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					         Division of Local Government
       Department of Premier and Cabinet

                 Promoting Better Practice Program
                       Self Assessment Checklist


              Return email address: pbp@dlg.nsw.gov.au


    Click on the sheet tabs to access each part of the questionnaire.

    Please complete ALL FIVE modules (including this cover sheet).


Council Name:


Contact Name:
Contact Phone:
Contact Position:
Contact Email:

       If you require assistance with completing this survey, please contact:



                          Division of Local Government
                                Tel: (02) 4428 4100

                              Updated : January 2012
          Promoting Better Practice Program - Self Assessment Checklist
                                 INSTRUCTIONS


1.    Most questions are in a “Yes” or “No” format, accessed via drop-down menus.

2.    You are asked to consider whether, in response, council has arrangements that
      substantially meet the requirements in question. If you believe council has
      arrangements in place that fully or substantially meet the requirement, you should
      answer “Yes”. If you do not, answer “No”.

3.    If you believe council has arrangements in place, but that they need improvement,
      you should flag these issues with the Division by making a note in the comments
      section at the end of the relevant module. We will assist to improve your
      arrangements if we can.
4.    If arrangements are not currently in place but are being developed, you should
      answer 'No' but you should also flag this in the comments section at the end of the
      relevent module.

5.    Where we use the words “policy” or ”plan”, we mean a formal documented position
      on the area of operation that sets out council’s position and, if appropriate, provides
      procedures for managing that area.

6.    Where we use the word “strategy”, we mean a documented analysis of an area of
      operation leading to a formal council position on regulating or dealing with that area
      in the future.

7.    Where we use the word “review”, we mean a systematic analysis of how council is
      managing the area of operation under review, leading to an evaluation of council’s
      performance and, if necessary, recommendations on improving that management.


8.    Where we use the words “processes”, “procedures” or “guidelines”, we mean
      documented processes for managing the area of operation under review. They
      may be part of, or separate to, relevant council policies or plans.


9.    Feel free to add any additional information you consider relevant to your answers in
      attached sheets, ensuring the question number is included with the additional
      information.

10.   Text boxes are limited to approx 100 words. If you need more space for any
      response please attach additional sheets, ensuring the question number is
      included.

11.   The column to the right titled 'Review Teams Verification and Comments' is for the
      review team to complete. This column can be used as a guide to indicate what the
      review team will be looking for. You cannot type in this column.
                        Promoting Better Practice Program - Self Assessment Checklist
                                                Module 1 - Strategic Planning




For the following questions, please provide your answers in the white boxes provided. Most answers
 will need to be selected from the drop down list. Provide explanation where applicable. Text boxes
 are limited to approx 100 words. If you need more space for any response please attach additional
  sheets, ensuring the question number is included. The column on the far right-hand side is to be
              used by the review team members only - council cannot type in this space.




                                                   Council self
          Question                                 assessment                    Review team verification and comments

          STRATEGIC PLANNING
   1.01
          Has council adopted a Community                                   Evidence strategic plan adopted by
          Strategic Plan?                                                   council
          (section 402 of the LGA)                                          Plan includes:
                                                                            - clear description of council's
                                                                            strategic intent
                                                                            - description of council's key
                                                                            directions on local and regional
                                                                            issues
                                                                            - explanation of council's role in the
                                                                            achievement of community
                                                                            aspirations
                                                                            - council's principal activities are
                                                                            identified
                                                                            - identification of strategic resource
                                                                            implications
                                                                            - social, environmental, economic
                                                                            and civic leadership aspects

          If yes, did the process of developing                             Process for developing strategic plan
          the plan involve:                                                 included:

          a. all councillors                                                - involvement of all councillors
          b. council workforce                                              - involvement of broad cross-section
                                                                            of council workforce
          c. community consultation                                         - community engagement

          Was it informed by:
                                                                            Evidence that other plans were
                                                                            reviewed
          d. a review of the SOE report
          e. social and community plans
          f. other plans, please detail below




                                                                            Verify the timeframe of the plan
          What timeframe does the plan relate
          to:                                                               Plan is for a minimum of 10 years

                                                                            Comments:




                                                            Page 4 of 120                                            Strategic Planning
                                                                      Evidence of:
       1.02   Has council developed a resourcing
              strategy for achieving its strategic                    Long-term financial plan
              priorities?
                                                                      Asset management plan
                                                                      Workforce management plan

                                                                      Comments:




       1.03   Does council measure and review its
                                                                      Evidence of periodic review of
              progress toward achieving its
                                                                      strategic plan
              strategic priorities?
                                                                      Periodic review involves:
                                                                      - councillors
                                                                      - council workforce
                                                                      - community
                                                                      Strategic plan is subject to
                                                                      comprehensive review at least once
                                                                      in the term of each council

                                                                      Comments:




       1.04   Does council inform the community
              of its progress towards achieving its
              ambitions and strategic priorities?
                                                                      Evidence of information in:
                                                                      - annual report
                                                                      - other publications
                                                                      - other media

                                                                      Comments:




End of module comments - Strategic Planning




                                                      Page 5 of 120                                        Strategic Planning
                        Promoting Better Practice Program - Self Assessment Checklist
                                                  Module 2: Governance



For the following questions, please provide your answers in the white boxes provided. Most answers
 will need to be selected from the drop down list. Provide explanation where applicable. Text boxes
 are limited to approx 100 words. If you need more space for any response please attach additional
  sheets, ensuring the question number is included. The column on the far right-hand side is to be
              used by the review team members only - council cannot type in this space.


                                                  Council self
          Question                                assessment                    Review team verification and comments

          VALUES
                                                                           Verification by the review team:
   2.01   Has council developed an explicit set                            Corporate document relating to
          of values?                                                       adopted/developing set of values
                                                                           sighted
          (should be consistent with s8 LGA)
                                                                           Comments:




   2.02   Have values been determined                                      Comments: (e.g. organisational
          following a process to survey                                    culture survey results sighted)
          organisational culture?




   2.03   Have values been determined in                                   Evidence that staff consultation on
          consultation with staff and                                      proposed values took place prior to
          councillors?                                                     adoption:
                                                                           Comments:




                                                                           Evidence that councillor consultation
                                                                           has occurred:
                                                                           Comments:




                                                                           Verify values included in:
   2.04   How does council ensure councillors,
                                                                           Induction of councillors, staff,
          staff, visitors, delegates and the
                                                                           delegates and in ongoing training for
          community are aware of its values?
                                                                           councillors, staff and delegates
                                                                           Key council documents - annual
                                                                           report/corporate plan/management
                                                                           plan/code of conduct
                                                                           Physically displayed in council
                                                                           buildings

                                                                           Comments:




                                                           Page 6 of 120                                                Governance
       ORGANISATION STRUCTURE

2.05     When did council last undertake a                         Organisational structure reviewed
         review of its organisational structure?                   within 12 months of the last council
                                                                   election
       (s333 LGA)
                                                                   Comments:




2.06     Did the review result in changes to                       Verify review carried out in line with
         facilitate alignment with council's                       council human resources strategic
         human resources strategic plan                            plan and/or overall strategic plan for
         and/or overall strategic plan?                            council

         If no, please explain why below:                          Comments:




         CODE OF CONDUCT

2.07     Has council adopted a code of
         conduct, as required by legislation, to
         be observed by councillors, members                       Code sighted:
         of staff and delegates?
         (s440 LGA, cl193 General Reg)                             Review team verifies that the
                                                                   council's code is consistent with the
                                                                   Model Code
         If yes, what date?

         If no, please explain why below:                          Comments:




                                                                   Verification by review team:
2.08     Has council added any
         supplementary provisions that have                        Supplementary provisions viewed
         varied the Model Code?

         If yes, describe                                          More onerous provisions viewed




2.09     Does council provide a copy of the
                                                                   Does council require staff,
         code of conduct to all new staff and
                                                                   councillors and delegates to provide
         councillors and delegates on
                                                                   a written acknowledgement that they
         commencement?
                                                                   have received a copy of the code?



                                                                   Comment by review team: How is
                                                                   the code communicated to
                                                                   councillors, delegates and staff?
                                                                   Comments:




                                                   Page 7 of 120                                            Governance
                                                                 Verification by review team:
2.10     What steps have been taken to
         ensure councillors, delegates, staff
                                                                 Council provides ongoing training
         and community members are
                                                                 and refreshers on code of conduct
         informed and reminded of the code
         of conduct, its role and its content?
                                                                 Code available on council’s web site

         Please list steps and give specific                     Code made available to delegates,
         examples                                                contractors and tenderers
                                                                 Members of the public given
                                                                 information on what to do if they
                                                                 suspect a breach of the code

                                                                 Other steps (specify) - comments




2.11     When was the code last reviewed?                        Verify that council has been
                                                                 proactive in reviewing the code
       (s440(7) LGA)




2.12     When was the last annual reporting                      Report on code of conduct
         to council on code of conduct                           complaints sighted
         complaints?
         (model code cl12.33)                                 Report includes:
                                                              - number of complaints received
                                                              - nature of issues raised
                                                              - outcomes of complaints
                                                            (as required by cl. 12.33 of Model Code)

                                                            Comments:




       GIFTS AND BENEFITS

2.13     Does council have a:
                                                                 Council gifts/benefits policy and
         a. gifts and benefits policy?                           procedures sighted
         b. gifts and benefits procedures?                       Gifts register sighted
         c. gifts register?                                      Evidence of consistent use of
                                                                 register?
                                                                 Gifts and benefits strategy
                                                                 developed in consultation with staff,
                                                                 delegates and councillors
                                                                 Token gifts and benefits defined are
         If no, please explain why below:                        consistent with Model Code
                                                                 There are provisions for reporting
                                                                 offered and refused gifts and
                                                                 benefits
                                                                 Council regularly analyses
                                                                 declarations to identify trends or
                                                                 emerging issues in relation to gifts
                                                                 and benefits

                                                            Comments:




                                                 Page 8 of 120                                           Governance
       COMMUNICATION DEVICES

2.14     Does council have a policy governing
         the use of communication devices                       Communication devices policy
         including internet and email use?                      sighted covering the use of:

                                                                - email
         If no, please explain why below:                       - phones
                                                                - mobile phones
                                                                - internet
                                                                - personal digital assistants
                                                                - facsimiles
                                                                - scanners
                                                                - photocopiers


                                                                Council has a system in place to
                                                                protect against inappropriate use of
                                                                communication devices (e.g.
                                                                auditing records/training/refreshers)
                                                                Comments:




       DISCLOSURE OF PECUNIARY INTEREST
2.15     Does council maintain a register of
         disclosure of interest returns by
         councillors and designated persons                     All serving councillors’ and GM’s
         (section 449 returns), as prescribed                   returns sighted and checked
         by section 450A of the Local
         Government Act?
                                                                Sample designated officers PI
       (s450A, s441-459 LGA)                                    returns checked for:
                                                                - correct forms in use
                                                                - returns signed
                                                                - evidence of lodgement dates noted
                                                                - details of
                                                                income/property/companies details
                                                                included
                                                                - use of discretionary disclosures
                                                                provisions
                                                                - for returns where details not public
                                                                due to privacy concerns,
                                                                documentation to support this on a
                                                                case by case basis

                                                                Review team’s comments on any
                                                                discrepancies:




2.16     How many officers, other than senior                   Council appropriately nominates
         staff are identified as designated                     designated persons?
         persons?


                                                                Comments:




                                                Page 9 of 120                                            Governance
2.17     List members or position holders of                 Council appropriately nominates
         section 355 committees who are                      designated persons?
         designated persons.


                                                             Comments:




2.18 Does council maintain a record of
     written disclosures made in accordance
                                                             Verification by review team
     with section 459 of the Act?

                                                             Comments:
       If yes, briefly describe how these
       records are kept




2.19 Does council maintain a record of staff
     disclosures of pecuniary interest (other                Verification by review team
     than designated persons)?
                                                             Comments:
       If yes, briefly describe how these
       records are kept




                                                           Verification by review team:
2.20 Does council have procedures to
     inform staff and councillors (including
     staff who are not designated persons)                 Written information available
     of their obligations in relation to
     pecuniary interest?
                                                           Included in orientation programs

                                                             Comments:




                                                Page 10 of 120                                 Governance
       BUSINESS ETHICS

2.21    Does council have a statement of
        business ethics to guide external
        parties (such as suppliers and
        contractors) on the standards that                    Statement of business ethics sighted
        are required when dealing with
        council or acting on council’s behalf?


                                                              Evidence of council providing the
                                                              statement of business ethics to all
                                                              suppliers, contractors, constituents
                                                              and business partners sighted
        If not, how does council seek to                      Evidence that council requires
        inform contractors of its ethical                     parties to contracts with council to
        standards?                                            abide by the statement of business
                                                              ethics
                                                              Describe:



                                                              Other comments by review team:




       LGMA

2.22    Does your council subscribe to the                    If yes, check how involved council
        LGMA Good Practice Toolkit?                           staff have been in developing the
                                                              modules

                                                              Comments:




       RISK MANAGEMENT

2.23    Does council have a risk
        management plan that addresses all
                                                              Risk management plan sighted
        key business risks facing council?

                                                              Key business risks identified
                                                              including non insurable risks
        If yes, when was the plan last                        Verify that the review has happened
        reviewed?                                             on the specified date

        If no, please explain why below:                      Comments:




2.24    How was the risk management plan
        prepared?                                               Verify whether risk management plan was prepared
                                                              following comprehensive risk management process to:

        Please describe                                       - establish organisational context
                                                              - identify risks (including business /
                                                              insurance / fraud)

                                                              - analyse risks
                                                              - evaluate existing controls



                                                 Page 11 of 120                                             Governance
                                                            - outline strategies to manage risks
                                                            Comments:




2.25    Has council assigned responsibility
        across the organisation for                        Verify whether council has assigned responsibility across
        implementation of the risk                                organisation for implementation of the plan
        management plan?




2.26    How does council monitor risk                       Senior managers / council audit
        management plan and progress                        committee conduct the review of risk
        against risk management strategies?                 management plan and risk
                                                            management strategies

        Please describe                                     Comments:




       FRAUD CONTROL

2.27    Does council have a fraud control
                                                            Verification by the review team that
        policy/strategy?
                                                            fraud control policy/strategy sighted


        If yes, is it linked to the risk                    Verification by the review team that
        management plan?                                    fraud control plan is linked to the
                                                            overall risk management plan

                                                            Comments:




2.28    When did council last undertake a                   Verification by the review team that
        systematic fraud risk assessment?                   fraud risk assessment carried out
                                                            within the last 2 years

                                                            Comments:




       BUSINESS CONTINUITY

2.29    Does council have a business
        continuity plan to manage the impact
                                                            Plan sighted
        of adverse events on its operations?


