6.0 attachments to reports...updated layout of designated employee list in line with merge of...
TRANSCRIPT
SHIRE OF AUGUSTA MARGARET RIVER AUDIT AND RISK MANAGEMENT COMMITTEE 11 NOVEMBER 2020
6.0 Attachments to Reports ITEM NO SUBJECT PAGE 6.1 REPORT ON LEGISLATIVE REQUIREMENTS 2019-20 1
6.2 REPORT ON OAG FOCUS AUDIT 27 6.3 RISK MANAGEMENT UPDATE – OCTOBER 2020 44
SHIRE OF AUGUSTA MARGARET RIVER AUDIT AND RISK MANAGEMENT COMMITTEE 11 NOVEMBER 2020
6.1 REPORT ON LEGISLATIVE REQUIREMENTS 2019-2020
Attachment 1 – Report on legislative requirements actioned over 1 July 2019 to 30 June 2020 period (as of 30 October 2020)
1
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
116 30-Oct-20 Corporate
and
Community
Services
Manager
Corporate
Services
Annual
Financial
Report to
DLG
Forward Annual Financial Report to
DLG within 30 days of receiving the
Auditor's Report.
Local Government
(Financial
Management)
Regulations 1996
Reg 51(2) AnnuallyCorporate
Services
-
30-Oct-18
30-Oct-19
-
Andrew Ross
Andrew Ross
-
Copy of audited Annual Financial Report for
2017-18 provided to Department of Local
Government Spor
Audited Annual Financial Report for 2018-19
finalised on 11/10/19 and details recorded in
DLGSCI's S
-
I312493
O218587
-
Complete
Complete
-
10-Oct-18
30-Oct-19
Reminder
14 Days
120 30-Oct-20 Corporate
and
Community
Services
Manager
Corporate
Services
Council -
meet with
Auditor
Council is to meet with the Auditor at
least once every year.
Local Government
Act 1995
s7.12A AnnuallyCorporate
Services
-
30-Oct-18
30-Oct-19
-
Andrew Ross
Andrew Ross
-
Teleconference with Moore Stephens Audit
Partner Wen-Shien Chai ocured at Aurdit
and Risk Management
Exist meeting with auditors and Shire
President and CEO on 10/10/19 meets the
need for the annual me
-
-
-
-
Complete
Complete
-
24-Oct-18
10-Oct-19
Reminder
60 Days
144 30-Oct-20 Corporate
and
Community
Services
Community
and
Corporate
Planner
Annual
Report - give
public notice
and publish
on Shire
website
Give local public notice of the
availability of the annual report as
soon as practicable after acceptance
by Council and publish the annual
report on the Shire's website within
14 days after acceptance.
Local Government
Act 1995
s5.55 and
5.55A
AnnuallyHuman And
Community
Services
-
29-Nov-18
12-Dec-19
-
Stacey Hutt
Stacey Hutt
-
The Annual Report for 2017-18 was
advertised for presentation to Council on
Shire website on 29 Nove
The Annual Report for 2018-19 was
advertised for presentation to Council on
Shire website on 28 Nove
-
-
-
-
Complete
Complete
-
-
-
Reminder
14 Days
1 31-Oct-20 Corporate
and
Community
Services
Coordinator
Finance
List of
monthly
payments
A list of payments paid by the CEO is
to be prepared each month and
presented to Council at the next OM
after the list is prepared.
Regulation 13 Local
Government
(Financial
Managemen
t)
Regulations
1996
MonthlyFinance 31-Aug-20
30-Sep-20
31-Oct-20
Lynne
Kenworthy
Lynne
Kenworthy
Lynne
Kenworthy
List of Payment June 2020 OM2020/153
List of Payment July 2020 OM2020/179
List of Payment August 2020 OM2020/
AM1754
AM1774
AM1782
Complete
Complete
Complete
12-Aug-20
09-Sep-20
-
Reminder
14 Days
11 31-Oct-20 Corporate
and
Community
Services
Manager
Corporate
Services
Monthly
Financial
Statement of
Activities
A monthly financial statement is to be
provided to Council within 2 months
of the period end date.
Local Government
(Financial
Management)
Regulations 1996
Reg 34 MonthlyCorporate
Services
31-Aug-20
31-Aug-20
31-Oct-20
Andrew Ross
Andrew Ross
Andrew Ross
Financial Activity Statement report for June
2020 to OM 12 Auugust 2020 Refer
OM2020/153
Financial Activity Statement report for July
2020 to OM 9 September 2020
Financial Activity Statement report for
August 2020
AM1752
AM1772
-
Complete
Complete
In Progress
31-Aug-20
31-Aug-20
-
Reminder
30 Days
2
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
122 31-Oct-20 Corporate
and
Community
Services
Manager
Corporate
Services
Audit Report
and
Managemen
t Letter
Auditors to provide a report to be
forwarded to DLG by 31 December
each year.
Local Government
Act 1995
s7.9 AnnuallyCorporate
Services
-
30-Oct-18
30-Oct-19
-
Andrew Ross
Andrew Ross
-
Audit Report and Management Report for
30/6/18 were received by email on 9/10/18.
Hardcopies to fol
Audit Report and Management Report for
30/6/19 were received by email on
11/10/19. Hardcopies to fo
-
I312427
I351253
-
Complete
Complete
-
09-Oct-18
14-Oct-19
Reminder
20 Days
94 31-Oct-20 Corporate
and
Community
Services
Manager
Corporate
Services
Annual
Financial
Report
Annual financial report to be
submitted to auditor by 30
September.
Local Government
Act 1995
s6.4(3) AnnuallyCorporate
Services
30-Aug-18
30-Aug-19
30-Oct-19
Andrew Ross
Lynne
Kenworthy
Andrew Ross
Draft Annual Financial Report for 2017-18
completed and provided to Auditors on
16/8/18. Draft is b
Annual Financial Report for 2017-18
completed on 9/10/2018
Draft Annual Financial Report for 2018-19
provided for audit in August 2019. Draft is
being progres
-
-
-
In Progres
Complete
Complete
16-Aug-18
09-Oct-18
14-Oct-19
Reminder
30 Days
117 30-Nov-20 Corporate
and
Community
Services
Community
and
Corporate
Planner
Annual
Report
Annual Report is to be adopted by
absolute majority no later than 31
December after that financial year.
Local Government
Act 1995
s5.54 AnnuallyHuman And
Community
Services
02-Nov-18
12-Dec-18
12-Dec-19
Stacey Hutt
Stacey Hutt
Stacey Hutt
The draft Annual Report 2017-18 is
complete and now in design phase. On track
to be presented at OM
The Annual Report for 2017-18 was
presented to Council on 28 November 2018
and endorsed at the Gener
The Annual Report for 2018-19 was
presented to Council on 27 November 2019
and endorsed at the Gener
-
-
-
Complete
Complete
Complete
-
-
-
Reminder
14 Days
153 30-Nov-20 Corporate
and
Community
Services
Manager
Corporate
Services
Purchasing
Authorisatio
n Review
Review list of officers authorised for
incurring expenses and authorising
payments.
Local Government
(Financial
Management)
Regulations 1996
Reg 5e and
11
AnnuallyCorporate
Services
30-Nov-18
30-Nov-18
30-Nov-19
Andrew Ross
Lynne
Kenworthy
Andrew Ross
Review process has commenced with emails
sent to supervisors asking they review
purchasing limits in
Purchasing Authority was reviewed and
signed by Acting CEO 12/12/2018.
Updated Purchasing Authority was reviewed
and approved by ELT and signed by CEO on
5/11/2919
-
-
-
In Progres
Complete
Complete
-
12-Dec-18
02-Dec-19
Reminder
60 Days
36 30-Nov-20 Sustainable
Developmen
t
Executive
Assistant
Director
Corporate
Community
Services
Publish
agendas
notice
papers and
minutes of
LEMC
committee
meetings on
Shire
website
Ensure that the agenda notice papers
and minutes for LEMC committee
meetings are published on the Shire
website. See s5.96A(2) for further
details on excluding information
published if the meeting or part of
meeting is closed to members of the
public and s5.96A(3) on circumstances
where confidentiality does not apply
to information.
Local Government
Act 1995
s5.96A1(f)
and
s5.96A(1)(h)
AnnuallyCommunity
Developmen
t And
Planning
-
-
30-Sep-19
-
-
Katie Taylor
-
-
All agendas notice papers and minutes of
quarterly LEMC committee meetings are
uploaded onto the Sh
-
-
-
-
-
Complete
-
-
25-Sep-19
Reminder 7
Days
3
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
37 30-Nov-20 Corporate
and
Community
Services
Executive
Assistant
Director
Corporate
Community
Services
Publish
agendas
notice
papers and
minutes of
BFAC
committee
meetings on
Shire
website
Ensure that the agenda notice papers
and minutes for BFAC committee
meetings are published on the Shire
website. See s5.96A(2) for further
details on excluding information
published if the meeting or part of
meeting is closed to members of the
public and s5.96A(3) on circumstances
where confidentiality does not apply
to information.
Local Government
Act 1995
s5.96A1(f)
and
s5.96A(1)(h)
AnnuallyCommunity
Developmen
t And
Planning
-
-
30-Nov-19
-
-
Lisa
Garstone
-
-
Action complete for all BFAC Meetings held
in 2019
-
-
N174574 N177984
N182919 &
N187714
-
-
Complete
-
-
29-Nov-19
Reminder 7
Days
29 1-Dec-20 Corporate
and
Community
Services
Coordinator
Human
Resources
Annual
Report on
Equal
Employment
Opportunity
Submit Annual Report on
implementation of the Equal
Employment Opportunity Plan to
Director Equal Employment
Opportunity
Equal Employment
Opportunity Act
1984
s146 AnnuallyHuman And
Community
Services
-
30-Apr-18
30-Apr-19
-
Nigel
Anderson
Nic Nitu
-
Lodged through EEO portal 23 May 2018
Advised relevant State department of EEO
plan requiring more time to complete in Feb
2019. To be com
-
-
-
-
Complete
In Progress
-
23-May-18
10-Oct-19
Reminder
30 Days
101 30-Dec-20 CEO Council
Minutes and
Agenda
Officer
Review
Designated
Employee
List against
Degelations
Register
Review Designated Employee List
against Degelations Register. Note
any internal movements acting
positions.
Local Government
Act 1995
s5.74 defines
a relevent
person
Quarterly
(December
March June
September)
Governance -
-
30-Sep-20
-
-
Claire
Schiller
-
-
Reviewed. Updated layout of designated
employee list in line with merge of
Sustainable development
-
-
-
-
-
Complete
-
-
16-Sep-20
Reminder
14 Days
114 30-Dec-20 Sustainable
Developmen
t
Manager
Health
Waste and
Ranger
Services
Review of
Health Local
Law
Local laws are required to be
reviewed every 8 years (last
completed 1999)
Local Government
Act 1995
s3.16 8 YearlyPlanning And
Developmen
t Services
-
30-Dec-17
30-Dec-18
-
Christine
McAtee
Ruth Levett
-
Waiting on finalisation of new Health Regs
before review is commenced.
Pending the commencement of Stage 5
implementation of the Public Health Act
2016.
-
-
-
-
Not Started
In Progress
-
30-Dec-17
03-Jan-18
Reminder
180 Days
115 30-Dec-20 Corporate
and
Community
Services
Coordinator
Human
Resources
Staff
Performance
Review
Annual staff performance reviews to
be completed.
Local Government
Act 1995
s5.38 AnnuallyHuman And
Community
Services
30-Sep-18
30-Sep-19
30-Dec-20
Nigel
Anderson
Nic Nitu
Nic Nitu
The annual personnel performance review
process was completed on Friday 21st
September 2018 with 211
Performance reviews have been completed.
Performance reviews completed July to Sept
2020. A number of reviews are TBC (to be
completed) where
-
-
-
Complete
Complete
-
21-Sep-18
01-Oct-19
-
Reminder
30 Days
4
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
12 30-Dec-20 CEO Governance
Officer
Notifiable
Gift Register
Review gift register ensuring all
entries are up to date with disclosures
of notifiable gifts by employees and
register is compliant with the Act and
Regulations. Record register on
Synergy annually.
Local Government
Act 1995 and Local
Government
(Administration)
Regulations 1996
s5.62(2) Reg
34B
Quarterly
(December
March June
September)
Governance 30-Mar-20
30-Jun-20
30-Sep-20
Emma
Rogers
Emma
Rogers
Emma
Rogers
Notifiable gift register is up to date (Jan -
March 2020).
