6.0 Attachments to Reports...Updated layout of designated employee list in line with merge of...

SHIRE OF AUGUSTA MARGARET RIVER AUDIT AND RISK MANAGEMENT COMMITTEE 11 NOVEMBER 2020

6.0 Attachments to Reports ITEM NO SUBJECT PAGE 6.1 REPORT ON LEGISLATIVE REQUIREMENTS 2019-20 1

6.2 REPORT ON OAG FOCUS AUDIT 27 6.3 RISK MANAGEMENT UPDATE – OCTOBER 2020 44


6.1 REPORT ON LEGISLATIVE REQUIREMENTS 2019-2020

Attachment 1 – Report on legislative requirements actioned over 1 July 2019 to 30 June 2020 period (as of 30 October 2020)

1

Compliance

ID

Next Due

Date

Directorate Compliance

Officer

Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date

116 30-Oct-20 Corporate

and

Community

Services

Manager

Corporate

Services

Annual

Financial

Report to

DLG

Forward Annual Financial Report to

DLG within 30 days of receiving the

Auditor's Report.

Local Government

(Financial

Management)

Regulations 1996

Reg 51(2) AnnuallyCorporate

Services

-

30-Oct-18

30-Oct-19

-

Andrew Ross

Andrew Ross

-

Copy of audited Annual Financial Report for

2017-18 provided to Department of Local

Government Spor

Audited Annual Financial Report for 2018-19

finalised on 11/10/19 and details recorded in

DLGSCI's S

-

I312493

O218587

-

Complete

Complete

-

10-Oct-18

30-Oct-19

Reminder

14 Days


and

Community

Services

Manager

Corporate

Services

Council -

meet with

Auditor

Council is to meet with the Auditor at

least once every year.

Local Government

Act 1995

s7.12A AnnuallyCorporate

Services

-

30-Oct-18

30-Oct-19

-

Andrew Ross

Andrew Ross

-

Teleconference with Moore Stephens Audit

Partner Wen-Shien Chai ocured at Aurdit

and Risk Management

Exist meeting with auditors and Shire

President and CEO on 10/10/19 meets the

need for the annual me

-

-

-

-

Complete

Complete

-

24-Oct-18

10-Oct-19

Reminder

60 Days


and

Community

Services

Community

and

Corporate

Planner

Annual

Report - give

public notice

and publish

on Shire

website

Give local public notice of the

availability of the annual report as

soon as practicable after acceptance

by Council and publish the annual

report on the Shire's website within

14 days after acceptance.

Local Government

Act 1995

s5.55 and

5.55A

AnnuallyHuman And

Community

Services

-

29-Nov-18

12-Dec-19

-

Stacey Hutt

Stacey Hutt

-

The Annual Report for 2017-18 was

advertised for presentation to Council on

Shire website on 29 Nove


advertised for presentation to Council on

Shire website on 28 Nove

-

-

-

-

Complete

Complete

-

-

-

Reminder

14 Days


and

Community

Services

Coordinator

Finance

List of

monthly

payments

A list of payments paid by the CEO is

to be prepared each month and

presented to Council at the next OM

after the list is prepared.

Regulation 13 Local

Government

(Financial

Managemen

t)

Regulations

1996

MonthlyFinance 31-Aug-20

30-Sep-20

31-Oct-20

Lynne

Kenworthy

Lynne

Kenworthy

Lynne

Kenworthy

List of Payment June 2020 OM2020/153

List of Payment July 2020 OM2020/179

List of Payment August 2020 OM2020/

AM1754

AM1774

AM1782

Complete

Complete

Complete

12-Aug-20

09-Sep-20

-

Reminder

14 Days


and

Community

Services

Manager

Corporate

Services

Monthly

Financial

Statement of

Activities

A monthly financial statement is to be

provided to Council within 2 months

of the period end date.

Local Government

(Financial

Management)

Regulations 1996

Reg 34 MonthlyCorporate

Services

31-Aug-20

31-Aug-20

31-Oct-20

Andrew Ross

Andrew Ross

Andrew Ross

Financial Activity Statement report for June

2020 to OM 12 Auugust 2020 Refer

OM2020/153

Financial Activity Statement report for July

2020 to OM 9 September 2020

Financial Activity Statement report for

August 2020

AM1752

AM1772

-

Complete

Complete

In Progress

31-Aug-20

31-Aug-20

-

Reminder

30 Days

2

Compliance

ID

Next Due

Date


Officer



and

Community

Services

Manager

Corporate

Services

Audit Report

and

Managemen

t Letter

Auditors to provide a report to be

forwarded to DLG by 31 December

each year.

Local Government

Act 1995

s7.9 AnnuallyCorporate

Services

-

30-Oct-18

30-Oct-19

-

Andrew Ross

Andrew Ross

-

Audit Report and Management Report for

30/6/18 were received by email on 9/10/18.

Hardcopies to fol

Audit Report and Management Report for

30/6/19 were received by email on

11/10/19. Hardcopies to fo

-

I312427

I351253

-

Complete

Complete

-

09-Oct-18

14-Oct-19

Reminder

20 Days


and

Community

Services

Manager

Corporate

Services

Annual

Financial

Report

Annual financial report to be

submitted to auditor by 30

September.

Local Government

Act 1995

s6.4(3) AnnuallyCorporate

Services

30-Aug-18

30-Aug-19

30-Oct-19

Andrew Ross

Lynne

Kenworthy

Andrew Ross

Draft Annual Financial Report for 2017-18

completed and provided to Auditors on

16/8/18. Draft is b

Annual Financial Report for 2017-18

completed on 9/10/2018

Draft Annual Financial Report for 2018-19

provided for audit in August 2019. Draft is

being progres

-

-

-

In Progres

Complete

Complete

16-Aug-18

09-Oct-18

14-Oct-19

Reminder

30 Days

117 30-Nov-20 Corporate

and

Community

Services

Community

and

Corporate

Planner

Annual

Report

Annual Report is to be adopted by

absolute majority no later than 31

December after that financial year.

Local Government

Act 1995

s5.54 AnnuallyHuman And

Community

Services

02-Nov-18

12-Dec-18

12-Dec-19

Stacey Hutt

Stacey Hutt

Stacey Hutt

The draft Annual Report 2017-18 is

complete and now in design phase. On track

to be presented at OM


presented to Council on 28 November 2018

and endorsed at the Gener


presented to Council on 27 November 2019

and endorsed at the Gener

-

-

-

Complete

Complete

Complete

-

-

-

Reminder

14 Days


and

Community

Services

Manager

Corporate

Services

Purchasing

Authorisatio

n Review

Review list of officers authorised for

incurring expenses and authorising

payments.

Local Government

(Financial

Management)

Regulations 1996

Reg 5e and

11

AnnuallyCorporate

Services

30-Nov-18

30-Nov-18

30-Nov-19

Andrew Ross

Lynne

Kenworthy

Andrew Ross

Review process has commenced with emails

sent to supervisors asking they review

purchasing limits in

Purchasing Authority was reviewed and

signed by Acting CEO 12/12/2018.

Updated Purchasing Authority was reviewed

and approved by ELT and signed by CEO on

5/11/2919

-

-

-

In Progres

Complete

Complete

-

12-Dec-18

02-Dec-19

Reminder

60 Days

36 30-Nov-20 Sustainable

Developmen

t

Executive

Assistant

Director

Corporate

Community

Services

Publish

agendas

notice

papers and

minutes of

LEMC

committee

meetings on

Shire

website

Ensure that the agenda notice papers

and minutes for LEMC committee

meetings are published on the Shire

website. See s5.96A(2) for further

details on excluding information

published if the meeting or part of

meeting is closed to members of the

public and s5.96A(3) on circumstances

where confidentiality does not apply

to information.

Local Government

Act 1995

s5.96A1(f)

and

s5.96A(1)(h)

AnnuallyCommunity

Developmen

t And

Planning

-

-

30-Sep-19

-

-

Katie Taylor

-

-

All agendas notice papers and minutes of

quarterly LEMC committee meetings are

uploaded onto the Sh

-

-

-

-

-

Complete

-

-

25-Sep-19

Reminder 7

Days

3

Compliance

ID

Next Due

Date


Officer



and

Community

Services

Executive

Assistant

Director

Corporate

Community

Services

Publish

agendas

notice

papers and

minutes of

BFAC

committee

meetings on

Shire

website


and minutes for BFAC committee








to information.

Local Government

Act 1995

s5.96A1(f)

and

s5.96A(1)(h)

AnnuallyCommunity

Developmen

t And

Planning

-

-

30-Nov-19

-

-

Lisa

Garstone

-

-

Action complete for all BFAC Meetings held

in 2019

-

-

N174574 N177984

N182919 &

N187714

-

-

Complete

-

-

29-Nov-19

Reminder 7

Days

29 1-Dec-20 Corporate

and

Community

Services

Coordinator

Human

Resources

Annual

Report on

Equal

Employment

Opportunity

Submit Annual Report on

implementation of the Equal

Employment Opportunity Plan to

Director Equal Employment

Opportunity

Equal Employment

Opportunity Act

1984

s146 AnnuallyHuman And

Community

Services

-

30-Apr-18

30-Apr-19

-

Nigel

Anderson

Nic Nitu

-

Lodged through EEO portal 23 May 2018

Advised relevant State department of EEO

plan requiring more time to complete in Feb

2019. To be com

-

-

-

-

Complete

In Progress

-

23-May-18

10-Oct-19

Reminder

30 Days

101 30-Dec-20 CEO Council

Minutes and

Agenda

Officer

Review

Designated

Employee

List against

Degelations

Register

Review Designated Employee List

against Degelations Register. Note

any internal movements acting

positions.

Local Government

Act 1995

s5.74 defines

a relevent

person

Quarterly

(December

March June

September)

Governance -

-

30-Sep-20

-

-

Claire

Schiller

-

-

Reviewed. Updated layout of designated

employee list in line with merge of

Sustainable development

-

-

-

-

-

Complete

-

-

16-Sep-20

Reminder

14 Days

114 30-Dec-20 Sustainable

Developmen

t

Manager

Health

Waste and

Ranger

Services

Review of

Health Local

Law

Local laws are required to be

reviewed every 8 years (last

completed 1999)

Local Government

Act 1995

s3.16 8 YearlyPlanning And

Developmen

t Services

-

30-Dec-17

30-Dec-18

-

Christine

McAtee

Ruth Levett

-

Waiting on finalisation of new Health Regs

before review is commenced.

Pending the commencement of Stage 5

implementation of the Public Health Act

2016.

-

-

-

-

Not Started

In Progress

-

30-Dec-17

03-Jan-18

Reminder

180 Days


and

Community

Services

Coordinator

Human

Resources

Staff

Performance

Review

Annual staff performance reviews to

be completed.

Local Government

Act 1995

s5.38 AnnuallyHuman And

Community

Services

30-Sep-18

30-Sep-19

30-Dec-20

Nigel

Anderson

Nic Nitu

Nic Nitu

The annual personnel performance review

process was completed on Friday 21st

September 2018 with 211

Performance reviews have been completed.

Performance reviews completed July to Sept

2020. A number of reviews are TBC (to be

completed) where

-

-

-

Complete

Complete

-

21-Sep-18

01-Oct-19

-

Reminder

30 Days

4

Compliance

ID

Next Due

Date


Officer


12 30-Dec-20 CEO Governance

Officer

Notifiable

Gift Register

Review gift register ensuring all

entries are up to date with disclosures

of notifiable gifts by employees and

register is compliant with the Act and

Regulations. Record register on

Synergy annually.

Local Government

Act 1995 and Local

Government

(Administration)

Regulations 1996

s5.62(2) Reg

34B

Quarterly

(December

March June

September)

Governance 30-Mar-20

30-Jun-20

30-Sep-20

Emma

Rogers

Emma

Rogers

Emma

Rogers

Notifiable gift register is up to date (Jan -

March 2020).