        If yes, when was the plan reviewed?                 Evidence of the review within the
                                                            previous 2 years sighted

        If no, please explain why below:                    Comments:




                                               Page 12 of 120                                                 Governance
       INTERNAL AUDIT

2.30     Does council have an internal audit                   Internal audit functional
         program?                                              arrangements identified

                                                               If council has internal auditor, the
                                                               auditor has operational
                                                               independence, reporting directly to
       If yes, please describe the arrangements                the GM or Audit Committee

                                                               Internal audit charter sighted
                                                               Audit committee membership,
                                                               charter and business role
                                                               appropriate
                                                               Audit committee meets at least
                                                               quarterly
         If yes, does council’s internal audit                 Internal audit plan developed
         program include:
         a. charter                                            Internal audit plan identifies and
                                                               examines key risks in risk
                                                               management plan
         b. committee
         c. internal audit plan                              Internal audit functional arrangements described briefly:

         If no, please explain why below:




       LEGISLATIVE COMPLIANCE
                                                               Verification by review team:
2.31     Does council have a system or
                                                               System for identifying legislation
         process in place to ensure its
                                                               applying to council activities
         legislative and regulatory obligations
                                                               identified
         are met?
                                                               System complies with Australian
                                                               Standard
                                                               Ongoing legislative compliance
                                                               program underway
                                                               Audit of compliance program
                                                               conducted in the past 12 months
                                                               System in place to train and
                                                               resource staff to identify and respond
                                                               to changes to legislation affecting the
                                                               council

                                                               Comments:




                                                  Page 13 of 120                                                  Governance
2.32     Has council established a system for                 There is a system in place to identify
         internal reporting of:                               and respond to legislative non-
         (cl413A Reg)                                         compliance and report on
                                                              fines/penalties/prosecutions against
                                                              council
                                                              The general manager has reported
                                                              to councillors on any fines, penalties
                                                              or costs orders regarding legal
                                                              proceedings against council as
                                                              required by clause 413A
         a. legislative non-compliance
         b. fines/penalties/prosecutions
         against council                                      Comments:




         LEGAL SERVICES
2.33     How does council select its legal
                                                              Verification by review team
         practitioners?
                                                              Comments:
         Describe




2.34     Has council appointed a panel for the
                                                              Verification by review team
         provision of legal services?
                                                              Tender for legal services offered in
                                                              the past three years
         If yes, how does council allocate and                At least two firms appointed on
         monitor the spread of work?                          council’s panel (if one)
                                                              Council regularly reviews spread of
                                                              work among legal service providers
         Describe                                             on the panel (if one)
                                                              Council receives regular reports on
                                                              the progress of legal matters
                                                              Council legal service providers and
                                                              legal services budget overseen by
                                                              specific committee or panel
                                                              Comments:




       PROCUREMENT, DISPOSAL AND TENDERING
2.35     Does council have documented                         Policy/procedures on procurement
         policies and procedures for:                         and disposal of goods and services
                                                              sighted
         a. purchasing and tendering                          Does policy provide for:
         b. disposal of assets                                - obtaining oral quotations for low
                                                              value items (eg under $5,000)
         c. monitoring contractor performance                 - obtaining written quotations for
                                                              medium value contracts (as a guide,
                                                              between $5,000 and $25,000)

       (s55 LGA)                                              - using open procurement and
                                                              disposal methods for contacts worth
                                                              between say $25,000 and the
                                                              tendering threshold
                                                              - tendering of all contracts on or
                                                              above the statutory threshold

                                                              Do council procedures require
                                                              documentation of decisions



                                                 Page 14 of 120                                        Governance
                                                              Council uses e-tendering processes
                                                              Assessment by review team:




2.36   Does council have a process for                        Council regularly monitors and audits
       monitoring and auditing:                               procurement and disposal to identify
                                                              issues and trends in relation to
                                                              allocation of contracts
       a. purchasing and tendering                            Processes for obtaining quotes
                                                              followed for contracts in each value
                                                              band
       b. disposal of assets
       c. contractor performance                              Two section 55 tender processes
                                                              verified (apply Supplementary
                                                              Checklist – Tendering)
                                                              Comments:




2.37   Does council have procedures for
       third parties to make complaints
                                                              Verification by review team
       about procurement and disposal of
       assets?
                                                              Comments:




2.38   Does council have procedures for
       monitoring and acting upon
                                                              Verification by review team
       unsatisfactory performance by
       contractors?
                                                              Comments:




2.39   Has council conducted a risk
       assessment of its procurement and                      Risk assessment for procurement
       disposal practices in the past 2                       and disposal sighted
       years?
                                                              Council uses probity plan and probity
                                                              advice for major procurement,
                                                              disposal and other contracting

                                                              Comments:




2.40   In the last 12 months, has council                     Council appropriately uses and
       relied on section 55(3) of the Act (the                documents extenuating
       ‘extenuating circumstances’ or                         circumstances and/or emergency
       ‘emergency’ provisions) to justify                     provisions of section 55(3)
       calling for tenders?
                                                              Comments:
       If yes, on how many occasions:




                                                 Page 15 of 120                                       Governance
Page 16 of 120   Governance
2.41    Does council have a local preference
                                                                Local preference policy sighted
        policy for tenders?

        If yes, does council inform potential                   Evidence sighted that council alerts
        tenders of the local preference                         potential bidders of local preference
        policy?                                                 policy at the time of inviting tenders,
                                                                expressions of interest or quotations


                                                                Comments:




       PRIVACY MANAGEMENT

2.42    Has council formally adopted a
                                                                Privacy management plan sighted
        privacy management plan?
                                                                Evidence that the plan has been
                                                                implemented
        If yes, when was the privacy                            Verification that council has
        management plan last reviewed?                          conducted a review of its privacy
                                                                management plan in the last 2 years

                                                                Verification that the review of the
                                                                privacy plan included a review of its
                                                                compliance with privacy legislation
                                                                Each time the plan is reviewed, a
                                                                copy is sent to the Privacy
                                                                Commissioner as soon as
        If no, please explain why below:                        practicable

                                                                Comments:




2.43    Has council appointed a privacy                         Appointment of privacy officer
        contact officer?                                        verified

        If yes, please provide name and position
                                                                Comments:



        If no, please explain why below:




2.44    Has council received any complaints
        about a contravention of an
                                                                Evidence review is statistically
        information protection principle or
                                                                represented in annual report
        disclosure of personal information?


        If yes, has a review of this
        contravention been conducted?                           Comments:




                                                   Page 17 of 120                                         Governance
2.45     Have council staff and councillors
                                                              Verification that council has
         received training in the requirements
                                                              conducted staff training in the
         of the privacy legislation?
                                                              requirements of privacy legislation
         If yes, please provide details
                                                              Verification that council has
                                                              conducted councillor training in the
                                                              requirements of privacy legislation

                                                              Comments:

         If no, please explain why below:




       RECORDS MANAGEMENT
                                                              Verification by review team:
2.46     Does council have a:
         a. records management policy                         Records management policy sighted

         b. records management                                Verification that council’s records
         procedures/guidelines                                management policy/practice requires
                                                              that paper, electronic, other media
                                                              and oral records are kept
         c. records disposal plan/schedule                    Evidence sighted that disaster
                                                              recovery/business continuity plan
                                                              (see question 2.29) also relates to
                                                              records
                                                              Includes keeping of councillor's
                                                              records
                                                              Records disposal plan sighted
         Do a. to c. relate to both electronic                Council is promoting the
         and paper based records?                             policy/practice/training among all
                                                              staff that full and accurate records
                                                              must be kept
       (State Records Act)                                    Council is promoting the
                                                              policy/practice/training among
                                                              councillors that full and accurate
                                                              records must be kept

                                                              Comments:




2.47     What steps does council take to
         ensure compliance with section 12(1)
         of the State Records Act? (This                      Verification by review team eg verify
         section requires councils to make                    the following:
         and keep full and accurate records of
         their activities.)
                                                              Council committee records kept
                                                              Councillor records kept
                                                              Management meeting records kept
                                                              File notes of telephone
         Please describe                                      discussions/meetings kept

                                                              Comments:




                                                 Page 18 of 120                                       Governance
         PUBLIC OFFICER

  2.48     Please provide name and position of council's public        Verification by review team
           officer (s342 LGA)




         ACCESS TO INFORMATION BY THE PUBLIC

  2.49     Has council posted its open access                          Link to open access information
           information on its website?                                 easily accessed on website
         (s6 GIPA Act 2009)                                            Explanation about how to obtain
                                                                       information provided

                                                                       Comments:




  2.50     Does council have a publicly                                Guide is available on council's
           available publication guide?                                website
         (s20-21 GIPA Act 2009)                                        Guide complies with OIC compliance
                                                                       checklist
                                                                       Evidence that council reviews its
           If no, please explain why below:                            publication guide


                                                                       Comments:




2.51       Does council maintain a contracts
           register for contracts with the private                     Contracts register sighted
           sector?
           (s27-35 GIPA Act 2009)
                                                                       Register complies with OIC
           If no, please explain why below:                            compliance checklist (refer link below)
                                                                       OIC compliance checklist
                                                                       Register distinguishes between class
                                                                       1, 2 and 3 contracts

                                                                       Comments:




  2.52     What steps does council take to
           provide advice and assistance to                            Steps consistent with OIC
           people to help them access publicly                         compliance checklist
           available information
         (s16 GIPA Act 2009)
           Please describe                                             Comments:




  2.53     Does council have an information
                                                                       Verification by review team
           officer?
                                                                       If yes, is the information officer
                                                                       trained in relevant procedures?




                                                          Page 19 of 120                                         Governance
                                                                Comments:




2.54     Does council maintain a disclosure                     Disclosure log available on council's
         log of access applications?                            website
       (s25-26 GIPA Act 2009)                                   Content of log complies with OIC
                                                                compliance checklist

         If no, please explain why below:                       Comments:




2.55     In the past 12 months, how many
         access applications has council:                       Verify a sample of applications

         a. received                                            Comments:
         b. granted access
         c. deferred access
         d. refused access


2.56     Has council undertaken an audit of
         its open access information                            Evidence that an audit has been
         processes using the OIC compliance                     undertaken using the OIC checklist
         checklist for agencies?
                                                                Outcome of audit is documented
         If yes, when was the last audit                        Outcome of audit is reported to
         undertaken?                                            council
                                                                Comments:




                                                                Council resolution sighted
2.57     Has council determined the manner                      Verification by the review team that
         in which it will give public notices to                the public notices issued were in the
         meet the requirements of section                       prescribed form and in a manner
         705?                                                   determined by the council (eg view
                                                                examples)
         (s705 LGA)
         If yes, please briefly describe:                       Comments:




         POLICY REGISTER

2.58     Has council identified its policy
                                                                Policies relate to services provided
         documents which are open access
                                                                to the public
         information?
         (s23 GIPA ACT 2009)
         If no, please explain why below:                       Comments:




                                                   Page 20 of 120                                       Governance
2.59    Does council have a register of its
                                                            Policy register sighted
        policies?
                                                            For a sample of policies do they state/have:
                                                            - purpose of policy
                                                            - date adopted
                                                            - who is responsible
                                                            - date for review
                                                            - a standard format

                                                            Comments:




2.60    Are council's policy documents
                                                            Policies are on the website
        available on its website?

        If no, please explain why below:                    Comments:




2.61    Does council have procedures for
        updating the register and
                                                            Verification by review team
        communicating changes to
        responsible staff?

        If no, please explain why below:                    Comments:




       EXECUTIVE MANAGEMENT MEETINGS

2.62    Does council have a formal structure                Evidence that council has an active
        for senior management meetings?                     management executive group made
                                                            up of GM and other senior officers
                                                            that meets regularly

        If yes, please describe
                                                            Management executive reviews and
                                                            sets direction in key operational
                                                            areas

                                                            Evidence the executive meetings
                                                            monitor council’s programs and
                                                            operational performance

        How many times did the executive                    Verification that council executive
        meet in the last 12 months?                         management team met at least 10
                                                            times in the past 12 months

                                                            Comments:




                                               Page 21 of 120                                              Governance
       DELEGATIONS
                                                                      Verification by review team:
2.63     Are all delegations and sub-
         delegations documented:
         a. from the council to the mayor?                            Sighted
         b. from the council to general
                                                                      Sighted
         manager?
         c. from general manager to
                                                                      Sighted
         staff/others?
         d. from council to committees?                               Sighted

                                                                      Delegations to mayor appropriate
                                                                      (e.g. no staffing or operational
                                                                      delegations)?

                                                                      Comments:




2.64     Is the record of delegations:                                Verification by review team:
         a. available publicly                                        Sighted
         b. maintained and updated regularly                          Sighted


2.65     Are delegations reviewed:                                    Verification by review team:
         a. at least every two years                                  Evidence of review sighted
         b. at least in the first 12 months
         following the election
       (s380 LGA)
         If no, please explain why below:                             Comments:




                                                                      Verification by review team:
2.66     Does council have an audit program
         that examines the exercise of
                                                                      Evidence of audit sighted
         delegations on a regular basis?

                                                                      Comments:




       COUNCIL MEETINGS
                                                                      Verification by review team:
2.67     Has council adopted a code of
                                                                      Sighted
         meeting practice?

         If yes, has the code of meeting
         practice:
         a. been reviewed within the previous
                                                                      Evidence of review sighted
         council term
                                                                      Evidence of public availability
         b. been made available to the public
                                                                      sighted
         c. contain appropriate provisions on                         Non-pecuniary and pecuniary conflict
         non-pecuniary and pecuniary conflict                         of interest provisions consistent with
         of interest declarations                                     requirements of Act and Model Code
                                                                      of Conduct
       (part 10 General Reg and s360 LGA)
           If no to any of the above, please explain why below:       Comments:




                                                         Page 22 of 120                                        Governance
2.68     Does council have a standard form                    Format for reports to council at
         for reports to council?                              meetings sighted

                                                            Comments:




2.69     How many ordinary meetings has                       Verification regarding the number of
         council had in the last year?                        meetings
                                                              Quorum mostly present (no evidence
       (sections 365 & 375A LGA)                              of chronic problems)
                                                              No concerns about lengthy leaves of
                                                              absence in the past 12 months

                                                              Council meeting/committee meeting
                                                              minutes sampled
                                                              Voting on planning decisions is
                                                              recorded in minutes (see also
                                                              question 3.19)
                                                              Length of council and committee
                                                              meetings sampled and appropriate
                                                              Council or committee meeting
                                                              observed

                                                              Comments:




2.70     How many extraordinary meetings
                                                              Verified
         has council had in the last year?