No notifiable gifts were disclosed between
April - June 2020
No notifiable gifts were disclosed between
July - September 2020
-
-
-
Complete
Complete
Complete
30-Mar-20
01-Jul-20
07-Oct-20
Reminder
14 Days
13 30-Dec-20 CEO Council
Minutes and
Agenda
Officer
Officer
Primary
Returns
Primary returns are due within 3
months of starting date as a newly
designated officer (for officers acting
is desigated emplyee positions also).
CEO acknowledgement of receival of
returns.
Local Government
Act 1995
s5.75 Quarterly
(December
March June
September)
Governance 30-Mar-20
30-Jun-20
30-Sep-20
Claire
Schiller
Claire
Schiller
Claire
Schiller
James Shepherd and Chris Yates completed
within 3 month time frame.
No new relevent officers
Retrospecitve submission of Primary Return
of Grant Gordon-Kirby letter to CCC and
DLGSC notificati
-
-
-
Complete
Complete
Complete
29-Apr-20
30-Jun-20
23-Sep-20
Reminder 7
Days
14 30-Dec-20 CEO Governance
Officer
Policy
Register
Review policy register and provide a
report to ELT on all policies that
require a review (policies to be
reviewed every 3 years).
Internal Not
Applicable
Quarterly
(December
March June
September)
Governance 30-Mar-20
30-Jun-20
30-Sep-20
Emma
Rogers
Emma
Rogers
Emma
Rogers
ELT meeting held 4/2/2020 - plan to develop
procedure on reviewing policies and begin a
bulk review
Draft procedure on reviewing policies is
being developed following this there will be
a bulk revie
Procedure in progress following this there
will be a bilk review of policies.
-
-
-
Complete
Complete
In Progress
30-Mar-20
01-Jul-20
07-Oct-20
Reminder
14 Days
150 30-Dec-20 CEO Council
Minutes and
Agenda
Officer
Annual
Electors
Meeting -
give local
public notice
Give Local Public Notice of Annual
Electors Meeting at least 14 days prior
to meeting.
Local Government
Act 1995
s5.29 AnnuallyGovernance 30-Dec-18
30-Dec-17
30-Dec-19
Claire
Schiller
Claire
Schiller
Claire
Schiller
Advterised on Shire Website library notice
board 29/11/18 to 12/12/18 local paper on
30/11 & 07/12
Advterised on Shire Internet library notice
board 23/11/17 to 14/12/17 local paper on
6/12 & 13/12
Advertised on Shire website library notice
board 28/11/19 to 12/12/19 local paper on
29/11 & 6/12
-
n/a
-
Complete
Complete
Complete
07-Dec-18
30-Nov-17
04-Dec-19
Reminder
30 Days
151 30-Dec-20 CEO Council
Minutes and
Agenda
Officer
Annual
Electors
Meeting -
held within
56 days of
adoption of
Annual
Report
Annual Electors Meeting to be held
within 56 days of adoption of Annual
Report.
Local Government
Act 1995
s5.27 AnnuallyGovernance 30-Dec-17
30-Dec-18
30-Dec-19
Claire
Schiller
Claire
Schiller
Claire
Schiller
GEM held 13/12/2017
GEM held 12/12/2018
GEM held 11/12/2019
N144912
-
-
Complete
Complete
Complete
13-Dec-18
12-Dec-18
-
Reminder
30 Days
5
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
154 30-Dec-20 Corporate
and
Community
Services
Coordinator
Revenue and
Customer
Services
Christmas /
New Year
Closure
Advertise office Christmas closures
tips and rubbish collection dates on
website and in local paper.
Local Government
(Administration)
Regulations 1996
s5.25(1)6
Reg 12
AnnuallyCorporate
Services
30-Dec-17
30-Dec-18
30-Dec-19
Vicki Scott
Vicki Scott
Vicki Scott
Advertisement in the Community
Consultation Page from week commencing
Friday 8 December 2017.
Advertisement in the Community
Consultation Page from week commencing
Friday 30 November 2018.
Advertisement in the Community
Consultation Page from week commencing
Friday 30 November 2019.
154
154
154
Complete
Complete
Complete
08-Dec-17
30-Nov-18
03-Dec-19
Reminder
30 Days
155 30-Dec-20 CEO Council
Minutes and
Agenda
Officer
Council and
Committee
Meeting
Schedule
Ordinary Council meetings and
Committee meeting dates for the
next 12 months to be adopted by
Council and then advertised.
Local Government
(Administration)
Regulations 1996
Reg 12 (1) AnnuallyGovernance 30-Dec-17
30-Dec-18
30-Dec-19
Claire
Schiller
Claire
Schiller
Claire
Schiller
Dates / venues adopted by Council on
22/11/2017 OM2017/281 advertised:
website local paper 28/11
Dates / Venues adopted by Council on
14/11/2018 OM2018/275 advertised
website local paper 23/11/20
Dates / venue adopted by Council
27/11/2019 OM2019/221 advertised
website local paper 6/12/2019 an
I281382
N167816
-
Complete
Complete
Complete
-
23-Nov-18
-
Reminder
30 Days
159 30-Dec-20 Corporate
and
Community
Services
Community
Emergency
Services
Manager
Variations to
prohibited
Burning
Times
Give notice of variations to prohibited
burning times.
Bush Fires Act
1954
s17(8) December
February
Community
Fire And
Emergency
Services
28-Feb-18
30-Dec-18
18-Mar-19
Chris Lloyd
Chris Lloyd
Alison
McNally
There is no variation to the Burning periods
and the dates will remain as is in the
firebreak notice
There is no variation to the Burning periods
and the dates will remain as is in the
firebreak notice
Comment provided by David Holland Chief
Bush Fire Control Officer. The Prohibited
was extended from
-
I132907
-
Complete
Complete
Complete
27-Feb-18
02-Jan-19
15-Mar-19
Reminder 2
Days
165 30-Dec-20 CEO Council
Minutes and
Agenda
Officer
Review
legislation
relevant to
compliance
activities
Check the most up to date legislation
on the state law publisher website
https://www.slp.wa.gov.au/Index.htm
l relevant to each compliance activity
update the compliance action in
accordance with changes in legislative
requirements advise the responsible
officer of the changes who can then
implement appropriate mechanisms
to ensure the changes are being
complied with. WALGA compliance
Internal Not
Applicable
AnnuallyGovernance -
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
Reminder
30 Days
166 30-Dec-20 CEO Council
Minutes and
Agenda
Officer
Review
legislation
relevant to
compliance
activities
Check the most up to date legislation
on the state law publisher website
https://www.slp.wa.gov.au/Index.htm
l relevant to each compliance activity
in which you are the responsible
officer for and report any changes in
legislative requirements to the
Governance Officer and implement
appropriate mechanisms to ensure
the changes are being complied with.
See procedure for more info.
Internal Not
Applicable
BienniallyGovernance -
-
30-Jun-20
-
-
Claire
Schiller
-
-
Legilsation reviewed. No changes to
legilsative requirements.
-
-
-
-
-
Complete
-
-
31-Jul-20
Reminder
30 Days
6
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
22 30-Dec-20 CEO Council
Minutes and
Agenda
Officer
Review
compliance
register
ensure
entries are
up to date.
Review compliance register ensure
entries are up to date.
Internal Not
applicable
Quarterly
(December
March June
September)
Governance 30-Mar-20
30-Jun-20
30-Sep-20
Emma
Rogers
Claire
Schiller
Claire
Schiller
Reviewed register 24 actions completed 5 in
progress 2 not yet started.
Reviewed register for Q4 25 actions
completed 2 in progress.
Reviewed register for 2020-21 Q1 55 actions
in total 2 not started
-
-
-
Complete
Complete
Complete
30-Mar-20
31-Jul-20
07-Oct-20
Reminder
30 Days
35 30-Dec-20 CEO Council
Minutes and
Agenda
Officer
Publish
agendas
notice
papers and
minutes of
ordinary
council
meeetings
and
committee
meetings
Ensure that the agenda notice papers
and minutes for Ordinary Council
Meetings and ARMC committee
meetings are published on the Shire
website. See s5.96A(2) for further
details on excluding information
published if the meeting or part of
meeting is closed to members of the
public and s5.96A(3) on circumstances
where confidentiality does not apply
to information.
Local Government
Act 1995
s5.96A1(f)
and
s5.96A(1)(h)
Quarterly
(December
March June
September)
Governance 30-Mar-20
30-Jun-20
30-Sep-20
Claire
Schiller
Claire
Schiller
Claire
Schiller
January - March 2020 - Notice papers
agenda and minutes for OCM and ARMC
published on Shire website
April - June 2020 - Notice papers agenda and
minutes for OCM and ARMC published on
Shire website
July - September 2020 - Notice papers
agenda and minutes for OCM and ARMC
published on Shire websit
-
-
-
Complete
Complete
Complete
29-Apr-20
30-Jun-20
23-Sep-20
Reminder 7
Days
39 30-Dec-20 CEO Council
Minutes and
Agenda
Officer
Minutes of
electors'
meetings
published on
Shire
website
Ensure that the minutes of the
electors' meetings are published on
the Shire's website.
Local Government
Act 1995
s5.96A(1)(g) AnnuallyGovernance -
-
30-Dec-19
-
-
Claire
Schiller
-
-
Minutes of 11 December 2019 Annual
Electors Meeting published on Shire website
-
-
O221881
-
-
Complete
-
-
09-Jan-19
Reminder 7
Days
40 30-Dec-20 CEO Governance
Officer
Publish a
register of
complaints
of minor
breaches on
the Shire
website
Ensure that an up to date register of
complaints of minor breaches and any
censure order under s5.110(6) 5.113
or 5.117(1) in respect of a person who
is is a council member is published on
the Shire website.
Local Government
Act 1995
s5.118(3)
and
s5.121(3)
AnnuallyGovernance -
30-Sep-19
30-Sep-20
-
Emma
Rogers
Emma
Rogers
-
Register of minor breaches is on the website
along with a copy of censureship.
Up to date register of minor breach is on the
website
-
-
-
-
Complete
Complete
-
09-Sep-19
07-Oct-20
Reminder 7
Days
7 30-Dec-20 CEO Council
Minutes and
Agenda
Officer
Financial
Interest
Register -
Council
Meetings
Review register ensuring all entries
are up to date with disclosures
(financial proximity and impartial)
made by officers with interests
relating to advice or reports in Council
meetings and disclosures (financial
proximity and impartial) made by
Councillors at Council meetings and
register is compliant with the Act.
Record register on Synergy annually.
Local Government
Act 1995
s5.88(1) Quarterly
(December
March June
September)
Governance 30-Mar-20
30-Jun-20
30-Sep-20
Claire
Schiller
Claire
Schiller
Claire
Schiller
Disclosure register up to date as at
30/03/2020. Registered.
Disclosure Register up to date as at
17/06/2020
Disclosure Register up to date as at
18/09/2020.
N195404 financial
and N195405
-
-
Complete
Complete
Complete
29-Apr-20
17-Jun-20
18-Sep-20
Reminder
14 Days
7
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
8 30-Dec-20 CEO Governance
Officer
Financial
Interest
Register -
Employees
Review register ensuring all entries
are up to date with disclosures
(financial proximity) made by officers
with interests relating to delegated
functions and officer duties and
register is compliant with the Act.
Also review impartiality Register for
Crs and employees. Record register on
Synergy annually. Forward any
procurement disclosures of interest to
Finance Officers.
Local Government
Act 1995
s5.88(1) Quarterly
(December
March June
September)
Governance 30-Mar-20
30-Jun-20
30-Sep-20
Emma
Rogers
Emma
Rogers
Emma
Rogers
Finance register and impartial register has
been reviewed for Jan - Mar 2020. All entries
up to date
Finance register and impartial register has
been reviewed for April - June 2020. All
entries up to d
Finance register and impartial register has
been reviewed for July - September 2020. All
entries are
-
-
-
Complete
Complete
Complete
30-Mar-20
01-Jul-20
07-Oct-20
Reminder
14 Days
9 30-Dec-20 CEO Governance
Officer
Gift Register
s5.87
Review register ensuring all entries
are up to date with disclosures of gift
and travel contributions by Councillors
and designated employees register is
compliant with the Act and register is
published on website. Record register
on Synergy annually.
