NAMBUCCA SHIRE COUNCIL

 

General Purpose Committee - 17 February 2010

 

.

 

AGENDA?????????????????????????????????????????????????????????????????????????????????????????????????? Page

 

1??????? APOLOGIES

2??????? DISCLOSURE OF INTEREST

3??????? General Manager Report

8.1???? Quarterly Performance Review - 31 December 2009

8.2???? Review of Organisation Structure

8.3???? Risk Management and Fraud and Corruption Prevention

8.4???? Draft Management Plan (Part 1) 20 Year Community Strategic Plan 2010/2030

4??????? Director Engineering Services Report

9.1???? E J Biffin Playing Fields - Review of Plan of Management

9.2???? DA 2008/043 - Woolworths Site, Macksville

9.3???? Rural Fire Service - Annual Budget 2010/2011

9.4???? Policy Review - Memorials on Council Controlled Land

9.5???? Policy Review - Access of Vehicles on Beaches ????

 

 

Time

Description

Where

OS/CC

Item No

Page No

08.30-9.00

Policy Review:

?????? Memorials on Public Land

?????? Vehicles on Beaches

 

CC

9.4

9.5

105

112

9.00 - 9.20

Draft Management Plan(Part 1) 20 Year

CC

8.4

77

9.30

Woolworths Site Inspection

OS

9.2

89

10.15

Morning Tea

 

 

 

10.45- 11.15

Risk Management/Fraud and Corruption Prevention

CC

8.3

19

11.15-11.30

EJ Biffen Playing Fields Review of Plan of Management

 

CC

9.1

80

11.30-11.45

Rural Fire Service Annual Budget

CC

9.3

91

12.00

Lunch

CC

 

 

12.30 - 1.00

Review of Organisation Structure

CC

8.2

6

1.00 - 1.30

Quarterly Performance Review

CC

8.1

4

 

 

 


NAMBUCCA SHIRE COUNCIL

 

 

DISCLOSURE OF INTEREST AT MEETINGS

 

 

Name of Meeting:

 

Meeting Date:

 

Item/Report Number:

 

Item/Report Title:

 

 

 

I

 

declare the following interest:

????????? (name)

 

 

 

 

Pecuniary ? must leave chamber, take no part in discussion and voting.

 

 

 

Non Pecuniary ? Significant Conflict ? Recommended that Councillor/Member leaves chamber, takes no part in discussion or voting.

 

 

Non-Pecuniary ? Less Significant Conflict ? Councillor/Member may choose to remain in Chamber and participate in discussion and voting.

 

For the reason that

 

 

 

 

 

 

Signed

 

Date

 

 

 

 

 

Council?s Email Address ? council@nambucca.nsw.gov.au

 

Council?s Facsimile Number ? (02) 6568 2201

 

(Instructions and definitions are provided on the next page).

 


Definitions

 

(Local Government Act and Code of Conduct)

 

 

Pecuniary ? An interest that a person has in a matter because of a reasonable likelihood or expectation of appreciable financial gain or loss to the person or another person with whom the person is associated.

(Local Government Act, 1993 section 442 and 443)

 

A Councillor or other member of a Council Committee who is present at a meeting and has a pecuniary interest in any matter which is being considered must disclose the nature of that interest to the meeting as soon as practicable.

 

The Council or other member must not take part in the consideration or discussion on the matter and must not vote on any question relating to that matter. (Section 451).

 

 

Non-pecuniary ? A private or personal interest the council official has that does not amount to a pecuniary interest as defined in the Act (for example; a friendship, membership of an association, society or trade union or involvement or interest in an activity and may include an interest of a financial nature).

 

If you have declared a non-pecuniary conflict of interest you have a broad range of options for managing the conflict.? The option you choose will depend on an assessment of the circumstances of the matter, the nature of your interest and the significance of the issue being dealt with.? You must deal with a non-pecuniary conflict of interest in at least one of these ways.

 

?        It may be appropriate that no action is taken where the potential for conflict is minimal.? However, council officials should consider providing an explanation of why they consider a conflict does not exist.

?        Limit involvement if practical (for example, participate in discussion but not in decision making or visa-versa).? Care needs to be taken when exercising this option.

