Significance and engagement policy

The DCC aims to engage meaningfully to implement the goals and strategic directions set up in the Strategic Framework

Figure 1-DCC's Strategic Framework

In particular, the policy aligns with the commitment toward:

• Sustainability, implemented by the Zero Carbon Plan.
• The Treaty of Waitangi, implemented by Te Taki Haruru – The Māori Strategic Framework.

The DCC will consider community views when making decisions. This policy establishes a general approach for determining the significance of decisions and sets out when and how the DCC will engage the community in its decision-making relative to the significance of the decision.

The objectives of this policy are:

1. To establish a process for determining the significance of a decision.
2. To support public involvement in significant decision-making, which will ensure good decision-making.
3. To promote on-going engagement on the DCC’s activities and projects.
4. To build positive relationships with stakeholders and the wider community, encouraging co-operation, respect and mutual understanding of other points of view.
5. To ensure that the DCC meets all legislative requirements in terms of consultation and community engagement, including the requirements of section 76AA of the LGA.

The DCC will take a principle-based approach to its community engagement activities, in alignment with the International Association for Public Participation (IAP2) Core Values.

Principle 1: Engage effectively and openly.

1. Genuine: We will engage honestly, and we will respect and listen to the views provided by the community with an open-mind and will give due consideration to them when making decisions.
2. Timeliness: We will engage with the community as early as appropriate and ensure that engagement processes are an integral part of project planning. We will allow enough time for participants to contribute and for them to be able to raise unexpected issues.
3. Purposeful: We will be clear about the purpose of engagement and the ability and scope of the engagement to influence decisions.
4. Informed: We will provide clear, easy to understand and objective information relating to engagement and ensure it is readily available so that participants can make informed contributions.

Principle 2: Ensure appropriate delivery of engagement.

1. Recognition of diversity: We will use engagement methods which are appropriate to the issue and those we are seeking to engage, having regard to their culture, age, ability and time availability.
2. Inclusive and accessible: We will engage in a way which encourages participation of all who are likely to be affected by, or are interested in, a decision.
3. Cost-effective: We will engage in a cost-effective manner, and resource engagement in proportion to the significance of the decision. We will ensure the least possible cost to all involved in the engagement (including the costs to the communities / affected parties).

Principle 3: Make provision for Māori to contribute to the decision-making processes actively and effectively.

1. Engagement with Māori: In addition to all other principles, we will engage with Māori in the city in a way that is reflective of tikaka and kawa.

Principle 4: Consider the views, interests, needs and opinions expressed and report on their influence on the final decision.

1. Responsive: We will be transparent about how we record, consider and respond to participants’ contributions, and provide clear information on how the community's feedback has been taken into account in decision- making.

Principle 5: Consider the needs of future generations.

1. Sustainable: We will consider the needs of the present without compromising the ability of future generations to meet their own needs.

In Te Taki Haruru – the Māori Strategic Framework for DCC – the value of Autūroa, referring to the concept and practice of mana and the longevity of ongoing influence and leadership in the community, relates to engagement and how we can effectively engage with Māori in Dunedin. Additionally, the value of Autakata, referring to the concept of whakapapa of mana whenua to the whenua of Ōtepoti, highlights why it is important to engage with mana whenua.

The implementation of Te Taki Haruru will provide avenues for DCC to engage with mana whenua and Māori, one of which is Tū Hono - the Māori Engagement Framework. Enabling DCC teams to assess the level of engagement required with mana whenua and mātāwaka Māori in Ōtepoti Dunedin.

Furthermore, Tū Kotahi - the Cultural Capability Framework will lift the ability and understanding of teams to engage with mana whenua and Māori communities of Ōtepoti Dunedin.

Finally, Te Pae Māori will provide a mana-to-mana forum in which Council, Mana Whenua and Mātāwaka are able to collaborate in decision making.

Statutory Compliance:

The LGA and other legislation require the DCC to consult with the community in a range of circumstances. The LGA has also sets out principles to guide all consultation and prescribes specific consultative procedures, which must be followed in certain circumstances (refer to section 7). At a minimum, the Council will adhere to all legislative requirements.

Significant proposals or decisions:

The Council will determine the nature and form of the engagement in accordance with the significance of the particular decision. In general, the greater the significance of the decision, the more we will do to engage the community. A ‘significant’ decision will not automatically require the special consultative procedure but will require some method of engagement unless there are good reasons not to engage.