Local Government
Act 1995
s5.87 5.89 Quarterly
(December
March June
September)
Governance 30-Mar-20
30-Jun-20
30-Sep-20
Emma
Rogers
Emma
Rogers
Emma
Rogers
No gifts have been disclosed from Jan to
Mar 2020
No gifts have been disclosed from April to
June 2020
No gifts have been disclosed from July to
September 2020
-
N200334
-
Complete
Complete
Complete
30-Mar-20
01-Jul-20
07-Oct-20
Reminder
14 Days
90 30-Dec-20 CEO Governance
Officer
Review of
Standing
Orders Local
Law
Review of local laws to be completed
every 8 years (last completed 2011) -
due 2019
Local Government
Act 1995
s3.16 8 YearlyGovernance 30-Jul-19
30-Dec-19
30-Jun-20
Emma
Rogers
Emma
Rogers
Emma
Rogers
Defer the review of Standing Orders Local
Law pending on the changes resulting from
review of the LG
Defer the review of Standing Orders Local
Law pending on changes resulting from
review of the LGA
Defer the review of Standing Orders Local
Law pending on changes resulting from
review of the LGA
-
-
-
In Progres
In Progress
In Progress
27-Aug-19
07-Jan-20
01-Jul-20
Reminder
365 Days
10 31-Dec-20 Sustainable
Developmen
t
Administrati
on Officer
Ranger
Services
Impounded
Vehicles
Review register of impounded
vehicles and ensure all entries are
compliant with the Act. (e.g. owners
of impounded vehicles have been
identified and notified within 7 days).
Local Government
Act 1995
s3.40A(2) Quarterly
(December
March June
September)
Health
Waste And
Ranger
Services
19-May-20
30-Jun-20
25-Sep-20
Alana Holben
Alana Holben
Alana Holben
Vehicle Impound Register Reviewed &
Updated
Vehicle Impound Register Reviewed &
Updated
Vehicle Impound Register Reviewed &
Updated
O231072
O235567
-
Complete
Complete
Complete
19-May-20
23-Jul-20
25-Sep-20
Reminder
14 Days
15 31-Dec-20 CEO CEO
Executive
Assistant
Record
Keeping
Obligations
for Elected
Members
Send a memo reminder to Councillors
regarding State Records Office of WA
Policy on records of LG elected
members.
State Records Act
2000
Not
Applicable
Quarterly
(December
March June
September)
Governance 31-Mar-20
30-Jun-20
30-Sep-20
Megan Smith
Clare Tansley
Clare Tansley
Email sent to Councillors on 9/4/2020
reminding them of obligation
Email sent to Councillors on 24/06/2020
reminding them of obligation
Email sent to Councillors on 7/10/2020
reminding them of obligation
O228219
O235506
O241288
Complete
Complete
Complete
09-Apr-20
24-Jun-20
07-Oct-20
Reminder
14 Days
8
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
16 31-Dec-20 Corporate
and
Community
Services
Project and
Procurement
Officer
Tender
Register
Review tender register ensuring all
entries are up to date and register is
compliant with Regulations.
Local Government
Act 1995 and Local
Government
(Function and
General)
Regulations 1996
s3.57(1) and
r11(2)(f)
Quarterly
(December
March June
September)
Corporate
Services
31-Mar-20
30-Jun-20
30-Sep-20
Melanie
Aylett
Melanie
Aylett
Melanie
Aylett
Reviewed tender register only one tender
undertaken since last review currently still
open. Nothin
Reviewed tender register all good. Nothing
to update.
Reviewed tender register updated details
for award of RFT 01-21 RFT 02-21 and RFT
03-21
-
-
-
Complete
Complete
Complete
30-Mar-20
30-Jun-20
16-Sep-20
Reminder
14 Days
4 31-Dec-20 CEO CEO
Executive
Assistant
Common
Seal Register
Review register ensuring all entries
are up to date and compliant with the
Act. Record register on Synergy
annually.
Local Government
Act 1995
s9.49A Quarterly
(December
March June
September)
Governance 31-Mar-20
30-Jun-20
30-Sep-20
Megan Smith
Clare Tansley
Clare Tansley
Common Seal register reviewed
Common Seal register reviewed
Common Seal register reviewed
N194819
N194819
N202963
Complete
Complete
Complete
23-Apr-20
30-Jun-20
01-Oct-20
Reminder
14 Days
149 30-Jan-21 CEO Council
Minutes and
Agenda
Officer
Annual
Electors
Meeting -
report to
Council on
outcomes of
Electors'
meeting
Report to Council on outcomes of the
Electors' meeting at the next ordinary
Council meeting.
Local Government
Act 1995
s.5.53 AnnuallyGovernance 30-Jan-18
19-Feb-19
30-Jan-19
Claire
Schiller
Claire
Schiller
Claire
Schiller
Report to 24/01/18 OCM - Decision No.
OM2018/3
Report to 13 March 2019 OCM - Decision
No. OM2019/41
Report to 22 January 2020 OCM - Decision
OM2020/3
N148300
N174975
-
Complete
Complete
Complete
24-Jan-18
13-Mar-19
09-Jan-20
Reminder
30 Days
5 30-Jan-21 CEO Governance
Officer
Complaints
Register
Review register and ensure all entries
are up to date with description of
minor breach and associated details.
Record register on Synergy.
Local Government
Act 1995
s5.121 AnnuallyGovernance 30-Jan-18
30-Jan-19
30-Jan-20
Emma
Rogers
Emma
Rogers
Emma
Rogers
There has been no complaints resulting in
action under s5.110(6)(b)or(c)
Three complaints of minor breaches have
been recorded on the complaints register.
The register is up
There has been no complaints resulting in
action under s5.110(6)(b)or(c)
-
N173863
-
Complete
Complete
Complete
01-Feb-18
14-Mar-19
30-Jan-20
Reminder
14 Days
19 28-Feb-21 Corporate
and
Community
Services
Manager
Corporate
Services
Rates -
instalment
notices
Issue rate instalment notices Local Government
Act 1995
s6.45(1)(a) Feb Aug Oct
Dec
Corporate
Services
30-Dec-17
28-Feb-19
28-Feb-20
Andrew Ross
Andrew Ross
Andrew Ross
Third rate instalment due on 19/1/18 was
mailed to ratepayers in the first week of
December 2017
Third instlament due on 18/1/19 and final
instalment due on 22/3/19. both mailed to
customers as re
Third instalment fur on 17/1/20 and final
instalment on 20/3/20. Both provided to
customers as requ
-
-
-
Complete
Complete
Complete
08-Dec-17
28-Feb-19
28-Feb-20
Reminder
14 Days
9
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
20 30-Mar-21 CEO Governance
Officer
Compliance
Audit Return
Complete Compliance Audit Return
report to Council and forward
certified copy to DLG by 31 March
each year.
Local Government
Act 1995 Local
Government
(Audit) Regulations
1996
s7.13(i) Reg
1415
AnnuallyGovernance 31-Mar-18
31-Mar-19
30-Mar-20
Emma
Rogers
Emma
Rogers
Emma
Rogers
CAR complete adopted by Council and
forwarded to DLG by 31 March 2018.
CAR complete adopted by Council and
forwarded to DLG by 31 March 2019.
CAR complete adopted by Council and
forwarded to DLG by 31 March 2020.
N150653
O205099
O227602
Complete
Complete
Complete
27-Mar-18
13-Mar-19
31-Mar-20
Reminder
90 Days
17 31-Mar-21 Corporate
and
Community
Services
Manager
Corporate
Services
Mid-year
Budget
Review
Review of budget over the period 1
July to 31 December to be adopted by
absolute majority and report to be
forwarded to DLG within 30 days of
acceptance by Council.
Local Government
(Financial
Management)
Regulations 1996
Reg 33A AnnuallyCorporate
Services
28-Feb-18
28-Feb-19
28-Feb-20
Andrew Ross
Andrew Ross
Andrew Ross
Approved by Council on 14/2/18 (Minute
reference OM2018/39) and sent to DLGSCI
on 19/2/18
Apprvoed by council on 27/2/19 (Minute
reference OM2019/35) and sent to DLGSCI
on 13/3/19
Approved by Council on 26/2/20 (Minute
reference OM2020/33) and sent to DLGSCI
on 3/3/20
O180744
O204775
O225802
Complete
Complete
Complete
14-Feb-18
27-Feb-19
06-Jan-20
Reminder
30 Days
21 31-Mar-21 Corporate
and
Community
Services
Manager
Corporate
Services
Long Term
Financial
Plan
The Long Term Financial Plan is to be
reviewed annually.
Internal Not
Applicable
AnnuallyCorporate
Services
31-Mar-19
31-Mar-20
31-Mar-20
Andrew Ross
Andrew Ross
Andrew Ross
LTFP for 10 years from 2019-20 not updated
due to priorities and resource limitations.
Next update
Preparation of an updated LTFP for 10 years
from 2020-21 will commence in 2020
Draft LTFP prepared but assumptions
impacted by the Covid-19 event. LTFP will
be amended to reflect
-
-
-
Complete
In Progress
In Progress
01-Apr-19
02-Dec-19
31-Mar-20
Reminder
120 Days
28 30-Apr-21 CEO CEO
Executive
Assistant
Agreement
to WAEC to
conduct
election
Report to Council on the conduct of
LG Ordinary Elections and method of
voting prior to 80th day before
election day.
Local Government
Act 1995
s4.61 s4.20
4.20(2)
BienniallyGovernance -
-
30-Apr-19
-
-
Megan Smith
-
-
Letter sent to WAEC 1 March 2019
-
-
O203875
-
-
Complete
-
-
01-Mar-19
Reminder
60 Days
47 30-May-21 Corporate
and
Community
Services
Coordinator
Revenue and
Customer
Services
Pensioner
Rebate
Claims
Submit pensioner rebate claim to the
Office of State Review for rates and
ESL rebate claims.
Rates and Charges
(Rebates and
Deferments) Act
1992
s16(1) AnnuallyCorporate
Services
30-May-18
16-May-19
12-May-20
Anita Sewell
Vicki Scott
Vicki Scott
Claims are lodged on a monthly basis errors
rectified within an appropriate time frame.
Claims are lodged on a monthly basis errors
rectified within an appropriate time frame.
Claims are lodged on a monthly basis errors
rectified within an appropriate time frame.
-
-
-
Complete
Complete
Complete
07-Jun-18
16-May-19
12-May-20
Reminder
21 Days
10
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
48 30-May-21 Corporate
and
Community
Services
Manager
Corporate
Services
Review of
Annual Fees
and Charges
- give local
public notice
Give local public notice of review of
fees and charges.
Local Government
Act 1995
s6.19 AnnuallyCorporate
Services
30-May-18
30-May-19
30-May-20
Andrew Ross
Andrew Ross
Andrew Ross
Fees and charges schedule for 2018-19 to be
provided to Council on 23/5/18 for approval
to advertise
Fees and charges approved by Council for
advertising on 22/5/19 with first
advertisement in the AMR
Due to measures to recover from the
Covid-19 pandemic Fees and charges for
2020-21 will be approved
-
-
-
Complete
Complete
Complete
23-May-18
13-Jun-19
02-Jun-20
Reminder
90 Days
18 1-Jun-21 Sustainable
Developmen
t
Coordinator
Legal
Services
Local Laws
published on
website
Ensure that there is an up-to-date
consolidated version of any AMR
Local Law that is in force published on
the Shire's website.
Local Government
Act 1995
s5.96A(1)(b) AnnuallyGovernance -
30-Sep-19
30-Dec-19
-
Lauren Bidesi
Ian McLeod
-
Consolidating the local laws has commenced
the action is in progress.
All local law have consolidated version on
the website
-
-
-
-
In Progress
Complete
-
15-Oct-19
14-May-20
Reminder
14 Days
31 30-Jun-21 CEO Administrati
on Officer
Ranger
Services
Designate
Prosecuting
Officers for
Fines
Enforcement
Provide written notice to the Registry
of designated prosecuting officers -
Due 30 April each year.