No notifiable gifts were disclosed between

April - June 2020

No notifiable gifts were disclosed between

July - September 2020

-

-

-

Complete

Complete

Complete

30-Mar-20

01-Jul-20

07-Oct-20

Reminder

14 Days


Minutes and

Agenda

Officer

Officer

Primary

Returns

Primary returns are due within 3

months of starting date as a newly

designated officer (for officers acting

is desigated emplyee positions also).

CEO acknowledgement of receival of

returns.

Local Government

Act 1995

s5.75 Quarterly

(December

March June

September)


30-Jun-20

30-Sep-20

Claire

Schiller

Claire

Schiller

Claire

Schiller

James Shepherd and Chris Yates completed

within 3 month time frame.

No new relevent officers

Retrospecitve submission of Primary Return

of Grant Gordon-Kirby letter to CCC and

DLGSC notificati

-

-

-

Complete

Complete

Complete

29-Apr-20

30-Jun-20

23-Sep-20

Reminder 7

Days


Officer

Policy

Register

Review policy register and provide a

report to ELT on all policies that

require a review (policies to be

reviewed every 3 years).

Internal Not

Applicable

Quarterly

(December

March June

September)


30-Jun-20

30-Sep-20

Emma

Rogers

Emma

Rogers

Emma

Rogers

ELT meeting held 4/2/2020 - plan to develop

procedure on reviewing policies and begin a

bulk review

Draft procedure on reviewing policies is

being developed following this there will be

a bulk revie

Procedure in progress following this there

will be a bilk review of policies.

-

-

-

Complete

Complete

In Progress

30-Mar-20

01-Jul-20

07-Oct-20

Reminder

14 Days


Minutes and

Agenda

Officer

Annual

Electors

Meeting -

give local

public notice

Give Local Public Notice of Annual

Electors Meeting at least 14 days prior

to meeting.

Local Government

Act 1995

s5.29 AnnuallyGovernance 30-Dec-18

30-Dec-17

30-Dec-19

Claire

Schiller

Claire

Schiller

Claire

Schiller

Advterised on Shire Website library notice

board 29/11/18 to 12/12/18 local paper on

30/11 & 07/12

Advterised on Shire Internet library notice


6/12 & 13/12

Advertised on Shire website library notice


29/11 & 6/12

-

n/a

-

Complete

Complete

Complete

07-Dec-18

30-Nov-17

04-Dec-19

Reminder

30 Days


Minutes and

Agenda

Officer

Annual

Electors

Meeting -

held within

56 days of

adoption of

Annual

Report

Annual Electors Meeting to be held

within 56 days of adoption of Annual

Report.

Local Government

Act 1995

s5.27 AnnuallyGovernance 30-Dec-17

30-Dec-18

30-Dec-19

Claire

Schiller

Claire

Schiller

Claire

Schiller

GEM held 13/12/2017

GEM held 12/12/2018

GEM held 11/12/2019

N144912

-

-

Complete

Complete

Complete

13-Dec-18

12-Dec-18

-

Reminder

30 Days

5

Compliance

ID

Next Due

Date


Officer



and

Community

Services

Coordinator

Revenue and

Customer

Services

Christmas /

New Year

Closure

Advertise office Christmas closures

tips and rubbish collection dates on

website and in local paper.

Local Government

(Administration)

Regulations 1996

s5.25(1)6

Reg 12

AnnuallyCorporate

Services

30-Dec-17

30-Dec-18

30-Dec-19

Vicki Scott

Vicki Scott

Vicki Scott

Advertisement in the Community

Consultation Page from week commencing

Friday 8 December 2017.



Friday 30 November 2018.



Friday 30 November 2019.

154

154

154

Complete

Complete

Complete

08-Dec-17

30-Nov-18

03-Dec-19

Reminder

30 Days


Minutes and

Agenda

Officer

Council and

Committee

Meeting

Schedule

Ordinary Council meetings and

Committee meeting dates for the

next 12 months to be adopted by

Council and then advertised.

Local Government

(Administration)

Regulations 1996

Reg 12 (1) AnnuallyGovernance 30-Dec-17

30-Dec-18

30-Dec-19

Claire

Schiller

Claire

Schiller

Claire

Schiller

Dates / venues adopted by Council on

22/11/2017 OM2017/281 advertised:

website local paper 28/11

Dates / Venues adopted by Council on

14/11/2018 OM2018/275 advertised

website local paper 23/11/20

Dates / venue adopted by Council

27/11/2019 OM2019/221 advertised

website local paper 6/12/2019 an

I281382

N167816

-

Complete

Complete

Complete

-

23-Nov-18

-

Reminder

30 Days


and

Community

Services

Community

Emergency

Services

Manager

Variations to

prohibited

Burning

Times

Give notice of variations to prohibited

burning times.

Bush Fires Act

1954

s17(8) December

February

Community

Fire And

Emergency

Services

28-Feb-18

30-Dec-18

18-Mar-19

Chris Lloyd

Chris Lloyd

Alison

McNally

There is no variation to the Burning periods

and the dates will remain as is in the

firebreak notice

There is no variation to the Burning periods

and the dates will remain as is in the

firebreak notice

Comment provided by David Holland Chief

Bush Fire Control Officer. The Prohibited

was extended from

-

I132907

-

Complete

Complete

Complete

27-Feb-18

02-Jan-19

15-Mar-19

Reminder 2

Days


Minutes and

Agenda

Officer

Review

legislation

relevant to

compliance

activities

Check the most up to date legislation

on the state law publisher website

https://www.slp.wa.gov.au/Index.htm

l relevant to each compliance activity

update the compliance action in

accordance with changes in legislative

requirements advise the responsible

officer of the changes who can then

implement appropriate mechanisms

to ensure the changes are being

complied with. WALGA compliance

Internal Not

Applicable

AnnuallyGovernance -

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Reminder

30 Days


Minutes and

Agenda

Officer

Review

legislation

relevant to

compliance

activities

Check the most up to date legislation

on the state law publisher website

https://www.slp.wa.gov.au/Index.htm

l relevant to each compliance activity

in which you are the responsible

officer for and report any changes in

legislative requirements to the

Governance Officer and implement

appropriate mechanisms to ensure

the changes are being complied with.

See procedure for more info.

Internal Not

Applicable

BienniallyGovernance -

-

30-Jun-20

-

-

Claire

Schiller

-

-

Legilsation reviewed. No changes to

legilsative requirements.

-

-

-

-

-

Complete

-

-

31-Jul-20

Reminder

30 Days

6

Compliance

ID

Next Due

Date


Officer



Minutes and

Agenda

Officer

Review

compliance

register

ensure

entries are

up to date.

Review compliance register ensure

entries are up to date.

Internal Not

applicable

Quarterly

(December

March June

September)


30-Jun-20

30-Sep-20

Emma

Rogers

Claire

Schiller

Claire

Schiller

Reviewed register 24 actions completed 5 in

progress 2 not yet started.

Reviewed register for Q4 25 actions

completed 2 in progress.

Reviewed register for 2020-21 Q1 55 actions

in total 2 not started

-

-

-

Complete

Complete

Complete

30-Mar-20

31-Jul-20

07-Oct-20

Reminder

30 Days


Minutes and

Agenda

Officer

Publish

agendas

notice

papers and

minutes of

ordinary

council

meeetings

and

committee

meetings


and minutes for Ordinary Council

Meetings and ARMC committee








to information.

Local Government

Act 1995

s5.96A1(f)

and

s5.96A(1)(h)

Quarterly

(December

March June

September)


30-Jun-20

30-Sep-20

Claire

Schiller

Claire

Schiller

Claire

Schiller

January - March 2020 - Notice papers

agenda and minutes for OCM and ARMC

published on Shire website

April - June 2020 - Notice papers agenda and

minutes for OCM and ARMC published on

Shire website

July - September 2020 - Notice papers

agenda and minutes for OCM and ARMC

published on Shire websit

-

-

-

Complete

Complete

Complete

29-Apr-20

30-Jun-20

23-Sep-20

Reminder 7

Days


Minutes and

Agenda

Officer

Minutes of

electors'

meetings

published on

Shire

website

Ensure that the minutes of the

electors' meetings are published on

the Shire's website.

Local Government

Act 1995

s5.96A(1)(g) AnnuallyGovernance -

-

30-Dec-19

-

-

Claire

Schiller

-

-

Minutes of 11 December 2019 Annual

Electors Meeting published on Shire website

-

-

O221881

-

-

Complete

-

-

09-Jan-19

Reminder 7

Days


Officer

Publish a

register of

complaints

of minor

breaches on

the Shire

website

Ensure that an up to date register of

complaints of minor breaches and any

censure order under s5.110(6) 5.113

or 5.117(1) in respect of a person who

is is a council member is published on

the Shire website.

Local Government

Act 1995

s5.118(3)

and

s5.121(3)

AnnuallyGovernance -

30-Sep-19

30-Sep-20

-

Emma

Rogers

Emma

Rogers

-

Register of minor breaches is on the website

along with a copy of censureship.

Up to date register of minor breach is on the

website

-

-

-

-

Complete

Complete

-

09-Sep-19

07-Oct-20

Reminder 7

Days


Minutes and

Agenda

Officer

Financial

Interest

Register -

Council

Meetings

Review register ensuring all entries

are up to date with disclosures

(financial proximity and impartial)

made by officers with interests

relating to advice or reports in Council

meetings and disclosures (financial

proximity and impartial) made by

Councillors at Council meetings and

register is compliant with the Act.

Record register on Synergy annually.

Local Government

Act 1995

s5.88(1) Quarterly

(December

March June

September)


30-Jun-20

30-Sep-20

Claire

Schiller

Claire

Schiller

Claire

Schiller

Disclosure register up to date as at

30/03/2020. Registered.

Disclosure Register up to date as at

17/06/2020

Disclosure Register up to date as at

18/09/2020.

N195404 financial

and N195405

-

-

Complete

Complete

Complete

29-Apr-20

17-Jun-20

18-Sep-20

Reminder

14 Days

7

Compliance

ID

Next Due

Date


Officer



Officer

Financial

Interest

Register -

Employees


are up to date with disclosures

(financial proximity) made by officers

with interests relating to delegated

functions and officer duties and

register is compliant with the Act.

Also review impartiality Register for

Crs and employees. Record register on

Synergy annually. Forward any

procurement disclosures of interest to

Finance Officers.

Local Government

Act 1995

s5.88(1) Quarterly

(December

March June

September)


30-Jun-20

30-Sep-20

Emma

Rogers

Emma

Rogers

Emma

Rogers

Finance register and impartial register has

been reviewed for Jan - Mar 2020. All entries

up to date


been reviewed for April - June 2020. All

entries up to d


been reviewed for July - September 2020. All

entries are

-

-

-

Complete

Complete

Complete

30-Mar-20

01-Jul-20

07-Oct-20

Reminder

14 Days


Officer

Gift Register

s5.87


are up to date with disclosures of gift

and travel contributions by Councillors

and designated employees register is

compliant with the Act and register is

published on website. Record register

on Synergy annually.

Local Government

Act 1995

s5.87 5.89 Quarterly

(December

March June

September)


30-Jun-20

30-Sep-20

Emma

Rogers

Emma

Rogers

Emma

Rogers

No gifts have been disclosed from Jan to

Mar 2020

No gifts have been disclosed from April to

June 2020

No gifts have been disclosed from July to

September 2020

-

N200334

-

Complete

Complete

Complete

30-Mar-20

01-Jul-20

07-Oct-20

Reminder

14 Days


Officer

Review of

Standing

Orders Local

Law

Review of local laws to be completed

every 8 years (last completed 2011) -

due 2019

Local Government

Act 1995

s3.16 8 YearlyGovernance 30-Jul-19

30-Dec-19

30-Jun-20

Emma

Rogers

Emma

Rogers

Emma

Rogers

Defer the review of Standing Orders Local

Law pending on the changes resulting from

review of the LG


Law pending on changes resulting from

review of the LGA


Law pending on changes resulting from

review of the LGA

-

-

-

In Progres

In Progress

In Progress

27-Aug-19

07-Jan-20

01-Jul-20

Reminder

365 Days


Developmen

t

Administrati

on Officer

Ranger

Services

Impounded

Vehicles

Review register of impounded

vehicles and ensure all entries are

compliant with the Act. (e.g. owners

of impounded vehicles have been

identified and notified within 7 days).