?        Remove the source of the conflict (for example, relinquishing or divesting the personal interest that creates the conflict or reallocating the conflicting duties to another officer).

?        Have no involvement by absenting yourself from and not taking part in any debate or voting on the issue as if the provisions in section 451(2) of the Act apply (particularly if you have a significant non-pecuniary conflict of interest).

 

??????? ?


General Purpose Committee

17 February 2010

General Manager's Report

ITEM 8.1????? SF820????????????? 170210???????? Quarterly Performance Review - 31 December 2009

 

AUTHOR/ENQUIRIES:???? Lorraine Hemsworth, Executive Assistant ????????

 

Summary:

 

In accordance with the provisions of Section 407 of the Local Government Act 1993 I wish to report the extent to which the performance targets set in Councils 2009/2029 Management Plan have been achieved.? Report is circularised for your information.

 

 

Recommendation:

 

That Council note the extent to which the Performance Targets have been achieved for the quarter to 31 December 2009.

 

 

 

 

 

Attachments:

1View

?- Circularised document - Quarterly Performance Review - 31 December 2009

 

?

?


General Purpose Committee - 17 February 2010

Quarterly Performance Review - 31 December 2009

 

 

 

 

 

Placeholder for Attachment 1

 

 

 

Quarterly Performance Review - 31 December 2009

 

 

 

Circularised document - Quarterly Performance Review - 31 December 2009

 

??Pages

 

?


General Purpose Committee

17 February 2010

General Manager's Report

ITEM 8.2????? SF1456??????????? 170210???????? Review of Organisation Structure

 

AUTHOR/ENQUIRIES:???? Michael Coulter, General Manager ????????

 

Summary:

 

In 2009 it was decided to review the organisation structure annually and in conjunction with the preparation of the Management Plan.? On 1 December 2009 the Manager Human Resources sought the views of all Councillors and staff on the organisation structure and requested that submissions highlight benefits to Council.

 

Fourteen (14) submissions have now been received which are included in the report.? In total the submissions seek the appointment of an additional 9.6 equivalent full time staff (EFT) at a cost in year 1 of approximately $578,800.? This is equivalent to about a 7% rate increase and whilst it may be desirable it is also unaffordable.? Subject to funding, the report recommends priorities for additional staff resources in 2010/2011 as well as an amended organisation chart.

 

 

Recommendation:

 

1??????? Subject to funding, the priorities for additional staff resources in 2010/2011 are:

 

a??????? $28,300 for the replacement of the customer service officer (technical) 3 days per week position in Environment and Planning

 

b??????? $47,400 for a part time qualified engineer (3 days/week), possibly as a job share with another Council, to deal with traffic management and individual projects concerning the estuary and grant funded projects generally.

 

c??????? $30,500 for a trainee in Information Technology

 

2??????? That the proposal to incorporate the town services attendants with the waste section and to split the functional responsibility for the Works Section between the Senior Overseer and the Overseer?s Assistant be the subject of consultation with affected staff and their union representatives and be the subject of a further report to Council.

 

3??????? In the event that the Manager Information Technology retires in 2010/2011 that funding be provided via a quarterly review for a two to three month overlap for his replacement.

 

4??????? The amended organisation chart be adopted with determination of additional staff resources in accordance with the priorities identified in 1. above to be made as part of the budget process.

 

 

OPTIONS:

 

Council has many possible options in reviewing its organisation structure.? If it is assumed that Council?s operating costs and total full time equivalent staff should only be subject to marginal change from year to year, then the options are much more limited.? The additional funded staff identified in the submissions and their approximate annual cost is listed in the following table.? The costs include salary, superannuation at 9% and use of a motor vehicle where applicable.

 

Director Corporate Services?????????????????????????????????????????????????????????????????????????? $130,0001

Customer Service Officer in Environment & Planning (3 days/week)????????????????? $28,300

Trainees in water and sewerage operations x 2?????????????????????????????????????????????? $61,0002

Town Planner?????????????????????????????????????????????????????????????????????????????????????????????? $79,0003

Financial Administration Position?????????????????????????????????????????????????????????????????? $42,000

Traffic or Project Engineer?????????????????????????????????????????????????????????????????? $79,0004

IT Trainee??????????????????????????????????????????????????????????????????????????????????????????????????? $30,5005

Waste Services Supervisor?????????????????????????????????????????????????????????????????????????? $71,0006

Tourism Co-ordinator (2 days/week)?????????????????????????????????????????????????????????????? $18,000

Part time Natural Resources Officer?????????????????????????????????????????????????????????????? $40,000

 

TOTAL + 9.6 full time equivalent staff???????????????????????????????????????????????????????????? $578,800

 

1? Includes 9% superannuation plus private use of a vehicle at an estimated cost of $12,000 per annum.? Should the incumbent be a member of the defined benefits scheme the total package cost could be substantially more.

