Memorandum
12 September 2019
Item 4
To:
Joint Governance Working Party
Subject:
GFR Service Levels and Funding Update
From:
Gary Pemberton, Programme Change Lead
Service Strategy and Integration, Customer and Community
Services Division
Contact information:
[email address]
Purpose
1.
To update Joint Governance Working Party (JGWP) members on progress of the
GFR – Service Levels and Funding project (Project) including proposals for minimum service
levels.
Summary
2.
The second phase of this Project, investigating possible minimum service levels, has resulted
in eight proposals for minimum service levels which are presented here for feedback from the
JGWP.
3.
The third phase of this Project, investigating options for equity of service levels and funding, is
underway based on five design principles, which are presented here for endorsement by the
JGWP.
4.
Should decisions from the next phases meet the significance criteria under Council’s
Significance and Engagement policy, public engagement on those decisions will be undertaken
through the LTP process for 2021-31.
5.
The planned Project completion date of August 2020 is unchanged.
Context
6.
In September 2017 the Governing Body resolved that further work be undertaken that provides
local boards more flexibility over decision-making over operational funding and service levels.
GB/2017/118 28 September 2017 - Operational funding and service levels
y) approve, in principle, that local boards will be given more flexibility of decision-making over
operational funding and service levels and, that before final decisions on the degree of that
flexibility are made, further work (including a more detailed timeframe) be reported back to the
governing body on:
i) existing service levels
ii) options for equalising service levels between local boards
iii) options for minimum service levels and to which activities these may apply
iv) the impacts on organisational support.

Item 4
7.
The GFR – Service Levels and Funding project (Project) commenced in July 2018 under the
Governance Framework Review programme of work and the JGWP was last updated on
progress in July 2019.
8.
The Stocktake of Existing Local Community Service Levels report has been finalised following
feedback from local boards, completing phase one of the Project.
9.
This report updates progress on the two remaining phases of this project:
•
options for ‘minimum service levels’ and to which activities these may apply
•
options for equity of service levels and funding between local boards and implications for
organisational support.
10.
The attachment provides further detail on key discussion points below.
Discussion
Minimum Service Levels – phase two
11.
An initial list of 36 minimum service levels were proposed across local community services.
12.
Testing against relevant legislation reduced this list substantially. Identification of a preferred
approach to achieving regional outcomes from some local services reduced this list further, to
eight minimum service level proposals.
13.
These proposals and recommendations are presented here for feedback.
14.
In the new term, updated recommendations will be presented to local boards and the relevant
Governing Body committee for feedback and endorsement, along with the proposals from phase
three.
Equity of service levels and funding – phase three
15.
The third phase of work, to develop options for equity of service levels and funding, is now
underway. Five design principles will guide the next phase and have been drawn from the Local
Government (Auckland Council) Act (2009) sections 17 (allocation of decision making
responsibilities) and 19 (local boards funding policy).
16.
These design principles are presented here for endorsement:
•
Local boards are empowered to make local service level decisions consistent with local
priorities
•
Local decision making may result in service levels differing across local boards - this is
acceptable and expected
•
Local boards might decide to remove some services from their communities entirely, subject
to agreed minimum service levels
•
The priority for achieving equity in funding is for local boards to deliver local services to
‘enhance their community wellbeing’
•
Proposals will be fair, transparent, durable and responsive to growth and change within
communities.
17.
A discussion paper on findings and options will be circulated to local boards and the relevant
Governing Body committee in Q3 of 2019/20.
Next steps
18.
Incoming local boards and the relevant Governing Body committee will be provided an update
on the Project findings to date and other discussion material.
2

Item 4
19.
In Q3 of 2019/20 local boards and the relevant Governing Body committee will workshop
discussion documents on options for service level and funding, including the role of minimum
service levels.
20.
In Q4 of 2019/20 local boards and the relevant Governing Body committee will be consulted on
both minimum service level and equity of service level and funding proposals prior to final
decisions.
21.
Should decisions from the next phases meet the significance criteria under Council’s
Significance and Engagement policy, public engagement on those decisions will be undertaken
through the LTP process for 2021-31.
22.
Project milestones are unchanged.
Attachments
No
Title
Page
A
Governance Framework Review - Service Levels and Funding Update
4
B
Minimum Service Level Proposals - Table
22
3