Local Government

Act 1995

s3.40A(2) Quarterly

(December

March June

September)

Health

Waste And

Ranger

Services

19-May-20

30-Jun-20

25-Sep-20

Alana Holben

Alana Holben

Alana Holben

Vehicle Impound Register Reviewed &

Updated


Updated


Updated

O231072

O235567

-

Complete

Complete

Complete

19-May-20

23-Jul-20

25-Sep-20

Reminder

14 Days

15 31-Dec-20 CEO CEO

Executive

Assistant

Record

Keeping

Obligations

for Elected

Members

Send a memo reminder to Councillors

regarding State Records Office of WA

Policy on records of LG elected

members.

State Records Act

2000

Not

Applicable

Quarterly

(December

March June

September)


30-Jun-20

30-Sep-20

Megan Smith

Clare Tansley

Clare Tansley

Email sent to Councillors on 9/4/2020

reminding them of obligation





O228219

O235506

O241288

Complete

Complete

Complete

09-Apr-20

24-Jun-20

07-Oct-20

Reminder

14 Days

8

Compliance

ID

Next Due

Date


Officer



and

Community

Services

Project and

Procurement

Officer

Tender

Register

Review tender register ensuring all

entries are up to date and register is

compliant with Regulations.

Local Government

Act 1995 and Local

Government

(Function and

General)

Regulations 1996

s3.57(1) and

r11(2)(f)

Quarterly

(December

March June

September)

Corporate

Services

31-Mar-20

30-Jun-20

30-Sep-20

Melanie

Aylett

Melanie

Aylett

Melanie

Aylett

Reviewed tender register only one tender

undertaken since last review currently still

open. Nothin

Reviewed tender register all good. Nothing

to update.

Reviewed tender register updated details

for award of RFT 01-21 RFT 02-21 and RFT

03-21

-

-

-

Complete

Complete

Complete

30-Mar-20

30-Jun-20

16-Sep-20

Reminder

14 Days

4 31-Dec-20 CEO CEO

Executive

Assistant

Common

Seal Register


are up to date and compliant with the

Act. Record register on Synergy

annually.

Local Government

Act 1995

s9.49A Quarterly

(December

March June

September)


30-Jun-20

30-Sep-20

Megan Smith

Clare Tansley

Clare Tansley

Common Seal register reviewed



N194819

N194819

N202963

Complete

Complete

Complete

23-Apr-20

30-Jun-20

01-Oct-20

Reminder

14 Days

149 30-Jan-21 CEO Council

Minutes and

Agenda

Officer

Annual

Electors

Meeting -

report to

Council on

outcomes of

Electors'

meeting

Report to Council on outcomes of the

Electors' meeting at the next ordinary

Council meeting.

Local Government

Act 1995

s.5.53 AnnuallyGovernance 30-Jan-18

19-Feb-19

30-Jan-19

Claire

Schiller

Claire

Schiller

Claire

Schiller

Report to 24/01/18 OCM - Decision No.

OM2018/3

Report to 13 March 2019 OCM - Decision

No. OM2019/41

Report to 22 January 2020 OCM - Decision

OM2020/3

N148300

N174975

-

Complete

Complete

Complete

24-Jan-18

13-Mar-19

09-Jan-20

Reminder

30 Days

5 30-Jan-21 CEO Governance

Officer

Complaints

Register

Review register and ensure all entries

are up to date with description of

minor breach and associated details.

Record register on Synergy.

Local Government

Act 1995

s5.121 AnnuallyGovernance 30-Jan-18

30-Jan-19

30-Jan-20

Emma

Rogers

Emma

Rogers

Emma

Rogers

There has been no complaints resulting in

action under s5.110(6)(b)or(c)

Three complaints of minor breaches have

been recorded on the complaints register.

The register is up

There has been no complaints resulting in

action under s5.110(6)(b)or(c)

-

N173863

-

Complete

Complete

Complete

01-Feb-18

14-Mar-19

30-Jan-20

Reminder

14 Days

19 28-Feb-21 Corporate

and

Community

Services

Manager

Corporate

Services

Rates -

instalment

notices

Issue rate instalment notices Local Government

Act 1995

s6.45(1)(a) Feb Aug Oct

Dec

Corporate

Services

30-Dec-17

28-Feb-19

28-Feb-20

Andrew Ross

Andrew Ross

Andrew Ross

Third rate instalment due on 19/1/18 was

mailed to ratepayers in the first week of

December 2017

Third instlament due on 18/1/19 and final

instalment due on 22/3/19. both mailed to

customers as re

Third instalment fur on 17/1/20 and final

instalment on 20/3/20. Both provided to

customers as requ

-

-

-

Complete

Complete

Complete

08-Dec-17

28-Feb-19

28-Feb-20

Reminder

14 Days

9

Compliance

ID

Next Due

Date


Officer


20 30-Mar-21 CEO Governance

Officer

Compliance

Audit Return

Complete Compliance Audit Return

report to Council and forward

certified copy to DLG by 31 March

each year.

Local Government

Act 1995 Local

Government

(Audit) Regulations

1996

s7.13(i) Reg

1415

AnnuallyGovernance 31-Mar-18

31-Mar-19

30-Mar-20

Emma

Rogers

Emma

Rogers

Emma

Rogers

CAR complete adopted by Council and

forwarded to DLG by 31 March 2018.





N150653

O205099

O227602

Complete

Complete

Complete

27-Mar-18

13-Mar-19

31-Mar-20

Reminder

90 Days

17 31-Mar-21 Corporate

and

Community

Services

Manager

Corporate

Services

Mid-year

Budget

Review

Review of budget over the period 1

July to 31 December to be adopted by

absolute majority and report to be

forwarded to DLG within 30 days of

acceptance by Council.

Local Government

(Financial

Management)

Regulations 1996

Reg 33A AnnuallyCorporate

Services

28-Feb-18

28-Feb-19

28-Feb-20

Andrew Ross

Andrew Ross

Andrew Ross

Approved by Council on 14/2/18 (Minute

reference OM2018/39) and sent to DLGSCI

on 19/2/18

Apprvoed by council on 27/2/19 (Minute


on 13/3/19

Approved by Council on 26/2/20 (Minute


on 3/3/20

O180744

O204775

O225802

Complete

Complete

Complete

14-Feb-18

27-Feb-19

06-Jan-20

Reminder

30 Days

21 31-Mar-21 Corporate

and

Community

Services

Manager

Corporate

Services

Long Term

Financial

Plan

The Long Term Financial Plan is to be

reviewed annually.

Internal Not

Applicable

AnnuallyCorporate

Services

31-Mar-19

31-Mar-20

31-Mar-20

Andrew Ross

Andrew Ross

Andrew Ross

LTFP for 10 years from 2019-20 not updated

due to priorities and resource limitations.

Next update

Preparation of an updated LTFP for 10 years

from 2020-21 will commence in 2020

Draft LTFP prepared but assumptions

impacted by the Covid-19 event. LTFP will

be amended to reflect

-

-

-

Complete

In Progress

In Progress

01-Apr-19

02-Dec-19

31-Mar-20

Reminder

120 Days

28 30-Apr-21 CEO CEO

Executive

Assistant

Agreement

to WAEC to

conduct

election

Report to Council on the conduct of

LG Ordinary Elections and method of

voting prior to 80th day before

election day.

Local Government

Act 1995

s4.61 s4.20

4.20(2)

BienniallyGovernance -

-

30-Apr-19

-

-

Megan Smith

-

-

Letter sent to WAEC 1 March 2019

-

-

O203875

-

-

Complete

-

-

01-Mar-19

Reminder

60 Days

47 30-May-21 Corporate

and

Community

Services

Coordinator

Revenue and

Customer

Services

Pensioner

Rebate

Claims

Submit pensioner rebate claim to the

Office of State Review for rates and

ESL rebate claims.

Rates and Charges

(Rebates and

Deferments) Act

1992

s16(1) AnnuallyCorporate

Services

30-May-18

16-May-19

12-May-20

Anita Sewell

Vicki Scott

Vicki Scott

Claims are lodged on a monthly basis errors

rectified within an appropriate time frame.





-

-

-

Complete

Complete

Complete

07-Jun-18

16-May-19

12-May-20

Reminder

21 Days

10

Compliance

ID

Next Due

Date


Officer


48 30-May-21 Corporate

and

Community

Services

Manager

Corporate

Services

Review of

Annual Fees

and Charges

- give local

public notice

Give local public notice of review of

fees and charges.

Local Government

Act 1995


Services

30-May-18

30-May-19

30-May-20

Andrew Ross

Andrew Ross

Andrew Ross

Fees and charges schedule for 2018-19 to be

provided to Council on 23/5/18 for approval

to advertise

Fees and charges approved by Council for

advertising on 22/5/19 with first

advertisement in the AMR

Due to measures to recover from the

Covid-19 pandemic Fees and charges for

2020-21 will be approved

-

-

-

Complete

Complete

Complete

23-May-18

13-Jun-19

02-Jun-20

Reminder

90 Days

18 1-Jun-21 Sustainable

Developmen

t

Coordinator

Legal

Services

Local Laws

published on

website

Ensure that there is an up-to-date

consolidated version of any AMR

Local Law that is in force published on

the Shire's website.

Local Government

Act 1995

s5.96A(1)(b) AnnuallyGovernance -

30-Sep-19

30-Dec-19

-

Lauren Bidesi

Ian McLeod

-

Consolidating the local laws has commenced

the action is in progress.

All local law have consolidated version on

the website

-

-

-

-

In Progress

Complete

-

15-Oct-19

14-May-20

Reminder

14 Days

31 30-Jun-21 CEO Administrati

on Officer

Ranger

Services

Designate

Prosecuting

Officers for

Fines

Enforcement

Provide written notice to the Registry

of designated prosecuting officers -

Due 30 April each year.

Fines Penalties and

Infringement

Notices

Enforcement Act

1994

s13(2) AnnuallyGovernance 19-Feb-19

17-Jun-19

22-Jul-20

Alana Holben

Alana Holben

Alana Holben

Updated schedule emailed to FER #O203455

Updated scheduled emailed to FER

#O210178

Updated schedule emailed to FER #O235448

O203455

O210178

O235448

Complete

Complete

Complete

19-Feb-19

17-Jun-19

30-Jun-21

Reminder

30 Days


Developmen

t

Coordinator

Environment

al Health and

Events

Aquatic

facility water

sampling

Two water samples are to be

collected from each water body of

each aquatic facility in the district at

least once per month

Health (Aquatic

Facilities)

Regulations 2007

s21 AnnuallyHealth

Waste And

Ranger

Services

-

30-Jul-19

30-Jul-20

-

Christine

McAtee

Christine

McAtee

-

Aquatic facility water sampling is conducted

monthly in accordance with the Aquatic

Facilities Regul

Aquatic facility water sampling conducted

monthly (some pools were closed under

Emergency Directives

-

-

-

-

Complete

Complete

-

07-Oct-19

04-Aug-20

Reminder 7

Days

34 30-Jun-21 Corporate

and

Community

Services

Community

and

Corporate

Planner

Shires Plan

for the

Future

documents

are

published on

the Shire

website

The current version of each of the

Shire's Plan for the Future documents

(Strategic Community Plan Corporate

Business Plan) be published on the

Shire website.

Local Government

Act 1995

s5.96A(1)(e) AnnuallyCommunity

Developmen

t And

Planning

-

30-Jun-19

27-Jul-20

-

Stacey Hutt

Stacey Hutt

-

Community Strategic Plan 2036 and

Corporate Plan are published on Shire

website and have been for so

The updated Corporate Plan will be

published on website once endorsed at

OCM 12 August 2020

-

-

COR/129

-

Complete

In Progress

-

-

13-Aug-20

Reminder

14 Days

11

Compliance

ID

Next Due

Date


Officer



and

Community

Services

Manager

Corporate

Services

Objects of

and reasons

for each

proposed

rate and

minimum

payment to

be published

on Shire

website

Publish on the Shire website a

document describing the objects of

and rasons for each proposed rate

and minimum payment.