Fines Penalties and
Infringement
Notices
Enforcement Act
1994
s13(2) AnnuallyGovernance 19-Feb-19
17-Jun-19
22-Jul-20
Alana Holben
Alana Holben
Alana Holben
Updated schedule emailed to FER #O203455
Updated scheduled emailed to FER
#O210178
Updated schedule emailed to FER #O235448
O203455
O210178
O235448
Complete
Complete
Complete
19-Feb-19
17-Jun-19
30-Jun-21
Reminder
30 Days
33 30-Jun-21 Sustainable
Developmen
t
Coordinator
Environment
al Health and
Events
Aquatic
facility water
sampling
Two water samples are to be
collected from each water body of
each aquatic facility in the district at
least once per month
Health (Aquatic
Facilities)
Regulations 2007
s21 AnnuallyHealth
Waste And
Ranger
Services
-
30-Jul-19
30-Jul-20
-
Christine
McAtee
Christine
McAtee
-
Aquatic facility water sampling is conducted
monthly in accordance with the Aquatic
Facilities Regul
Aquatic facility water sampling conducted
monthly (some pools were closed under
Emergency Directives
-
-
-
-
Complete
Complete
-
07-Oct-19
04-Aug-20
Reminder 7
Days
34 30-Jun-21 Corporate
and
Community
Services
Community
and
Corporate
Planner
Shires Plan
for the
Future
documents
are
published on
the Shire
website
The current version of each of the
Shire's Plan for the Future documents
(Strategic Community Plan Corporate
Business Plan) be published on the
Shire website.
Local Government
Act 1995
s5.96A(1)(e) AnnuallyCommunity
Developmen
t And
Planning
-
30-Jun-19
27-Jul-20
-
Stacey Hutt
Stacey Hutt
-
Community Strategic Plan 2036 and
Corporate Plan are published on Shire
website and have been for so
The updated Corporate Plan will be
published on website once endorsed at
OCM 12 August 2020
-
-
COR/129
-
Complete
In Progress
-
-
13-Aug-20
Reminder
14 Days
11
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
41 30-Jun-21 Corporate
and
Community
Services
Manager
Corporate
Services
Objects of
and reasons
for each
proposed
rate and
minimum
payment to
be published
on Shire
website
Publish on the Shire website a
document describing the objects of
and rasons for each proposed rate
and minimum payment.
Local Government
Act 1995
s6.36(3A) AnnuallyCorporate
Services
-
-
30-Jun-20
-
-
Andrew Ross
-
-
Objects and Reaasons document published
on the Shire website during the week ending
19/6/20. Note
-
-
-
-
-
Complete
-
-
16-Jun-20
Reminder
14 Days
49 30-Jun-21 Sustainable
Developmen
t
Coordinator
Legal
Services
Current
Public
Liability
insurance of
lessees and
licencees.
Ensure all lessees and licencees of
Shire managed and owned land have
up to date Certificates of Currency for
public liability insurance and any other
relevant insurances required.
Internal N/a AnnuallyPlanning And
Developmen
t Services
-
30-Jun-19
30-Jun-20
-
Ian McLeod
Ian McLeod
-
Letters sent out to leaseholders re public
liability insurance. Approx 90% are up to
date.
sent out insurance letters on 9 October
2019. Insurances are on the lease register
with most expirin
-
-
-
-
Complete
Complete
-
25-Jul-19
23-Jul-20
Reminder
180 Days
50 30-Jun-21 Sustainable
Developmen
t
Coordinator
Environment
al Health and
Events
Inspection of
Caravan Park
and Camping
Grounds
Conduct annual inspections of
Caravan Park and Camping Grounds.
Caravan Parks &
Camping Grounds
Act 1995
s21 AnnuallyHealth
Waste And
Ranger
Services
30-Sep-19
30-Jun-20
30-Sep-20
Christine
McAtee
Christine
McAtee
Christine
McAtee
All caravan park inspections completed one
caravan park still in progress after recently
being regi
3 inspections are outstanding will be
completed by 30/9/2020
All caravan park inspections completed
-
-
-
Complete
Complete
Complete
05-Sep-19
30-Jun-20
14-Aug-20
Reminder
30 Days
51 30-Jun-21 Corporate
and
Community
Services
Community
and
Corporate
Planner
Review of
Community
Strategic
Plan
The Community Strategic Plan is to
undergo a full review every 4 years
and a minor review every 2 years.
Local Government
Act 1995 Local
Government
(Administration)
Regulations
s5.56 LGA
Reg 19C
BienniallyHuman And
Community
Services
-
26-Jun-19
27-Aug-20
-
Stacey Hutt
Stacey Hutt
-
This minor review has been deferred to
occur in 2019-20 to align with Shire's new
CEO commencing wit
Minor review will be presented to Council at
OCM 12 August 2020. Major review to
commence in 2020-21
-
-
COR/129
-
Complete
In Progress
-
-
13-Aug-20
Reminder
14 Days
52 30-Jun-21 Corporate
and
Community
Services
Community
and
Corporate
Planner
Review of
Corporate
Plan
The Corporate Plan is to be reviewed
annually.
Local Government
Act 1995
s5.56 LGA
Reg 19DA
AnnuallyHuman And
Community
Services
30-Jun-18
30-Jun-19
27-Jul-20
Stacey Hutt
Stacey Hutt
Stacey Hutt
Endorsed by Council OCM 25 July 2018
(OM2018/180)
Endorsed by Council OCM 26 June 2019
To be endorsed by Council at OCM 12
August 2020
COR/129
COR/129
COR/129
Complete
Complete
In Progress
02-Aug-18
01-Jul-19
13-Aug-20
Reminder
14 Days
12
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
53 30-Jun-21 Corporate
and
Community
Services
Community
Emergency
Services
Manager
Local
Emergency
Managemen
t Committee
(LEMC)
Annual
Report
Prepare and submit annual report to
the district emergency management
committee.
Emergency
Management Act
2005
s40(1) AnnuallyCommunity
Fire And
Emergency
Services
30-Jun-18
30-Jun-19
30-Jun-20
Chris Lloyd
Adam Jasper
Adam Jasper
Preparedness and Capability Report
Completed on
2019 Preparedness and Capability Report
completed
due to COVID LEMC's are not required to
submit an annual report this year
O187681
I343479
-
Complete
Complete
Complete
15-Jun-18
30-Jun-19
30-Jun-20
Reminder
30 Days
55 30-Jun-21 Corporate
and
Community
Services
Manager
Corporate
Services
Rates - local
public notice
Local public notice of rates to be given
(21 days required).
Local Government
Act 1995
s6.36 AnnuallyCorporate
Services
30-Jun-18
30-Jun-19
30-Jun-20
Andrew Ross
Andrew Ross
Andrew Ross
Rates advertised in Augusta Margaret River
Mail on 30/5/18 6/6/18 and 13/6/18.
Closing date for pu
Rates apprvoed for advertising on 22/5/19
refer OM2019/91. Rates advertised in
Augusta Margaret Riv
Public notice of rates not required as no
increase in rates is proposed for 2020-21.
This is in acc
-
-
-
Complete
Complete
Complete
13-Jun-18
30-Jun-19
30-Jun-20
Reminder
60 Days
56 30-Jun-21 CEO Governance
Officer
Review of
Delegation
Register /
Authorised
Officer
Listing
Review all delegations and
authorisations from Council to CEO
and CEO to employees and report to
Council by 30 June.
Local Government
Act 1995 Building
Act 2011 Planning
and Development
act 2005 Food Act
2008 Cat Act 2011
Dog Act 1976
Caravan Parks and
Camping Grounds
Act 1995 etc.
s5.18 s5.46
s9.10 s9.29
LGA etc.
AnnuallyGovernance 30-Jun-18
30-Jun-19
30-Jun-20
Emma
Rogers
Emma
Rogers
Emma
Rogers
Council adopted reviewed delegation
register on 27 June 2018
Council adopted reviewed delegation
register on 26 June 2019 OM2019/105
Council adopted reviewed delegation
register on 27 May 2020 OM2020/86
-
-
N199041
Complete
Complete
Complete
27-Jun-18
26-Jun-19
27-May-20
Reminder
120 Days
73 30-Jun-21 CEO Coordinator
Legal
Services
Freedom of
Information
Statement
(and FOI
processes)
LG must publish an up-to-date
Information Statement reviewed
within every 12 months. Most
up-to-date Information Statement and
internal manuals to be made available
for public inspection.
Freedom of
Information Act
1992
s94-97 AnnuallyGovernance -
30-Dec-18
30-Jun-20
-
Raye Golding
Emma
Rogers
-
Statement and process have been reviewed.
No changes. Statement is published on
website
Review undertaken and updated version on
website.
-
-
-
-
Complete
Complete
-
18-Jan-19
31-Jul-20
Reminder
30 Days
2 30-Jul-21 CEO Council
Minutes and
Agenda
Officer
Related
party
disclosures
Related party disclosure forrms to be
completed by 30 July each year by
Councillors CEO and Directors
Australian
Accounting
Standards Board
(AASB)
AASB 124 AnnuallyGovernance 30-Jul-18
30-Jul-19
30-Jul-20
Emma
Rogers -
Community
DeveloClaire
Schiller
Claire
Schiller
Related party disclosure forms have been
completed and returned. All forms
registered under FIN/151
Related party disclosure forms have been
completed and returned. All forms
registered under FIN/151
Related party disclosure forms havebeen
completed and returned. All forms and
register registered u
-
-
-
Complete
Complete
Complete
28-Aug-18
30-Jul-19
31-Jul-20
Reminder
30 Days
13
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
3 30-Jul-21 Corporate
and
Community
Services
Manager
Corporate
Services
Annual
budget
published on
website
Ensure that the adopted annual
budget is published on the Shire's
website.
Local Government
Act 1995
3.96A(1)(c) AnnuallyCorporate &
Community
Services
-
-
30-Jul-20
-
-
Andrew Ross
-
-
Budget published on website during the
week commencing 27/7/20
-
-
-
-
-
Complete
-
-
30-Jul-20
Reminder
14 Days
30 30-Jul-21 Corporate
and
Community
Services
Coordinator
Revenue and
Customer
Services
Fees and
charges
published on
the website
An up to date list of fees and charges
imposed under s6.16 LGA is to be
published on the Shire website.
Local Government
Act 1995
s5.96A(d) AnnuallyCorporate
Services
-
-
30-Jul-20
-
-
Vicki Scott
-
-
Fees and Charges Adopted by Council
Meeting 22.7.2020. Document Loaded to
Website
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-
30
-
-
Complete
-
-
24-Jul-20
Reminder
14 Days
58 30-Jul-21 Corporate
and
Community
Services
Manager
Corporate
Services
Annual
Budget -
adopted by
31 August
Annual budget to be adopted by
absolute majority by 31 August each
year.
Local Government
Act 1995
s6.2(1) AnnuallyCorporate
Services
30-Jul-18
30-Jul-19
30-Jul-20
Andrew Ross
Andrew Ross
Andrew Ross
2018-19 Budget adopted by absolute
majority at Council Meeting of 25/7/2018.
Minute reference OM201
2019-20 Budget adopted by absolute
majority at Council Meeting on 24/7/19.
Minute reference OM2019/
2020-21 Budget adopted by absolute
majority at Council Meeting on 22/7/20.
Minute reference OM2020/
-
-
-
Complete
Complete
Complete
25-Jul-18
24-Jul-19
30-Jul-20
Reminder
90 Days
59 30-Jul-21 Corporate
and
Community
Services
Manager
Corporate
Services
Annual
Budget -
budget
deficiency no
to exceed
10% rates to
be raised
Budget deficiency not to exceed 10%
of rates to be raised.
Local Government
Act 1995
s6.34 AnnuallyCorporate
Services
30-Jul-18
30-Jul-19
30-Jul-20
Andrew Ross
Andrew Ross
Andrew Ross
Adopted budget for 2018-19 was a balanced
budget so there was not budget deficiency.
Adopted on 25/
Adopted budget for 2019-20 was a balanced
budget so there was no budget deficiency.
Adopted on 24/7
Adopted budget for 2020-21 was a balanced
budget with no budget deficiency. Adopted
on 22/7/20 min
-
-
-
Complete
Complete
Complete
25-Jul-18
24-Jul-19
30-Jul-20
Reminder
60 Days
60 30-Jul-21 Corporate
and
Community
Services
Manager
Corporate
Services
Annual
Budget -
have regard
to contents
of Plan for
the Future
Budget to have regard to contents of
the Plan for the Future.
Local Government
Act 1995
s6.2(2) AnnuallyCorporate
Services
30-Jul-18
30-Jul-19
30-Jul-20
Andrew Ross
Andrew Ross
Andrew Ross
2018-19 budget adopted by council on
25/7/18 minute reference OM2018/186.