Governance Framework Review
Service Levels and Funding
Joint Governance Working Party
18 September 2019

Agenda
• Minimum Service Levels – Findings
• Principles of the LGACA guide minimum service level developments
• Effectiveness of minimum service levels for different services
• Proposals for minimum service levels
• Requesting PWP feedback and endorsement of proposals
• Equity of Service Levels and Funding
• Design principles approval
• Requesting PWP feedback and endorsement of approach
• Timeline
2

Minimum Service Levels

Minimum Service Levels - Objectives
• Objective of GFR is to increase local board responsibility over local
service level decisions
• Regional decisions on some local services might be required to
support regional outcomes
• Minimum Service Levels are proposed to introduce these regional
decisions but will limit some local board decision making flexibility
• Important to note: Minimum service levels are not intended to deliver
all regional or local outcomes and they should not be interpreted as
‘recommended adequate service levels’. The provision of quality
advice will be critical to determining what increase from minimum will
best enable local boards to deliver on LB outcomes
4

Minimum Service Levels - Approach
• Methodology for determining Minimum Service Levels starts from a
default position of a ‘nil service’ minimum service level and increases
from there on a substantive basis
• Most substantive basis for Minimum Service Levels above ‘nil’ is the
requirements of LGACA s17(2) (“Principles”)
• Possible Minimum Service Levels were tested against the Principles
of LGACA s17(2) and, if justifiable, included as recommended or
proposed Minimum Service Levels
• Proposals need to be specific and measurable – which lead to a
focus on outputs versus outcomes
5

Decision Making Principles - Legislation
• Section 17(2) of the Local Government (Auckland Council) Act
(LGACA) describes the approach to allocating decision-making
responsibilities for non-regulatory activities.
• Broadly, this section requires that these decisions should be made by
local boards unless communities across Auckland will benefit under
one of the following Principles:
i.
the impact of decisions will extend beyond a single local board area
ii.
there needs to be alignment or integration with other decisions made by
the governing body
iii. the benefits of a consistent or coordinated approach across Auckland
outweighs the benefits of local decision-making.
6

Operational Categories from Legislation
Alignment with LGACA s17(2)

h t
al
i
s
pact
al
n
on
o
w
on
oc
s
Operational Category
Operational Description
mi
ocl
t
s l
if
d
ard
rati
cisi
v
on
o
t
ment
i
ne
si
on
b
eg
de
f
y
t

ordinati
n
-
be
I
gn
B
ne
be
G
Co
Deci
ali
be
Where there is a customer expectation of consistency in
Network Expectations
✓
✓
key service levels across a service network
Where there is an agreed (legislative or sector standard)
Health and Safety
requirement of health and safety obligations to be met to
✓
deliver a service level
Contractual obligations that
Arrangements that are delivered locally but that have been
✓
✓
apply regionally
entered into by the Governing Body
Regional policies or work adopted by the Governing Body
Regional Policy
✓
which relies on local channels for delivery
Any core staff expertise or system capability required to
Maintain System Capability
ensure service can continue and advice can be provided to
✓
✓
Elected Members
7

Minimum Service Level Proposals
• Number of minimum service levels proposed in total: 8
• Breakdown by category and service line:
Local Service Line
Libraries &
Active
Parks
Arts &
Community
Community
Category
Events
Information
Recreation
Services
Culture
Places
Empow’ment
Network
3
1
0
0
0
0
0
expectations
Health and
1
2
1
1
1
1
1
Safety*
Commitments
or contractual
obligations
0
1
1
0
0
0
0
and regional
policy
* One health and safety proposal applies to all services
8