                                                              Number of extraordinary meetings
                                                              appears appropriate

                                                              Comments:




2.71     Has public notice been provided on
                                                              Public notice provided?
         all occasions?

         If no, please explain why below:
                                                              Comments:




2.72     Are council business papers
         available at council                                 Evidence sighted of business papers being available at
         offices/website/libraries at least 36                         least 36 hrs before the meeting at:
         hours before meetings?
         (s9 LGA)                                             - council offices
         If no, please explain why below:                     - council website
                                                              - libraries

                                                              Comments:




                                                 Page 23 of 120                                                Governance
Page 24 of 120   Governance
2.73    Are copies of business papers
        available to take away free of                       Verified
        charge?
        (s9 LGA)


                                                             Comments:




                                                             Verification by review team:
2.74    How many times have the
        council/council committees closed                    Business conducted at closed
        meetings/parts of the meeting to the                 meetings falls under section 10A
        public in the last year?
        (s10A LGA)
                                                             Sample of closed meetings minutes
                                                             inspected
        a. whole meeting                                     Council minutes comply with section
                                                             10D
        b. part of meeting                                   Council allows public representations
                                                             under section 10A(4) before closing
                                                             meetings
                                                             Council follows requirements of
                                                             regulation in reporting on any
                                                             recommendations made in closed
                                                             meetings as soon as possible

                                                             Comments:




                                                             Verification by review team:
2.75    Can members of the community                         Council code of meeting practice or
        speak on issues of concern at                        policy on right for members of the
        council and committee meetings?                      public to address council meetings
                                                             sighted
        (s10A LGA)                                           Council provides information in
                                                             business papers, website etc on right
                                                             for members of the public to address
                                                             council meetings
                                                             Council has a process governing this
                                                             and advises public of this

                                                             Comments:




       COUNCIL COMMITTEES (SECTION 355 AND OTHER)

2.76    List council’s section 355 committees
                                                             Verification by review team


        List                                                 Comments:




                                                Page 25 of 120                                       Governance
2.77    List other advisory committees
                                                                    Verification by review team
        formed by the council

        List                                                        Comments:




2.78    Are committees provided with:                               Verification by review team:
        a. a constitution or charters setting                       Constitution or charters setting out
        out their membership and function                           committees’ membership and
                                                                    function sighted
        b. a code of conduct                                        Code of conduct sighted
        c. documented
                                                                    Documented procedures/operations
        procedures/operations manual
                                                                    manual for committees sighted
        d. relevant training                                        Evidence of relevant training for
                                                                    section 355 committee members
                                                                    sighted

         If no to any of the above, please explain why below:       Comments:




2.79    Do all committees keep records of                           Sample minutes of committee
        their deliberations?                                        meetings sighted
                                                                    Records of committee meetings
                                                                    publicly available
        If no, please explain why below:                            Comments:




       COUNCILLOR INDUCTION AND ONGOING TRAINING

2.80    Does council run any information                            Samples of evidence of information
        sessions for potential candidates for                       sessions for future councillors
        councillors?                                                sighted

        If yes, please outline topics:




        If yes, do information sessions for
        future councillors make provisions for                      Samples of evidence of information
        social justice target groups, including                     sessions to target social justice
        women (under the National                                   groups, including women under the
        Framework for Women in Local                                Framework
        Government)?

        If yes, which groups:                                       Comments:




                                                       Page 26 of 120                                      Governance
2.81   Does council have a structured
       training program for elected                    Verification by review team:
       members?
       a. induction                                    Councillors induction program
                                                       sighted
       b. training and development                     Councillors ongoing training program
                                                       sighted


                                                       Councillors induction training covers:
       If no, please explain why below:
                                                       - understanding of the legal and
                                                       political context of local government
                                                       - roles and responsibilities of
                                                       councillors and staff
                                                       - an overview of the organisation, its
                                                       staffing and major policy documents
                                                       - legal and ethical responsibilities of
                                                       elected members
                                                       - customer service and complaints
                                                       handling
                                                       - teamwork, communication and
                                                       conflict resolution in local
                                                       government
                                                       - strategic planning, including
                                                       community consultation and
                                                       participation and change
                                                       management
                                                       - decision making
                                                       - relationship between financial
                                                       processes and other planning
                                                       processes
                                                       - key functional areas of council
                                                       operations

                                                       Ongoing training based on identified
                                                       needs of councillors
                                                       Evidence sighted of equitable
                                                       training opportunities for councillors
                                                       Comments:




2.82   Does council keep a record of
       training/workshops undertaken by                Records verified
       councillors?
                                                       All councillors undergo training at
                                                       least once a year
                                                       Training undertaken reported in
                                                       Annual Report
       If no, please explain why below:                Comments:




                                          Page 27 of 120                                         Governance
       EXPENSES AND FACILITIES POLICY

2.83     Does council have a current, adopted
         policy in place concerning the
         payment of expenses and provision                       Councillor policy on expenses and
         of facilities to elected members                        facilities under section 252 sighted
         (section 252 of the Local
         Government Act)?
       (s252 LGA)                                                Policy information included in
                                                                 councillor induction
                                                                 Council policy covers appropriate
         If no, please explain why below:                        expenses including:
                                                                 - travel
                                                                 - conference and seminar
                                                                 - legal
                                                                 - telephone calls
                                                                 - care, including childcare
                                                                 - insurance
                                                                 - spouse/accompanying person
                                                                 - training and skills development
                                                                 Council policy covers appropriate
                                                                 facilities including:
                                                                 - mayoral vehicle use (including
                                                                 regulating private use)
                                                                 - access to councillor room/mayoral
                                                                 office
                                                                 - admin support including secretarial
                                                                 services, copying/fax, stationery

                                                                 - computer/telephone/fax/internet
                                                                 facilities at home
                                                                 Council policy specifies appropriate
                                                                 limits
                                                                 Council allows only reasonable and
                                                                 infrequent private use of resources
                                                                 Where personal use occurs, there is
                                                                 a mechanism in place to recoup
                                                                 costs
                                                                 Council policy makes no provision
                                                                 for legal expenses for councillors or
                                                                 staff as plaintiffs
                                                                 Council policy specifies need for
                                                                 appropriate expense reconciliation
                                                                 Council policy specifies appropriate
                                                                 approval arrangements
                                                                 Policy available to councillors and
                                                                 members of the public via
                                                                 internet/intranet/section 12 access
                                                                 Council has audited its compliance
                                                                 with policy within the past 12 months


                                                                 Verification by review team:
         If yes, did council review its policy as                Council review of policy conducted
         required by section 252?                                within 5 months of end of financial
                                                                 year
                                                                 Publicly advertised (if applicable)
         If yes, when?                                           If yes, copy of policy sent to Director
                                                                 General within 1 month of adoption
                                                                 and by 30 Nov
                                                                 Comments from P&R Branch
                                                                 obtained



                                                    Page 28 of 120                                         Governance
                                                              Comments:




       COUNCILLOR STAFF INTERACTION
2.84    Does council have a
        policy/procedure governing the
                                                              Policy sighted
        interaction between councillors and
        staff?
                                                              No evidence of major issues
                                                              regarding inappropriate interaction
                                                              between councillors and staff
                                                              Policy restricts councillor access to
         If no, please explain why below:                     staff only areas
                                                              Policy restricts councillors speaking
                                                              to junior officers
                                                              Policy is consistent with the
                                                              requirements of the Model Code

                                                              Comments:




2.85     Has the General Manager received
         any complaints about inappropriate
                                                                  Verification by review team: eg council minutes:
         councillor interaction in the past 12
         months?

         If yes, please provide details




       ACCESS TO INFORMATION BY COUNCILLORS

2.86     Does council have a policy in place                  Policy on councillor access to
         on access to information for                         information in addition to the code of
         councillors?                                         conduct sighted

                                                              Access policy covers key issues
         If no, please explain why below:                     including:
                                                              - councillor access to information
                                                              - refusal of access to documents
                                                              - use of council information
                                                              - security of information

                                                              Comments:




         CAMPAIGN DONATIONS
                                                              Verification by review team:
2.87     Does council keep a register of
         copies of current declarations of                    Register or link to returns on EFA
         disclosures of political donations                   website as required by s328A
         lodged with the Election Funding                     sighted.
         Authority (EFA)?
         (s328A LGA)
         If no, please explain why below:                     Comments:




                                                 Page 29 of 120                                                  Governance
       COMPLAINTS HANDLING

2.88     Does council have a complaints
                                                              Complaints handling policy sighted:
         handling policy or procedure?
                                                              Complaints handling policy:
         If no, please explain why below:                     - defines a complaint
                                                              - makes clear who will deal with a
                                                              complaint and how
                                                              - includes three tiered review system
                                                              (first tier examination/second tier
                                                              more senior review/third tier advice
                                                              on referral to
                                                              Ombudsman/DLG/ICAC or other)
                                                              - has performance targets for
                                                              turnaround
                                                              - includes proper recording of
                                                              complaints and outcomes
         If yes, does council's complaint                     - deals with complaints separately
         handing policy or procedure define:                  from requests for service

                                                              Does complaint policy contain
                                                              information about how code of
                                                              conduct complaints are to be dealt
                                                              with?
       a. who is responsible for dealing with
       complaints
                                                              Sample two recent complaints
                                                              received by the Division - check how
       b. how complaints are to be handled                    they were dealt with by the council,
                                                              and whether they were treated as
                                                              complaints
       c. distinguish between service requests
       and complaints
                                                              Comments:




2.89     Has council trained all staff in the
         application of council's complaints                  Training provided to all staff on
         handling policy and procedure, where                 complaints handling system
         there is one?
                                                              Comments:
         If no, please explain why below:




2.90     Does management prepare and
                                                              Council receives reports or data on
         receive regular reports on the
                                                              complaints received and dealt with
         number, progress and outcome of
                                                              on at least a quarterly basis
         complaints?
                                                              Sample management reports on
                                                              complaints and evidence of changes
                                                              to procedures or policy sighted
         If no, please explain why below:
                                                              Comments:




                                                 Page 30 of 120                                       Governance
2.91    How does council make information
                                                               Complaints handling policy is easily
        about the complaint process
                                                               accessible to members of the public
        available to the community?
                                                               Available:
        Describe                                               - on the website
                                                               - complaints forms in public areas
                                                               - other
                                                               Comments:




       PUBLIC INTEREST DISCLOSURES AND INTERNAL REPORTING

2.92    Does council have an internal
        reporting system under the Public                      Internal reporting system sighted
        Interest Disclosures Act 1994?
                                                               Does internal reporting system:
                                                               a. specify it is adopted under the
                                                               Public Interest Disclosures Act?
                                                               b. provide clear advice on making a
                                                               public interest disclosure?
                                                               c. provide clear advice on what to do
                                                               with a public interest disclosure?

                                                               d. include unthreatening reporting
                                                               arrangements given size, nature
                                                               and location of workforce?
                                                               e. provide for management action on
                                                               issues identified?
                                                               f. include clear statement of support
                                                               from the executive for reporters?

                                                               g. is it accessible on intranet or by
                                                               other open access means?

        If no, please explain why below:                       Comments:




2.93    Does council have a system for the
        recording of public interest disclosure                System sighted
        complaints?
                                                             Data reported to the NSW
                                                             Ombudsman's Office in compliance
                                                             with Public Interest Disclosures
                                                             Regulation 2011


        AWARDS

2.94    Has council won any awards in the
                                                               Verification by review team
        last 3 years?

        If yes, please list:                                   Comments:




                                                  Page 31 of 120                                       Governance
       STRATEGIC ALLIANCES
                                                              Verification by review team
2.95   Is council party to any strategic
                                                              Strategic approach to alliances
       alliances with other councils?
                                                              Evaluation of arrangements
                                                              Evidence of MoU sighted
       If yes, please list issues and councils
       involved:                                              Comments:




2.96   Does council have any resource
       sharing arrangements with any other                    Verification by review team
       council?
                                                              Evidence of MoU sighted
       If yes, give details including:
       a. who the arrangement is with
       b. how long it has been in operation
       c. whether or not it has been evaluated                Comments:




2.97   Are council's strategic
       alliance/resource sharing
                                                              Verification by review team
       arrangements carried out in
       accordance with a business plan?
                                                              Strategic approach to alliances
                                                              Evaluation of arrangements
                                                              Comments:




       INFORMATION TECHNOLOGY

2.98   Does council have an Information
       and Communication Technology                           Plan sighted
       Strategic Plan?
                                                              Plan is current
                                                              Evidence that the information and
                                                              communication technology plan is
                                                              linked to financial plan, strategic
                                                              plan, corporate plan
                                                              Evidence that information
                                                              management and technology
                                                              strategic planning guidelines have
                                                              been used

                                                              View any IT projects for good project management
                                                              - consultation
                                                              - strategic needs analysis
                                                              - business case
                                                              - project plan
                                                              - tendering
                                                              - oversight of implementation

                                                              Comments:




                                                 Page 32 of 120                                              Governance
                                                                 Verification by review team:
      2.99   What steps has council taken to
             ensure that its computer and records
             management systems are secure?                      Audit trails
             e.g. accounts, rating, governance,
             payroll)
                                                                 Firewalls
                                                                 Off and onsite storage
                                                                 Access security
             Please describe:
                                                                 Comments:




     2.100   Does council operate its key
                                                                 Check if council's systems are
             business systems on a single
                                                                 integrated for:
             integrated software platform?
                                                                 - rates
             If no, how many systems does
                                                                 - finance
             council have?
                                                                 - governance
                                                                 - human resources
                                                                 - tendering and contract
                                                                 management
                                                                 - complaints

                                                                 Comments:




End of module comments - Governance




                                                    Page 33 of 120                                Governance
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Page 35 of 120   Governance
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Page 37 of 120   Governance
                         Promoting Better Practice Program - Self Assessment Checklist
                                   Module 3: Planning & Other Regulatory Functions




For the following questions, please provide your answers in the white boxes provided. Most answers
 will need to be selected from the drop down list. Provide explanation where applicable. Text boxes
 are limited to approx 100 words. If you need more space for any response please attach additional
  sheets, ensuring the question number is included. The column on the far right-hand side is to be
              used by the review team members only - council cannot type in this space.