Reasons not to engage:

The Council acknowledges there are times when it is not necessary, appropriate or possible to engage the community on a proposal or decision. The Council may choose not to engage on a proposal or decision, but will only decide this in accordance with the criteria below:

• The proposal or decision is not of a nature or significance that requires engagement.
• The Council already has a sound understanding of the views and preferences of the persons likely to be affected by or interested in, the proposal or decision.
• There is a need for confidentiality or commercial sensitivity.
• The costs of engagement outweigh the benefits of it.
• The proposal or decision has already been addressed by the Council’s strategies, policies or plans, which have recently been consulted on.
• An immediate or quick response or decision is needed or it is not reasonably practicable to engage.

Whenever the Council does not formally engage, community views will still be considered before a decision is made and as much information will be provided to the public as possible. Figure 2 provides a summary of the factors the Council will consider when deciding when to engage.

Figure 2: Flowchart of deciding when to engage

Significance

Significance means the importance of an issue, proposal, decision, or matter, as assessed by the DCC, in terms of its likely impact on, and likely consequences for:

• a) Dunedin as a whole.
• b) The parties and communities who are likely to be particularly affected or interested in the issue, proposal, decision or matter.
• c) The financial and non-financial costs and implications, or the capacity of the DCC to perform its role/functions.

In considering DCC’s strategic commitment to sustainability, climate change should be treated as an overarching issue that impacts all areas of work at DCC.

DCC staff and elected members will be responsible for assessing the significance of a potential decision, in accordance with legislation and this Policy. When determining the significance of an issue, proposal, decision or other matter the criteria in section 6.2 will be considered.

Criteria for Significance

The DCC has identified criteria to assess the degree of significance. The significance of an issue, proposal or decision lies somewhere on a continuum from low to high. Where the significance of a proposal or decision is unclear against one criterion, then the DCC will treat that criterion as being more, rather than less significant. If any of the following criteria are met, the proposal or decision may be ‘significant’. However, the criteria should be considered collectively to get to this point.

• Importance to Dunedin: The extent to which the matter impacts on DCC area, now and in the future. Factors to be considered include:
  1. The effect on existing levels of service provided by the DCC for significant activities (including a decision to begin or cease a significant activity).
  2. The long-term social, economic, environmental and cultural impact of the decision on the needs of current and future generations.
  3. The opportunity costs, the level of risk and how difficult it would be to reverse the effects of the decision.

• Community interest: The extent to which individuals, organisations, businesses, groups, communities and sectors within the community are particularly affected by, or are interested in, the matter. Factors to be considered include:
  1. The number of individuals, organisations, businesses, groups, communities and sectors within the community that are affected.
  2. The extent of the impact on affected individuals, organisations, businesses, groups, communities and sectors within the community.
  3. The level of public interest, or the potential to generate interest or controversy.
  4. The extent to which community opinion is divided on the matter.

• Consistency with existing policy and strategy: the extent to which the matter is consistent with the DCC’s community outcomes, Strategic Framework and policies (refer to Schedule 1). Factors to be considered include:
  1. The extent to which the decision is consistent with the DCC’s community outcomes, Strategic Framework priorities and policies.
  2. The extent to which the decision is consistent with previous DCC decisions.

• Impact on DCC’s finances, capacity and capability: The impact of the decision on the ability to achieve the objectives set out in the DCC's Long Term Plan and Financial Strategy. Factors to be considered include:
  1. Transfers of strategic assets to or from the DCC (refer to section 6.3).
  2. The financial cost of the decision, in the short, medium and long term.
  3. The extent of the impact on rates and/or debt (including cumulative effects).
  4. The extent to which the decision is consistent with the Financial Strategy.
  5. The impact on DCC's capacity/capability to meet legislative requirements.

Strategic assets

Some assets or groups of assets are considered strategically important to achieve and promote the current or future wellbeing of the community and the priorities of the Strategic Framework. These assets are identified in Schedule 2.

In general, the DCC will, at a minimum, engage the community using the special consultative procedure (as described in "How Do We Engage" (section 7)) on any significant changes to the DCC’s ownership or control of strategic assets and any decisions to construct, replace or sell strategic assets.

Note: the section of this Policy called ‘Water Services’ applies to the DCC’s ‘strategic water services assets’.