Proposed Minimum Service Levels
Network Expectations Category
Intended outcome
Description
Service level mechanism
Pros
Cons
Recommendation
and level
Meet community
Aucklanders have
All permanently staffed
Users have reasonable
Libraries may be open
Regional value of
expectations on opening  consistent access to
community libraries are
access to library service
longer than the
this outcome is
times of libraries
libraries by ensuring that  open at least 44 hours and
community requires
unclear.
users can access all
6 days per week
Request feedback
staffed libraries for a
* Community libraries
on proposal
minimum length of time  excludes those with
before final
each week
ation
regional services
recommendations
m Maintain effective
Aucklanders can access  Staffing to receive and
Collection circulation
Difficult to estimate
The constraint
for
In circulation of the
the 3 million+ physical
dispatch regional
maintain the benefit of
additional resource
anticipated may
d regional collection
collection items
collection items circulating  the regional collection to
required over short
occur too rarely to
s an
ie across the network
available across the
around the network is
all libraries
term minimum staffing  be justified.
rar
regional in a timely way  sufficient to avoid
b (Support Regional
Maintains turnaround
Libraries with high
Request feedback
Li
by ensuring libraries can  backlogs of more than 7
Collection Policy)
time for handling of items  volumes of turnover in
on proposal
receive (and return)
days.
across region and avoids
collection items are
before final
items efficiently
backlogs
likely to set service
recommendations
Note that short term
levels to avoid any
staffing is addressed in
backlogs
‘all service activities’
9

Proposed Minimum Service Levels
Network Expectations Category (Cont.)
Intended outcome
Description
Service level mechanism  Pros
Cons
Recommendation
and level
Provide a professional
Aucklanders benefit
A qualified librarian
Customers can access
Some libraries may offer  Balancing service
library and information  from skills of librarian
available in each local
professional librarian
services not needed by  accessibility with
ation
service
professionals when
board cluster during
advice within their library  its customers
local flexibility
m
seeking advice,
opening hours
(but not at all times)
for
Request feedback
information and
In
d
on proposal
research support
before final
s an
ie
LIANZA qualification
recommendations
rar
b
criteria can also include
Li
undergraduate degrees
and career experience
Pool price discount
Reduce barriers to use
Consistent discounts to
Provide target groups
Constrains local board
Balancing regional
structure encourages
for those Aucklanders
pool admission pricing
across the region with
flexibility on pricing to
pricing
usage by target groups
that have the most to
relative to std adult
similar price support
target groups
consistency with
gain from swimming and  pricing for seniors,
local flexibility on
ation
Discounts for regional
Users will face different
cre
other activity
community card holders
price levels
e
memberships can be
price points across
R
and students. Includes
e
Strategic assessment of
priced transparently (no
Auckland for similar
Request feedback
casual and multiple trip
ctiv
operating model
change)
services (no change)
on proposal
A
concessions.
underway including
before final
admission pricing and
recommendations
structure. Monitor.
10

Proposed Minimum Service Levels
Health and Safety Category
Intended outcome
Description
Service level mechanism  Pros
Cons
Recommendation
and level
Keep our customers
Customers can enjoy our  Where a service is
Council complies with key
Some services may be
Recognises
safe and provide staff  services in a safe
staffed a minimum level  legislation, including Health  provided unstaffed, e.g.,  reduction in local
with a safe and
environment provided
of staffing will be
and Safety at Work Act
if the local board sets a
flexibility to ensure
healthy working
by trained staff and the
required for safe
2016, Vulnerable Children
service level lower than  safety of
s
e
n
environment
staff are kept safe in
operation and will
Act 2014 and Ministry of
staffing minimum service  customers and
Li
e
those workplaces by
comply with key
Social Development
level
staff
civr
their colleagues and an
legislation and
guidelines (e.g., OSCAR)
e
Approval
S ll
appropriate working
regulation
A
environment
Common health and
safety obligations across
all service lines.
Pool services comply
Auckland Council pool
Maintain 'Poolsafe'
Services meet regionally
Constraint on local
Makes explicit the
with Poolsafe
services deliver to high
standards for all opening  adopted industry
board decisions on
reduced local
standards
industry standards that
hours
benchmarks
minimum service
flexibility to meet a
ensure the health, safety
Increased cost of
agreed higher
ation
e
and comfort of its users.
minimum operating
industry standards
rce
service levels
r
Poolsafe includes
Approval
e
tiv
requirements on
c
A
accreditation, lifeguard
staffing ratios, including
caps), pool water quality
& testing
11