Local Government

Act 1995

s6.36(3A) AnnuallyCorporate

Services

-

-

30-Jun-20

-

-

Andrew Ross

-

-

Objects and Reaasons document published

on the Shire website during the week ending

19/6/20. Note

-

-

-

-

-

Complete

-

-

16-Jun-20

Reminder

14 Days


Developmen

t

Coordinator

Legal

Services

Current

Public

Liability

insurance of

lessees and

licencees.

Ensure all lessees and licencees of

Shire managed and owned land have

up to date Certificates of Currency for

public liability insurance and any other

relevant insurances required.

Internal N/a AnnuallyPlanning And

Developmen

t Services

-

30-Jun-19

30-Jun-20

-

Ian McLeod

Ian McLeod

-

Letters sent out to leaseholders re public

liability insurance. Approx 90% are up to

date.

sent out insurance letters on 9 October

2019. Insurances are on the lease register

with most expirin

-

-

-

-

Complete

Complete

-

25-Jul-19

23-Jul-20

Reminder

180 Days


Developmen

t

Coordinator

Environment

al Health and

Events

Inspection of

Caravan Park

and Camping

Grounds

Conduct annual inspections of

Caravan Park and Camping Grounds.

Caravan Parks &

Camping Grounds

Act 1995

s21 AnnuallyHealth

Waste And

Ranger

Services

30-Sep-19

30-Jun-20

30-Sep-20

Christine

McAtee

Christine

McAtee

Christine

McAtee

All caravan park inspections completed one

caravan park still in progress after recently

being regi

3 inspections are outstanding will be

completed by 30/9/2020

All caravan park inspections completed

-

-

-

Complete

Complete

Complete

05-Sep-19

30-Jun-20

14-Aug-20

Reminder

30 Days


and

Community

Services

Community

and

Corporate

Planner

Review of

Community

Strategic

Plan

The Community Strategic Plan is to

undergo a full review every 4 years

and a minor review every 2 years.

Local Government

Act 1995 Local

Government

(Administration)

Regulations

s5.56 LGA

Reg 19C

BienniallyHuman And

Community

Services

-

26-Jun-19

27-Aug-20

-

Stacey Hutt

Stacey Hutt

-

This minor review has been deferred to

occur in 2019-20 to align with Shire's new

CEO commencing wit

Minor review will be presented to Council at

OCM 12 August 2020. Major review to

commence in 2020-21

-

-

COR/129

-

Complete

In Progress

-

-

13-Aug-20

Reminder

14 Days


and

Community

Services

Community

and

Corporate

Planner

Review of

Corporate

Plan

The Corporate Plan is to be reviewed

annually.

Local Government

Act 1995

s5.56 LGA

Reg 19DA

AnnuallyHuman And

Community

Services

30-Jun-18

30-Jun-19

27-Jul-20

Stacey Hutt

Stacey Hutt

Stacey Hutt

Endorsed by Council OCM 25 July 2018

(OM2018/180)

Endorsed by Council OCM 26 June 2019

To be endorsed by Council at OCM 12

August 2020

COR/129

COR/129

COR/129

Complete

Complete

In Progress

02-Aug-18

01-Jul-19

13-Aug-20

Reminder

14 Days

12

Compliance

ID

Next Due

Date


Officer



and

Community

Services

Community

Emergency

Services

Manager

Local

Emergency

Managemen

t Committee

(LEMC)

Annual

Report

Prepare and submit annual report to

the district emergency management

committee.

Emergency

Management Act

2005

s40(1) AnnuallyCommunity

Fire And

Emergency

Services

30-Jun-18

30-Jun-19

30-Jun-20

Chris Lloyd

Adam Jasper

Adam Jasper

Preparedness and Capability Report

Completed on

2019 Preparedness and Capability Report

completed

due to COVID LEMC's are not required to

submit an annual report this year

O187681

I343479

-

Complete

Complete

Complete

15-Jun-18

30-Jun-19

30-Jun-20

Reminder

30 Days


and

Community

Services

Manager

Corporate

Services

Rates - local

public notice

Local public notice of rates to be given

(21 days required).

Local Government

Act 1995


Services

30-Jun-18

30-Jun-19

30-Jun-20

Andrew Ross

Andrew Ross

Andrew Ross

Rates advertised in Augusta Margaret River

Mail on 30/5/18 6/6/18 and 13/6/18.

Closing date for pu

Rates apprvoed for advertising on 22/5/19

refer OM2019/91. Rates advertised in

Augusta Margaret Riv

Public notice of rates not required as no

increase in rates is proposed for 2020-21.

This is in acc

-

-

-

Complete

Complete

Complete

13-Jun-18

30-Jun-19

30-Jun-20

Reminder

60 Days

56 30-Jun-21 CEO Governance

Officer

Review of

Delegation

Register /

Authorised

Officer

Listing

Review all delegations and

authorisations from Council to CEO

and CEO to employees and report to

Council by 30 June.

Local Government

Act 1995 Building

Act 2011 Planning

and Development

act 2005 Food Act

2008 Cat Act 2011

Dog Act 1976

Caravan Parks and

Camping Grounds

Act 1995 etc.

s5.18 s5.46

s9.10 s9.29

LGA etc.

AnnuallyGovernance 30-Jun-18

30-Jun-19

30-Jun-20

Emma

Rogers

Emma

Rogers

Emma

Rogers

Council adopted reviewed delegation

register on 27 June 2018


register on 26 June 2019 OM2019/105


register on 27 May 2020 OM2020/86

-

-

N199041

Complete

Complete

Complete

27-Jun-18

26-Jun-19

27-May-20

Reminder

120 Days

73 30-Jun-21 CEO Coordinator

Legal

Services

Freedom of

Information

Statement

(and FOI

processes)

LG must publish an up-to-date

Information Statement reviewed

within every 12 months. Most

up-to-date Information Statement and

internal manuals to be made available

for public inspection.

Freedom of

Information Act

1992

s94-97 AnnuallyGovernance -

30-Dec-18

30-Jun-20

-

Raye Golding

Emma

Rogers

-

Statement and process have been reviewed.

No changes. Statement is published on

website

Review undertaken and updated version on

website.

-

-

-

-

Complete

Complete

-

18-Jan-19

31-Jul-20

Reminder

30 Days

2 30-Jul-21 CEO Council

Minutes and

Agenda

Officer

Related

party

disclosures

Related party disclosure forrms to be

completed by 30 July each year by

Councillors CEO and Directors

Australian

Accounting

Standards Board

(AASB)

AASB 124 AnnuallyGovernance 30-Jul-18

30-Jul-19

30-Jul-20

Emma

Rogers -

Community

DeveloClaire

Schiller

Claire

Schiller

Related party disclosure forms have been

completed and returned. All forms

registered under FIN/151

Related party disclosure forms have been

completed and returned. All forms

registered under FIN/151

Related party disclosure forms havebeen

completed and returned. All forms and

register registered u

-

-

-

Complete

Complete

Complete

28-Aug-18

30-Jul-19

31-Jul-20

Reminder

30 Days

13

Compliance

ID

Next Due

Date


Officer


3 30-Jul-21 Corporate

and

Community

Services

Manager

Corporate

Services

Annual

budget

published on

website

Ensure that the adopted annual

budget is published on the Shire's

website.

Local Government

Act 1995

3.96A(1)(c) AnnuallyCorporate &

Community

Services

-

-

30-Jul-20

-

-

Andrew Ross

-

-

Budget published on website during the

week commencing 27/7/20

-

-

-

-

-

Complete

-

-

30-Jul-20

Reminder

14 Days


and

Community

Services

Coordinator

Revenue and

Customer

Services

Fees and

charges

published on

the website

An up to date list of fees and charges

imposed under s6.16 LGA is to be

published on the Shire website.

Local Government

Act 1995

s5.96A(d) AnnuallyCorporate

Services

-

-

30-Jul-20

-

-

Vicki Scott

-

-

Fees and Charges Adopted by Council

Meeting 22.7.2020. Document Loaded to

Website

-

-

30

-

-

Complete

-

-

24-Jul-20

Reminder

14 Days


and

Community

Services

Manager

Corporate

Services

Annual

Budget -

adopted by

31 August

Annual budget to be adopted by

absolute majority by 31 August each

year.

Local Government

Act 1995


Services

30-Jul-18

30-Jul-19

30-Jul-20

Andrew Ross

Andrew Ross

Andrew Ross

2018-19 Budget adopted by absolute

majority at Council Meeting of 25/7/2018.

Minute reference OM201


majority at Council Meeting on 24/7/19.

Minute reference OM2019/


majority at Council Meeting on 22/7/20.

Minute reference OM2020/

-

-

-

Complete

Complete

Complete

25-Jul-18

24-Jul-19

30-Jul-20

Reminder

90 Days


and

Community

Services

Manager

Corporate

Services

Annual

Budget -

budget

deficiency no

to exceed

10% rates to

be raised

Budget deficiency not to exceed 10%

of rates to be raised.

Local Government

Act 1995


Services

30-Jul-18

30-Jul-19

30-Jul-20

Andrew Ross

Andrew Ross

Andrew Ross

Adopted budget for 2018-19 was a balanced

budget so there was not budget deficiency.

Adopted on 25/


budget so there was no budget deficiency.

Adopted on 24/7


budget with no budget deficiency. Adopted

on 22/7/20 min

-

-

-

Complete

Complete

Complete

25-Jul-18

24-Jul-19

30-Jul-20

Reminder

60 Days


and

Community

Services

Manager

Corporate

Services

Annual

Budget -

have regard

to contents

of Plan for

the Future

Budget to have regard to contents of

the Plan for the Future.

Local Government

Act 1995


Services

30-Jul-18

30-Jul-19

30-Jul-20

Andrew Ross

Andrew Ross

Andrew Ross

2018-19 budget adopted by council on

25/7/18 minute reference OM2018/186.

Wording of Council decisi

2019-20 budget adopted by Council on


Wording of Council decis

2020-21 Budget adopted by Council on


Wording of council decis

-

-

-

Complete

Complete

Complete

25-Jul-18

24-Jul-19

22-Jul-20

Reminder

90 Days

14

Compliance

ID

Next Due

Date


Officer



and

Community

Services

Manager

Corporate

Services

Annual

Budget -

forward to

DLG within

30 days of

adoption

Forward Budget to DLG in electronic

format within 30 days of its adoption.

Local Government

(Financial

Management)

Regulations 1996

Reg 33 AnnuallyCorporate

Services

30-Jul-18

30-Jul-19

30-Jul-20

Andrew Ross

Andrew Ross

Andrew Ross

Budget forwarded to Department on

26/7/18


25/7/19


23/7/20

O189958

O212327

O235581

Complete

Complete

Complete

26-Jul-18

25-Jul-19

30-Jul-20

Reminder

30 Days

69 30-Jul-21 Sustainable

Developmen

t

Coordinator

Ranger

Services

Gazettal for

Fees and

Charges for

Cemeteries

Fees and Charges for Cemeteries to

be advertised in the Government

Gazette once adopted by Council.

Cemeteries Act

1986

s53 AnnuallyHealth

Waste And

Ranger

Services

16-Jul-18

30-Jul-19

31-Jul-20

Alana Holben

Alana Holben

Alana Holben

New 2018-19 Fees & Charges Gazetted SLP

New 2019-2020 Fees & Charges Gazetted

SLP

New 2020-2021 Fees & charges Gazetted

SLP

O189309

O212516

O236137

Complete

Complete

Complete

16-Jul-18

30-Jul-19

31-Jul-20

Reminder

14 Days

74 30-Jul-21 CEO Records

Managemen

t and FOI

Officer

Freedom of

Information

Statistical

Data

Forward statistical data to the

Comissioner annually by 30 June.