2? Relevant to year 1 only.? In subsequent years the cost of trainees will increase

3? Includes 9% superannuation plus a lease back motor vehicle at an estimated net cost to Council of $8,000 per annum.? Recent recruitment indicates Council would be unlikely to attract a qualified town planner with some experience without offering a lease back motor vehicle as part of the package.

4? Includes 9% superannuation plus a lease back motor vehicle at an estimated net cost to Council of $8,000 per annum.? Recent recruitment indicates this would be the minimum package to attract a qualified Engineer with some experience.

5? Relevant to year 1 only.? In subsequent years the cost of the trainee will increase.

6? Includes use of a Council utility for travel to and from work.

 

The total identified cost in year 1 of $578,800 is equivalent to about a 7% rate increase and whilst it may be desirable it is also unaffordable.

 

 

DISCUSSION:

 

In 2009 it was decided to review the organisation structure annually and in conjunction with the preparation of the Management Plan.? On 1 December 2009 the Manager Human Resources sought the views of all Councillors and staff on the organisation structure and requested that submissions highlight benefits to Council.

 

The following summarises and comments on each of the submissions which have been received.

 

Verbal Submission from Finance Officer ? Document No. 31186/2009 & 31494/2009

 

Recommends a position title change as follows:

 

?Finance Officer? to ?Finance Officer ? Revenue? (Helen Searle?s position)

?Finance Officer Revenue? to ?Finance Officer - Water (Clint Leckie?s position)

 

Council also has a Finance Officer ? Expenditure (Jeneen Fuller?s position).? The recommended changes are supported as they better reflect the respective functions of the positions.

 

 

Manager Human Resources ? Document No. 32212/2009

 

?Position of Tourism Co-ordinator reports to GM?.

 

Following a review of the workload of the Manager Business Development the reporting arrangements for the position were changed in 2009.

 

However the Manager Business Development is now in a position to resume responsibility for the operations of the Visitor Information Centre and the Tourism Co-ordinator on the understanding that he cannot commit significant time to supporting the marketing activities of Nambucca Valley Tourism Inc.

 

 

Executive Assistant ? Environment & Planning ? Document No. 32221/2009

 

The submission seeks replacement of the Customer Service Officer (Technical) 3 days per week position.? The submission argues that to not retain this position has caused increased workloads to other administrative support staff and the cashier, and also to technical staff who can be required to respond to general enquiries would could otherwise be dealt with by this position.

 

In September 2009 when the incumbent resigned, the position was not replaced.? A roster arrangement was put in place whereby staff working in Environment and Planning attend to enquiries on demand.? A buzzer has been located on the counter for customers to summon assistance.

 

Notwithstanding the buzzer, customers often believe the Cashier is responsible for attending to all enquiries and will wait until they are free.? Close to rates and charges deadlines there can be queue of people waiting for the Cashier.? This misunderstanding has been the source of one written complaint.

 

One option may be to relocate an administrative staff member to the counter either exclusively or on a rostered arrangement but there is concern that this would result in administrative tasks falling behind and telephones not being answered.

 

 

Water & Sewerage Technical Officer ? Document No. 32403/2009

 

Refers to a conversation with the Manager Water and Sewerage confirming he will continue to report directly to the Manager.? Also includes the following comment:

 

?I also believe 2 trainees should be added one in water and one sewer both completing cert 3 in Water operations.

 

The benefits to council would include an enhanced public image of council by supporting our youth; council would receive funding through federal government grants and finally help our organization with the upcoming retirements from the water and sewer crew?.

 

The Manager?s span of control is such that the Water and Sewerage Technical Officer can be a direct report.