Wording of Council decisi
2019-20 budget adopted by Council on
24/7/19 minute reference OM2019/136.
Wording of Council decis
2020-21 Budget adopted by Council on
22/7/20 minute reference OM2020/126.
Wording of council decis
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-
Complete
Complete
Complete
25-Jul-18
24-Jul-19
22-Jul-20
Reminder
90 Days
14
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
61 30-Jul-21 Corporate
and
Community
Services
Manager
Corporate
Services
Annual
Budget -
forward to
DLG within
30 days of
adoption
Forward Budget to DLG in electronic
format within 30 days of its adoption.
Local Government
(Financial
Management)
Regulations 1996
Reg 33 AnnuallyCorporate
Services
30-Jul-18
30-Jul-19
30-Jul-20
Andrew Ross
Andrew Ross
Andrew Ross
Budget forwarded to Department on
26/7/18
Budget forwarded to Department on
25/7/19
Budget forwarded to Department on
23/7/20
O189958
O212327
O235581
Complete
Complete
Complete
26-Jul-18
25-Jul-19
30-Jul-20
Reminder
30 Days
69 30-Jul-21 Sustainable
Developmen
t
Coordinator
Ranger
Services
Gazettal for
Fees and
Charges for
Cemeteries
Fees and Charges for Cemeteries to
be advertised in the Government
Gazette once adopted by Council.
Cemeteries Act
1986
s53 AnnuallyHealth
Waste And
Ranger
Services
16-Jul-18
30-Jul-19
31-Jul-20
Alana Holben
Alana Holben
Alana Holben
New 2018-19 Fees & Charges Gazetted SLP
New 2019-2020 Fees & Charges Gazetted
SLP
New 2020-2021 Fees & charges Gazetted
SLP
O189309
O212516
O236137
Complete
Complete
Complete
16-Jul-18
30-Jul-19
31-Jul-20
Reminder
14 Days
74 30-Jul-21 CEO Records
Managemen
t and FOI
Officer
Freedom of
Information
Statistical
Data
Forward statistical data to the
Comissioner annually by 30 June.
Freedom of
Information Act
1992
s111(3) AnnuallyRecords 30-Jul-18
30-Jul-19
30-Jul-20
Raye Golding
Raye Golding
Fiona Lewis
Statisitical return sent on 9 July 2018
Statistical return was sent and registered
into INF/54 on 10 July 2019 documents
number O211427
Statistical Return submitted on 22 July 2020
-
0211427
-
Complete
Complete
-
09-Jul-18
10-Jul-19
-
Reminder
30 Days
84 30-Jul-21 Corporate
and
Community
Services
Manager
Corporate
Services
Public
Interest
Disclosure
statutory
report
Ensure statutory report is forwarded
to the Commissioner within specified
timeframes.
Public Interest
Disclosure act 2003
s23(1)(f)(i) AnnuallyCorporate
Services
30-Jul-18
30-Jul-19
30-Jul-20
Emma
Rogers
Andrew Ross
Andrew Ross
Integrity and Conducted Survey completed
on-line and submitted on 27/8/18
Information for Integrity and Conduct
Survey provided to Emma Rogers for
inclusion in on-line survey
Information for Survey provided to Emma
Rogers for inclusion in on-line survey to be
completed and s
-
-
-
Complete
Complete
Complete
27-Aug-18
26-Jul-19
30-Jul-20
Reminder
30 Days
85 30-Jul-21 Corporate
and
Community
Services
Manager
Corporate
Services
Rates -
number of
properties
charged
minimum
payment
Obtain ministerial approval for
number of properties charged the
minimum payment exceeding 50% of
total properties for vacant land.
Local Government
Act 1995
s6.35(5) AnnuallyCorporate
Services
30-Jul-18
30-Jul-19
30-Jul-20
Andrew Ross
Andrew Ross
Andrew Ross
Approval to impose a minimum payment on
greater than 50% of vacant residential land
received from th
Approval to impose a minimum payment on
greater than 50% of vacant residential land
received from th
Approval not required for 2020-21 due to
COVID-19 Order
I303779
I342224
-
Complete
Complete
Complete
19-Jul-18
16-Jul-19
30-Jul-20
Reminder
60 Days
15
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
86 30-Jul-21 Corporate
and
Community
Services
Manager
Corporate
Services
Rates -
adopted by
absolute
majority
Rates to be adopted by absolute
majority.
Local Government
Act 1995
s6.32 AnnuallyCorporate
Services
30-Jul-18
30-Jul-19
30-Jul-20
Andrew Ross
Andrew Ross
Andrew Ross
Rates for 2018-19 adopted by absolute
majority at Council meeting on 25/7/18
minute reference OM201
Rates for 2019-20 adopted by absolute
majority at Council meeting on 24/7/19
minute reference OM201
Rates for 2020-21 adopted by absolute
majority at Council meeting on 22/7/20
minute reference OM202
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Complete
Complete
Complete
25-Jul-18
24-Jul-19
22-Jul-20
Reminder
60 Days
88 30-Jul-21 Corporate
and
Community
Services
Manager
Corporate
Services
Reporting of
Material
Variances
A percentage or value is to be
adopted by Council annually for
reporting material variances.
Local Government
(Financial
Management)
Regulations 1996
Reg 34 AnnuallyCorporate
Services
30-Jul-18
30-Jul-19
30-Jul-20
Andrew Ross
Andrew Ross
Andrew Ross
Reporting of material variances for 2018-19
of greater than budget by 10% and $10000
apprvoed by Co
Reporting of material variances for 2019-20
of greater than budget by 10% and $10000
approved by Co
Reporting of material variances for 2020-21
of greater than budget by 10% and $10000
approved by Co
-
-
-
Complete
Complete
Complete
25-Jul-18
24-Jul-19
30-Jul-20
Reminder
30 Days
89 30-Jul-21 Corporate
and
Community
Services
Manager
Corporate
Services
Review of
Annual Fees
and Charges
Fees and charges to be adopted by
absolute majority.
Local Government
Act 1995
s6.16 AnnuallyCorporate
Services
30-Jul-18
30-Jul-19
30-Jul-20
Andrew Ross
Andrew Ross
Andrew Ross
Fees and charges for 2018-19 adopted by
council at meeting on 25/7/18 minute
reference OM2018/186
Fees and charges for 2019-20 adopted by
Council at meeting on 24/7/19 minute
reference OM2019/136
Fees and charges for 2020-21 adopted by
Council at meeting on 22/7/20 minute
reference OM2020/123
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-
Complete
Complete
Complete
25-Jul-18
24-Jul-19
30-Jul-20
Reminder
90 Days
81 31-Jul-21 CEO Council
Minutes and
Agenda
Officer
Officer and
Councillor
Annual
Returns
Distribute memo and Annual Return
forms to staff and Councillors. Forms
are due 31 August.
Local Government
Act 1995
s5.76 AnnuallyGovernance 30-Jul-18
30-Jul-19
31-Jul-20
Emma
Rogers
Claire
Schiller
Claire
Schiller
Distributed annual return forms to all
Councillors and designated employees on
5/7/2018
Distributed annual return forms to all
Councillors and designated employees on
18/7/2018
Distributed annual return forms to all
Councillors and designated employees on
07/07/2020
-
-
0234462 and
O234459
Complete
Complete
Complete
05-Jul-18
30-Jul-20
31-Jul-20
Reminder
30 Days
100 30-Aug-21 Corporate
and
Community
Services
Community
Developmen
t Officer
Disability
Service Plan
Report
Prepare Disability Service Plan Report
and provide for inclusion in the Shire's
Annual Report.
Disability Services
Act 1993
s29(2) AnnuallyHuman And
Community
Services
30-Aug-18
30-Aug-19
30-Aug-20
Jason Cleary
Katie Taylor
Jessica Black
Completed in July report filed in Synergy
Completed and submitted to Department
Community and Disability Services on 1 July
2019
Completed and provided to Stacey Hutt for
inclusion in Annual Report
-
-
-
Complete
Complete
Complete
30-Jul-18
01-Jul-19
07-Oct-20
Reminder
14 Days
16
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
92 30-Aug-21 CEO Council
Minutes and
Agenda
Officer
Acknowledge
ment of
Receipt of
Annual
Returns
CEO is to receipt all returns (or Shire
President in the case of the CEO’s
return).
Local Government
Act 1995
S5.77Governance 30-Aug-18
30-Aug-19
30-Aug-20
Emma
Rogers
Claire
Schiller
Claire
Schiller
Acknowledgement of receipt of annual
returns have been signed scanned and
emailed out.
Acknowledgement of receipt of annual
returns have been signed emailed and
registered
Acknowledgement of receipt of annual
returns have been signed emailed and
registered
-
-
N204468
Complete
Complete
Complete
20-Sep-18
30-Aug-19
08-Sep-20
Reminder
30 Days
95 30-Aug-21 CEO Council
Minutes and
Agenda
Officer
Annual
Financial
Returns -
Officers and
Councillors
are to submit
annual
returns by 31
August.
Annual Financial Returns - Officers
and Councillors are to submit annual
returns by 31 August each year.
Local Government
Act 1995
s5.76 AnnuallyGovernance 30-Aug-18
30-Aug-19
30-Aug-20
Emma
Rogers
Claire
Schiller
Claire
Schiller
All annual returns have been completed and
returned by the due date 31 August 2018
All annual returns have been completed and
returned by the due date 31 August 2019
All annual returns have been completed and
returned by the due date 31 August 2020
-
-
N204468
Complete
Complete
Complete
30-Aug-18
30-Aug-19
08-Sep-20
Reminder
30 Days
96 30-Aug-21 Corporate
and
Community
Services
Manager
Library
Services
Annual
Library
statistics and
financial
report
Annual Library statistics and financial
report submitted to State Library of
WA by 30 August.
State Library Board
of WA Act 1951
Not
Applicable
AnnuallyLibrary 30-Aug-18
30-Aug-19
30-Aug-20
Heather Auld
Heather Auld
Heather Auld
Annual State Library Return has been
completed by due date
Annual State Library Return has been
completed by due date
Annual State Library Return has been
completed by due date
O192528
o213497
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Complete
Complete
-
30-Aug-18
14-Aug-19
-
Reminder
30 Days
97 30-Aug-21 CEO CEO
Executive
Assistant
Call for
Nominations
Give state wide public notice between
56th and 45th day before election
day.
Local Government
Act 1995
s4.47(1) BienniallyGovernance -
-
30-Aug-19
-
-
Megan Smith
-
-
Notice posted on board in CAC libraries and
Augusta office. Website updated and
advertised in loca
-
-
-
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-
Complete
-
-
30-Aug-19
Reminder
30 Days
98 30-Aug-21 Corporate
and
Community
Services
Coordinator
Revenue and
Customer
Services
Close
Electoral
Rolls
Close Electoral Rolls at 5pm (50th day) Local Government
Act 1995
s4.39(1) BienniallyCorporate
Services
-
-
30-Aug-19
-
-
Vicki Scott
-
-
Close of Rolls 5pm 30.8.2019
-
-
-
-
-
-
-
-
-
Reminder
14 Days
17
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
99 30-Aug-21 CEO CEO
Executive
Assistant
Close of
Enrolments
Give state wide public notice of the
time and day of close of enrolments
(must occur between 70th and 56th
day before election day).
Local Government
Act 1995
s4.39(2) BienniallyGovernance -
-
30-Aug-19
-
-
Megan Smith
-
-
Website updated advertised in media
displayed on notice boards at CAC libraries
and Augusta offic
-
-
-
-
-
Complete
-
-
30-Aug-19
Reminder
30 Days
32 31-Aug-21 Sustainable
Developmen
t
Coordinator
Environment
al Health and
Events
Public Health
annual
report
Public Health Act Report to be
submitted.
Public Health Act
2016
s22 AnnuallyHealth
Waste And
Ranger
Services
-
31-Aug-19
31-Aug-20
-
Christine
McAtee
Christine
McAtee
-
Reporting completed prior to 21 August
2019 - reporting now combines Food Act
2008 reporting and Pub
2020 reporting completed 4 August 2020
-
-
I384134
-
-
Complete
-
-
04-Aug-20
Reminder
14 Days
63 31-Aug-21 Corporate
and
Community
Services
Coordinator
Revenue and
Customer
Services
Declaration
of Annual
Emergency
Services Levy
Billing Report
Form A - Submit within 14 days of
Annual Rates
Fire and
Emergency
Services Authority
of WA Act 1998.