Freedom of

Information Act

1992

s111(3) AnnuallyRecords 30-Jul-18

30-Jul-19

30-Jul-20

Raye Golding

Raye Golding

Fiona Lewis

Statisitical return sent on 9 July 2018

Statistical return was sent and registered

into INF/54 on 10 July 2019 documents

number O211427

Statistical Return submitted on 22 July 2020

-

0211427

-

Complete

Complete

-

09-Jul-18

10-Jul-19

-

Reminder

30 Days


and

Community

Services

Manager

Corporate

Services

Public

Interest

Disclosure

statutory

report

Ensure statutory report is forwarded

to the Commissioner within specified

timeframes.

Public Interest

Disclosure act 2003

s23(1)(f)(i) AnnuallyCorporate

Services

30-Jul-18

30-Jul-19

30-Jul-20

Emma

Rogers

Andrew Ross

Andrew Ross

Integrity and Conducted Survey completed

on-line and submitted on 27/8/18

Information for Integrity and Conduct

Survey provided to Emma Rogers for

inclusion in on-line survey

Information for Survey provided to Emma

Rogers for inclusion in on-line survey to be

completed and s

-

-

-

Complete

Complete

Complete

27-Aug-18

26-Jul-19

30-Jul-20

Reminder

30 Days


and

Community

Services

Manager

Corporate

Services

Rates -

number of

properties

charged

minimum

payment

Obtain ministerial approval for

number of properties charged the

minimum payment exceeding 50% of

total properties for vacant land.

Local Government

Act 1995


Services

30-Jul-18

30-Jul-19

30-Jul-20

Andrew Ross

Andrew Ross

Andrew Ross

Approval to impose a minimum payment on

greater than 50% of vacant residential land

received from th

Approval to impose a minimum payment on

greater than 50% of vacant residential land

received from th

Approval not required for 2020-21 due to

COVID-19 Order

I303779

I342224

-

Complete

Complete

Complete

19-Jul-18

16-Jul-19

30-Jul-20

Reminder

60 Days

15

Compliance

ID

Next Due

Date


Officer



and

Community

Services

Manager

Corporate

Services

Rates -

adopted by

absolute

majority

Rates to be adopted by absolute

majority.

Local Government

Act 1995


Services

30-Jul-18

30-Jul-19

30-Jul-20

Andrew Ross

Andrew Ross

Andrew Ross

Rates for 2018-19 adopted by absolute

majority at Council meeting on 25/7/18

minute reference OM201







-

-

-

Complete

Complete

Complete

25-Jul-18

24-Jul-19

22-Jul-20

Reminder

60 Days


and

Community

Services

Manager

Corporate

Services

Reporting of

Material

Variances

A percentage or value is to be

adopted by Council annually for

reporting material variances.

Local Government

(Financial

Management)

Regulations 1996

Reg 34 AnnuallyCorporate

Services

30-Jul-18

30-Jul-19

30-Jul-20

Andrew Ross

Andrew Ross

Andrew Ross

Reporting of material variances for 2018-19

of greater than budget by 10% and $10000

apprvoed by Co



approved by Co



approved by Co

-

-

-

Complete

Complete

Complete

25-Jul-18

24-Jul-19

30-Jul-20

Reminder

30 Days


and

Community

Services

Manager

Corporate

Services

Review of

Annual Fees

and Charges

Fees and charges to be adopted by

absolute majority.

Local Government

Act 1995


Services

30-Jul-18

30-Jul-19

30-Jul-20

Andrew Ross

Andrew Ross

Andrew Ross

Fees and charges for 2018-19 adopted by

council at meeting on 25/7/18 minute

reference OM2018/186


Council at meeting on 24/7/19 minute



Council at meeting on 22/7/20 minute


-

-

-

Complete

Complete

Complete

25-Jul-18

24-Jul-19

30-Jul-20

Reminder

90 Days

81 31-Jul-21 CEO Council

Minutes and

Agenda

Officer

Officer and

Councillor

Annual

Returns

Distribute memo and Annual Return

forms to staff and Councillors. Forms

are due 31 August.

Local Government

Act 1995

s5.76 AnnuallyGovernance 30-Jul-18

30-Jul-19

31-Jul-20

Emma

Rogers

Claire

Schiller

Claire

Schiller

Distributed annual return forms to all

Councillors and designated employees on

5/7/2018



18/7/2018



07/07/2020

-

-

0234462 and

O234459

Complete

Complete

Complete

05-Jul-18

30-Jul-20

31-Jul-20

Reminder

30 Days

100 30-Aug-21 Corporate

and

Community

Services

Community

Developmen

t Officer

Disability

Service Plan

Report

Prepare Disability Service Plan Report

and provide for inclusion in the Shire's

Annual Report.

Disability Services

Act 1993

s29(2) AnnuallyHuman And

Community

Services

30-Aug-18

30-Aug-19

30-Aug-20

Jason Cleary

Katie Taylor

Jessica Black

Completed in July report filed in Synergy

Completed and submitted to Department

Community and Disability Services on 1 July

2019

Completed and provided to Stacey Hutt for

inclusion in Annual Report

-

-

-

Complete

Complete

Complete

30-Jul-18

01-Jul-19

07-Oct-20

Reminder

14 Days

16

Compliance

ID

Next Due

Date


Officer


92 30-Aug-21 CEO Council

Minutes and

Agenda

Officer

Acknowledge

ment of

Receipt of

Annual

Returns

CEO is to receipt all returns (or Shire

President in the case of the CEO’s

return).

Local Government

Act 1995

S5.77Governance 30-Aug-18

30-Aug-19

30-Aug-20

Emma

Rogers

Claire

Schiller

Claire

Schiller

Acknowledgement of receipt of annual

returns have been signed scanned and

emailed out.


returns have been signed emailed and

registered


returns have been signed emailed and

registered

-

-

N204468

Complete

Complete

Complete

20-Sep-18

30-Aug-19

08-Sep-20

Reminder

30 Days

95 30-Aug-21 CEO Council

Minutes and

Agenda

Officer

Annual

Financial

Returns -

Officers and

Councillors

are to submit

annual

returns by 31

August.

Annual Financial Returns - Officers

and Councillors are to submit annual

returns by 31 August each year.

Local Government

Act 1995

s5.76 AnnuallyGovernance 30-Aug-18

30-Aug-19

30-Aug-20

Emma

Rogers

Claire

Schiller

Claire

Schiller

All annual returns have been completed and

returned by the due date 31 August 2018





-

-

N204468

Complete

Complete

Complete

30-Aug-18

30-Aug-19

08-Sep-20

Reminder

30 Days


and

Community

Services

Manager

Library

Services

Annual

Library

statistics and

financial

report

Annual Library statistics and financial

report submitted to State Library of

WA by 30 August.

State Library Board

of WA Act 1951

Not

Applicable

AnnuallyLibrary 30-Aug-18

30-Aug-19

30-Aug-20

Heather Auld

Heather Auld

Heather Auld

Annual State Library Return has been

completed by due date





O192528

o213497

-

Complete

Complete

-

30-Aug-18

14-Aug-19

-

Reminder

30 Days

97 30-Aug-21 CEO CEO

Executive

Assistant

Call for

Nominations

Give state wide public notice between

56th and 45th day before election

day.

Local Government

Act 1995

s4.47(1) BienniallyGovernance -

-

30-Aug-19

-

-

Megan Smith

-

-

Notice posted on board in CAC libraries and

Augusta office. Website updated and

advertised in loca

-

-

-

-

-

Complete

-

-

30-Aug-19

Reminder

30 Days


and

Community

Services

Coordinator

Revenue and

Customer

Services

Close

Electoral

Rolls

Close Electoral Rolls at 5pm (50th day) Local Government

Act 1995

s4.39(1) BienniallyCorporate

Services

-

-

30-Aug-19

-

-

Vicki Scott

-

-

Close of Rolls 5pm 30.8.2019

-

-

-

-

-

-

-

-

-

Reminder

14 Days

17

Compliance

ID

Next Due

Date


Officer


99 30-Aug-21 CEO CEO

Executive

Assistant

Close of

Enrolments

Give state wide public notice of the

time and day of close of enrolments

(must occur between 70th and 56th

day before election day).

Local Government

Act 1995


-

30-Aug-19

-

-

Megan Smith

-

-

Website updated advertised in media

displayed on notice boards at CAC libraries

and Augusta offic

-

-

-

-

-

Complete

-

-

30-Aug-19

Reminder

30 Days

32 31-Aug-21 Sustainable

Developmen

t

Coordinator

Environment

al Health and

Events

Public Health

annual

report

Public Health Act Report to be

submitted.

Public Health Act

2016

s22 AnnuallyHealth

Waste And

Ranger

Services

-

31-Aug-19

31-Aug-20

-

Christine

McAtee

Christine

McAtee

-

Reporting completed prior to 21 August

2019 - reporting now combines Food Act

2008 reporting and Pub

2020 reporting completed 4 August 2020

-

-

I384134

-

-

Complete

-

-

04-Aug-20

Reminder

14 Days


and

Community

Services

Coordinator

Revenue and

Customer

Services

Declaration

of Annual

Emergency

Services Levy

Billing Report

Form A - Submit within 14 days of

Annual Rates

Fire and

Emergency

Services Authority

of WA Act 1998.

FESA Manual of

Operations Section

5

Part 6A Div 5 AnnuallyCorporate

Services

31-Jul-18

01-Aug-19

31-Aug-20

Vicki Scott

Vicki Scott

Vicki Scott

ESL Billing Declaration sent to DFES

31.7.2018

ESL Billing Declaration sent to DFES 1.8.2019

ESL Billing Declaration sent to DFES

14.8.2020

O190219

O212693

O237170

Complete

Complete

Complete

31-Jul-18

01-Aug-19

14-Aug-20

Reminder

21 Days


and

Community

Services

Coordinator

Revenue and

Customer

Services

Emergency

Services Levy

Adjustment

Report

Complete Annexure A - Submit by 31

July with previous years 30th June

figures.

Fire and

Emergency

Services Authority

of WA Act 1998.

FESA Manual of

Operations Section

5


Services

31-Aug-18

22-Jul-19

03-Jul-20

Vicki Scott

Vicki Scott

Vicki Scott

Annexure A for ESL collected to 30 June

2018 emailed to DFES

Annexure A sent to DFES 22.7.2019

Annexure A sent to DFES 3.7.2020

O191218

O212079

O234293

Complete

Complete

Complete

13-Aug-18

22-Jul-19

-

Reminder

21 Days


and

Community

Services

Coordinator

Revenue and

Customer

Services

Emergency

Services Levy

Reconciliatio

n Report

Complete Form B - Schedule 5/6 and

submit by 30 May.

Fire & Emergency

Services Authority

of WA Act 1998

and FESA Manual

of Operations -

Section 5


Services

31-Aug-18

22-Jul-19

03-Jul-20

Vicki Scott

Vicki Scott

Vicki Scott







O191218

O212079

O234293

Complete

Complete

Complete

13-Aug-18

22-Jul-19

03-Jul-20

Reminder

21 Days

18

Compliance

ID

Next Due

Date


Officer



and

Community

Services

Coordinator

Revenue and

Customer

Services

Emergency

Services Levy

Report

Complete Form C - Schedule 6 - ESL

End of Year Reconciliation Report.

Complete and submit Form E

Schedule 12 Aged ESL Rate Debtors

Report by 31 July

Fire and

Emergency

Services Authority

of WA Act 1998.

FESA Manual of

Operations Section

6

s3 AnnuallyCorporate

Services

31-Aug-18

22-Jul-19

03-Jul-20

Vicki Scott

Vicki Scott

Vicki Scott







O191218

O212079

O234293

Complete

Complete

Complete

13-Aug-18

22-Jul-19

03-Jul-20

Reminder

21 Days

102 30-Sep-21 CEO Council

Minutes and

Agenda

Officer

Review

Legislative

Compliance

Register

Review Legislative Compliance

Register report to the Audit and Risk

Management Committee annually

LG (Audit)

Regulations 1996.