 

The comments made in relation to the ageing workforce as well as the difficulty in recruiting skilled staff are supported.? It is agreed that Council should have an increased focus on trainees as a means of responding to both an ageing workforce and a skills shortage.? Civil engineering and surveying are two professional disciplines where Council has an ageing workforce and from experience will have great difficulty in recruiting new staff.

 

 

Director Environment & Planning ? Document No. 32463/2009

 

The Director is seeking the replacement of the 3 day per week customer service staff member referred to in the submission by the Executive Assistant above.? He is also seeking the replacement of the town planning position.? The position was not filled when the incumbent resigned in June 2009.

 

The Department?s statistics for the year ended 31 December 2009 indicate that development activity is still ?flat? and that the proportion of complying development handled by private certifiers is increasing.? The key statistics reported to Council?s meeting on 21 January 2010 are as follows:

 

Development Application Statistics

 

The figures show a 4% decrease in the number of DA?s received to December 2009 with construction costs decreasing by 263.11% compared to the same period in 2008/2009.

 

 

Construction Costs

No. of applications received

Applications Approved (DA & CD)

July 2008 ? Dec 2008

$35,608,862

104

107

July 2009 ? Dec 2009

$9,806,746

100

114

 

In terms of DA processing times, the following table compares 2008 with 2009.? It can be seen that in 2009, the average age of DA?s exceeded those for the equivalent month in 2008 on 5 occasions whilst there were 6 occasions when processing times were better in 2009.? There was one month (February) when the average age of DA?s was the same in both years.? Four of the five occasions in 2009 when processing times were worse than 2008, were post June 2009 when an existing planning position was not replaced.? This may have been a factor although a full analysis would require a breakdown of DA?s received and approved for each month and an assessment of whether there were any particular reasons outside the control of staff.

 

The following tables which show development applications received each year between 2001 and 2009 by number and value also demonstrates how flat the property market is at the moment.

 

 

 

 

 

 

The following table indicates the increasing proportion of privately certified complying development compared to Council certified complying development.

 

 

In summary the statistics suggest that Development and Environment Services is managing its functional responsibilities, albeit in a very subdued property market.? Council needs to recognise that this may change and be prepared to recruit additional staff when this occurs.? The additional staffing costs would be offset to some extent by increased revenue from fees and charges.

 

 

Councillor Janet Court? - Document No. 32467/2009

 

Councillor Court seeks the reinstatement of the position of Director Corporate Services.? She also recommends that one Executive Assistant report to the General Manager and the other to the Director Corporate Services; and that the HR section (including the Manager, Safety and Risk Officer and Payroll Officer) come under the General Manager as part of Executive Services.

 

It is agreed that the position of Director Corporate Services (and particularly the previous incumbent) provided the organisation with important experience and skills in local government administration.? However there is an opportunity cost in replacing the position and the assessment needs to be made against the forgone opportunities.

 

 

Manager Financial Services (on behalf of the Finance Section ? Document No. 32940/2009U

 

?DCS position reinstatement

 

Workload has not improved.? The Trainee Accountant is developing well and will be a great asset and contributor to easing operational workload dilemmas that have developed primarily in relation to Council?s standard growth ie, increases in creditor, debtor and rate accounts.

 

It is envisaged that the higher level managerial workload will continue as is under the present arrangements which presently, has put undue pressure on these positions.? This has been shown by the stretched effort that has been required to meet statutory deadlines albeit some have been missed.? The importance of the strategic contribution of these positions is also being compromised by the workload.

 

The finance section would like consideration to be given to the reinstatement of the DCS position or inclusion of a financial administration position that would relieve the corporate, legal and reporting workload that were previously provided by the DCS and SAO positions.

 

More detailed info can be provided if required.

 

Relief finance position

 

Based on the growth mentioned earlier it is envisaged that the casual position that is currently being utilised will become more permanent.? Therefore it is requested that a position titled Relief ? Finance be included in the structure under the Accountant.?

 

The DCS position is discussed elsewhere in the report.? It is agreed that workload in the Finance Section and for the General Manager has increased since the non-replacement of the Director?s position.? The Finance Section is doing a good job in meeting statutory deadlines and reporting requirements.? The Council?s accounts are paid on time and there is persistence in following up slow payers.? There is regular management reporting of the budget to all staff with budget responsibilities.? Council?s Auditor continues to be satisfied with the accounts.? It is agreed that over time the trainee position will become an important contributor to easing existing workloads.