                                                    Council self
            Question                                assessment                Review team verification and comments

          STRATEGIC LAND USE PLANNING INSTRUMENTS

   3.01     Does council have land use strategic
                                                                         Evidence sighted that council’s
            plan(s) as a framework for its land
                                                                         strategic planning framework is
            use planning framework (such as a
                                                                         based on overall strategy for land
            land use strategy / employment
                                                                         use/employment/population/
            strategy / economic development
                                                                         economic development
            strategy etc.)?

          If yes, please list the strategy documents.
                                                                         Verification by review team of
                                                                         strategy documents

                                                                         Comments:




   3.02     Does council have a single local
                                                                         Evidence sighted of single LEP, or
            environmental plan (LEP) to cover
                                                                         program to achieve single LEP
            the whole council area?

            If yes, when was the LEP gazetted?
                                                                         Compliance with state LEP template


            If no, please explain why below:                             Comments:




            (LEP required by EP&A Act 1979)



   3.03     Is there a council program for the                           (Review team’s comment may refer to sighting the
            review and updating of:                                      evidence of recent – within the past 5 years – major
                                                                         review of the LEP and the ongoing review and updating
                                                                         of the LEP, DCPs and other planning policies.)
            a. the LEP                                                   Verification by review team
            b. DCPs                                                      Verification by review team
            c. Other planning policies                                   Verification by review team

            If no to any of the above, please explain why below:         Comments:




                                                            Page 38 of 120                                     Planning & Regulatory
       (Regular review required by EP&A Act 1979)


3.04   What does council do to assist the
       community to obtain land use                              Review team to verify that evidence
       information (i.e. information on the                      of LEP, DCPs and other planning
       LEP, DCPs and other relevant                              instruments is available:
       planning policies)?
                                                                 - on website
       Please describe                                           - physically at council libraries
                                                                 - physically at council front counter
                                                                 - physically in development area of
                                                                 council
                                                                 - other methods of circulation
                                                                 (specify)
                                                                 Comments:




3.05   Does council include requirements
                                                                 Council has some provision by way
       for the notification of development
                                                                 of DCP or LEP for notification of
       applications in its DCP and/or LEP?
                                                                 development
                                                                 Council notifies residential
                                                                 development to adjoining owners as
                                                                 a matter of course
                                                                 Council provides information on
                                                                 development assessment process
                                                                 with notification (eg brochure, guide
                                                                 on making submissions)
                                                                 Council makes provision for
                                                                 notification of applications for
                                                                 modification under section 96 of the
                                                                 Environmental Planning and
       If no, please explain why below:                          Assessment Act 1979

                                                                 Comments:




3.06   Does council identify exempt and                          Evidence sighted that council has
       complying development for the                             made provision for exempt and
       council area?                                             complying development in its LEP

       If yes, is this included in an LEP?                       Area is covered by SEPP 60

       If no, please explain why below:                          Comments:




3.07   Does council have a local approvals
       policy under section 158 of the Local                     Local approvals policy sighted
       Government Act?
                                                                 Comments:
       If no, please explain why below:




                                                    Page 39 of 120                                       Planning & Regulatory
3.08   Has council undertaken an audit of
       its development assessment and
                                                                 Evidence that an audit has been
       contributions processes using the
                                                                 undertaken using the ICAC tool
       ICAC development assessment
       internal audit tool?
                                                                 Outcome of audit is documented
       If yes, when was the last audit                           Outcome of audit is reported to
       undertaken?                                               council

       DEVELOPMENT APPLICATIONS PROCESS - Assessment, Review, Reporting

3.09   Does council have a procedures
                                                                 Council has a procedures manual or
       manual or guide to assist staff when
                                                                 guide to assist staff when assessing
       assessing development applications?
                                                                 DAs

                                                                 Council uses checklists to ensure full
                                                                 consideration of DAs in compliance
                                                                 with legislative requirements


                                                                 Comments:




3.10   Does council have a pre-lodgement                         Evidence council has a documented
       advice service for applicants?                            protocol for providing pre-lodgement
                                                                 advice (including record keeping and
                                                                 advice on what planners can and
                                                                 cannot say)

                                                                 Comments:




3.11   Does council have an independent
       assessment panel for development
       applications (consisting of an expert                     Evidence of independent
       panel to hear from applicants and                         assessment panel operations
       objector and to provide advice and/or                     sighted
       recommendations to council)?

                                                    %
       If yes, what proportion of
       development applications are                              Evidence of DAs referred
       referred to the assessment panel?

       If yes, what are the criteria for referral                Evidence of criteria for staff in
       of development applications to the                        determining the referral of DA to
       panel?                                                    assessment panel

       Please describe




       Has council evaluated the work of its
       independent hearing assessment                            Evidence of independent
       panel in the past 2 years?                                assessment panel evaluation sighted




                                                    Page 40 of 120                                        Planning & Regulatory
                                                              Comments:




3.12   Has council reviewed or evaluated its                  Evidence of the review or evaluation
       development assessment processes                       of development assessment
       in the last 2 years?                                   processes (e.g. report on review or
                                                              evaluation sighted)

       If yes, what action did council take as                Evidence council acted upon the
       a result of the evaluation?                            result of the review or evaluation of
                                                              its development assessment
                                                              processes
                                                              Evidence council has undertaken
                                                              and acted on a risk assessment to
                                                              ensure the probity of its processes:
                                                              - guidelines on the exercise of
                                                              discretion making determinations
                                                              - appropriate supervision/review of
                                                              decisions
                                                              - appropriate supervision/review of
                                                              decisions made under delegated
                                                              authority
       Please describe
                                                              Comments:




3.13   Does council have systems in place
                                                              Evidence that council has an
       to enable easy location of DAs at any
                                                              effective system to identify all DAs at
       point during processing?
                                                              any point of processing
       If no, please explain why below:
                                                              Comments:




3.14   Are turnaround times for DA                            Evidence that council regularly
       processing regularly monitored?                        monitors DA processing

       If yes, please describe

                                                              Comments:


       If no, please explain why below:




                                                 Page 41 of 120                                         Planning & Regulatory
3.15   Are turnaround times reported to                      Evidence regular reports on
       council and/or senior council                         processing times for development
       management?                                           applications received by:

       If yes, how                                           - management
                                                             - elected council

                                                             Evidence council has a program to
                                                             improve DA processing times

                                                             Comments:




3.16   Does council provide written
       information to DA applicants on what                  Evidence sighted that council
       information must be provided to                       provides applicants with information
       enable assessment?
                                                             Comments:




                                                %
3.17   What proportion of DAs are dealt                      Verification by review team that
       with under delegated authority?                       delegations are in place
                                                             Evidence that DAs are dealt with
                                                             under delegated authority
                                                             Evidence of efforts to increase % if
                                                             applicable

                                                             Comments:




3.18   What are the criteria for the referral                Evidence of criteria for staff in
       of DAs to council?                                    determining the referral of DAs to
                                                             council

       Please describe                                       Comments:




3.19   Does council maintain a register of
                                                             Register sighted
       planning decisions?
       (s375A LGA)                                           Register contains for each planning
                                                             decision:

                                                             - date of meeting
                                                             - description of the decision
                                                             - names of councillors who
                                                             supported the decision
                                                             - names of councillors who opposed
                                                             the decision

                                                             Comments:




                                                Page 42 of 120                                      Planning & Regulatory
3.20   What procedures are in place to                     Evidence sighted of regular reports
       ensure council is kept adequately                   to council of development
       informed of all determinations made                 applications determined under
       under delegated authority?                          delegated authority

       Please describe

                                                           Comments:




3.21   Does council place regular public
                                                           Evidence sighted of public notices
       notices listing determinations?

       If yes, how often?                                  Comments:




3.22   Does council have a register of                     Council statutory registers sighted
       development consents and                            recording development consents
       certificates?                                       granted by council
       (s100 EP&A Act 1979)
                                                           Register is in the form of a loose-leaf
                                                           book or electronic data retrieval
                                                           system (cl 264(4) of EP&A Reg)
                                                           Register includes information on:
       If no, why?
                                                           - applications for development
                                                           consent
                                                           - determination of applications for
                                                           development consent (including
                                                           terms consent granted)
                                                           - determination of applications for
                                                           complying development certificate
                                                           (including terms complying certificate
                                                           issued)
                                                           - decisions on appeal from any
                                                           determination

                                                           Information on register complies with
                                                           cl 264 of the EP&A Reg 2000

                                                           Evidence register is available for
                                                           public inspection

                                                           Comments:




3.23   Does council provide for:
       a. electronic lodgement of DAs                      Electronic lodgement/tracking of DAs
                                                           examined
       b. on-line tracking of DA assessment

                                                           Comments:




                                              Page 43 of 120                                         Planning & Regulatory
3.24   How many specialist planning
       positions does council have in                               Evidence sighted of strategies to
       relation to land use planning and                            attract and retain planning staff
       development assessment?

       How many of these are currently                              Evidence of traineeships or
       vacant?                                                      cadetships

                                                                    Remuneration based on market
                                                                    assessment

                                                                    Comments:
       What strategies does the council use
       to attract and retain planning staff?


       Please describe




3.25   Describe how the council applies ‘stop the clock’
       provisions of the Environmental Planning and                 Review how stop the clock provisions apply in practice
       Assessment Regulation (Clause 109-112).                      using one or two development application files


       Please briefly describe                                      Comments:




3.26   Does council provide a review
       process for applications for
       development consent and for                                  Evidence applicants are advised of
       approval under section 82A of the                            review process in notices of
       Environmental Planning and                                   determination
       Assessment Act and section 100 of
       the Local Government Act?
                                                                    Evidence reviews have been
                                                                    conducted
       If no, please explain why below:
                                                                    Comments:




3.27   Does council provide information to                          Evidence sighted of council alerting
       applicants about the availability of                         applicants to the availability of the
       reviews?                                                     review right under section
                                                                    82A/section 100

       If yes, how                                                  Comments:




       If no, please explain why below:




                                                       Page 44 of 120                                       Planning & Regulatory
3.28   What strategies are used to minimise the use of formal
                                                                            Evidence sighted that council
       appeal processes arising from its development
                                                                            actively uses alternative dispute
       assessment and approvals decision (e.g.
                                                                            resolution methods (such as
       mediation/conciliation etc.)
                                                                            mediation and conciliation
                                                                            conferences) to minimise court costs
                                                                            and time in development appeals


       Please briefly describe                                              Comments:




3.29   Does council provide senior staff and                                Evidence sighted of council
       elected council with regular reports                                 providing regular reports on all
       on all current development matters                                   current development matters before
       before the courts?                                                   court to:
                                                                            - senior staff
       If no, please explain why below:                                     - elected council

                                                                            Comments:




       CONTRIBUTIONS PLANS/PLANNING AGREEMENTS
                                                                            Verification by review team:
3.30   Has council entered into any
       planning agreements under s93F -                                     Agreement is in writing
       93L of the EP&A Act?
                                                                             Signed by all parties to the
                                                                            agreement

                                                                            Comments:




3.31   Has council prepared and adopted                                     Example of council section 94
       any section 94 plans for its area?                                   contributions plan sighted

       If no, please explain why below:                                     Comments:



       (EP&A Act 1979 requires any contributions to be made in accordance
       with a contributions plan)


                                                                            Verification by review team:
3.32   Has council adopted a policy on fixed
       development consent levies? (s94A                                    Policy sighted
       EP&A Act)
                                                                            Comments:




3.33   Does council have a section 94                                       Section 94 contributions register up
       register?                                                            to date and in order
       (required by EP&A Act 1979)
       If no, please explain why below:                                     Comments:




                                                               Page 45 of 120                                      Planning & Regulatory
3.34   Is the expenditure of section 94
       contributions monitored to ensure
                                                            Evidence of monitoring expenditure
       that they are spent within a
                                                            of section 94 contributions sighted
       reasonable time and in the area to
       which they relate?
                                                            Council record keeping on the use of
                                                            section 94 contributions is up to date
                                                            and in accordance with the
                                                            Environmental Planning and
       If yes, how                                          Assessment Regulation
                                                            Council has a means to adjust
                                                            contributions payable annually to
                                                            take account of inflation and
                                                            increased costs incurred by council
                                                            Evidence sighted of process for
                                                            regular review of council’s
                                                            contributions plans

                                                            Evidence sighted that council uses
                                                            section 94 funds within a reasonable
                                                            time
       If no, please explain why below:                                    OR
                                                            or that it has a valid long-term
                                                            infrastructure basis to explain long
                                                            term funds that remain unexpended
                                                            Comments:




       BASIX (Building Sustainability Index)

3.35   What steps is council taking to
                                                            Council provides information to
       encourage applicants to comply with
                                                            applicants on BASIX compliance
       BASIX requirements?

       Please briefly describe                              Comments:




3.36   Has council put in place measures to
                                                            Compliance measures for BASIX
       ensure compliance with the BASIX
                                                            sighted
       certification system?

       If yes, please describe                              Comments:




       If no, please explain why below:




                                               Page 46 of 120                                        Planning & Regulatory
       STATE OF THE ENVIRONMENT REPORTING
                                                              Latest SER sighted
3.37   Has council prepared a State of the
       Environment Report (SER) as part of                    Latest SER meets the requirements
       its annual report in the year of the                   of the IP&R Guidelines
       last election?
       (s428A LGA)                                            SER integrated with delivery
                                                              program
                                                              Comments obtained from P&R
                                                              Branch

                                                              (Apply Supplementary Checklist for State of the
       If no, please explain why below:                       Environment Reports)




3.38   Does the community (including
                                                              Evidence sighted of council including
       environmental groups) have any
                                                              formal consultation with community
       formal role in monitoring changes in
                                                              (including environment groups) in
       the environment as part of the SER
                                                              the monitoring process
       process?

       If yes, please briefly describe details
                                                              Comments:



       If no, please explain why below:




       GRAFFITI REMOVAL

3.39   Does council have a register of                        Up to date graffiti removal register
       graffiti removal?                                      sighted (where such work is carried
                                                              out)
       (s13 Graffiti Control Act)
       If no, please explain why below:                       Comments:




       ENFORCEMENT

3.40   Does council have a proactive
       program for monitoring compliance                      Evidence sighted of risk based
       with the environmental requirements                    proactive monitoring program other
       which it is responsible for regulating                 than public health legislation
       (includes council's own projects)?                     requirements (see question 3.48)

       If no, please explain why below:                       Comments:




3.41   Does council have an enforcement                       Enforcement and prosecution policy
       and prosecution policy?                                sighted
                                                              Procedures sighted
       If so, does council have documented                    Documentary evidence sighted that
       procedures to support its                              in assessing whether to take
       implementation?                                        enforcement action, council has
                                                              regard to the policy




                                                 Page 47 of 120                                       Planning & Regulatory
                                                                        Comments:




3.42   Does council have an orders policy
       under section 159 of the Local                                   Local orders policy sighted
       Government Act?