Regulation

17

AnnuallyGovernance 30-Aug-18

30-Sep-19

30-Sep-20

Emma

Rogers

Emma

Rogers

Claire

Schiller

Reported to ARMC on 27 June 2018.

ARMC2018/4. 28 compliance items

actioned. 2 items in progress. 2 i

Draft report prepared to go to ARMC 13 Nov

2019

Draft report prepared on 2019-20 to go to

ARMC on 28 Oct 2020

-

-

-

Complete

Complete

Complete

27-Jun-18

02-Oct-19

07-Oct-20

Reminder

60 Days

103 30-Sep-21 Corporate

and

Community

Services

Community

Emergency

Services

Manager

Appointment

of Bush Fire

Control

Officers

Council to appoint Bush Fire Control

Officers and Chief and Deputy Chief

Bush Fire Control Officers.

Bush Fires Act

1954

s38 BienniallyCommunity

Fire And

Emergency

Services

-

-

15-Oct-19

-

-

Adam Jasper

-

-

Addressed at last council meeting.

OM2019/197

-

-

-

-

-

-

-

-

-

Reminder

60 Days


and

Community

Services

Coordinator

Revenue and

Customer

Services

Consolidatio

n of Rolls

Preparation of consolidated roll by the

22nd day before election day.

Local Government

Act 1995

s4.43 BienniallyCorporate

Services

-

-

30-Sep-19

-

-

Vicki Scott

-

-

The WAEC provides the Shire the

consolidated roll as we are postal elections

-

-

-

-

-

Complete

-

-

05-Sep-19

Reminder

14 Days

105 30-Sep-21 CEO CEO

Executive

Assistant

Disclosure of

Interest by

Electoral

Officers

Electoral Officers sign and submit

Declarations.

Local Government

(Electoral)

Regulations 1996

Reg 7 BienniallyGovernance -

-

30-Sep-19

-

-

Megan Smith

-

-

All disclosures of interest signed and

submitted to the Returning Officer

-

-

-

-

-

Complete

-

-

19-Oct-19

Reminder

30 Days

19

Compliance

ID

Next Due

Date


Officer



Executive

Assistant

Election

Notice

Give state wide public notice of the

election day by the 19th day before

election day.

Local Government

Act 1995


-

30-Sep-19

-

-

Megan Smith

-

-

Election notice displayed in CAC libraries and

Augusta office on website and advertised in

media

-

-

-

-

-

Complete

-

-

20-Sep-19

Reminder

30 Days

107 30-Sep-21 CEO Coordinator

Ranger

Services

Fuel Hazard

Reduction

and

Firebreak

Notice

Adoption by Council of Fuel Hazard

Reduction and Firebreak Notice. Give

notice to all land owners in writing or

publish a notice in Gazette and local

paper.

Bush Fires Act

1954

s33(1) AnnuallyHealth

Waste And

Ranger

Services

30-Sep-18

30-Sep-18

08-Oct-20

Michael

O’Regan

Sharon

McTaggart

Sharon

McTaggart

Fire Management Notice has been

advertised in Gov't Gazette

Notice in writing posted out to all land

owners and notice published in local paper.

Completed.

195670

-

-

Complete

Complete

-

24-Oct-18

30-Sep-19

-

Reminder

30 Days


Executive

Assistant

LG Candidate

Information

Sessions

Distribute information re disclosure of

electoral gifts and declaration of

interest requirements to Candidates

and Councillors.

Local Government

(Electoral)

Regulations 1996

Reg30G BienniallyGovernance -

-

30-Sep-19

-

-

Megan Smith

-

-

Candidate information session held after

details advertised on website in local media

at CAC at t

-

-

-

-

-

Complete

-

-

27-Aug-19

Reminder

30 Days


Executive

Assistant

Nominations

Open

Nominations open (8 day period)

(44th day) - (37th day)

Local Government

Act 1995


-

30-Sep-19

-

-

Megan Smith

-

-

Advertised in local media on website at CAC

libraries and Augusta office

-

-

-

-

-

Complete

-

-

05-Sep-19

Reminder

30 Days


and

Community

Services

Coordinator

Revenue and

Customer

Services

Owners and

Occupiers

Electoral Roll

Preparation of Owners & Occupiers

Roll by 36th day before election day.

Local Government

Act 1995

s4.71(1) BienniallyCorporate

Services

-

-

30-Sep-19

-

-

Vicki Scott

-

-

Roll prepared and emailed to WAEC

-

-

O215024

-

-

Complete

-

-

05-Sep-19

Reminder

14 Days

20

Compliance

ID

Next Due

Date


Officer



and

Community

Services

Community

Emergency

Services

Manager

Public Notice

of

Appointment

of Bush Fire

Control

Officers

Give local public notice of

appointment of Bush Fire Control

Officers.

Bush Fires Act

1954

s38 BienniallyCommunity

Fire And

Emergency

Services

-

-

24-Sep-19

-

-

Adam Jasper

-

-

Community Consultation - Published on

wensite and Newspaper 27/9/2019

-

-

-

-

-

-

-

-

-

Reminder

30 Days

113 30-Sep-21 CEO Council

Minutes and

Agenda

Officer

Review of

Council

Committees

Review structure of committees and

call for nominations of community

held positions - report to Council.

Local Government

Act 1995

s5.10 BienniallyGovernance -

-

30-Sep-19

-

-

Claire

Schiller

-

-

Council committees reviewed - adopted by

Council on 11 September 2019.

-

-

-

-

-

-

-

-

-

Reminder

90 Days


and

Community

Services

Manager

Corporate

Services

Business

plan

prepared

under s3.59

LGA

published on

Shire

website

Ensure that any business plan

prepared under s3.59 is to be

published on the Shire's website.

Locl Government

Act 1995

s3.59(4)(c) AnnuallyCorporate

Services

-

30-Sep-19

30-Sep-20

-

Andrew Ross

Andrew Ross

-

Not required as no business plan to be

prepared

Not required as no business plan to be

rpepared

-

-

-

-

Complete

Complete

-

14-Oct-19

23-Sep-20

Reminder 7

Days


and

Community

Services

Manager

Corporate

Services

Annual Audit Accounts and Annual Financial Report

for each financial year to be audited

by an auditor appointed by Council.

Local Government

Act 1995


Services

30-Sep-19

30-Sep-19

30-Sep-20

Andrew Ross

Andrew Ross

Andrew Ross

On-site audit is planned to be conducted

from 19/8/19 to 21/8/19.

Draft AFR is in the process of being reviewed

by Audit after onsite visit from Auditors

from 19 to 2

Draft AFR is in the prcoess of being reviewed

by the auditors after onsite visit from 17 to

20 Augus

-

-

-

In Progres

Complete

In Progress

01-Aug-19

01-Oct-19

30-Sep-20

Reminder

60 Days

156 25-Oct-21 CEO Council

Minutes and

Agenda

Officer

Councillor

Primary

Returns due

Returns are due within 3 months from

swearing in of newly elected

members. CEO acknowledgement of

receival of returns.

Local Government

Act 1995


30-Dec-17

30-Dec-19

-

Emma

Rogers

Claire

Schiller

-

The three newly elected Councillors have

completed an returned primary returns

Cr Crisroffanini primary return received

5/11/19 Cr Kennaugh primary return

received 27/11/2019 Cr

-

-

-

-

Complete

Complete

-

15-Dec-17

19-Jan-20

Reminder

30 Days

21

Compliance

ID

Next Due

Date


Officer



Minutes and

Agenda

Officer

Appointment

of

Committees

- community

members

Appointment of community members

to Council Advisory Committees to be

adopted by Council.

Local Government

Act 1995


-

30-Oct-19

-

-

Claire

Schiller

-

-

members appointed to LEMC BFAC ARMC at

23 October 2019 Special Meeting of Council

-

-

-

-

-

Complete

-

-

30-Oct-19

Reminder

30 Days


Minutes and

Agenda

Officer

Appointment

of

Councillors

to

committees

Appointment of Councillors to Council

Advisory Committees at Special

Council Meeting following elections.

Local Government

Act 1995


-

30-Oct-19

-

-

Claire

Schiller

-

-

Councillors appointed to Advisory

Committees at Special Meeting of Council

on 23 October 2019

-

-

-

-

-

Complete

-

-

30-Oct-19

Reminder

30 Days


and

Community

Services

Manager

Corporate

Services

Council to

examine

Auditor's

Report

Council is to examine Auditor's Report

and prepare and forward a report on

any appropriate actions in respect of

the audit to DLG within 3 months

after the audit report has been

received by Council and publish the

report on the Shire's website within

14 days after forwarding the report to

DLG.

Local Government

Act 1995

s7.12A AnnuallyCorporate

Services

30-Oct-18

30-Oct-19

30-Oct-20

Andrew Ross

Andrew Ross

Andrew Ross

The Annual Financial Report for 2017-18

included the Auditor's Report for the year

and was provided

The Annual Financial Report for 2018-19

including the Auditor's Report for the year is

scheduled to

The Annual Financial Report for 2019-20 has

been prepared and reviewed by the

Auditors. Changes to

-

-

-

Complete

In Progress

In Progress

24-Oct-18

28-Oct-19

26-Oct-20

Reminder 4

Days


Minutes and

Agenda

Officer

Authorisatio

n for CEO to

speak on

behalf of

Council to

Media

Authorisation for CEO to speak on

behalf of newly elected Shire

President.

Local Government

Act 1995


-

30-Oct-19

-

-

Emma

Rogers

-

-

Authorisation for CEO to speak on behalf of

LG

-

-

N186226

-

-

Complete

-

-

30-Oct-19

Reminder

30 Days


Minutes and

Agenda

Officer

Councillor

Primary

Returns -

distribute

primary

return forms

Distribute Primary Returns to newly

elected Councillors.

Local Government

Act 1995


-

30-Oct-19

-

-

Claire

Schiller

-

-

Primary Returns distributed to new

Councillors (Cr Kennaugh Cr Cristofanini Cr

Daniel) via email a

-

-

-

-

-

Complete

-

-

30-Oct-19

Reminder

30 Days

22

Compliance

ID

Next Due

Date


Officer



Minutes and

Agenda

Officer

Declaration

of newly

elected

Councillors

Newly elected members to make their

declaration of office at the first

meeting held after election day.

Local Government

Act 1995


-

30-Oct-19

-

-

Claire

Schiller

-

-

Declaration of newly elected Councillors

completed at the Special Meeting of Council

held 23 October

-

-

-

-

-

Complete

-

-

23-Oct-19

Reminder

30 Days


and

Community

Services

Manager

Corporate

Services

Deferred

Interest

Claims for

Rates

Submit deferred interest claim to the

Office of State Revenue for rates and

ESL deferred claims

Rates and Charges

(Rebates and

Deferments) Act

1992

s16(1) AnnuallyCorporate

Services

30-Oct-19

30-Sep-20

30-Oct-20

Vicki Scott

Andrew Ross

Vicki Scott

Claim submitted to Office of State Revenue

in accordance with requirements

Signed certificate received from auditors on

30/9/20 after their review and audit.

Claim submitted to Office of State Revenue

in accordance with requirements

-

-

-

Complete

In Progress

Complete

30-Oct-19

30-Sep-20

30-Oct-20

Reminder

30 Days


Minutes and

Agenda

Officer

Election of

President

and Deputy

President

Election of Shire President and Deputy

Shire President at first meeting held

after election day.

Local Government

Act 1995

s11 BienniallyGovernance -

-

30-Oct-19

-

-

Claire

Schiller

-

-

Shire President and Deputy Shire President

elected at 23 October 2019 Special Meeting

of Council.

-

-

-

-

-

Complete

-

-

23-Oct-19

Reminder

30 Days

130 30-Oct-21 CEO Governance

Officer

Electoral Gift

Register

Update gift register with new

disclosures of electoral gifts and

ensure register is compliant with

Regulations. Record register on

Synergy.