 

 

Manager Technical Services ? Document No. 32993/2009

 

?ADDITIONAL TRAFFIC ENGINEER OR PROJECT ENGINEER

 

Reasons

 

1??????? The addition of a Traffic Engineer or Project Engineer will take the pressure off existing staff members attempting to cope with additional workloads.

 

2??????? There was up until say 3 years ago a Manager of Traffic with considerable experience whose duties have been delegated to other staff members.

 

3??????? Council has been successful in gaining a number of grants and stimulus packages ? which is great.? However a number of these grants are for projects that have to be administered, managed and designed by a section that is already trying to cope with demands from the floods, outstanding works and the regular works program.? It should be noted that Council has charged (and recouped) a large amount of time to Natural Disaster funding and works in kind to the aforementioned floods/projects which equates to $$$ savings on wages.

 

4??????? The biggest benefit to council, with the addition of one of the above-mentioned positions is that council can be in a position to be proactive with projects and the works program rather than reactive ie, council now accepts funding for projects without really knowing all the obstacles that lie ahead.? So that the big picture is clear ? designs and investigations should be in place prior to any grant or council funding requests/applications, eventual savings will occur with the potential for unknown costs reduced which in turn will enable funds to be directed where they are intended.?

 

The section which is led by the Manager Technical Services comprises an Engineering Designer, Surveyor and a Trainee Civil Engineer.? As indicated in the submission it has performed well in responding to the work arising out of an unprecedented 5 natural disasters in one year as well as a large federal government grants program.? However the Manager Technical Services cannot properly respond to all of the position?s responsibilities which include the Local Traffic Committee, commenting on new DA?s and all engineering design.

 

As a consequence of the skills shortage, the recruitment of civil engineers, whether they specialise in traffic, road and bridge construction or water and sewerage has proven to be the most difficult of all of the professional disciplines.

 

Council is also very fortunate to have a registered surveyor, which allows the registration of plans of subdivision for road openings, easements or property development without referral to an outside consultant, saving many thousands of dollars a year and considerable time.? The volume of Council initiated subdivision will increase over time and the retention of a registered surveyor should be a workforce planning objective.

 

And despite the undoubted enthusiasm and vitality of the incumbents, many of the key professional staff in Engineering Services will be approaching retirement age over the next 5 years.? Maintaining a skills base in Engineering Services in anticipation of these baby boomer retirees is an important objective.

 

 

Manager Information Technology ? Document No. 32994/2009

 

?The draft Information Technology Strategic Plan adopted by Council on 2/4/2009 identified as an issue that there is inadequate staffing in IT and the strategy to deal with this was to consider an IT trainee position.

 

As this plan was adopted by Council I now request that the IT trainee position be added to the organizational structure as part of the review process to be undertaken early 2010.

 

I have repeatedly mentioned to the General Manager that to maintain the IT service level expected by end users we must have adequate resources.

 

IT has limped along with only two (2) staff for 20 years and given the significant increase in additional software applications installed recently, the significant increase in additional hardware components, the impact of rolling out new corporate software and the ever increasing reliance on system stability it is recommended that a trainee position be added to the organisation structure and be filled early 2010.

 

Given my workload and the many additional tasks required as a consequence of the installation of Authority I have not had sufficient time to prepare a more detailed report?.

 

The matter has been discussed with the Manager Information Technology.? He has supplied a list of jobs which have not been attended to because of the existing workload which is at a peak due to the installation of the new Authority software from Civica.? The existing jobs which have not been attended to include an outstanding investigation and report on disaster recovery; investigation of shadow protect as a solution for quick backup recovery; investigation of the upgrade of Microsoft Office (Council uses a 2003 version); roll out of approximately 20 new PC?s; and the review of Council?s communication contract.

 

The proposed trainee would release the Manager?s time from the more mundane tasks of PC roll out and maintenance as well as the day to day management of communications to allow more time to be spent on important strategic tasks.? However initially there will be considerable mentoring required which may actually reduce the time the Manager has for operational tasks.