Proposed Minimum Service Levels - Commitments or
Contractual Obligations and Regional Policy Category
Intended outcome
Notes
Service level
Pros
Cons
Recommendation
mechanism and level
Pool and water
Young Aucklanders can
All children under 17yo
Service meets regionally
Local board revenue
Ensures delivery
safety for children
gain water confidence
swim for free in Council  adopted policy
reduced through free
of previous
ation
and improve their
pools.
entry. Funding met
regional decision
cre
e
swimming skills without
from other services
r
e
Initial approval through
Approval
price being a barrier
ctiv
LTP 2012-2022,
A
implemented Apr 2013
Citizenship
All Aucklanders
Citizenship ceremonies
Service delivers obligations  Commits local board to
Ensures
ceremonies available  becoming NZ citizens
offered at least every
under agreement with
ceremony costs
compliance with
to all new citizens
celebrate in a
quarter, by individual
Department of Internal
(approximately 50% of
current
ts
n
welcoming ceremony
local board or in local
Affairs (DIA)
Councils costs are
contractual
Eve
with a local focus
board clusters
covered by income
obligations
Citizens are welcomed in
from DIA)
local ceremonies with a
Approval
local flavour
12

Minimum Service Levels vs Quality
Advice
Minimum
Setting Auckland-wide outcomes from local services that are:
service levels
•
Delivered as a network of services through council owned facilities.
are good for:
•
Very similar in terms of approach, service offer, delivery
Proposals mainly relate to network service outputs
Minimum
Setting Auckland-wide outcomes for services that are:
service levels
•
Delivered under a range of council- and community-led models (incl private providers)
are not good
•
Delivered through a mix of council-owned and other facilities
for:
•
Designed to empower communities
•
Are responsive and highly tailored to local needs
•
Adaptable to change
Minimum Auckland-wide outcomes achieved through more holistic approach to quality
advice and outcome-based service level decisions, supported by guiding documents such
as:
•
Toi Whītiki
•
I am Auckland
•
Thriving Communities
•
Te Kauroa
•
Auckland Sport and Rec Strategic Action Plan
13

Equity of Service Levels and
Funding

Equity of Service Levels and Funding
• Current service funding:
• reflects funding of legacy councils,
• funding by local board not reflective of need
• constrains local board service decisions and funding
• Local service levels and priorities are responsibility of local boards
• Provide local boards equitable capacity to deliver local community
services
• Local boards determine service levels for their communities and
allocate their funding to services based on their local priorities
• Decisions on service levels made by LBs within each LTP process
15

Equity of Service Levels and Funding
Design Principles
• Local boards empowered to make local service level decisions
consistent with local priorities
• Local decision making may result in service levels differing across
local boards - this is acceptable and expected
• Local Boards might decide to remove some services from their
communities entirely, subject to agreed minimum service levels
• Priority of achieving equity in funding of local boards to deliver local
services to ‘enhance their community wellbeing’
• Proposals will be fair, transparent, durable and responsive to growth
16

Recommendations to Political Working
Party
• Minimum service levels
• Provide feedback on current proposals
• Endorse finalising proposals and reporting
• Equity of Service Levels and Funding
• Provide feedback on Equitable Capacity approach
• Endorse design principles
17

Next Steps
• Minimum service levels
• PWP feedback on proposals, recommendations
18 Sep 2019
• Finalise report and recommendations
Oct 2019
• Local board consultation
Apr 2020
• Equity of Service Levels
• PWP endorsement of design principles
18 Sep 2019
• Workstreams commence
Sep 2019
• Progress update and detailed timeline
Dec 2019 (tbc)
18

Attachment B – Minimum Service Level Proposals Table

Service
Intended
Description
Service level mechanism and  Pros
Cons
Recommendation
Line
outcome
level