Local Government

(Elections)

Regulations 1997

s30G BienniallyGovernance -

-

30-Oct-19

-

-

Emma

Rogers

-

-

No disclosures of gifts were received by

candidates during the election period.

-

-

-

-

-

Complete

-

-

30-Oct-19

Reminder

30 Days

139 30-Oct-21 CEO CEO

Executive

Assistant

Local

Government

Elections

Hold Local Government election -

usually 3rd Saturday in October

Local Government

Act 1995


-

30-Oct-19

-

-

Megan Smith

-

-

Election held on 19 October

-

-

-

-

-

Complete

-

-

19-Oct-19

Reminder

30 Days

23

Compliance

ID

Next Due

Date


Officer



Executive

Assistant

Shire

Presidents

Vehicle

Agreement

Signing of agreement on use of Shire

Vehicle between Shire President and

the AMRS Council.

Local Government

(Administration)

Regulations 1996

Governance and

Business

Excellence -

Provision of

Councillor Support

Policy

34AD BienniallyGovernance -

-

30-Oct-19

-

-

Megan Smith

-

-

No action required - incoming Shire

President does not require the vehicle

-

-

-

-

-

Complete

-

-

24-Oct-19

Reminder

30 Days


Executive

Assistant

Report to

Minister on

election of

Shire

President

and Deputy

Shire

President.

Report to Minister on election of Shire

President and Deputy Shire President

on Form 20 within 14 days after the

declaration of the result of the

election.

Local Government

(Elections)

Regulation 1997

Regulation

81

BienniallyExecutive -

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Reminder

30 Days


Developmen

t

Coordinator

Legal

Services

Review of

Parking and

Parking

Facilities

Local Law



completed 2013)

Local Government

Act 1995


Developmen

t Services

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Reminder 2

Days


Developmen

t

Coordinator

Legal

Services

Review of

Environment

and

Nuisance

Local Law



completed 2013)

Local Government

Act 1995


Developmen

t Services

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Reminder

180 Days


Developmen

t

Coordinator

Legal

Services

Review of

Local

Government

Property

Local Law



completed 2013)

Local Government

Act 1995


Developmen

t Services

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Reminder

180 Days

24

Compliance

ID

Next Due

Date


Officer



and

Community

Services

Community

Developmen

t Officer

Review

Access and

Inclusion

Plan (AIP)

Review AIP at least once every 5

years. Forward a copy of adopted AIP

to Department of Communities

Disability Services (last reviewed

2018).

Disability Services

Act 1993

S28(7) 5 YearlyHuman And

Community

Services

-

-

30-Dec-17

-

-

Katie Taylor

-

-

AIP adopted Council 14 February 2018

-

-

-

-

-

Complete

-

-

21-Mar-18

Reminder

172 Days


and

Community

Services

Manager

Corporate

Services

Review of

Financial

Systems

A review of the appropriateness and

effectiveness of financial

management systems and procedures

to be conducted regularly and not less

than once in every 4 financial years

and report to Council.

Local Government

(Financial

Management)

Regulations 1996

Reg 5 BienniallyCorporate

Services

30-Jun-18

30-Jun-20

30-Jun-20

Andrew Ross

Andrew Ross

Andrew Ross

AMD Chartered Accountants engaged to

undertake the review. Field work

completed in January and Marc

AMD Chartered Accountants engaged to

undertake the review with field work

scheduled to occur during

Draft report provided by AMD on 28/2/20

with final report including management

comments provided on

-

-

I370398

Complete

In Progress

Complete

06-Apr-18

06-Jan-20

30-Jun-20

Reminder

180 Days


Developmen

t

Coordinator

Legal

Services

Review of

Extractive

Industries

Local Law



completed 2014)

Local Government

Act 1995


Developmen

t Services

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Reminder

180 Days


and

Community

Services

Director

Corporate

and

Community

Services

Review of

Audit

Systems and

Procedures -

risk

management

internal

control

legislative

compliance

Review the appropriateness and

effectiveness of audit systems and

procedures related to risk

management internal control and

legislative compliance every 3 years

and report to the Audit Committee

the results of that review.

Local Government

(Audit) Regulations

1996

Reg 17 TrienniallyCorporate

Services

-

31-Dec-18

31-Dec-19

-

Andrew Ross

Lynne

Kenworthy

-

AMD Chartered Accountants were engaged

to undertake this review in accordance with

the terms of the

Review of Audit Systems & Procedures – Reg

17 (Internal) Audit was completed in March

2019

-

-

-

-

In Progress

Complete

-

03-Jan-19

30-Mar-19

Reminder

360 Days

129 27-May-23 CEO Coordinator

Legal

Services

Polocrosse

Lease

RES/41200

Polocrosse Lease RES/41200 –

potential notice of non-renewal must

be given before 27 December 2023 –

consult with tenant and Department

PLH re school site.

See record I392343 TrienniallyGovernance -

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Reminder

30 Days

25

Compliance

ID

Next Due

Date


Officer


44 30-Apr-24 Sustainable

Developmen

t

Coordinator

Legal

Services

Review of

Dogs Local

Law



completed 2016)

Local Government

Act 1995


Developmen

t Services

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Reminder

180 Days

23 30-Mar-25 CEO Coordinator

Legal

Services

Record

Keeping Plan

Review Record Keeping Plan every 5

years and submint to State Records

Commission(last review 2015)

State Records Act

2000

s28 5 YearlyRecords -

-

30-Mar-20

-

-

Catherine

Rose

-

-

Record keeping plan has been reviewed and

submitted to State Records Office

-

-

I370257

-

-

Complete

-

-

20-Mar-20

Reminder

90 Days

26 30-Mar-25 CEO Governance

Officer

Ward

Boundary

Review

Review of ward boundaries to be

completed every 8 years (last

completed 2017) - due 2025

Local Government

Act 1995

S2.2 2.3(3)

2.18

Schedule 2.2

8 YearlyGovernance -

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Reminder

365 Days


Developmen

t

Coordinator

Legal

Services

Review of

Activities in

Thoroughfar

es and Public

Places and

Trading Local

Law



completed 2019)

Local Government

Act 1995


Developmen

t Services

21-Jan-19

30-Jun-19

30-Nov-19

Ian McLeod

Emma

Rogers

Ian McLeod

Statewide public notice under s3.16 to be

given in February 2019

Review of local law has commenced. Council

report planned for 28/8/2019 OM

Review completed in August 2019

admedment advertised and due to be

adopted by Council in February 2

-

-

OM2019/164

In Progres

In Progress

Complete

21-Jan-18

25-Jul-19

28-Aug-19

Reminder

180 Days


Developmen

t

Coordinator

Legal

Services

Review of

Cemeteries

Local Law



completed 2019)

Local Government

Act 1995


Developmen

t Services

28-Feb-19

30-Jun-19

30-Nov-19

Ian McLeod

Emma

Rogers

Ian McLeod

Advertising of proposed review of

Cemeneries Local Law is in progress

Review of Local Law in in progress Council

report planned for 28/8/2019 OM.

Review completed in 28 August 2019

admedment advertised and due to be

adopted by Council in Februar

-

-

OM2019/164

In Progres

In Progress

Complete

14-Mar-19

25-Jul-19

28-Aug-19

Reminder

14 Days

26


6.2 REPORT ON OAG FOCUS AUDIT

Attachment 1 – Western Australian Auditor General’s report “Management of Supplier Master Files” March 2019

27

Report 16: March 2019

Western Australian Auditor General’s Report

Management of Supplier Master Files

28

Office of the Auditor General Western Australia 7th Floor Albert Facey House 469 Wellington Street, Perth Mail to: Perth BC, PO Box 8489 PERTH WA 6849 T: 08 6557 7500 F: 08 6557 7600 E: [email protected] W: www.audit.wa.gov.au National Relay Service TTY: 13 36 77 (to assist people with hearing and voice impairment) We can deliver this report in an alternative format for those with visual impairment. © 2019 Office of the Auditor General Western Australia. All rights reserved. This material may be reproduced in whole or in part provided the source is acknowledged. ISSN: 2200-1913 (Print) ISSN: 2200-1921 (Online)

29

WESTERN AUSTRALIAN AUDITOR GENERAL’S REPORT

Management of Supplier Master Files

Report 16 March 2019

30

THE PRESIDENT THE SPEAKER LEGISLATIVE COUNCIL LEGISLATIVE ASSEMBLY MANAGEMENT OF SUPPLIER MASTER FILES

This report has been prepared for submission to Parliament under the provisions of section 25 of the Auditor General Act 2006.

This focus area audit assessed whether 5 state and 5 local government entities had suitable policies, procedures and controls for the management of supplier master files, to promote effective payment processes.

I wish to acknowledge the cooperation of the staff at the entities included in this audit.

CAROLINE SPENCER AUDITOR GENERAL 7 March 2019

31

Management of Supplier Master Files | 3

Contents Auditor General’s overview ......................................................................................... 4

Executive Summary .................................................................................................... 5

Background ..................................................................................................................... 5

Conclusion ...................................................................................................................... 5

What we did .................................................................................................................... 5

What did we find? ....................................................................................................... 7

Most entities need to improve their policies and procedures .......................................... 7

Entities need better controls over creation and amendment of supplier records ............ 7

Most entities need to improve the management of their supplier master files ................ 8

Most entities need to formally monitor compliance with their policies on a periodic basis ........................................................................................................................................ 8

Conflicts of interest were not declared or effectively managed at 3 entities ................... 9

Recommendations ........................................................................................................ 10

Response from entities ................................................................................................. 11

Appendix 1: Better practice principles ...................................................................... 12

32

4 | Western Australian Auditor General

Auditor General’s overview Almost a year on from our first local government focus area audit report, I am pleased to present this Management of Supplier Master Files report which looks into state and local government entities.

Controls prevent things going wrong and are particularly important in financial management processes, where there is an inherent risk of financial misappropriation.

Our focus area audits, such as this one, look at a diverse range of entities and highlight improvement opportunities across key aspects of financial management controls.

These narrow scope audits can be considered as ‘hygiene’ audits as they give an indication of the health of financial management control, in this instance for both local and state government sectors.

We conduct these audits as an extension of our annual financial audits, using more detailed testing than is required for forming our financial audit opinions.

Importantly, the findings of these audits are likely representative of issues in other government entities that were not part of our sample. I encourage all entities, and not just those audited, to periodically assess themselves against these risks and controls on an ongoing basis. Our better practice checklist at Appendix 1 has been designed to assist entities to run their own hygiene checks.

Fostering understanding about the importance of strong internal control frameworks, around not only the management of supplier master files, but also areas such as procurement, information system security, and regulatory functions, will continue to be a priority in my future work.

33


Executive Summary Background In 2017-18, the Western Australian public sector paid a total of $23 billion in operating expenses, and services and contracts. In 2016-17 local government entities reported over $4 billion in expenditure. The vast majority of these payments were made through accounts payable systems that rely on the accuracy of information in supplier master files. The supplier master file is a central, comprehensive file that holds information about suppliers; including method of payment, bank account details, ABN and contact details. To ensure payments are correctly made, this information needs to be valid and complete. Changes made to the supplier master file are typically varied and may include adding new or deleting redundant suppliers, changing contact or bank account details, and variations to payment frequency. Well publicised instances of fraud that have occurred in the past across Australia, and payment errors reported from our audits, demonstrate the importance of adequate control processes over changes to this information. We previously performed this audit in 2012, for a sample of 8 state government entities. In that audit, we reported the need for those entities to improve their monitoring and review of supplier master files, and 3 needed to improve their policies and procedures for managing supplier master files.

Conclusion Most of the 10 entities we audited did not have comprehensive policies or procedures, which resulted in a lack of formal monitoring and review of their supplier master files. More than half the entities had weaknesses in controls over creation or amendment of their supplier records. In addition, at 3 entities, some suppliers were owned by or related to employees and the entities did not adequately manage these conflicts of interest processes.