 

The Manager Information Technology is also a key professional staff member approaching retirement age.? It would be desirable for Council to fund a significant overlap for his replacement so that the person can become completely familiar with Council?s hardware setup and computer systems before his retirement.

 

 

Manager Water and Sewerage ? Document No. 33007/2009

 

?Jo

 

Just a reminder the Water Supply Technical Officer will be under the Manager, not the Engineer?.

 

Noted above.? The recommended structure makes provision for this.

 

 

Manager Information Technology ? Document No. 33009/2009

 

?I understand some CS staff have put in a submission requesting that the position of Director in Corporate Services be re-instated.? I support any proposal for the re-instatement of this position.

 

I believe that removal of this position has significantly reduced the experience and skill pool that existed in CS.? I have demonstrated that over the last 2 years (approx) we have lost between 20% and 30% of our CS skill base.

 

This impacts on many staff and whilst not that simple to quantify it is evident in that current staff struggle with many of the tasks that they have inherited because of inadequate training, experience and skills.

 

Due to my current workload and expectations of others I am unable to elaborate any further at the moment but would welcome the opportunity to provide more supporting information when time permits.?

 

It is agreed that the position of Director Corporate Services (and particularly the previous incumbent) provides the organisation with important experience and skills in local government administration.? However there is an opportunity cost in replacing the position and the assessment needs to be made against the foregone opportunities.? For example, Council has created the new position of Asset Manager so that it undertake proper financial planning for asset renewal and at the same time comply with the new provisions in the Local Government Act for integrated planning and reporting.

 

The comment also refers to the loss of skills with staff turnover.? This is to some extent inevitable but also undervalues the different skills which new staff members bring to the organisation.? It is not agreed that as a general principle, ?current staff struggle with many of the tasks they have inherited because of inadequate training, experience and skills.?? It is recognised there are some particular work load issues in information technology as a consequence of Council changing corporate software but also the increase in the number and sophistication of software applications.

 

 

 


Director Engineering Services ? Document No. 1858/2010

 

?Organisation Review ? Waste Management

 

A proposal has been developed to combine waste management and town services as a single unit.? This would place ?like? services under common supervision.? It would also allow job rotation and provide better arrangements for staff backup from leave, illness etc.

 

Extra costs would result as follows:

 

1??????? Upgrade Waste Officer to Manager Waste - $3,700 salary plus car included in package.

 

2??????? New position of Waste Services Supervisor - $50,000.?

 

The current structure includes a Waste Management Officer, Waste Supervisor and 2 Attendant/Plant Operators.

 

The submission proposes the transfer of the 5 Town Services Attendants from Works, where they report to the Overseer?s Assistant, to Waste; and the creation of a new Waste Services Supervisor position.

 

In principle there is merit in combining Waste Management and Town Services as a single work group. In the event of unplanned leave there is potential for existing staff to cross over and relieve in other positions. The most significant benefit of the restructure would be as a means to reduce the excessive work load of the Senior Overseer by increasing the role of the Overseer?s Assistant. One means of achieving this would be that the Overseer?s Assistant, free of responsibility for town services, could assume direct responsibility for maintenance type activities (eg bitumen patching, grading etc) whilst the Senior Overseer would focus on capital works.? The precise division of responsibility for outdoor crews would need to be the subject of further consideration.

 

However, it is not agreed the proposed new, additional position of Waste Services Supervisor is required given that there is already a position of Waste Supervisor. Nor is it considered that the new work group would require the appointment of a new Manager. The span of control would be reasonably within the limits of the current supervisory structure of Waste Supervisor and Waste Management Officer. In addition, with the recently increased resources in Town Services from 4 attendants to 5 attendants, there is scope to make one of the positions a leading hand position to share some of the supervisory responsibilities with the two existing supervisory positions in Waste if deemed necessary.

 

In summary there is the opportunity for a significant restructure of the Works section to better balance work loads and responsibilities.? It is envisaged that this could be achieved without the employment of additional staff or the creation of any new Manager?s position.? However there would be significant change to a number of existing positions and under the Local Government Award Council would be obligated to consult with affected staff in terms of their future and also the remuneration of those positions under its salary system.

 

It is proposed that there be further consultation with the affected staff and unions and that the proposal be subject to a further report.