s
Libraries
Meet community
Aucklanders have consistent access to libraries
All permanently staffed
Users have reasonable access to
Libraries may be open longer
Regional value of this
on
expectations on
by ensuring that users can access all staffed
community libraries are open at  library service
than the community requires
outcome is unclear.
ita
opening times of
libraries for a minimum length of time each week
least 44 hours and 6 days per
t
Request feedback on
libraries
week
ec
proposal before final
xp
* Community libraries excludes
recommendations
E
those with regional services
ork
Libraries
Maintain effective
Aucklanders can access the 3 million+ physical
Staffing to receive and dispatch  Collection circulation maintain the
Difficult to estimate additional
The constraint anticipated
etw
circulation of the
collection items available across the regional in a
regional collection items
benefit of the regional collection to
resource required over short
may occur too rarely to be
N
regional collection
timely way by ensuring libraries can receive (and
circulating around the network
all libraries
term minimum staffing
justified.
across the
return) items efficiently
is sufficient to avoid backlogs of  Maintains turnaround time for
Libraries with high volumes of
Request feedback on
network
Note that short term staffing is addressed in ‘al
more than 7 days.
handling of items across region
turnover in collection items
proposal before final
(Supports Regional
service activities’
and avoids backlogs
are likely to set service levels
recommendations
Collection Policy)
to avoid any backlogs
Libraries
Provide a
Aucklanders benefit from skills of librarian
A qualified librarian available in
Customers can access
Some libraries may offer
Balancing service
professional
professionals when seeking advice, information
each local board cluster during
professional librarian advice within
services not needed by its
accessibility with local
library service
and research support
opening hours
their library (but not at all times)
customers
flexibility
LIANZA qualification criteria can also include
Request feedback on
undergraduate degrees and career experience
proposal before final
recommendations
Active
Pool price
Reduce barriers to use for those Aucklanders that  Consistent discounts to pool
Provide target groups across the
Constrains local board
Balancing regional pricing
Recreation  discount structure
have the most to gain from swimming and other
admission pricing relative to std  region with similar price support
flexibility on pricing to target
consistency with local
encourages usage  activity
adult pricing for seniors,
groups
flexibility on price levels
Discounts for regional
by target groups
community card holders and
Strategic assessment of operating model
memberships can be priced
Users will face different price
Request feedback on
students. Includes casual and
underway including admission pricing and
transparently (no change)
points across Auckland for
proposal before final
multiple trip concessions.
structure. Monitor.
similar services (no change)
recommendations

All Service  Keep our
Customers can enjoy our services in a safe
Where a service is staffed a
Council complies with key
Some services may be
Recognises reduction in local
ty
Lines
customers safe
environment provided by trained staff and the
minimum level of staffing will be  legislation, including Health and
provided unstaffed, e.g., if the
flexibility to ensure safety of
afe
S
and provide staff
staff are kept safe in those workplaces by their
required for safe operation and
Safety at Work Act 2016 and
local board sets a service
customers and staff

with a safe and
colleagues and an appropriate working
will comply with key legislation
Vulnerable Children Act 2014
level lower than staffing
Approval
healthy working
environment
and regulation
minimum service level
h andtl
environment
Common health and safety obligations across all
ea
service lines.
H
Active
Pool services
Auckland Council pool services deliver to high
Maintain 'Poolsafe' standards
Services meet regionally adopted
Constraint on local board
Makes explicit the reduced
Recreation  comply with
industry standards that ensure the health, safety
for all opening hours
industry benchmarks
decisions on minimum service  local flexibility to meet a
Poolsafe
and comfort of its users.
Increased cost of minimum
agreed higher industry
(Poolsafe standards are
standards
operating service levels
standards
Poolsafe includes requirements on accreditation,
maintained by New Zealand
staffing ratios, including caps), pool water quality
Recreation Association/
Approval
& testing
Recreation Aotearoa)

s
Active
Pool and water
Young Aucklanders can gain water confidence
All children under 17yo swim
Service meets regionally adopted
Local board revenue reduced
Ensures delivery of previous
cy
on
i Recreation  safety for children   and improve their swimming skills without price
for free in Council pools.
policy
through free entry. Funding
regional decision
i
l
t
po
being a barrier
met from other services
ga

approval through LTP 2012-
Approval
i
l
l
a
2022, implemented April 2013

ob  on
l
i Events
Citizenship
All Aucklanders becoming NZ citizens celebrate in  Citizenship ceremonies offered
Service delivers obligations under
Commits local board to
Ensures compliance with
eg
ceremonies
a welcoming ceremony with a local focus
every quarter, by individual
agreement with Department of
ceremony costs
current contractual
d r
ractua
available to all
local board or in local board
Internal Affairs (DIA)
(approximately 50% of
obligations
t
an
new citizens
clusters
Councils costs are covered by
on
Citizens are welcomed in local
Approval
C
income from DIA)
ceremonies with a local flavour

Document Outline