       If no, please explain why below:                                 Comments:




3.43   How many orders has council issued
                                                                        Verification of the number of orders
       in each of the past 2 years?
                                                                        issued by council in the past 2 years




                                                                        Comments on council’s clarification of variation from
                                                                        year to year
       Does council monitor the variation in
       orders issued from year to year?

       If yes, please briefly clarify reasons for variation:




3.44   Does council have a system for                                   Evidence council accurately records
       reporting and investigating reports of                           and follows up on all reports of non-
       non compliance or unauthorised                                   compliance or unauthorised
       development?                                                     development

       If no, please explain why below:                                 Comments:




3.45   In what circumstances, if any, does
       council intervene in regard to                                   Evidence sighted that council has a
       complaints of non-compliance on                                  consistent and reasonable approach
       sites for which a private certifier has                          to responding to complaints about
       been appointed as the Principal                                  sites under control of a private
       Certifying Authority?                                            certifying authority
       Please briefly describe                                          Comments:




3.46   Has council lodged any complaints
       about the actions of private                                     Verify nature of complaints/follow up
       certifiers?
                                                                        Comments:




                                                           Page 48 of 120                                       Planning & Regulatory
3.47   Does council have any regular or
                                                             Evidence sighted of council’s regular
       ongoing communication with private
                                                             and ongoing communication with
       certifiers or accreditation bodies
                                                             private certifiers and/or accreditation
       regarding its requirements?
                                                             bodies
                                                             Comments:




3.48   Does council have a compliance
       program for operations it is required                 Evidence sighted of compliance
       to monitor under public health                        program for:
       legislation?
                                                             - food preparation premises
                                                             - hairdressers
                                                             - air conditioning towers
                                                             - intensive agriculture
                                                             - mortuaries

                                                             Comments:
       If no, please explain why below:




3.49   Does council have a parking priority
       policy that outlines its priorities in
       regard to achieving an appropriate
       balance between public safety, traffic                Parking priority policy sighted
       flow and equitable access to
       available parking spaces?

                                                             Policy includes information on:

                                                             - public safety
                                                             - traffic flow
                                                             - equitable access to parking spaces
                                                             - covert operations and/or use of
                                                             technology

                                                             Evidence council informs community
                                                             of parking issues

                                                             Comments:




                                                Page 49 of 120                                         Planning & Regulatory
3.50   Does council provide ongoing
                                                               Evidence that there is an ongoing
       information and training to assist
                                                               program for providing information
       enforcement staff to undertake their
                                                               and training
       duties?
                                                               Evidence sighted of training and
                                                               information provided to enforcement
                                                               officers
       If yes, please briefly describe details:
                                                               Information and training includes:

                                                               - guidelines for carrying out
                                                               enforcement duties
                                                               - relevant customer service skills
                                                               - OH&S issues
                                                               - code of conduct obligations

                                                               Comments:




       ENVIRONMENTAL MANAGEMENT

3.51   Has council adopted an on-site                          On site sewage management
       sewage management strategy?                             strategy sighted
       If no, please explain why below:                        Comments:




3.52   Does council have an on-site sewage
                                                               Register contains following information:
       management register?
                                                               - landowner’s name
       If no, please explain why below:                        - location
                                                               - type of system
                                                               - risk classification
                                                               - date of approval
                                                               - date of approval expiry
       How often does council inspect high
                                                               - date of inspection
       risk systems?
                                                               Evidence sighted of council
                                                               inspections

                                                               Comments:




3.53   Does council have a stormwater                          Stormwater management plan
       management plan?                                        sighted

       If no, please explain why below:                        Comments:




3.54   Does council have a waste
                                                               Waste management strategy sighted
       management strategy?

       If no, please explain why below:                        Comments:




                                                  Page 50 of 120                                          Planning & Regulatory
3.55   Is council involved in the Catchment                 Evidence sighted of council’s
       Management Authority that covers its                 involvement in the catchment
       area?                                                management in its area

       If yes, how                                          Comments:




       COMPANION ANIMALS

3.56   Is there a companion animals                         Companion animals management
       management plan in place?                            plan sighted

                                                            Plan consistent with Division's
                                                            guidelines

                                                            Comments:




3.57   Does council run any community
       education programs on responsible                    Evidence sighted of community
       management of companion animals?                     education programs


       If yes, what programs:
                                                            Planned approach to community
                                                            education programs consistent with
                                                            companion animal management plan


                                                            Comments:




3.58   Does council have strategies in place
                                                            Evidence sighted of council’s
       for reducing euthanasia rate of
                                                            strategies to comply with section
       unwanted animals?
                                                            64(2) of the Companion Animals Act


       If yes, what strategies:                             Comments:




       If no, please explain why below:




                                               Page 51 of 120                                    Planning & Regulatory
3.59   Does council proactively pursue
                                                              Evidence sighted of proactive
       outstanding registrations and
                                                              strategies to increase registration
       identifications of companion animals
                                                              and identification compliance
       in the area?

       If yes, how:                                           Comments:




       If no, please explain why below:




3.60   Does council offer micro-chipping                      Evidence sighted of council offering
       services to the community (including                   microchipping services to the
       free or discounted microchipping                       community, including free or
       days)?                                                 discounted microchipping days

       If yes, please briefly describe details
                                                              Comments:



       If no, please explain why below:




3.61   Does council provide holding                           Evidence sighted that council
       facilities for cats?                                   provides holding facilities for cats

       If no, please explain why below:                       Comments:




3.62   Does council have procedures for                       Evidence sighted of council’s
       dealing with nuisance animals                          procedure for handling nuisance
       complaints?                                            dogs and cats complaints

       If no, please explain why below:                       Comments:




3.63   Does council have a procedure to:                      Verification by review team that:

       a. enter dangerous dogs data onto                      council enters dangerous dogs data
       NSW Companion Animals Register                         onto CAR within 7 days (s40)
       (CAR)?
       b. enter nuisance cat/dog data onto                    council enters nuisance dog/cat data
       CAR?                                                   onto CAR
       c. enter data relating to notices of
                                                              council enters notices of intention
       intention to declare a dog a restricted
                                                              data onto CAR
       dog?
       d. enter data relating to making or
                                                              council enter restricted dog data
       revoking a restricted dog
                                                              onto CAR within 7 days (s58DA)
       declaration?




                                                 Page 52 of 120                                      Planning & Regulatory
e. enter breed and temperament
                                                            council enters breed and
assessment data in relation to
                                                            temperament data onto CAR
restricted dogs?
f. ensure animal identification and
                                                            council enters identification and
registration information is entered on
                                                            registration information within 7 days
the CAR within the prescribed
                                                            of receipt
period?
g. process companion animals
                                                            - part of council's normal cash
monthly invoices to ensure that all
                                                            receipting and auditing processes
registration transactions processed
                                                            - council performs at least a monthly
by council are entered on the CAR
                                                            reconciliation to the register
and that the DLG's monthly invoice
                                                            - reports any errors to the DLG in a
reconciles the council's receipts?
                                                            timely manner
h. report dog attacks to the Division                       council reports dog attacks to the
as required?                                                Division within 72 hours and in the
(s429 Ministerial Direction)                                prescribed format (required by
                                                            Ministerial Direction under s429 LGA
                                                            - Jan09)

 If no to any of the above, please explain why below:       Comments:




                                               Page 53 of 120                                        Planning & Regulatory
                                                            Verification by review team:
3.64   Did council submit its most recent
       survey response on the seizure of
                                                            Pound data survey submitted to the
       cats and dogs (pound data) due to
                                                            Division
       the Division by 31 August each year?

       (s67A Companion Animals Act 1998)                    Survey submitted by 31 August

                                                            Comments:




3.65   Does council have procedures in
       place for attempting to return seized
                                                            Procedures for returning animals to
       animals to identified owners in
                                                            identifiable owners verified
       preference to taking animals to the
       pound?
       (s62(1) Companion Animals Act 1998)                  Comments:
       If no, please explain why below:




       WATER SAFETY

3.66   Does council have a program to
       ensure it is notified of all domestic                Evidence sighted of program for
       swimming pools in its council area?                  notification of swimming pools

       (s5 Swimming Pools Act 1992)                         Council maintains a register of
                                                            swimming pools

       If no, please explain why below:                     Comments:




3.67   Does council have a compliance
                                                            Evidence sighted of compliance
       program to ensure that swimming
                                                            program for domestic swimming
       pools in its area comply with the
                                                            pools
       Swimming Pools Act 1992?

       If no, please explain why below:                     Comments:




3.68   Does council have a program to
                                                            Evidence sighted of swimming pools
       promote awareness of the Swimming
                                                            awareness program
       Pools Act 1992?
       (s5 Swimming Pools Act 1992)
       If yes, please list activities:                      Comments:




3.69   Does council have documented
       procedures for the investigation of                  Procedures consistent with s29A of
       complaints about breaches of the                     the Act
       Swimming Pools Act?




                                               Page 54 of 120                                     Planning & Regulatory
       (s5 Swimming Pools Act 1992)                           Evidence that authorised officers
                                                              have been appointed in accordance
                                                              with s27 of the Act

                                                              Comments:




3.70   What action has council taken to act                   Evidence sighted that council has
       on the Division’s Practice Note No 15                  strategies for compliance with
       – Water Safety?                                        Practice Note 15 on water safety

       Please briefly describe                                Comments:




       COMPULSORY ACQUISITIONS
                                                              Verification by review team:
3.71   Has council compulsorily acquired                      Council has the Division’s
       property in the last 2 years?                          compulsory acquisitions guidelines
                                                              Sample compulsory acquisitions
                                                              processes to ensure comply with
                                                              guidelines
       If council has compulsorily acquired
       land, did council obtain the prior
                                                              Evidence of approval by Governor
       approval of the Governor before
                                                              before notice published
       publishing an acquisition notice in the
       Government Gazette?
                                                              Council has a copy of circular 05/40
                                                              Comments:




                                                              Verification by review team:
3.72   Has the council compulsorily
                                                              If council answers yes, check if
       acquired land for re-sale in the last 2
                                                              Ministerial approval has been given
       years?
                                                              (Note: purpose of re-sale is not generally considered to
                                                              be a purpose for which land can validly be acquired –
                                                              there may be some exceptions)
                                                              Comments:




                                                              Verification by review team:
3.73   Has the council acquired land for re-
       sale that was affected by native title                 Evidence diligent inquiry has been
       or the owner of which could not be                     made
       found?
                                                              Evidence Ministerial approval sought
                                                              and/or given


                                                              (A council may undertake “diligent inquiry” by searching
                                                              Real Property Act, Conveyancing Act and Native Title
                                                              registers, affixing a notice to the land, publishing a
                                                              notice in a newspaper, and giving notice to
                                                              representatives of persons who may hold native title.)


                                                              Comments:




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                      Promoting Better Practice Program - Self Assessment Checklist
                                      Module 4: Asset & Financial Management




For the following questions, please provide your answers in the white boxes provided. Most answers
 will need to be selected from the drop down list. Provide explanation where applicable. Text boxes
 are limited to approx 100 words. If you need more space for any response please attach additional
  sheets, ensuring the question number is included. The column on the far right-hand side is to be
              used by the review team members only - council cannot type in this space.




                                                 Council self
          Question                               assessment                Review team verification and comments

          ASSET MANAGEMENT
                                                                      Verification by review team:
   4.01   Has council developed a long term
                                                                      Strategy sighted
          asset management strategy?
                                                                      Core assets are identified in the
                                                                      strategy
                                                                      Classes of assets are identified
                                                                      Timeframes are set for
                                                                      implementation
                                                                      Strategy contains an audit process
                                                                      Strategy contains a review process
                                                                      Includes condition, assessment,
                                                                      estimate to bring to satisfactory
                                                                      standard, annual expense of
                                                                      maintaining standard, program of
                                                                      maintenance

                                                                      Comments:




                                                                      Verification by review team:
   4.02   Does the asset management                                   Evidence that the asset
          strategy link to other key strategic                        management strrategy is linked to
          documents particularly financial                            financial plan, strategic plan,
          strategy?                                                   management plan

                                                                      Comments:




   4.03   Does council maintain a register of
                                                                      Verification by review team that it includes:
          assets?
                                                                      - asset identification
                                                                      - valuation
                                                                      - condition assessments
                                                                      - land
                                                                      - last time register updated

                                                                      Comments:




                                                         Page 68 of 120                                               Asset & Finance
4.04   How does council determine the
                                                               Evidence of the process used
       condition of assets?

       Please describe                                         Comments:




4.05   How often does council revalue its
                                                               Verification by review team
       assets?
                                                               Comments:
       Date of last revaluation

       Does council link its condition
       assessments to its revaluation?


4.06   Is there an asset maintenance                           Evidence of planned maintenance
       program in place?                                       schedules

                                                               Evidence of a process to determine
       If no, please explain why below:                        maintenance priorities

                                                               Comments:




4.07   Has council made provision for
                                                               Verification by review team
       funding asset maintenance?
                                                               Comments:
       If no, please explain why below:




4.08   Does council have an unplanned                          Evidence of budget in management
       maintenance budget?                                     plan

       If yes, is this an internally restricted
                                                               Listed in internally restricted funds
       fund?
                                                               Comments:




4.09   Has council undergone any process
                                                               Verification by review team
       of asset rationalisation?