FESA Manual of
Operations Section
5
Part 6A Div 5 AnnuallyCorporate
Services
31-Jul-18
01-Aug-19
31-Aug-20
Vicki Scott
Vicki Scott
Vicki Scott
ESL Billing Declaration sent to DFES
31.7.2018
ESL Billing Declaration sent to DFES 1.8.2019
ESL Billing Declaration sent to DFES
14.8.2020
O190219
O212693
O237170
Complete
Complete
Complete
31-Jul-18
01-Aug-19
14-Aug-20
Reminder
21 Days
66 31-Aug-21 Corporate
and
Community
Services
Coordinator
Revenue and
Customer
Services
Emergency
Services Levy
Adjustment
Report
Complete Annexure A - Submit by 31
July with previous years 30th June
figures.
Fire and
Emergency
Services Authority
of WA Act 1998.
FESA Manual of
Operations Section
5
Part 6A Div 5 AnnuallyCorporate
Services
31-Aug-18
22-Jul-19
03-Jul-20
Vicki Scott
Vicki Scott
Vicki Scott
Annexure A for ESL collected to 30 June
2018 emailed to DFES
Annexure A sent to DFES 22.7.2019
Annexure A sent to DFES 3.7.2020
O191218
O212079
O234293
Complete
Complete
Complete
13-Aug-18
22-Jul-19
-
Reminder
21 Days
67 31-Aug-21 Corporate
and
Community
Services
Coordinator
Revenue and
Customer
Services
Emergency
Services Levy
Reconciliatio
n Report
Complete Form B - Schedule 5/6 and
submit by 30 May.
Fire & Emergency
Services Authority
of WA Act 1998
and FESA Manual
of Operations -
Section 5
Part 6A Div 5 AnnuallyCorporate
Services
31-Aug-18
22-Jul-19
03-Jul-20
Vicki Scott
Vicki Scott
Vicki Scott
Annexure A for ESL collected to 30 June
2018 emailed to DFES
Annexure A for ESL collected to 30 June
2019 emailed to DFES
Annexure A for ESL collected to 30 June
2019 emailed to DFES
O191218
O212079
O234293
Complete
Complete
Complete
13-Aug-18
22-Jul-19
03-Jul-20
Reminder
21 Days
18
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
68 31-Aug-21 Corporate
and
Community
Services
Coordinator
Revenue and
Customer
Services
Emergency
Services Levy
Report
Complete Form C - Schedule 6 - ESL
End of Year Reconciliation Report.
Complete and submit Form E
Schedule 12 Aged ESL Rate Debtors
Report by 31 July
Fire and
Emergency
Services Authority
of WA Act 1998.
FESA Manual of
Operations Section
6
s3 AnnuallyCorporate
Services
31-Aug-18
22-Jul-19
03-Jul-20
Vicki Scott
Vicki Scott
Vicki Scott
Annexure A for ESL collected to 30 June
2018 emailed to DFES
Annexure A for ESL collected to 30 June
2019 emailed to DFES
Annexure A for ESL collected to 30 June
2019 emailed to DFES
O191218
O212079
O234293
Complete
Complete
Complete
13-Aug-18
22-Jul-19
03-Jul-20
Reminder
21 Days
102 30-Sep-21 CEO Council
Minutes and
Agenda
Officer
Review
Legislative
Compliance
Register
Review Legislative Compliance
Register report to the Audit and Risk
Management Committee annually
LG (Audit)
Regulations 1996.
Regulation
17
AnnuallyGovernance 30-Aug-18
30-Sep-19
30-Sep-20
Emma
Rogers
Emma
Rogers
Claire
Schiller
Reported to ARMC on 27 June 2018.
ARMC2018/4. 28 compliance items
actioned. 2 items in progress. 2 i
Draft report prepared to go to ARMC 13 Nov
2019
Draft report prepared on 2019-20 to go to
ARMC on 28 Oct 2020
-
-
-
Complete
Complete
Complete
27-Jun-18
02-Oct-19
07-Oct-20
Reminder
60 Days
103 30-Sep-21 Corporate
and
Community
Services
Community
Emergency
Services
Manager
Appointment
of Bush Fire
Control
Officers
Council to appoint Bush Fire Control
Officers and Chief and Deputy Chief
Bush Fire Control Officers.
Bush Fires Act
1954
s38 BienniallyCommunity
Fire And
Emergency
Services
-
-
15-Oct-19
-
-
Adam Jasper
-
-
Addressed at last council meeting.
OM2019/197
-
-
-
-
-
-
-
-
-
Reminder
60 Days
104 30-Sep-21 Corporate
and
Community
Services
Coordinator
Revenue and
Customer
Services
Consolidatio
n of Rolls
Preparation of consolidated roll by the
22nd day before election day.
Local Government
Act 1995
s4.43 BienniallyCorporate
Services
-
-
30-Sep-19
-
-
Vicki Scott
-
-
The WAEC provides the Shire the
consolidated roll as we are postal elections
-
-
-
-
-
Complete
-
-
05-Sep-19
Reminder
14 Days
105 30-Sep-21 CEO CEO
Executive
Assistant
Disclosure of
Interest by
Electoral
Officers
Electoral Officers sign and submit
Declarations.
Local Government
(Electoral)
Regulations 1996
Reg 7 BienniallyGovernance -
-
30-Sep-19
-
-
Megan Smith
-
-
All disclosures of interest signed and
submitted to the Returning Officer
-
-
-
-
-
Complete
-
-
19-Oct-19
Reminder
30 Days
19
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
106 30-Sep-21 CEO CEO
Executive
Assistant
Election
Notice
Give state wide public notice of the
election day by the 19th day before
election day.
Local Government
Act 1995
s4.64(1) BienniallyGovernance -
-
30-Sep-19
-
-
Megan Smith
-
-
Election notice displayed in CAC libraries and
Augusta office on website and advertised in
media
-
-
-
-
-
Complete
-
-
20-Sep-19
Reminder
30 Days
107 30-Sep-21 CEO Coordinator
Ranger
Services
Fuel Hazard
Reduction
and
Firebreak
Notice
Adoption by Council of Fuel Hazard
Reduction and Firebreak Notice. Give
notice to all land owners in writing or
publish a notice in Gazette and local
paper.
Bush Fires Act
1954
s33(1) AnnuallyHealth
Waste And
Ranger
Services
30-Sep-18
30-Sep-18
08-Oct-20
Michael
O’Regan
Sharon
McTaggart
Sharon
McTaggart
Fire Management Notice has been
advertised in Gov't Gazette
Notice in writing posted out to all land
owners and notice published in local paper.
Completed.
195670
-
-
Complete
Complete
-
24-Oct-18
30-Sep-19
-
Reminder
30 Days
108 30-Sep-21 CEO CEO
Executive
Assistant
LG Candidate
Information
Sessions
Distribute information re disclosure of
electoral gifts and declaration of
interest requirements to Candidates
and Councillors.
Local Government
(Electoral)
Regulations 1996
Reg30G BienniallyGovernance -
-
30-Sep-19
-
-
Megan Smith
-
-
Candidate information session held after
details advertised on website in local media
at CAC at t
-
-
-
-
-
Complete
-
-
27-Aug-19
Reminder
30 Days
110 30-Sep-21 CEO CEO
Executive
Assistant
Nominations
Open
Nominations open (8 day period)
(44th day) - (37th day)
Local Government
Act 1995
s4.39(2) BienniallyGovernance -
-
30-Sep-19
-
-
Megan Smith
-
-
Advertised in local media on website at CAC
libraries and Augusta office
-
-
-
-
-
Complete
-
-
05-Sep-19
Reminder
30 Days
111 30-Sep-21 Corporate
and
Community
Services
Coordinator
Revenue and
Customer
Services
Owners and
Occupiers
Electoral Roll
Preparation of Owners & Occupiers
Roll by 36th day before election day.
Local Government
Act 1995
s4.71(1) BienniallyCorporate
Services
-
-
30-Sep-19
-
-
Vicki Scott
-
-
Roll prepared and emailed to WAEC
-
-
O215024
-
-
Complete
-
-
05-Sep-19
Reminder
14 Days
20
Compliance
ID
Next Due
Date
Directorate Compliance
Officer
Topic Description Reference Section ScheduleDepartment Due Date Officer Description Documents Status Action Date
112 30-Sep-21 Corporate
and
Community
Services
Community
Emergency
Services
Manager
Public Notice
of
Appointment
of Bush Fire
Control
Officers
Give local public notice of
appointment of Bush Fire Control
Officers.
Bush Fires Act
1954
s38 BienniallyCommunity
Fire And
Emergency
Services
-
-
24-Sep-19
-
-
Adam Jasper
-
-
Community Consultation - Published on
wensite and Newspaper 27/9/2019
-
-
-
-
-
-
-
-
-
Reminder
30 Days
113 30-Sep-21 CEO Council
Minutes and
Agenda
Officer
Review of
Council
Committees
Review structure of committees and
call for nominations of community
held positions - report to Council.
Local Government
Act 1995
s5.10 BienniallyGovernance -
-
30-Sep-19
-
-
Claire
Schiller
-
-
Council committees reviewed - adopted by
Council on 11 September 2019.
-
-
-
-
-
-
-
-
-
Reminder
90 Days
27 30-Sep-21 Corporate
and
Community
Services
Manager
Corporate
Services
Business
plan
prepared
under s3.59
LGA
published on
Shire
website
Ensure that any business plan
prepared under s3.59 is to be
published on the Shire's website.
Locl Government
Act 1995
s3.59(4)(c) AnnuallyCorporate
Services
-
30-Sep-19
30-Sep-20
-
Andrew Ross
Andrew Ross
-
Not required as no business plan to be
prepared
Not required as no business plan to be
rpepared
-
-
-
-
Complete
Complete
-
14-Oct-19
23-Sep-20
Reminder 7
Days
93 30-Sep-21 Corporate
and
Community
Services
Manager
Corporate
Services
Annual Audit Accounts and Annual Financial Report
for each financial year to be audited
by an auditor appointed by Council.
Local Government
Act 1995
s7.2 AnnuallyCorporate
Services
30-Sep-19
30-Sep-19
30-Sep-20
Andrew Ross
Andrew Ross
Andrew Ross
On-site audit is planned to be conducted
from 19/8/19 to 21/8/19.
Draft AFR is in the process of being reviewed
by Audit after onsite visit from Auditors
from 19 to 2
Draft AFR is in the prcoess of being reviewed
by the auditors after onsite visit from 17 to
20 Augus
-
-
-
In Progres
Complete
In Progress
01-Aug-19
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156 25-Oct-21 CEO Council
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Primary
Returns due
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Local Government
Act 1995
s5.75 BienniallyGovernance -
30-Dec-17
30-Dec-19
-
Emma
Rogers
Claire
Schiller
-
The three newly elected Councillors have
completed an returned primary returns
Cr Crisroffanini primary return received
5/11/19 Cr Kennaugh primary return
received 27/11/2019 Cr
-
-
-
-
Complete
Complete
-
15-Dec-17
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- community
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Local Government
Act 1995
s5.10 BienniallyGovernance -
-
30-Oct-19
-
-
Claire
Schiller
-
-
members appointed to LEMC BFAC ARMC at
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-
Complete
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committees
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Act 1995
s5.10 BienniallyGovernance -
-
30-Oct-19
-
-
Claire
Schiller
-
-
Councillors appointed to Advisory
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on 23 October 2019
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-
Complete
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121 30-Oct-21 Corporate
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Council is to examine Auditor's Report
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the audit to DLG within 3 months
after the audit report has been
received by Council and publish the
report on the Shire's website within
14 days after forwarding the report to
DLG.
