Minute Item Attachments of Risk and Assurance Committee Meeting

Public Excluded Risk and Assurance Committee Meeting Agenda

9 November 2023

Table of Contents

11.1 Litigation and External Investigations Report……………………………………………………….2

11.1 Litigation and External Investigations Report

Kaituhi | Author: Sarah Wattie, Governance & Legal Services Manager

Kaiwhakamana | Authoriser: Darren Edwards, Chief Executive

The grounds on which part of the Council or Committee may be closed to the public are listed in Section 48(1)(a)(i) of the Local Government Official Information and Meetings Act 1987.

Sub-clause and Reason:

Section 7(2)(a), Section 7(2)(c)(i) and Section 7(2)(g) - the withholding of the information is necessary to protect the privacy of natural persons, including that of deceased natural persons, the withholding of the information is necessary to protect information which is subject to an obligation of confidence or which any person has been or could be compelled to provide under the authority of any enactment, where the making available of the information would be likely to prejudice the supply of similar information, or information from the same source, and it is in the public interest that such information should continue to be supplied and the withholding of the information is necessary to maintain legal professional privilege.

Te pūtake | Purpose

1 The purpose of this report is to notify the committee of current litigation and external investigations involving Council.

He whakarāpopoto | EXecutive summary

2 An executive summary is not required.

Te tuku haepapa | Delegation

3 The Risk and Assurance Committee has the delegated authority to consider this report under section C 3 of the Governance Structure and Delegations document for the 2022-2025 triennium. These delegations include:

3.1 Assisting elected members in the discharge of their responsibilities by ensuring compliance procedures are in place for all statutory requirements relating to their role

3.2 Considering regular reports on the status of investigations by the Office of the Ombudsman, Privacy Commission, Office of the Auditor General and other external oversight bodies into decisions and actions by the Council.

Taunakitanga | RECOMMENDATIONS

A. That the Committee:

A.1 note the status of litigation and external investigations for quarter 1 of the 2023-24 financial year.

A.2 agree that this report and Attachment 2 be released from public excluded business; and agree that Attachment 1 of this report be excluded from public release to protect the privacy of natural persons and the obligation of confidence (Section 7(2)(a) and Section 7(2)(c)(i) of the Local Government Official Information and Meetings Act 1987).

A.3 agree that the resolutions be released from public excluded business.

Tūāpapa | Background

4 Council’s legal function is responsible for managing litigation and external investigations from oversight bodies such as the Ombudsman, Privacy Commission and Office of the Auditor-General.

5 Legal risks levels have been assigned to litigation and external investigations in this report. Legal risk is measured by a combination of significance, impact and the likelihood of legal risks occurring. Significance is determined by strategic alignment and importance to organisational objectives.

6 The risk levels are set out below:

Level Risk Levels
Extreme	· Material impact to impact to financial, legal, commercial, operational outcomes or reputation at an organisational level. Exposure to be resolved at Group Manager or Governance level with input from Legal.
High	· Moderate or material impact to financial, legal, commercial, operational outcomes at activity or group level. Likely reputational impact. Exposure to be resolved at Group Manager level with input from Legal.
Moderate	· Moderate impact to financial, legal, commercial, operational outcomes at an activity or functional level. Possible reputational impact. Exposure likely to be resolved at Tier 3 Manager level with input from Legal.
Low	· No or minimal impact to financial, legal, commercial, operational outcomes at an activity or functional level. No reputation impact. Exposure likely to be resolved at Manager or Tier 3 level with input from Legal where required.

He kōrerorero | Discussion

Litigation and confidential external investigations

7 A summary of current litigation and external investigations involving the Council is set out at Attachment 1.

He take | Issues

8 There are no issues for this report.

Ngā kōwhiringa | Options

9 There are no options required for this report.

Mana whenua

10 Council has a partnership with local iwi and hapū on the Kāpiti Coast District represented by Te Rūnanga O Toa Rangātira, Ngā Hapū o Ōtaki and Āti Awa ki Whakarongotai Charitable Trust.

11 Council’s accountability to the community extends to its partnership with iwi and commitments made to reflect the obligations under Te Tiriti o Waitangi, as well as other obligations to Māori, mana whenua and tangata whenua under the Local Government Act 2002, Resource Management Act 1987 and other legislation.

Panonitanga āhuarangi | Climate change

12 There are no climate change implications.

Ahumoni me ngā rawa | Financial and resourcing

13 There are no financial implications.

Tūraru ā-Ture me te Whakahaere | Legal and Organisational Risk

14 Except for the issues noted in this report, there are no other legal or risk implications.

Ngā pānga ki ngā kaupapa here | Policy impact

15 There are no policy implications.

TE whakawhiti kōrero me te tūhono | Communications & engagement

16 This report is for the purpose of providing information only and does not trigger the Council’s Significance and Engagement policy.

Te mahere tūhono | Engagement planning

17 There is no requirement for engagement planning.