                                                               How often is the process conducted
       If yes, please describe




4.10   Does council have a plant
                                                               Verification by review team
       replacement policy?
                                                               Identifies expected useful life of plant
                                                               items
                                                               Determines replacement dates



                                                  Page 69 of 120                                          Asset & Finance
                                                             Comments:




       LAND ASSETS

4.11   Does council have a register of the
       land that it owns or is under its care                Register sighted
       and control?
       (s53 LGA)                                             Register includes maps
                                                             Indicates whether there is a current
       If no, please explain why below:                      plan of management
                                                             Register identifies crown land (name
                                                             address and location)
                                                             Register includes title reference
                                                             Identifies type of land (community,
                                                             operational or other (I.e. crown)
                                                             Indicates the land zoning
                                                             Identifies any licences or leases or
                                                             other estates over the land
                                                             Evidence that the register is updated
                                                             regularly




                                                             Verification by review team:
4.12   Does council have plans of
       management for all of its community                   Sample of plans sighted
       land?
       (s36 LGA)                                             Is all community land covered by
                                                             current plans of management?
                                                             Are any of the plans of management
                                                             dated prior to January 1999?
                                                             Community land is categorised
                                                             appropriately




4.13   Does council keep a register of
       leases or licences for land that it
                                                             Register sighted
       owns or is under its care and control?

                                                             Evidence that the register is updated
                                                             regularly

                                                             Comments:




                                                             Verification by review team

4.14   Does council keep a record of land
       transfers including non-financial                     Land register updated
       (gifted) transfers?
                                                             Land classified as community or
                                                             operational



                                                Page 70 of 120                                       Asset & Finance
                                                                     Comments:




       FINANCIAL MANAGEMENT
                                                                     Verification by review team:
4.15   Has council developed a long term
                                                                     Plan sighted
       financial plan (10 years)?
                                                                     Evidence that the financial plan is
                                                                     linked to other plans such as, asset
                                                                     strategy, strategic plan
       If yes, when was it last updated?                             Evidence of review
                                                                     Revenue raising is covered in plan

                                                                     Comments:

       If council does not use long term financial planning
       briefly explain how it:
       a. prioritises future projects
       b. monitors predicted liquidity/working capital/debt
       servicing levels
       c. plans future rates borrowing needs and other revenue
       raising requirements to service projects and costs




                                                                     Verification by review team:
4.16   What indicators and/or benchmarks
       does council use to assess the                                Council has used the LGMA financial
       financial health of the organisation?                         health check

       Please describe                                               Division comparatives used
                                                                     Other (identify)

                                                                     Comments:




                                                                     Verification by review team:
4.17   How is performance against these
                                                                     Report on council's performance
       indicators and/or benchmarks
                                                                     sighted
       reported to council?
                                                                     Performance is reported against
                                                                     identified indicators
       Please describe
                                                                     Comments:




                                                                     Verification by review team:
4.18   When was the last material
       differences (comparison of actual
                                                                     Report sighted
       financial results against budgeted
       results) reported to council?
                                                                     Evidence that reported to council
                                                                     monthly

                                                                     Comments:




                                                        Page 71 of 120                                      Asset & Finance
4.19   When was the last budget review
                                                             Report sighted
       statements presented to council?
       (cl203 General Reg)                                   Comments:




4.20   What initiatives has council adopted
       to ensure financial information
       provided to council is relevant and                   Verification by review team
       understandable, eg plain English.

                                                             Reports on finances provided to
       Please describe                                       ratepayers

                                                             Comments:




4.21   Does council deposit income
       generated from crown reserves
                                                             Verification by review team
       under council’s care and control into
       its trust fund?
       (s411 LGA, cl204 General Reg)                         Comments:




4.22   Does council have a policy on
                                                             Policy sighted
       overdraft facilities?
                                                             Comments:
       Is the present bank overdraft level in
       accordance with council's policy?

       If no, please explain why below:




4.23   Does council have an investment                       Verification by review team:
       policy?
                                                             Policy sighted
       If yes, when was this policy last                     Complies with DLG Investment
       reviewed?                                             Policy Guidelines

                                                             Comments:




4.24   Does council have a policy on                         Verification by review team:
       borrowing/use of loans?
                                                             Policy sighted
       If yes, when was this policy adopted
                                                             Council resolution sighted
       by council?
                                                             Comments:




                                                Page 72 of 120                                 Asset & Finance
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4.25   Does council have any internal                               Verification by review team:
       loans?
                                                                    Loan 1
       If yes, when was Ministerial approval
                                                                    Loan 2
       granted?
                                                                    Loan 3
       Loan                                     Date                Loan 4
  1
  2                                                                 Comments:
  3
  4



4.26   Does council have a pensioner rates                          Verification by review team:
       and charges reduction policy under
       section 582 of the Act?
                                                                    Policy sighted
                                                                    Evidence of requests being
                                                                    considered
                                                                    Policy covers issue of backdating of
                                                                    Policy requires reasonable enquiry to
                                                                    ensure backdating requests are
                                                                    bona-fide

                                                                    Comments:




4.27   Has council submitted its claim for
       the pensioner rebate subsidy at least                        Verification by review team
       annually?
                                                                    Comments:




4.28   Does council conduct a periodic
       review of the pensioner rebate
                                                                    Evidence of review
       scheme procedures as part of an
       internal audit process?
                                                                    Evidence review is part of internal
                                                                    audit program
                                                                    Evidence external auditor informed
                                                                    about scope and results of internal
       If no, please explain how council reviews its procedures:    audit
                                                                    Evidence council compares
                                                                    pensioner list against Centrelink and
                                                                    Veterans' Affairs information

                                                                    Comments:




                                                       Page 74 of 120                                       Asset & Finance
4.29     Does council have a hardship policy                           Policy sighted
         for ratepayers?

                                                                       Comments:
         If yes, please outline the extent to which council has
         exercised this policy




4.30     Does council have a debt recovery
         strategy?
                                                                       Strategy sighted
                                                                       % of rates and annual charges
                                                                       outstanding has been reviewed
                                                                       strategy provides for:
                                                                       - outstanding rates
                                                                       - outstanding charges
                                                                       - development contributions
                                                                       - other debts
                                                                       - regular review and escalation of
                                                                       recovery action




                                                                       Comments:




4.31     Has council sought any special
         variation to rates in the last five
         years?
                                                                       Verification by review team

                                                                       Evidence that funds have been
                                                                       applied for the purpose raised
                                                                       Evidence special variation has been
                                                                       applied in accordance with
       If yes, provide details
                                                                       Comments:




4.32     Other than through the delivery
         program process, does council
         consult with the community in
         formulating its annual capital works
         program?
                                                                       Verification by review team
         If yes, how
                                                                       Comments:




4.33     Has council identified funding
         sources required to support long
         term future capital works?
                                                                       Verification by review team
                                                                       Comments:




                                                          Page 75 of 120                                     Asset & Finance
       COUNCIL BUSINESSES
4.34
       Is council involved in the operation of
       any businesses?
                                                                    Verification by review team
       If yes, what are they:
                                                                    Information in the audited financial
                                                                    reports
       List                                      Specify
                                                                    Information included in annual report
                                                 category
                                                                    Comments:




4.35   Does council have a formal business
       plan for each of the businesses it
       operates?
                                                                    Business plan sighted
                                                                    Business plan includes:
                                                                    - business goals
                                                                    - performance indicators
                                                                    - investment hurdles
                                                                    - cost/benefit analysis
                                                                    - timetable of risk management
                                                                    reviews and probity checks
                                                                    Business plans linked to overall
                                                                    strategic/management planning
                                                                    process

                                                                    Comments:




4.36   Does each business have
       established internal controls for
       financial transactions?
                                                                    Verification by review team
       If yes, please briefly describe
                                                                    Comments:




4.37   Are competitive neutrality principles
       being fully applied to all category 1
       businesses?
                                                                    Full cost attribution applied
                                                                    Any subsidies paid to the business
       If yes, how                                                  are disclosed
                                                                    Subsidies paid are reported as a
                                                                    discrete transaction
                                                                    Cost/benefit analysis carried out
                                                                    Business capable of being
                                                                    separately identified within the
                                                                    operations of council




                                                       Page 76 of 120                                       Asset & Finance
                                                                         Business operates without net
                                                                         competitive advantage over other
                                                                         businesses
                                                                         Business generates a return on
                                                                         capital invested
                                                                         Part of any profit paid to council as a
                                                                         dividend
                                                                         Rate of return comparable to the
                                                                         private sector
                                                                         Reported in annual report

                                                                         Comments:




    4.38   Has council adopted a system to deal
           with National Competition Policy                              System viewed
           complaints?

                                                                         Outcome of complaints reported in
           If yes, please briefly describe                               annual report


                                                                         Comments:

           If no, please explain why below:




    4.39   How does council inform the public of
           the manner in which they can make a                           Evidence sighted of information
           National Competition Policy                                   provided to the public
           complaint?

           Please specify                                                Comments:




COUNCIL'S INVOLVEMENT IN COMPANIES, PARTNERSHIPS, CORPORATIONS, CO-OPERATIVES, JOINT VENTURES
    4.40   Is council a member of any company                            Details for each
           or corporation?                                               company/corporation are verified

                                                                         Council resolution to nominate
                                                                         councillor or staff as an officer is
           If yes, for each company provide details of:                  sighted
           a. the name
           b. the nature and extent of the interest held
           c. whether any councillor or member of staff is an officer
           of such company
           d. the nature of the activities conducted by the company      Companies, partnerships,
           or corporation                                                cooperatives or other joint ventures
                                                                         (including PPPs) listed in annual
                                                                         report

                                                                         Comments:
           Details:




                                                            Page 77 of 120                                         Asset & Finance
4.41   Has council:
       a. formed or participated in the
       formation of any company or                            Verification by review team
       corporation?

       If yes, when                                           Comments:

       b. acquired a controlling interest in
       any company or corporation?

       If yes, when

       If yes, has council obtained the
       Minister's consent prior to each such                  Minister's consent sighted
       formation or acquisition?
                                                              Date of consent verified
       If no, please explain why below:




4.42   Does council have any joint venture
                                                              Verification by review team
       arrangements with another body?

       If yes, give details including:                        Comments:
       a. who the arrangement is with
       b. how long it has been in operation

       c. whether or not it has been evaluated




4.43   Does council have any current
                                                              Verification by review team
       public/private partnerships?
                                                              PPP listed in annual report
       If yes, please list                                    Comments:




4.44   Is council planning to enter into
       public/private partnerships as a
                                                              Verification by review team
       vehicle for carrying out current/future
       capital works?
                                                              Comments:
       If yes, please give details




       INSURANCE
                                                              Verification by review team
4.45   Does council self-insure for any
       risks?
                                                              Comments:
       If yes, which risks:




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       4.46   How are these self-insured risks
                                                                     Verification by review team
              managed?

              Please briefly describe                                Comments:




End of module comments - Asset & Financial Management




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                      Promoting Better Practice Program - Self Assessment Checklist
                                       Module 5: Community & Consultation




For the following questions, please provide your answers in the white boxes provided. Most answers
 will need to be selected from the drop down list. Provide explanation where applicable. Text boxes
 are limited to approx 100 words. If you need more space for any response please attach additional
  sheets, ensuring the question number is included. The column on the far right-hand side is to be
              used by the review team members only - council cannot type in this space.




                                                 Council self
          Question                               assessment                Review team verification and comments

          SOCIAL AND COMMUNITY PLANNING

   5.01   Does council have a social and
          community plan in addition to its                           Social and community plan sighted
          Community Strategic Plan?
                                                                      Consistent with the format and
                                                                      content of the DLG Social and
                                                                      Community plan guidelines
                                                                      Plan includes programs to promote
                                                                      services and access for people with
                                                                      diverse cultural and linguistic
                                                                      backgrounds
                                                                      Plan includes access and equity
                                                                      activities
                                                                      Plan includes activities to develop
                                                                      and promote services and programs
                                                                      that provide for the needs of children
                                                                      Comments obtained from P&R
                                                                      Branch

                                                                      Comments:




   5.02   Does the social and community plan
          contain information on recreational                         Evidence sighted of the use of Get
          facilities and programs in the area?                        Australia Active publication

                                                                      Comments:




                                                         Page 93 of 120                                    Community & Consultation
5.03   What council plans are linked to the
                                                               Other plans identified in social plan
       social/community plan?
                                                               Other plans sighted
                                                               Evidence social/community plan
                                                               integrated with the Community
                                                               Strategic Plan
       Please list
                                                               Comments:




5.04   Was the plan prepared in conjunction
                                                               Verification by review team
       with other councils?

       If yes, list councils                                   Comments:




5.05   Does council have a disability action                   Verification by review team:
       plan/strategy?
                                                               Plan/strategy sighted
                                                               Strategies incorporated in other
                                                               plans
       If yes, when was the plan/strategy
       last reviewed?                                          Comments:

       If council does not have a disability
       plan, are disability planning activities
       undertaken as part of the social and
       community planning process?




5.06   Are the following council buildings
                                                               Verification that buildings are
       accessible to people with a disability?
                                                               accessible
       a. Council administrative building
       b. Council chambers                                     Comments:
       c. Libraries




       AGEING POPULATION
                                                               Verification by review team:
5.07   Has council developed any plans or
       strategies to deal with the potential                   Plan/strategy sighted
       impact of an ageing population?
                                                               Strategies incorporated in other
                                                               plans
       If council does not have an ageing
       plan/strategy, are activities
                                                               Evidence that council has used the
       addressing ageing issues undertaken
                                                               LGSA resource for ageing population
       as part of the community strategic
                                                               planning
       planning process?




                                                  Page 94 of 120                                       Community & Consultation
                                                            Plan/strategies include:
                                                            - socio-demographic profile
                                                            - consultation with other agencies
                                                            - consultation with seniors
                                                            - support for community initiatives for
                                                            seniors
                                                            - gaps in service provision identified
                                                            - current services and programs
                                                            identified
                                                            - priorities for future action
                                                            - staged action plan

                                                            Comments:




         COMMUNITY PARTICIPATION AND ENGAGEMENT

5.08     Does council have a policy/strategy
         for community engagement?                          Review team verification:

                                                            Policy/strategy sighted
                                                            Evidence framework such as IAP2
                                                            underpins policy/strategy
                                                            Identifies:
                                                            - who will be consulted
                                                            - when consultation will occur
                                                            - how council will consult
                                                            - techniques used to consult
                                                            - how outcomes will be used

                                                            Comments:




5.09     Has council developed an
                                                            Review team verification:
         engagement policy/strategy for:

       a. the community strategic planning
                                                            Sighted
       process?

       b. to guide council's ongoing
       community engagement/participation                   Sighted
       activities?