Local Government
Act 1995
s7.12A AnnuallyCorporate
Services
30-Oct-18
30-Oct-19
30-Oct-20
Andrew Ross
Andrew Ross
Andrew Ross
The Annual Financial Report for 2017-18
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and was provided
The Annual Financial Report for 2018-19
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scheduled to
The Annual Financial Report for 2019-20 has
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Complete
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In Progress
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Media
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Act 1995
s5.41(1) BienniallyGovernance -
-
30-Oct-19
-
-
Emma
Rogers
-
-
Authorisation for CEO to speak on behalf of
LG
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-
N186226
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-
Complete
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30-Oct-19
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125 30-Oct-21 CEO Council
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Primary
Returns -
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Act 1995
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-
30-Oct-19
-
-
Claire
Schiller
-
-
Primary Returns distributed to new
Councillors (Cr Kennaugh Cr Cristofanini Cr
Daniel) via email a
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-
-
-
Complete
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elected
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Act 1995
s2.29 BienniallyGovernance -
-
30-Oct-19
-
-
Claire
Schiller
-
-
Declaration of newly elected Councillors
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Complete
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127 30-Oct-21 Corporate
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Services
Deferred
Interest
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Rates
Submit deferred interest claim to the
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ESL deferred claims
Rates and Charges
(Rebates and
Deferments) Act
1992
s16(1) AnnuallyCorporate
Services
30-Oct-19
30-Sep-20
30-Oct-20
Vicki Scott
Andrew Ross
Vicki Scott
Claim submitted to Office of State Revenue
in accordance with requirements
Signed certificate received from auditors on
30/9/20 after their review and audit.
Claim submitted to Office of State Revenue
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-
-
-
Complete
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30-Oct-19
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President
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Local Government
Act 1995
s11 BienniallyGovernance -
-
30-Oct-19
-
-
Claire
Schiller
-
-
Shire President and Deputy Shire President
elected at 23 October 2019 Special Meeting
of Council.
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-
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23-Oct-19
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130 30-Oct-21 CEO Governance
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Synergy.
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(Elections)
Regulations 1997
s30G BienniallyGovernance -
-
30-Oct-19
-
-
Emma
Rogers
-
-
No disclosures of gifts were received by
candidates during the election period.
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-
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-
-
Complete
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-
30-Oct-19
Reminder
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139 30-Oct-21 CEO CEO
Executive
Assistant
Local
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Elections
Hold Local Government election -
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Local Government
Act 1995
s4.71 BienniallyGovernance -
-
30-Oct-19
-
-
Megan Smith
-
-
Election held on 19 October
-
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Complete
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23
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Vehicle between Shire President and
the AMRS Council.
Local Government
(Administration)
Regulations 1996
Governance and
Business
Excellence -
Provision of
Councillor Support
Policy
34AD BienniallyGovernance -
-
30-Oct-19
-
-
Megan Smith
-
-
No action required - incoming Shire
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-
-
-
-
-
Complete
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-
24-Oct-19
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42 30-Oct-21 CEO CEO
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Assistant
Report to
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Shire
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on Form 20 within 14 days after the
declaration of the result of the
election.
Local Government
(Elections)
Regulation 1997
Regulation
81
BienniallyExecutive -
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Local Government
Act 1995
s3.16 8 YearlyPlanning And
Developmen
t Services
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Days
181 30-Dec-21 Sustainable
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t
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Nuisance
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Local Government
Act 1995
s3.16 8 YearlyPlanning And
Developmen
t Services
-
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Local Government
Act 1995
s3.16 8 YearlyPlanning And
Developmen
t Services
-
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24
Compliance
ID
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Review
Access and
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Review AIP at least once every 5
years. Forward a copy of adopted AIP
to Department of Communities
Disability Services (last reviewed
2018).
Disability Services
Act 1993
S28(7) 5 YearlyHuman And
Community
Services
-
-
30-Dec-17
-
-
Katie Taylor
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-
AIP adopted Council 14 February 2018
-
-
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Complete
-
-
21-Mar-18
Reminder
172 Days
57 30-Jun-22 Corporate
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Manager
Corporate
Services
Review of
Financial
Systems
A review of the appropriateness and
effectiveness of financial
management systems and procedures
to be conducted regularly and not less
than once in every 4 financial years
and report to Council.
Local Government
(Financial
Management)
Regulations 1996
Reg 5 BienniallyCorporate
Services
30-Jun-18
30-Jun-20
30-Jun-20
Andrew Ross
Andrew Ross
Andrew Ross
AMD Chartered Accountants engaged to
undertake the review. Field work
completed in January and Marc
AMD Chartered Accountants engaged to
undertake the review with field work
scheduled to occur during
Draft report provided by AMD on 28/2/20
with final report including management
comments provided on
-
-
I370398
Complete
In Progress
Complete
06-Apr-18
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Reminder
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164 30-Aug-22 Sustainable
Developmen
t
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Services
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Industries
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Local laws are required to be
reviewed every 8 years (last
completed 2014)
Local Government
Act 1995
s3.16 8 YearlyPlanning And
Developmen
t Services
-
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Reminder
180 Days
163 31-Dec-22 Corporate
and
Community
Services
Director
Corporate
and
Community
Services
Review of
Audit
Systems and
Procedures -
risk
management
internal
control
legislative
compliance
Review the appropriateness and
effectiveness of audit systems and
procedures related to risk
management internal control and
legislative compliance every 3 years
and report to the Audit Committee
the results of that review.
Local Government
(Audit) Regulations
1996
Reg 17 TrienniallyCorporate
Services
-
31-Dec-18
31-Dec-19
-
Andrew Ross
Lynne
Kenworthy
-
AMD Chartered Accountants were engaged
to undertake this review in accordance with
the terms of the
Review of Audit Systems & Procedures – Reg
17 (Internal) Audit was completed in March
2019
-
-
-
-
In Progress
Complete
-
03-Jan-19
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Reminder
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129 27-May-23 CEO Coordinator
Legal
Services
Polocrosse
Lease
RES/41200
Polocrosse Lease RES/41200 –
potential notice of non-renewal must
be given before 27 December 2023 –
consult with tenant and Department
PLH re school site.
See record I392343 TrienniallyGovernance -
-
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-
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30 Days
25
Compliance
ID
Next Due
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Directorate Compliance
Officer
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44 30-Apr-24 Sustainable
Developmen
t
Coordinator
Legal
Services
Review of
Dogs Local
Law
Local laws are required to be
reviewed every 8 years (last
completed 2016)
Local Government
Act 1995
s3.16 8 YearlyPlanning And
Developmen
t Services
-
-
-
-
-
-
-
-
-
-
-
-
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-
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-
Reminder
180 Days
23 30-Mar-25 CEO Coordinator
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Services
Record
Keeping Plan
Review Record Keeping Plan every 5
years and submint to State Records
Commission(last review 2015)
State Records Act
2000
s28 5 YearlyRecords -
-
30-Mar-20
-
-
Catherine
Rose
-
-
Record keeping plan has been reviewed and
submitted to State Records Office
-
-
I370257
-
-
Complete
-
-
20-Mar-20
Reminder
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Ward
Boundary
Review
Review of ward boundaries to be
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Local Government
Act 1995
S2.2 2.3(3)
2.18
Schedule 2.2
8 YearlyGovernance -
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t
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Thoroughfar
es and Public
Places and
Trading Local
Law
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completed 2019)
Local Government
Act 1995
s3.16 8 YearlyPlanning And
Developmen
t Services
21-Jan-19
30-Jun-19
30-Nov-19
Ian McLeod
Emma
Rogers
Ian McLeod
Statewide public notice under s3.16 to be
given in February 2019
Review of local law has commenced. Council
report planned for 28/8/2019 OM
Review completed in August 2019
admedment advertised and due to be
adopted by Council in February 2
-
-
OM2019/164
In Progres
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Reminder
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Act 1995
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Developmen
t Services
28-Feb-19
30-Jun-19
30-Nov-19
Ian McLeod
Emma
Rogers
Ian McLeod
Advertising of proposed review of
Cemeneries Local Law is in progress
Review of Local Law in in progress Council
report planned for 28/8/2019 OM.
Review completed in 28 August 2019
admedment advertised and due to be
adopted by Council in Februar
-
-
OM2019/164
In Progres
In Progress
Complete
14-Mar-19
25-Jul-19
28-Aug-19
Reminder
14 Days
26
SHIRE OF AUGUSTA MARGARET RIVER AUDIT AND RISK MANAGEMENT COMMITTEE 11 NOVEMBER 2020
6.2 REPORT ON OAG FOCUS AUDIT
Attachment 1 – Western Australian Auditor General’s report “Management of Supplier Master Files” March 2019
27
Report 16: March 2019
Western Australian Auditor General’s Report
Management of Supplier Master Files
28
Office of the Auditor General Western Australia 7th Floor Albert Facey House 469 Wellington Street, Perth Mail to: Perth BC, PO Box 8489 PERTH WA 6849 T: 08 6557 7500 F: 08 6557 7600 E: [email protected] W: www.audit.wa.gov.au National Relay Service TTY: 13 36 77 (to assist people with hearing and voice impairment) We can deliver this report in an alternative format for those with visual impairment. © 2019 Office of the Auditor General Western Australia. All rights reserved. This material may be reproduced in whole or in part provided the source is acknowledged. ISSN: 2200-1913 (Print) ISSN: 2200-1921 (Online)
29
WESTERN AUSTRALIAN AUDITOR GENERAL’S REPORT
Management of Supplier Master Files
Report 16 March 2019
30
THE PRESIDENT THE SPEAKER LEGISLATIVE COUNCIL LEGISLATIVE ASSEMBLY MANAGEMENT OF SUPPLIER MASTER FILES
This report has been prepared for submission to Parliament under the provisions of section 25 of the Auditor General Act 2006.
This focus area audit assessed whether 5 state and 5 local government entities had suitable policies, procedures and controls for the management of supplier master files, to promote effective payment processes.
I wish to acknowledge the cooperation of the staff at the entities included in this audit.
CAROLINE SPENCER AUDITOR GENERAL 7 March 2019
31
Management of Supplier Master Files | 3
Contents Auditor General’s overview ......................................................................................... 4
Executive Summary .................................................................................................... 5
Background ..................................................................................................................... 5
Conclusion ...................................................................................................................... 5
What we did .................................................................................................................... 5
What did we find? ....................................................................................................... 7
Most entities need to improve their policies and procedures .......................................... 7
Entities need better controls over creation and amendment of supplier records ............ 7
Most entities need to improve the management of their supplier master files ................ 8
Most entities need to formally monitor compliance with their policies on a periodic basis ........................................................................................................................................ 8
Conflicts of interest were not declared or effectively managed at 3 entities ................... 9
Recommendations ........................................................................................................ 10
Response from entities ................................................................................................. 11
Appendix 1: Better practice principles ...................................................................... 12
32
4 | Western Australian Auditor General
Auditor General’s overview Almost a year on from our first local government focus area audit report, I am pleased to present this Management of Supplier Master Files report which looks into state and local government entities.
Controls prevent things going wrong and are particularly important in financial management processes, where there is an inherent risk of financial misappropriation.
Our focus area audits, such as this one, look at a diverse range of entities and highlight improvement opportunities across key aspects of financial management controls.
These narrow scope audits can be considered as ‘hygiene’ audits as they give an indication of the health of financial management control, in this instance for both local and state government sectors.
We conduct these audits as an extension of our annual financial audits, using more detailed testing than is required for forming our financial audit opinions.
Importantly, the findings of these audits are likely representative of issues in other government entities that were not part of our sample. I encourage all entities, and not just those audited, to periodically assess themselves against these risks and controls on an ongoing basis. Our better practice checklist at Appendix 1 has been designed to assist entities to run their own hygiene checks.
Fostering understanding about the importance of strong internal control frameworks, around not only the management of supplier master files, but also areas such as procurement, information system security, and regulatory functions, will continue to be a priority in my future work.
33
Management of Supplier Master Files | 5
Executive Summary Background In 2017-18, the Western Australian public sector paid a total of $23 billion in operating expenses, and services and contracts. In 2016-17 local government entities reported over $4 billion in expenditure. The vast majority of these payments were made through accounts payable systems that rely on the accuracy of information in supplier master files. The supplier master file is a central, comprehensive file that holds information about suppliers; including method of payment, bank account details, ABN and contact details. To ensure payments are correctly made, this information needs to be valid and complete. Changes made to the supplier master file are typically varied and may include adding new or deleting redundant suppliers, changing contact or bank account details, and variations to payment frequency. Well publicised instances of fraud that have occurred in the past across Australia, and payment errors reported from our audits, demonstrate the importance of adequate control processes over changes to this information. We previously performed this audit in 2012, for a sample of 8 state government entities. In that audit, we reported the need for those entities to improve their monitoring and review of supplier master files, and 3 needed to improve their policies and procedures for managing supplier master files.