Materiality and the Annual Plan

A local authority is required to prepare and adopt an Annual Plan for each financial year. Consultation on a proposed Annual Plan is only required if there are significant or material differences from the content of the Long Term Plan for the financial year concerned (Sections 95 and 95A of the LGA). However, the DCC can still choose to engage with the community on its plans if it wishes to do so.

Section 95A(5) of the LGA defines materiality: “For the purposes of this section a difference, variation or departure is material if it could in its own right, or in conjunction with other differences, influence the decisions or assessments of those reading or responding to the proposed Annual Plan.”

When assessing materiality, the key questions to consider are:

1. Would this project/proposal cause a reasonable person to change their view of the affordability of the plan or of the service levels being provided?
2. Would this project/proposal cause a reasonable person to want to/not want to provide feedback on the proposal?

Materiality in this context is not the same as the concept commonly used in financial reporting and cannot always be reduced to a dollar value.

Level of Engagement

The DCC will determine which engagement tools, activities or processes to use based on the individuals, organisations, businesses, groups, communities and sectors within the community that are affected by, or interested in the proposal; and the extent of that interest/impact. In the first instance, DCC staff will be responsible for assessing the appropriateness of engagement activities for each proposal or decision at the project planning stage. The DCC will be flexible in its engagement approach and be responsive to new ideas. Reports to the Council and its Committees will outline a proposed engagement plan, to be approved by the Council or Committee.

The DCC recognises that differing levels of engagement tools, activities or processes may be required during the various stages of decision-making on an issue and for different stakeholders. Figure 3 is based on the International Association of Public Participation (IAP2) spectrum of engagement and sets out some engagement activities. It describes when these activities may be appropriate for particular kinds of decisions and when the community can expect to be involved in the decision-making. However, this does not commit the DCC to using specific tools or activities in any specific circumstance.

This Policy will be reviewed at least once every three years, and within 12 months following each triennial election.

Strategic assets are those considered by the DCC to be strategically important to achieve and promote the current or future well-being of the community and the priorities of the Strategic Framework. Currently the DCC's strategic assets are:

• Aquatic Facilities
• Cemeteries
• Community housing
• Dunedin Botanic Garden
• Dunedin Centre, Town Hall and Municipal Chambers
• Dunedin Chinese Garden
• Dunedin Public Art Gallery and collections
• Dunedin Public Libraries and collections
• Dunedin Railway Station
• Edgar Centre
• Forsyth Barr Stadium
• Hereweka Harbour Cone
• (changed to Waste management Facilities, see below)
• Logan Park
• (changed to Aquatic Facilities, see above)
• Olveston House and collections
• Parks, recreation and open space network
• Regent Theatre
• Shares in Dunedin International Airport Limited
• Dunedin City Holdings Limited
• The Town Belt
• Toitū Otago Settlers Museum and collections
• Transportation Network
• Waste management facilities

Notes:

• The DCC may consider any other asset or group of assets as being ‘significant’ by using the criteria of significance in section 2.
• Where a strategic asset is a network or has many components, decisions can be made on individual components within the network without it being regarded as significant, unless that component substantially affects the level of service provided to the community.
• Decisions can be made to physically alter strategic assets that are required to prevent an immediate hazardous situation arising, or repair an asset due to damage from an emergency or unforeseen situation.
• As agreed by the Council, in the case of Council Controlled Organisations (CCO), decisions relating to the management, acquisition or divestment of assets are taken by the independent board of the CCOs under the Statement of Intent.

Strategic water services assets are defined in the LGWSA as water services infrastructure or another asset or group of assets without which the provider is unable (i) to meet its regulatory requirements; or (ii) to maintain its capacity to achieve the outcomes set out in its water services strategy; and includes an asset or group of assets listed as strategic water services assets in the provider’s significance and engagement policy. Currently the DCC's strategic water services assets include:

• Stormwater collection and disposal system
• Wastewater collection, treatment and disposal system
• Water collection, storage, treatment and distribution system.

Notes:

• The DCC may consider any other asset or group of assets as being ‘significant’ by using the criteria of significance in this Policy.
• Where a strategic water services asset is a network or has many components, decisions can be made on individual components within the network without it being regarded as significant, unless that component (i) substantially affects the level of service provided to the community; or (ii) otherwise affect’s DCC’s ability to meet the requirements set out in the LGWSA.
• Decisions can be made to physically alter strategic water services assets that are required to prevent an immediate hazardous situation arising or repair an asset due to damage from an emergency or unforeseen situation.