5.10     What community consultation
         mechanisms does council use to get                 Review team to verify examples of
         community’s views? (answer yes/no                  each mechanism
         to options)

         Community attitude surveys                       Conducted periodically (eg every 2
                                                          years)
         Focus groups
         Community forums
         Review of customer feedback and
         complaints
         Neighbourhood/precinct/ community
         committees
         Informal assessment through
         networking
         Other - please specify                             Comments:




                                               Page 95 of 120                                    Community & Consultation
5.11   What methods does council use to
                                                                    Review team to verify examples of
       keep the community informed of its
                                                                    each mechanism
       activities? (answer yes/no options)

       Newsletters
       Weekly newspaper items
       Radio or television items
       Direct mail outs
       Community meetings or forums
       Other - please specify                                       Comments:




                                                                    Verification by review team:
5.12   Does council have specific programs
                                                                    Evidence of cultural awareness day
       or services for social justice target
                                                                    and other such activities
       groups?
                                                                    Minutes of committees
                                                                    Designated staff positions
                                                                    Other:




5.13   Does council consult with social
       justice target groups within its area?                       Verification by review team


       If yes, which groups does it consult with?                   Comments:
       List




       If yes, how does council consult with target groups?
       Please describe




5.14   Does council have a formal MOU or
       other such arrangement with a local
                                                                    Verification by review team
       Aboriginal Land Council and/or local
       Aboriginal community?
                                                                    Comments:




5.15   Does council have a set of specific
                                                                    Verification by review team:
       customer service standards?
                                                                    Community is informed of standards
                                                                    Staff are informed of standards
                                                                    Measured
                                                                    Reported on
       If yes, how are those standards determined?
       Please describe                                              Comments:




                                                       Page 96 of 120                                   Community & Consultation
5.16   Does council collect and review
       information on its performance                        Verification by review team
       against these standards?
                                                             Comments:




       COMMUNICATION POLICY

5.17   Does council have a communication
                                                             Verification by the review team that
       policy (internal, external)?
                                                             council has a communication policy
                                                             and that the policy is implemented
                                                             Comments:




       ANNUAL REPORT
                                                             Verification by review team:
5.18   a. When was council’s last annual
                                                             Annual report sent to the Division
       report sent to the Division?
       (s428 LGA)                                            Annual report complies with statutory
                                                             requirements of the Local
                                                             Government Act and General
                                                             Regulation
       b. Did council provide its annual
       report to the Information                             (apply supplementary checklist – Annual Reports)
       Commissioner?
       (s125 GIPA ACT 2009)                                  Comments:




5.19   What methods does council use to
                                                             Review team to verify examples of
       communicate its annual reports to
                                                             each mechanism
       the community?
       a. publicised via newspapers
       b. available on council website
       c. mail outs
       d. other (please specify)                             Comments:




       CULTURAL PLANNING
                                                             Verification by review team:
5.20   a. Does council have a cultural plan
                                                             Cultural plan available on council’s
       or undertake cultural planning
                                                             web site/in the library
       activities?
       b. If council does not have a cultural
       plan, are cultural planning activities                Plan consistent with DLG publication
       undertaken as part of the social and                  Cultural Planning Guidelines for
       community strategic planning                          Local Councils
       process?
                                                             Comments:




                                                Page 97 of 120                                      Community & Consultation
                                                                 Verification by review team:
5.21     Does council involve the community
                                                                 Evidence in the plan of who was
         in the preparation of its cultural plan?
                                                                 involved
                                                                 Comments:




5.22     Was the cultural plan prepared in
                                                                 Verification by review team
         consultation with other councils?

         If yes, list councils                                   Comments:




5.23     What other plans are linked to the
                                                                 Other plans identified in cultural plan
         cultural plan?
                                                                 Other plans sighted
         Please list
                                                                 Comments:




         MULTICULTURISM

5.24     Does council have a policy on
         implementing the principles of                          Verification by review team
         multiculturalism?

                                                                 Comments:
       If no, please explain why below




5.25     How are multicultural principles
         integrated into the Community                           Verification of linkages
         Strategic Plan and cultural plan?

         Please describe                                         Comments:




                                                                 Verification by review team:
5.26     Are council publications available in                   Sample of other language
         languages other than English?                           publications sighted

         If yes, which
                                                                 Comments:



         If no, please explain why below:




                                                    Page 98 of 120                                    Community & Consultation
5.27   Does council provide, or facilitate
       access to, community language
                                                             Verification by review team
       translation services for telephone
       callers and visitors to council?
                                                             Comments:




       TOURISM
                                                             Verification by review team:
5.28   Does council have a tourism plan for                  Tourism plan available on council’s
       its area?                                             web site

                                                             Comments:




                                                             Verification by review team:
5.29   Does council integrate the tourism
                                                             Evidence that council integrates
       plan with other planning documents?
                                                             tourism plan with other key strategic
                                                             documents, such as LEPs/DCPs and
                                                             Community Strategic Plan
       If yes, which
                                                             Comments:




5.30   When was the tourism plan last
                                                             Verification by review team
       reviewed?
                                                             Comments:




                                                             Verification by review team:
5.31   What key tourist programs does the
                                                             Consistent with tourism plan
       council have in place?
                                                             Comments:
       Please briefly list




                                                $
5.32   How much did council spend on
       tourism programs in the last financial                Verification by review team
       year?
                                                             Comments:




       ECONOMIC DEVELOPMENT
                                                             Verification by review team:
5.33   Does council have an economic
                                                             Plan sighted
       development plan for its area?
                                                             Comments:




                                                Page 99 of 120                                     Community & Consultation
                                                                  Verification by review team:
      5.34   Is the plan integrated with other                    Evidence that council integrates
             planning documents?                                  economic development plan with
                                                                  other key strategic documents, such
                                                                  as LEPs/DCPs and Community
                                                                  Strategic Plan

             If yes, which                                        Comments:




      5.35   When was the economic
                                                                  Verification by review team
             development plan last reviewed?
                                                                  Comments:




                                                                  Verification by review team:
      5.36   How does council support economic                    Evidence sighted of council
             development in its area?                             supporting business activities in the
                                                                  area

             Please briefly describe                              Comments:




End of module comments - Community & Consultation




                                                    Page 100 of 120                                   Community & Consultation
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Page 102 of 120   Community & Consultation
                      Promoting Better Practice Program - Self Assessment Checklist
                                             Module 6: Workforce Relations




For the following questions, please provide your answers in the white boxes provided. Most answers
 will need to be selected from the drop down list. Provide explanation where applicable. Text boxes
 are limited to approx 100 words. If you need more space for any response please attach additional
  sheets, ensuring the question number is included. The column on the far right-hand side is to be
              used by the review team members only - council cannot type in this space.




                                                 Council self
          Question                               assessment                 Review team verification and comments

          WORKFORCE STRATEGY

   6.01   Does council have a workforce
                                                                       Workforce management strategy
          management strategy?
                                                                       sighted (Note: should be
                                                                       documented in Resourcing Strategy)
          If yes, date prepared:                                       Date strategy prepared verified
          If yes, date reviewed:                                       Date strategy reviewed verified
                                                                       Contains workforce activities to be
                                                                       undertaken

                                                                       Included actions:
                                                                       a. recruitment and retention of staff
                                                                       b. training needs
                                                                       c. performance management
                                                                       d. OH&S
                                                                       e. workplace/industrial relations
                                                                       issues and approach to consultation
                                                                       f. equity/diversity
                                                                       g. succession issues
                                                                       h. strategic rather than operational
                                                                       focus
                                                                       i. address identified strategic issues
                                                                       (eg ageing workforce, skills
                                                                       shortages, etc)
                                                                       j. other, please specify



          If no, please explain why below:
                                                                       Comments:




   6.02   Does the workforce management
          strategy form part of the resourcing                         Verification by review team
          strategy?

                                                                       Comments:




                                                         Page 103 of 120                                        Workforce Relations
6.03   Does the workforce management
       strategy link directly to the                         Evidence that strategy links to
       commitments contained in council's                    commitments in the delivery program
       delivery program?

                                                             Comments:




6.04   Is the workforce management                           Evidence that four year timeframe
       strategy for a minimum period of four                 aligns with delivery program
       (4) years?                                            timeframe

                                                             Comments:




6.05   Is the strategy being implemented,
                                                             Evidence that the strategy is being:
       monitored, evaluated and reviewed?
                                                             a. implemented
                                                             b. monitored
                                                             c. evaluated
                                                             d. reviewed

       If yes, briefly outline how                           Comments:




       If no, please explain why below:




6.06   Does council have a human
       resources policy/procedures manual
                                                             Verification that human resources
       / resource covering all its human
                                                             policies and procedures cover:
       resources policies and procedures?

                                                             If yes, does it cover:
                                                             a. recruitment, selection and
                                                             appointment
                                                             b. family friendly work practices
                                                             c. attendance, leave and absences
                                                             d. discipline
                                                             e. salary system/performance
                                                             management
                                                             f. workplace bullying and harassment

                                                             g. staff training and development
                                                             h. EEO policies and practices and/or
                                                             plan

                                                             i. other, please specify




                                               Page 104 of 120                                      Workforce Relations
                                                               Comments:




                                                               Verification by review team:
6.07   How can staff and managers/team
       leaders access policies and                             Accessible via intranet
       procedures?
                                                               Included in induction course
                                                               Policy manual available at strategic
       Please specify:                                         places
                                                               Comments:




       (Where this applies)                                    Verification by review team:
6.08   What practices does council
       undertake to meet its obligations                       Policy in place
       under the child protection laws?
                                                               Employment screening
                                                               Process for reporting allegations of
       Please specify:                                         abuse
                                                               Comments:




       WORKFORCE PLANNING ISSUES

6.09   Does council have a succession plan                     Evidence of succession planning
       for key positions/personnel?                            sighted
                                                               Succession plan links with workforce
                                                               management strategy

                                                               Comments:




6.10   Are any key managers/specialists                        Comments by review team, particularly on council’s
       likely to retire in the next 18 months?                 action to facilitate suitable replacement and business
                                                               continuity:

       If yes, which positions:




                                                               Comments by review team, particularly on:
6.11   Are there any staff in the council
       whose work cannot be performed by                       - council’s action to ensure continuity
       another employee (e.g. technical                        of work
       specialist)?
                                                               - that council has considered the
       If yes, please specify:                                 issue
                                                               - that council has put in place
                                                               arrangements with neighbouring
                                                               councils to secure replacement if
                                                               necessary

                                                               Comments:




                                                 Page 105 of 120                                         Workforce Relations
  6.12   How many full time equivalent staff
                                                                 Verification by review team
         does council employ?

                                                                 Comments:




  6.13   How does council keep track of staff                    Verification by review team eg
         numbers?                                                reports, indicators

         Please briefly describe:                                Comments:




  6.14   Is there any ceiling on staff
                                                                 Verification by review team
         numbers?

         If yes, what is the ceiling and why:                    Comments:




                                                                 Verification by review team:
  6.15   Please provide a profile of council’s                   Considering the percentage of
         workforce by age and gender.                            workforce older than 55, does the
                                                                 demographics of council’s workforce
                                                                 suggest that it is exposed to ageing
                                                                 workforce?

                     Head count                                  Is there evidence to suggest that
                                                                 council is providing for school
                                                                 leavers?
 Age                     Male                    Female
15-19                                                            Comments:
20-24
25-34
35-44
45-54
55-64
 65+


  6.16   Does council employ any
                                                                 Verification by review team
         trainees/apprentices?

         If yes, how many?                                       Comments:

         If yes, what sources of funding does
         council access if any?
         Please briefly describe:




                                                   Page 106 of 120                                      Workforce Relations
6.17   What percentage of council staff                          Review teams verification against other council
       identify as:                                %             documents:
       a. being of Aboriginal and Torres
       Strait Islander origin
       b. being of culturally and linguistically
       diverse origin
       c. women
       d. people with physical disabilities
       e. young people (15-24 yrs)

                                                               Evidence of a system to collect and
                                                               record the information

                                                                 Comments:




6.18   Does the composition of council’s
       workforce reflect the diversity of the                    Comparison to demographics of the area:
       community it serves?

       Please comment:




                                                               Evidence of strategies in:
6.19   Does council have strategies in place
       to increase the diversity of staff to                     - workforce management strategy
       reflect the local community?
                                                                 - EEO management plan

                                                               Strategies include:
                                                                 - targets for employing members of
                                                                 EEO groups
                                                                 - mentoring programs
                                                                 - leadership development programs
                                                                 - identified positions
                                                                 - apprenticeships
                                                                 - traineeships
                                                                 - scholarship programs

                                                                 Comments:




                                                   Page 107 of 120                                         Workforce Relations
       EMPLOYEE SURVEYS

6.20   Does council conduct periodic
                                                                      View employee survey
       employee attitude surveys?

       If yes, when was the last survey
       undertaken?

       If yes, what action has council taken
       as a result?

       Please briefly describe
                                                                      Verify actions

                                                                      Comments:

       If no, has it conducted any other kind
       of systemic assessment of employee
       attitudes/concerns?


       EMPLOYMENT CONTRACTS

6.21   Please provide details of any managers employed on a
       performance-based contract                                     Sample of contracts sighted

       (room for up to 5 positions provided in the checklist;         Do contracts include:
       attach additional sheets if insufficient space provided).
                                                                      a. information on how performance
                                                                      will be reviewed?
                                                                      b. information on how any bonus
       1. Position:
                                                                      payments will be made?
                                                                      c. information on the value of
       Value of package:
                                                                      contract (Schedule B)
       Date appointed:
       Contract duration:

       2. Position:
       Value of package:
       Date appointed:
       Contract duration:

       3. Position:
       Value of package:
       Date appointed:
       Contract duration:

       4. Position:
       Value of package:
       Date appointed:
       Contract duration:

       5. Position:
       Value of package:
       Date appointed:
       Contract duration:




                                                        Page 108 of 120                                   Workforce Relations
6.22   Has the general manager consulted
                                                               Verification by the review team (eg
       with council prior to appointing senior
                                                               council minutes)
       staff?
       (s337 LGA)
                                                               Where council has designated senior
                                                               staff other than the general
                                                               manager, are they paid at least the
       If yes, please explain how below:                       minimum as required by the Act?

                                                               If no, please comment:


       If no, please explain why below:

                                                               Verification by the review team with
                                                               statutory and other offices
                                                               remuneration determination

                                                               Comments:




6.23   Has the general manager reported to                     Copy of general manager’s most
       council in the last 12 months on the                    recent report to council on the
       contractual conditions of senior staff?                 contractual conditions of senior staff
                                                               sighted
       (s339 LGA)                                              Report includes:
       If yes, when?                                           - list of senior staff
                                                               - when the contract was entered into
                                                               - value of remuneration package and
                                                               any variations
                                                               - timing and outcome of performance
                                                               assessments
                                                               - specific term of each contract
                                                               - any material matters (e.g. intention
                                                               to seek extension/renewal etc).


