natural energy (e.g. solar / wind energy); • Promote the use of materials that are manufactured in a sustainable manner or are recycled (e.g. re-use existing materials and / or vernacular materials from the surrounding area); and • Promote water management / stormwater quality improvements (e.g. biofiltration devices in carparks, storm water/ rainwater collection and re-use of recycled water).
4.5 Education and Interpretation
There is an opportunity to share the richness of the Trail and its surrounds, such as the stories, history, and ecology of the area. This also supports and informs a number of the other design principles, in particular, Ecology and Sustainability, and Te Aranga. To better communicate these aspects to visitors and locals alike, there are opportunities to:
• Promote school visits; • Promote guided tours; • Promote volunteer training; • Promote community events; • Increase or disseminate knowledge, understanding, custodianship, and respect; • Introduce bi-lingual interpretation;
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• Develop a coordinated suite of interpretation and information signs; and • Ecological enhancement measures could be used to inform signage / interpretation and inform network sub-themes
4.6 Connections and Accessibility
The Trail presents an opportunity to invest in and promote activities off the Trail itself, that complements the user experience and broadened the visitor appeal. For example, supporting the development of mountain biking trails linking off from the Trail would make the Trail more appealing to mountain bikers without needing to incorporate their needs into the main trail.
This will help the Trail cater for a wide range and greater number of users while minimising the impacts of one user group on another and potential user impacts on more sensitive parts of the trail itself. Encouraging youth and families to be more involved in the Trail, as users and as participants in the development of the Trail itself, presents an opportunity to promote social cohesion within the community and supports the role of the Trail as a “nursery” ride within the Great Rides network.
There is a clear desire for the Trail to improve connections and access to nearby activities, facilities and services. There are opportunities to:
• Promote an enhanced sense of arrival at trailheads, access points, activity nodes and thresholds to emphasise the transition between different sections of the Trail network; • Promote legibility at access points and junctions, including safe vehicle access and parking and location of key facilities (for example repair stations, charging points, waste facilities (if any), surface types/trail grades, or emergency collection points, on the trail; • Promote access to areas of natural, cultural and historical interest; • Promote a diverse and integrated network, linking existing and planned routes to existing destinations and attractions (e.g. linkages to existing shorter ‘back country’ routes, urban loops and paths, byways, mountain bike trails, and other attractions); • Promote connections to existing and new economic initiatives, supporting the local economy and increasing the economic benefit of the trail to the community; • Promote neighbourhood connections in towns and villages, with an accessible and safe Trail surface that can be easily navigated by all users including wheelchair and disabled users; • Avoid conflict between Trail users and vehicles, especially at driveways and road crossings; • Develop shared pedestrian and cycle orientated spaces throughout the route, in particular along on-road sections of the Trail; and • Promote on-road safety measures using traffic calming, signage, speed restrictions and road markings.
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4.7 Experience and Aesthetics (Placemaking)
The design of places is integral to our understanding and experience of the surrounding environment. Quality design and aesthetics can offer significant benefits, helping to build or reinforce a clear sense of place and identity, aiding understanding and orientation (legibility) within the environment.
Rest stops can be opportunities to create a particular quality of experience and/or ‘inject the joy and fun’ through the playful provision of amenities like seating and water fountains. As well as making rest stops more interesting, locating them at interesting places is a key way of enhancing the Trail experience. Having more shelter and rest stops would encourage users to take their time and enjoy the surroundings.
Overall there is a clear desire for the Trail to provide diverse experiences for multiple user types through well considered, context sensitive and consistent design outcomes. There are opportunities to:
• Promote principles of good ‘Placemaking’, including Mātauranga Māori and Te Aranga Principles (see 4.3 above); • Provide facilities that will support a wide range of users, experiences, interests and attract, engage and encourage participation (e.g. furniture, signage and interpretation, WiFi hotspots, digital platforms); • Promote the development of “cycle-friendly” towns as part of the Trail user experience, advocating with the local Councils for improved facilities and development of local loops and urban paths which connect to the Trail; • Develop a strong and unique sense of place for each Section, reflecting the rich social, cultural, and ecological location of the Trail within the wider landscape; • Promote regenerative opportunities based on a sense of place (e.g. slowing down, immersive, giving back to nature); • Promote specific recreational and educational opportunities that respond to the unique characteristics of ‘place’ (e.g. sheer diversity of scenery, activities, heritage, ecology, proximity and access); • Promote opportunities and activities that can be successful on a standalone basis, or that can be combined by visitors; • Locate rest areas at interesting places (e.g. at key viewpoints and vistas) as a way of enhancing the Trail experience by providing visual connections to significant natural, cultural and built features; • Develop a design aesthetic that provides visual quality and cohesion, and recognises the context of the Trail;
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