What we did The focus of this audit was to assess whether entities had suitable policies, procedures and controls for the management of supplier master files, to promote effective payment processes. We assessed the policies and practices at 10 state and local government entities of varying sizes over a 9-month period from 1 January to 30 September 2018. We used the following lines of inquiry: 1. Do entities have appropriate policies, procedures and controls over the creation and

management of their supplier master file used in the payment process? 2. Do entities effectively implement these policies, procedures and controls? 3. Is the supplier master file operating to promote effective accounts payable processes,

and reduce the risk of fraud, duplicate payments and other errors? We tested 2,395 out of total 150,386 supplier records across 10 entities to assess if policies, procedures and controls over the supplier master files were followed, and promoted effective accounts payable processes. We also assessed how well entities managed conflict of interest in circumstances where entities procured from suppliers which were either owned by or related to their employees.

34


We conducted this audit under section 18 of the Auditor General Act 2006 and in accordance with Australian Auditing and Assurance Standards.

The following 5 state and 5 local government entities were included in this audit:

Entities City of Perth City of Belmont City of Busselton City of Gosnells Department of Finance Department of the Premier and Cabinet Insurance Commission of Western Australia Public Trustee Shire of Augusta-Margaret River WorkCover Western Australia

35


What did we find? WorkCover and the Insurance Commission displayed good policies, practices and controls. The other 8 entities need to improve various aspects of their policies and practices, in particular, management and monitoring of their supplier master files.

Most entities need to improve their policies and procedures Sound policies and procedures help ensure that only authorised additions and changes are made to supplier master file information, and that information is accurately recorded in a consistent manner, avoiding duplicate entries.

We found that only the Insurance Commission, WorkCover and City of Gosnells had good policies and procedures featuring all the essential guidance for employees. Although the remaining 7 entities did have policies and procedures, they provided limited guidance and had the following deficiencies:

• The policies of the 7 entities did not require regular review of their supplier master files to ensure employees’ compliance, validity, and completeness of the supplier records. These policies were also silent on consistent application of naming conventions when a new supplier record is created. This is important, to avoid the same supplier being created under multiple names.

• The policies of 5 entities did not require regular review of their supplier master files to identify and deactivate redundant supplier records, for example suppliers not used for more than 2 years.

• Three entities did not require recording of the reason for amendments to supplier records.

• Policies at 3 entities did not require independent review of the new supplier records created or amendments to existing supplier records. Independent review is a key control against unauthorised additions or amendments. At 2 of these entities, policies were also silent on retaining documentary evidence to support creation or amendment of supplier records.

Entities need better controls over creation and amendment of supplier records We tested 425 newly created and existing supplier records amended from 1 January to 30 September 2018. Our objective was to assess if the internal controls implemented around creation and amendment of supplier records were appropriate and operating effectively.

The Department of Finance, Department of the Premier and Cabinet, Insurance Commission, and WorkCover demonstrated good controls over creation and amendment of supplier records. The common control deficiencies found at the other 6 entities included:

• At City of Busselton, new supplier records were created, and existing supplier records amended without an independent review. In addition, employees with the ability to create or amend supplier records could also authorise payments to suppliers. Where possible, staff who authorise payments should not also make changes to the supplier master file. At City of Belmont and City of Perth, independent review of master file updates was undertaken only on a ‘spot check’ basis and was limited to checking supplier bank details.

36


• At City of Gosnells, 44 of the 52 created and amended supplier records we tested had not been independently reviewed. At the Shire of Augusta-Margaret River, 30 of the 40 created and amended supplier records we tested were not independently reviewed.

• At the Public Trustee, 12 of 50, and at City of Gosnells 43 of 52 amendments to supplier records were made without confirming the changes with suppliers. This increases the risk of fraudulent changes passing undetected.

• At the Public Trustee and City of Perth, 37 and 12 supplier records respectively were created or amended by employees who were not authorised to do so.

• At the City of Gosnells, no documented evidence was available for 3 out of 52 supplier records created or amended.

Although we did not identify any fraudulent or erroneous transactions, the above control weaknesses increase the risk of incorrect or invalid suppliers being recorded in supplier master files. This could result in incorrect, duplicate or fraudulent payments. Also, if relevant evidence is not documented or readily available, it could be difficult for management to confirm the validity of newly created supplier records or changes to existing supplier records.

Most entities need to improve the management of their supplier master files We reviewed the supplier master file databases for all the entities in our sample as at 30 September 2018. Our aim was to assess if the supplier master files were well managed, and were operating to promote effective accounts payable processes and reduce the risk of fraud and errors.

Only the Department of the Premier and Cabinet, Insurance Commission, and WorkCover were appropriately managing their supplier master files. The common findings at the other 7 entities were:

• Six entities had a total of 9,321 supplier records with missing information, including suppliers’ bank details, ABN, address or contact details. Completeness of supplier records is essential to enable effective processing.

• Seven entities had a total of 79,107 active supplier records unused for more than 2 years. Although there may have been reasons for retaining some of these records, there was no evidence that management had identified a reason. Lack of timely clean-up or deactivation of redundant supplier records makes ongoing monitoring and review of supplier master files difficult.

• We tested 1,311 potential duplicate records and confirmed that 93 of these were duplicate supplier records, at 6 entities. These duplications were mainly due to suppliers either changing business names or bank details, but the entities did not delete or deactivate the redundant supplier records. Two of these entities also had 71 records with incorrect bank details or ABNs. Duplicate or incorrect supplier records may result in duplicate payments.

Most entities need to formally monitor compliance with their policies on a periodic basis The Department of Finance, Insurance Commission, and WorkCover were formally monitoring their supplier master files.

37


Periodic review enables management to detect non-compliance with policies, remediate invalid, incomplete and obsolete supplier records, and reduce the likelihood of fraud or errors.

Conflicts of interest were not declared or effectively managed at 3 entities Contrary to management’s policies, conflicts of interest were not declared by 2 employees at the Department of the Premier and Cabinet, and 6 employees at the Shire of Augusta-Margaret River who owned, or whose family members owned the suppliers that their entity was procuring from. These potential conflicts of interests involved 14 and 29 transactions undertaken by the respective entities between April 2017 and September 2018 totalling $41,383. The purchases included fencing, cleaning, fitness, carpentry and childcare services. We however confirmed that these employees did not approve any purchases from or payments to these suppliers.

Lack of appropriate disclosure and effective management of actual, potential or perceived conflicts of interest may undermine a fair and impartial procurement process, resulting in value for money not being achieved. Even if not involved in procurement or payment authorisation, it is important that entities’ conflicts management policies are complied with. At the City of Belmont, an employee approved 2 purchase orders totalling $29,193 for payment of program funding to a supplier, of which the employee was a board member. An employee should not be involved in a procurement and purchasing process with a supplier they are related to. We recognise however that the employee had disclosed this conflict of interest, and that the subsequent payments were not approved by that employee. If an employee has a conflict of interest because they are associated with a supplier, in addition to declaring the conflict, they should also not be involved in the process of procuring from that supplier.

38


Recommendations 1. Entities should:

a. have policies and procedures that include comprehensive guidance for employees to

effectively manage supplier master files

b. ensure that all additions or amendments to supplier master files are subject to a

formal independent review to confirm validity and correctness

c. regularly review employees’ access to create or amend supplier master files to

prevent any unauthorised access, and ensure adequate segregation of duties

between those amending the master files and those approving payments

d. ensure all key information is input at the time of creating a new supplier record

e. apply consistent naming conventions for supplier records, to avoid suppliers being

registered under multiple names

f. ensure that documentary evidence is retained for all additions and amendments to

supplier master files and there is a record of the reason for amending the supplier

record

g. include a requirement for a formal and periodic internal review to identify incomplete,

incorrect, duplicate or redundant supplier records

h. ensure any actual, potential or perceived conflicts of interest are declared and

effectively managed, and that relevant employees are not involved in the procurement

from, or management of supplier records in respect of their related suppliers.

39


Response from entities Entities in our sample generally accepted the recommendations and confirmed that where relevant, they either have amended policies and practices or will improve management of their supplier master files.

The City of Perth advised that the amendments made to 12 supplier records by employees who were not authorised to do so, were minor administration changes to the supplier file and did not impact the core supplier details.

The City of Busselton advised that it has implemented independent review of supplier master file updates.

40


Appendix 1: Better practice principles The following table shows control principles on which our audit focused. They cover a number of key supplier master file practices and controls, and are not intended as an exhaustive list.

Supplier master files framework

Focus area What we expected to see:

Policy Policies and procedures

• Policies and procedures include comprehensive guidance for employees to effectively manage supplier master files.

• Policies and procedures are regularly reviewed and updated. Creation / amendments of master files

Access to master files

• Entities regularly review employees’ access to create or amend supplier master files to reduce the risk of unauthorised changes.

Creation • Staff consistently apply naming conventions for supplier records, to avoid suppliers being registered under multiple names.

• All key information is input at the time of creating a new supplier record.

Amendments • Documentary evidence is maintained to support the changes in master files.

• Employee validates changes to supplier details with the supplier (i.e. via phone or formally by writing).

Segregation of duties

• Additions or amendments to supplier master files are independently reviewed.

• Appropriate segregation of duties is established between employees amending the master files and employees approving payments to suppliers.

Recordkeeping • Documentation is retained for all additions and amendments to supplier master files including reasons for amending the supplier details.

Conflict of interest

• Employees declare any actual, potential or perceived conflict of interest.

• Declarations are retained, assessed and conflicts of interest are appropriately addressed.

• Employees with conflicts of interest abstain from the procurement process or managing records of the suppliers they are related to.

Management of master files

Review • Management undertakes formal and periodic review of master files to identify incomplete, incorrect, duplicate or redundant supplier records.

• Weaknesses identified are communicated to the relevant stakeholders and remediating actions are promptly undertaken.

• The outcome of the review is presented to the audit committee.

41

Auditor General’s Reports

Report number Reports Date tabled

15 Audit Results Report – Annual 2017-18 Financial Audits of Local Government Entities 7 March 2019

14 Opinions on Ministerial Notifications 13 February 2019

13 Opinion on Ministerial Notification 23 January 2019

12 Managing Disruptive Behaviour in Public Housing 20 December 2018

11 Opinions on Ministerial Notifications 20 December 2018


9 Treatment Services for People with Methamphetamine Dependence 18 December 2018


7 Audit Results Report – Annual 2017-18 Financial Audits of State Government Entities 8 November 2018

6 Opinion on Ministerial Notification 31 October 2018

5 Local Government Procurement 11 October 2018

4 Opinions on Ministerial Notifications 30 August 2018

3 Implementation of the GovNext-ICT Program 30 August 2018

2 Young People Leaving Care 22 August 2018

1 Information Systems Audit Report 2018 21 August 2018

42

Office of the Auditor General Western Australia 7th Floor Albert Facey House 469 Wellington Street, Perth Mail to: Perth BC, PO Box 8489 PERTH WA 6849 T: 08 6557 7500 F: 08 6557 7600 E: [email protected] W: www.audit.wa.gov.au

Follow us on Twitter @OAG_WA

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43


6.3 RISK MANAGEMENT UPDATE – OCTOBER 2020

Attachment 1 – Hierarchy flowchart of the Shire’s Risk Management Framework

44

HIERARCHICAL FLOWCHART OF THE SHIRE’S RISK MANAGEMENT FRAMEWORK

Local Government Regulations and Australian

Standards

Shire's Risk Management PolicyObjective: Shire will use a risk

managment framework to identify evaluate, treat and monitor risk

Risk Managment Framework

Shire Document, detailing procedures roles and

responsibilities

1st line of defenceDirectortes/Bus units

Need to identify, manage and 'own' risk in their area

of responsibility

2nd Line of defenceRisk Management Officer

monitors and evaluates via the risk dashboard

RISK DASHBOARDwith 14 Risk Profiles

ELTRecieve quarterley

dashboard report and endorse/implement

controls

ARMCNotes controls endorsed by

ELT- see instrument of

appointment

3rd line of defenceInternal and external audits

45

6.0 Attachments to Reports...Updated layout of designated employee list in line with merge of...

Documents

Transcript of 6.0 Attachments to Reports...Updated layout of designated employee list in line with merge of...