Conclusion Most of the 10 entities we audited did not have comprehensive policies or procedures, which resulted in a lack of formal monitoring and review of their supplier master files. More than half the entities had weaknesses in controls over creation or amendment of their supplier records. In addition, at 3 entities, some suppliers were owned by or related to employees and the entities did not adequately manage these conflicts of interest processes.
What we did The focus of this audit was to assess whether entities had suitable policies, procedures and controls for the management of supplier master files, to promote effective payment processes. We assessed the policies and practices at 10 state and local government entities of varying sizes over a 9-month period from 1 January to 30 September 2018. We used the following lines of inquiry: 1. Do entities have appropriate policies, procedures and controls over the creation and
management of their supplier master file used in the payment process? 2. Do entities effectively implement these policies, procedures and controls? 3. Is the supplier master file operating to promote effective accounts payable processes,
and reduce the risk of fraud, duplicate payments and other errors? We tested 2,395 out of total 150,386 supplier records across 10 entities to assess if policies, procedures and controls over the supplier master files were followed, and promoted effective accounts payable processes. We also assessed how well entities managed conflict of interest in circumstances where entities procured from suppliers which were either owned by or related to their employees.
34
6 | Western Australian Auditor General
We conducted this audit under section 18 of the Auditor General Act 2006 and in accordance with Australian Auditing and Assurance Standards.
The following 5 state and 5 local government entities were included in this audit:
Entities City of Perth City of Belmont City of Busselton City of Gosnells Department of Finance Department of the Premier and Cabinet Insurance Commission of Western Australia Public Trustee Shire of Augusta-Margaret River WorkCover Western Australia
35
Management of Supplier Master Files | 7
What did we find? WorkCover and the Insurance Commission displayed good policies, practices and controls. The other 8 entities need to improve various aspects of their policies and practices, in particular, management and monitoring of their supplier master files.
Most entities need to improve their policies and procedures Sound policies and procedures help ensure that only authorised additions and changes are made to supplier master file information, and that information is accurately recorded in a consistent manner, avoiding duplicate entries.
We found that only the Insurance Commission, WorkCover and City of Gosnells had good policies and procedures featuring all the essential guidance for employees. Although the remaining 7 entities did have policies and procedures, they provided limited guidance and had the following deficiencies:
• The policies of the 7 entities did not require regular review of their supplier master files to ensure employees’ compliance, validity, and completeness of the supplier records. These policies were also silent on consistent application of naming conventions when a new supplier record is created. This is important, to avoid the same supplier being created under multiple names.
• The policies of 5 entities did not require regular review of their supplier master files to identify and deactivate redundant supplier records, for example suppliers not used for more than 2 years.
• Three entities did not require recording of the reason for amendments to supplier records.
• Policies at 3 entities did not require independent review of the new supplier records created or amendments to existing supplier records. Independent review is a key control against unauthorised additions or amendments. At 2 of these entities, policies were also silent on retaining documentary evidence to support creation or amendment of supplier records.
Entities need better controls over creation and amendment of supplier records We tested 425 newly created and existing supplier records amended from 1 January to 30 September 2018. Our objective was to assess if the internal controls implemented around creation and amendment of supplier records were appropriate and operating effectively.
The Department of Finance, Department of the Premier and Cabinet, Insurance Commission, and WorkCover demonstrated good controls over creation and amendment of supplier records. The common control deficiencies found at the other 6 entities included:
• At City of Busselton, new supplier records were created, and existing supplier records amended without an independent review. In addition, employees with the ability to create or amend supplier records could also authorise payments to suppliers. Where possible, staff who authorise payments should not also make changes to the supplier master file. At City of Belmont and City of Perth, independent review of master file updates was undertaken only on a ‘spot check’ basis and was limited to checking supplier bank details.
36
8 | Western Australian Auditor General
• At City of Gosnells, 44 of the 52 created and amended supplier records we tested had not been independently reviewed. At the Shire of Augusta-Margaret River, 30 of the 40 created and amended supplier records we tested were not independently reviewed.
• At the Public Trustee, 12 of 50, and at City of Gosnells 43 of 52 amendments to supplier records were made without confirming the changes with suppliers. This increases the risk of fraudulent changes passing undetected.
• At the Public Trustee and City of Perth, 37 and 12 supplier records respectively were created or amended by employees who were not authorised to do so.
• At the City of Gosnells, no documented evidence was available for 3 out of 52 supplier records created or amended.
Although we did not identify any fraudulent or erroneous transactions, the above control weaknesses increase the risk of incorrect or invalid suppliers being recorded in supplier master files. This could result in incorrect, duplicate or fraudulent payments. Also, if relevant evidence is not documented or readily available, it could be difficult for management to confirm the validity of newly created supplier records or changes to existing supplier records.
Most entities need to improve the management of their supplier master files We reviewed the supplier master file databases for all the entities in our sample as at 30 September 2018. Our aim was to assess if the supplier master files were well managed, and were operating to promote effective accounts payable processes and reduce the risk of fraud and errors.
Only the Department of the Premier and Cabinet, Insurance Commission, and WorkCover were appropriately managing their supplier master files. The common findings at the other 7 entities were:
• Six entities had a total of 9,321 supplier records with missing information, including suppliers’ bank details, ABN, address or contact details. Completeness of supplier records is essential to enable effective processing.
• Seven entities had a total of 79,107 active supplier records unused for more than 2 years. Although there may have been reasons for retaining some of these records, there was no evidence that management had identified a reason. Lack of timely clean-up or deactivation of redundant supplier records makes ongoing monitoring and review of supplier master files difficult.
• We tested 1,311 potential duplicate records and confirmed that 93 of these were duplicate supplier records, at 6 entities. These duplications were mainly due to suppliers either changing business names or bank details, but the entities did not delete or deactivate the redundant supplier records. Two of these entities also had 71 records with incorrect bank details or ABNs. Duplicate or incorrect supplier records may result in duplicate payments.
Most entities need to formally monitor compliance with their policies on a periodic basis The Department of Finance, Insurance Commission, and WorkCover were formally monitoring their supplier master files.
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Management of Supplier Master Files | 9
Periodic review enables management to detect non-compliance with policies, remediate invalid, incomplete and obsolete supplier records, and reduce the likelihood of fraud or errors.
Conflicts of interest were not declared or effectively managed at 3 entities Contrary to management’s policies, conflicts of interest were not declared by 2 employees at the Department of the Premier and Cabinet, and 6 employees at the Shire of Augusta-Margaret River who owned, or whose family members owned the suppliers that their entity was procuring from. These potential conflicts of interests involved 14 and 29 transactions undertaken by the respective entities between April 2017 and September 2018 totalling $41,383. The purchases included fencing, cleaning, fitness, carpentry and childcare services. We however confirmed that these employees did not approve any purchases from or payments to these suppliers.
Lack of appropriate disclosure and effective management of actual, potential or perceived conflicts of interest may undermine a fair and impartial procurement process, resulting in value for money not being achieved. Even if not involved in procurement or payment authorisation, it is important that entities’ conflicts management policies are complied with. At the City of Belmont, an employee approved 2 purchase orders totalling $29,193 for payment of program funding to a supplier, of which the employee was a board member. An employee should not be involved in a procurement and purchasing process with a supplier they are related to. We recognise however that the employee had disclosed this conflict of interest, and that the subsequent payments were not approved by that employee. If an employee has a conflict of interest because they are associated with a supplier, in addition to declaring the conflict, they should also not be involved in the process of procuring from that supplier.
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10 | Western Australian Auditor General
Recommendations 1. Entities should:
a. have policies and procedures that include comprehensive guidance for employees to
effectively manage supplier master files
b. ensure that all additions or amendments to supplier master files are subject to a
formal independent review to confirm validity and correctness
c. regularly review employees’ access to create or amend supplier master files to
prevent any unauthorised access, and ensure adequate segregation of duties
between those amending the master files and those approving payments
d. ensure all key information is input at the time of creating a new supplier record
e. apply consistent naming conventions for supplier records, to avoid suppliers being
registered under multiple names
f. ensure that documentary evidence is retained for all additions and amendments to
supplier master files and there is a record of the reason for amending the supplier
record
g. include a requirement for a formal and periodic internal review to identify incomplete,
incorrect, duplicate or redundant supplier records
h. ensure any actual, potential or perceived conflicts of interest are declared and
effectively managed, and that relevant employees are not involved in the procurement
from, or management of supplier records in respect of their related suppliers.
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Management of Supplier Master Files | 11
Response from entities Entities in our sample generally accepted the recommendations and confirmed that where relevant, they either have amended policies and practices or will improve management of their supplier master files.
The City of Perth advised that the amendments made to 12 supplier records by employees who were not authorised to do so, were minor administration changes to the supplier file and did not impact the core supplier details.
The City of Busselton advised that it has implemented independent review of supplier master file updates.
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12 | Western Australian Auditor General
Appendix 1: Better practice principles The following table shows control principles on which our audit focused. They cover a number of key supplier master file practices and controls, and are not intended as an exhaustive list.
Supplier master files framework
Focus area What we expected to see:
Policy Policies and procedures
• Policies and procedures include comprehensive guidance for employees to effectively manage supplier master files.
• Policies and procedures are regularly reviewed and updated. Creation / amendments of master files
Access to master files
• Entities regularly review employees’ access to create or amend supplier master files to reduce the risk of unauthorised changes.
Creation • Staff consistently apply naming conventions for supplier records, to avoid suppliers being registered under multiple names.
• All key information is input at the time of creating a new supplier record.
Amendments • Documentary evidence is maintained to support the changes in master files.
• Employee validates changes to supplier details with the supplier (i.e. via phone or formally by writing).
Segregation of duties
• Additions or amendments to supplier master files are independently reviewed.
• Appropriate segregation of duties is established between employees amending the master files and employees approving payments to suppliers.
Recordkeeping • Documentation is retained for all additions and amendments to supplier master files including reasons for amending the supplier details.
Conflict of interest
• Employees declare any actual, potential or perceived conflict of interest.
• Declarations are retained, assessed and conflicts of interest are appropriately addressed.
• Employees with conflicts of interest abstain from the procurement process or managing records of the suppliers they are related to.
Management of master files
Review • Management undertakes formal and periodic review of master files to identify incomplete, incorrect, duplicate or redundant supplier records.
• Weaknesses identified are communicated to the relevant stakeholders and remediating actions are promptly undertaken.
• The outcome of the review is presented to the audit committee.
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Auditor General’s Reports
Report number Reports Date tabled
15 Audit Results Report – Annual 2017-18 Financial Audits of Local Government Entities 7 March 2019
14 Opinions on Ministerial Notifications 13 February 2019
13 Opinion on Ministerial Notification 23 January 2019
12 Managing Disruptive Behaviour in Public Housing 20 December 2018
11 Opinions on Ministerial Notifications 20 December 2018
10 Opinions on Ministerial Notifications 18 December 2018
9 Treatment Services for People with Methamphetamine Dependence 18 December 2018
8 Opinions on Ministerial Notifications 10 December 2018
7 Audit Results Report – Annual 2017-18 Financial Audits of State Government Entities 8 November 2018
6 Opinion on Ministerial Notification 31 October 2018
5 Local Government Procurement 11 October 2018
4 Opinions on Ministerial Notifications 30 August 2018
3 Implementation of the GovNext-ICT Program 30 August 2018
2 Young People Leaving Care 22 August 2018
1 Information Systems Audit Report 2018 21 August 2018
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SHIRE OF AUGUSTA MARGARET RIVER AUDIT AND RISK MANAGEMENT COMMITTEE 11 NOVEMBER 2020
6.3 RISK MANAGEMENT UPDATE – OCTOBER 2020
Attachment 1 – Hierarchy flowchart of the Shire’s Risk Management Framework
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HIERARCHICAL FLOWCHART OF THE SHIRE’S RISK MANAGEMENT FRAMEWORK
Local Government Regulations and Australian
Standards
Shire's Risk Management PolicyObjective: Shire will use a risk
managment framework to identify evaluate, treat and monitor risk
Risk Managment Framework
Shire Document, detailing procedures roles and
responsibilities
1st line of defenceDirectortes/Bus units
Need to identify, manage and 'own' risk in their area
of responsibility
2nd Line of defenceRisk Management Officer
monitors and evaluates via the risk dashboard
RISK DASHBOARDwith 14 Risk Profiles
ELTRecieve quarterley
dashboard report and endorse/implement
controls
ARMCNotes controls endorsed by
ELT- see instrument of
appointment
3rd line of defenceInternal and external audits
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