                                                               Comments:




6.24   Are performance reviews
       implemented in accordance with the                      Verification by review team
       contract(s)?

       If no, please explain why below:                        Comments:




                                                 Page 109 of 120                                        Workforce Relations
6.25   When was the general manager’s
                                                             Verification by review team
       most recent performance review?

                                                             Review conducted in accordance
                                                             with the requirements of the DLG
                                                             standard contract
       Who was involved in the general                       Contract review group is balanced
       manager’s performance review?                         (eg including Mayor or nominee,
                                                             councillor nominated by GM and
                                                             independent observer)
                                                             Performance subject of documented
                                                             independent evaluation
       Please list:
                                                             Performance targets relate to or
                                                             based on targets identified in the
                                                             delivery program

                                                             Comments:




       CONSULTATIVE COMMITTEES
                                                             Verification by review team:
6.26   Provide details of the composition of                 Copy of consultative committee
       the consultative committee.                           constitution sighted
                                                             Constitution includes provisions for
                                                             election of chairperson and secretary
                                                             Constitution of consultative
                                                             committee is in accordance with the
       Details:                                              Award

                                                             Comments:




                                                             Verification by review team:
6.27   How often has the committee met in                    Constitution includes provisions on
       the last 12 months?                                   meeting frequency
                                                             Number of meetings complies with
                                                             constitution
       Number of meetings:
                                                             Comments:




                                                             Verification by review team:
6.28   Does the committee keep records of                    Minutes sighted for the previous 12
       its deliberations?                                    months
                                                             There is a process to inform
                                                             councillors of relevant outcomes

                                                             General comments on issues raised and the effective
                                                             use of the committee
                                                             Comments:




                                               Page 110 of 120                                       Workforce Relations
       RECRUITMENT AND SELECTION

6.29   Does council have documented
                                                           Recruitment and selection policy and
       policy/procedures that apply to all
                                                           procedures sighted
       recruitment?

       If no, please explain why below:
                                                           Does the recruitment and selection
                                                           policy cover issues such as:
                                                           a. requirement for current job
                                                           description
                                                           b. process for developing selection
                                                           criteria
                                                           c. requirements for advertising
                                                           d. need for merit based decisions

                                                           e. need for confidentiality during the
                                                           process
                                                           f. provide guidance about managing
                                                           conflict of interests that may arise

                                                           g. require decisions and reasons for
                                                           decisions to be documented
                                                           h. define who is accountable for key
                                                           decisions throughout the process

                                                           i. the use and composition of
                                                           selection committees
                                                           j. the need for equity when recruiting
                                                           positions by addressing and
                                                           removing any unnecessary barriers
                                                           which might inadvertently lead to
                                                           discrimination
                                                           k. procedures to ensure access to
                                                           hard-to-reach sections of the
                                                           community when recruiting positions

                                                           l. EEO training for recruitment staff
                                                           and panel members

                                                           Comments:




                                             Page 111 of 120                                        Workforce Relations
6.30   How does council ensure that
                                                            Council’s selection policy/procedure
       selections are made on the basis of
                                                            contain a definition of merit that is
       merit, as required by section 349 of
                                                            consistent with section 349 of the Act
       the Local Government Act 1993?
       (s344 & 349 LGA)
       Please briefly describe
                                                            Verify and assess council’s response as to how it
                                                            ensures that selections are made on the basis of merit
                                                            (as required by section 349 of the LGA 1993) by
                                                            considering the following:
                                                            Review two samples of files that
                                                            document recent selection
                                                            process/es
                                                            Was the position appropriately
                                                            advertised?
                                                            Is there evidence that applicants
                                                            were made aware of the criteria
                                                            Is there a record of who applied?
                                                            Was there are suitable pool of
                                                            applicants? (especially if not
                                                            advertised externally)
                                                            Is there a evidence of appropriate
                                                            selection criteria being used and
                                                            applied consistently?
                                                            Is there a record of who was called
                                                            for interview and reasons for culling
                                                            Is there adequate documentation
                                                            that indicates reasons for the
                                                            decision and that it was based on
                                                            merit?
                                                            Is there justification for the
                                                            commencement salary?

                                                            Comments:




6.31   Does council make selection criteria
                                                            Verification of a sample of selection
       available to all applicants?
                                                            criteria for vacant positions
                                                            Comments:




6.32   Does council have an internal appeal                 Verify that there is an internal appeal
       process?                                             process
                                                            Have there been any internal
                                                            selection appeals in the last twelve
                                                            months?
                                                            If yes, check for evidence as to how
                                                            the council dealt with/compliance
                                                            with process

                                                            Comments:




                                              Page 112 of 120                                         Workforce Relations
       JOB DESCRIPTION AND EVALUATION

6.33   Do all positions have current job
                                                            Verify by sampling job descriptions
       descriptions?

       If yes, have all employees been
                                                            If not, how are employees informed as to the
       provided with a copy of their job
                                                            requirement of their jobs
       description?




6.34   Does council have a formal policy
                                                            Verify by assessing the quality/content of a sample of
       and practice for the review of job
                                                            job descriptions:
       descriptions?
                                                            When were they developed or
                                                            reviewed?
       If no, describe how job descriptions                 Do they contain sufficient detail on
       are reviewed?                                        the responsibilities and duties of the
                                                            position?
                                                            Do they specify skill/qualification
                                                            requirements?
                                                            Do they include the grade/level of
                                                            position in accordance with council’s
                                                            salary system?
                                                            Is there evidence copy provided to
                                                            employee?

                                                            Comments:




       EMPLOYEE REMUNERATION

6.35   Does council have a documented                       Ask for samples that confirm all
       salary system?                                       employees are assessed for salary
                                                            progression at least annually

                                                            Comments:




6.36   Does council have a formal job
       evaluation program to assess and                     Job evaluation program viewed
       measure work value?
                                                            Comments:




6.37   What is the basis for determining an                 Verify that explanations reflect
       employee’s salary?                                   provisions of council’s documented
                                                            salary system

       Please briefly describe                              Comments:




                                              Page 113 of 120                                         Workforce Relations
                                                       $
6.38   What was council’s salary budget for
       the last financial year (as adopted in
       the operational plan?)
                                                       $
       What was last year’s salary                                    Comments (e.g is there a significant
       expenditure?                                                   issue with exceeding/spending on
                                                                      salaries?):

       If there is a variation from the budget, please provide
       explanation.




       For the current year is salary
       expenditure on, over or under
       budget?

                                                       $
6.39   What was the total value of overtime
                                                                      Sight any policy governing payment
       paid during last financial year and
                                                                      of overtime and ask council to
       express this as a percentage of the
                                                                      comment upon the level of
       total wages and salaries for that year
                                                                      expenditure on overtime
                                                       %
                                                                      Check for one-off factors
                                                                      Criteria for using overtime
                                                                      Criteria for considering using
                                                                      additional staff as alternative to
                                                                      overtime
                                                                      Consider process used to approve
                                                                      and monitor overtime

                                                                      Comments:




6.40   Has council made a budgetary
                                                                      Clarify how council budgets for staff
       provision for staff progression in
                                                                      progression in accordance with
       accordance with clause 7(iv)of the
                                                                      clause 7(iv) of the Local Government
       Local Government (State) Award
                                                                      (State) Award 2010?
       2010?

                                                                      Comments:




6.41   Does council maintain sufficient
                                                                      Verify reserves in financial
       reserves to meet staff leave
                                                                      statements
       requirements?
                                                                      Council has a record of staff leave
                                                                      entitlements
       If no, what strategies does council use to manage leave        Council monitors staff leave
       entitlements?                                                  entitlement

                                                                      Comments:




                                                        Page 114 of 120                                       Workforce Relations
       ENTERPRISE

6.42   Does council have any registered
                                                           Verification by review team
       Enterprise Agreements?

                                                           Comments:




       EQUAL EMPLOYMENT OPPORTUNITY

6.43   Does council prepare an Equal
                                                           Verify council’s EEO Management
       Employment Opportunity
                                                           Plan
       Management Plan?
       (s345 LGA)                                          (use supplementary checklist)

                                                           Check for evidence that it is being
                                                           implemented

                                                           Comments:




6.44   Does council's EEO management                       Verify council’s EEO Management
       plan form part of the workforce                     Plan links to workforce management
       management strategy?                                strategy

                                                           Comments:




6.45   In preparing the EEO Management
       Plan, does council take into                        Verify that council’s EEO
       consideration the National                          Management Plan takes the
       Framework for Women in Local                        Framework into consideration
       Government?
                                                           Check for any evidence that the
                                                           Framework is being implemented
       If no, please explain why below:
                                                           Comments:




6.46   Does council include an employment
       strategy for people from any of the                 Evidence of employment strategies contained in the
       following EEO groups in its EEO                     EEO management plan and/or workforce management
       management plan:                                    strategy

       a. women
       b. Aboriginal and/or Torres Strait
       Islander people
       c. people from culturally and
       liguistically diverse backgrounds
       d. people with a disability
       e. young people
       f. older people

                                                           Comments:




                                             Page 115 of 120                                     Workforce Relations
6.47   Does council report on EEO
                                                                   Verify that EEO strategies are being
       strategies and outcomes in its
                                                                   implemented
       Annual Report?
                                                                   Verify that EEO strategies are being
                                                                   reported on

                                                                   Comments:




       STAFF DEVELOPMENT

6.48   Does council have a structured                              Verify induction program council
       induction program for new staff?                            routinely offers to new staff

       If yes, what does the program
                                                                   Is participation recorded
       include:
                                                                   On average (check with sample of
                                                                   employees), how soon after
                                                                   appointment does induction take
                                                                   place

                                                                   If there is no formal program, verify
                                                                   how council ensures new staff are
                                                                   aware of their obligations, rights and
                                                                   conditions of service

       If no, how does council ensure new staff are aware of
       their obligations, rights and conditions of service?        Comments:




6.49   Does council have a
       policy/procedure that requires                              Check for any evidence that formal
       managers to assess the performance                          policy/procedures are being
       of their staff against identified                           implemented consistently
       performance targets?
                                                                   Comments:




6.50   Has council developed a training
       plan and budget as required by
                                                                   View training plan
       clause 27 of the Local Government
       (State) Award 2010?
                                                                   Check for compliance with Award
                                                                   requirements re consultation and
                                                                   setting of budget


                                                                   Comments:




                                                     Page 116 of 120                                        Workforce Relations
       GRIEVANCE MANAGEMENT

6.51   Does council have a grievance
                                                                     View policy and/or procedure
       handling policy and procedure?

       If no, how does council deal with staff grievances?           Are grievances recorded

                                                                     Comments:




6.52   Does council:
       a. monitor, and                                               View council process for monitoring
                                                                     and reporting
       b. report on
       the number and resolution of employee grievances it
       receives?                                                     Comments:




6.53   Has council been involved in any
       staffing dispute or industrial litigation,
                                                                     Verification by review team
       before any court or tribunal in the last
       five years?

       If yes, what action was taken as a result to prevent
       recurrence?                                                   Comments:




       WORK HEALTH AND SAFETY

6.54   Does council have an adopted Work
       Health and Safety Plan or system?                             View plan/system

                                                                     Check currency of plan
       If yes, when was it adopted                                   Evidence of regular review of plan

       If yes, how are staff made aware of plan/system?              Comments:




6.55   Does council have an adopted Injury
       Management and Return to Work                                 Verification by review team
       policy?

       If yes, when was it adopted                                   Comments:

       If yes, how are staff made aware of plan/system?




                                                       Page 117 of 120                                     Workforce Relations
6.56   Does council have a formally
       constituted Health and Safety                                View constitution
       Committee/s?
       (Work Health & Safety Act 2011)


       If yes, frequency of meetings                                Committee meets at least once
                                                                    every three months

       If yes, provide a brief sample of matters discussed          Check for evidence on follow-ups on
                                                                    incident reports/inspections

                                                                    Comments:


       If yes, have all members completed
       OH&S training


6.57   Does council conduct systematic                              Verify how council ensures risk
       work place risk assessments?                                 assessments are undertaken

                                                                    Ask for evidence of a risk
       If yes, what are the triggers for those assessments?         assessment for a

                                                                    Comments:


       If no, what arrangements exist for maintaining places of
       work in a safe condition and providing and maintaining
       safe entrances and exits (including sub contractors or
       contracted work sites)?




6.58   Has council included health and
       safety responsibilities and physical                         Verify – sample of position
       demands of positions in position                             descriptions:
       descriptions?
                                                                    - responsibilities included
                                                                    - physical demands identified

                                                                    Comments:




6.59   How does council manage risk
                                                                    Check for availability of data on
       associated with the use of hazardous
                                                                    hazardous substances
       substances?
                                                                    Who uses the data or the substances?
       Please briefly describe



                                                                    Do they have ready access to the
                                                                    data
                                                                    Comments:




                                                      Page 118 of 120                                      Workforce Relations
6.60   How does council monitor and report
       on workplace injury/time lost?                      Verification by review team

       Please briefly describe
                                                           Comments:




6.61   How many incidents have occurred in
                                                           Verification by review team
       the last 12 months?

       How does this compare to last year?
                                                           Comments:




6.62   How much time has been lost (in
       hours) in the last 12 months as a                   Verification by review team
       result of workplace injuries?

       How does this compare to last year?
                                                           Comments:




6.63   How many workers compensation
                                                           Verification by review team
       claims have been lodged?
                                                           Has council been audited/inspected
                                                           by WorkCover in the last year
       How does this compare to last year?
                                                           Comments:




                                                           Verification by review team:
6.64   How does council monitor and report                 Evidence that employee sick leave is
       on employee sick leave?                             monitored

       Please briefly describe                             Comments:




       SECONDARY EMPLOYMENT

6.65   Does council have a policy on                       Evidence that council has a
       secondary employment?                               systematic means of considering
       (s353 LGA)                                          applications for employees to
                                                           undertake secondary employment
                                                           Forms/other evidence of approvals

                                                           Verify in code of conduct

                                                           Comments:




                                             Page 119 of 120                                      Workforce Relations
              EXIT OF STAFF

       6.66   When staff offer their resignation, is                 If yes, ask for evidence that
              an exit interview conducted?                           interviews are analysed and used to
                                                                     identify workplace issues and guide
                                                                     strategy

                                                                     Comments:




End of module comments - Workforce Relations




                                                       Page 120 of 120                                     Workforce Relations

				
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