 

 

Tourism Co-ordinator ? Document No. 1862/2010

 

As part of the performance review of Council?s Tourism Co-ordinator undertaken by the General Manager, she requested that it be recorded that her responsibilities and tasks cannot be adequately undertaken in the 21 hours per week she is employed.

 

The Tourism Co-ordinator is doing a great job in co-ordinating the efforts of volunteers in operating the Visitor Information Centre and assisting Nambucca Valley Tourism in promotion and marketing.? Whilst the number of hours the Co-ordinator works per week could be readily increased, Council should not return to a situation where it has defacto responsibility for tourism promotion and marketing with minimal support from the local industry.

 

The limited hours available to the Tourism Co-ordinator is taken into account in her performance review.

 

 

Manager Community and Cultural Services ? Document No. 1864/2010

 

Following the resignation of the Youth Worker ? Aboriginal (28 hrs/week), Council resolved at its meeting on 19 November 2009 to request that the Department of Community Services find a suitable Aboriginal or Community organisation to assume responsibility for auspicing of the Aboriginal Youth Worker under the Aboriginal Child Youth and Family Strategy.? It was also resolved that Council conclude its involvement with this project at the conclusion of the school year 2009 and any remaining funds be returned to the Department of Community Services following an audit of the project costs.

?

Council?s Manager Community and Cultural Services has now negotiated with senior regional staff from the NSW Department of Human Services for the funding to be transferred directly to Bowraville Central School from Council.? The School will take over complete responsibility for the position and as a consequence the position can be removed from Council?s organisation structure.

 

 

Part Time Natural Resources Officer

 

At Council?s meeting on 1 October 2010 it was resolved to investigate opportunities for funding for a part time Natural Resources Officer in a possible alliance with Bellingen Shire Council at no cost and that a report be prepared on the roles and responsibilities of the position.

 

It is noted that the intention of the position was that it be grant funded.? There are no known grant opportunities for the funding of such a position.? However for the sake of completeness the proposed position has been included for consideration.

 

 

Other Recommended Changes to Organisation Structure not Included in the Submissions

 

1??????? The Aboriginal School based Trainee now reports to the Executive Assistant (Lorraine Hemsworth)

2??????? In 2008 Council advertised for the position of GIS Officer as either a full time or part time position (minimum 3 days per week).? This was to maximise the potential field of candidates.? The GIS Officer was appointed as a full time position, but due to family circumstances agreement was reached that the position initially be part time.? The position should be recorded in the organisation structure as a full time position.

3??????? Pool Supervisors/Pool Attendant.? The fixed term appointment for a pool attendant has now ended and the position can be deleted from the organisation structure.

4??????? Grants Officer has been a fixed term appointment as its potential was unknown.? However its success has been such that it should now be made a permanent part time position (21 hours per week).

5??????? Temporary Records Assistant.? In 2009 a library staff member was assigned to undertake file retrieval from the records archive at the Works Depot and to maintain the records in an orderly state.? The period allocated for this was 4 hours per week.? Prior to this record retrieval from the Depot was undertaken by different departments on an ad hoc basis which meant there could be multiple visits in any one day and there was no housekeeping.? Now the Records Assistant is the only person who accesses the archives and retrieves required files on his weekly visit.? Housekeeping has also improved.? It is recommended that this arrangement be reflected in the organisation structure.

6??????? As a consequence of additional responsibilities, the Ranger?s position has been increased from 15 hours/week to 22.5 hours per week.? This should be reflected in the organisation structure.

7??????? Sports Trainee.? The arrangement with NSW Sport and Recreation has now ceased and the position should be deleted from the organisation structure.

8??????? Council received funding under the SWANS project for the employment of a Community Safety Project Officer.? The position which is a fixed term appointment until June 2010, should be added to the organisation structure.

9??????? The Engineering Support Officer (21 hours/week) is shown in the Organisation Structure as a direct report to the Director.? It is recommended that she report to the Director?s Executive Assistant who has sufficient time to co-ordinate the work which is done for other staff members.

10????? STP Operator: decreased from 4 staff to 3 staff

11????? Sewer Attendant: increased from 2 staff to 3 staff.

 

An amended organisation structure chart is a circularised document.? It is not proposed to include unfunded positions on the chart as they will add unnecessary complexity over time.? Positions which have not been replaced, for whatever reason, will always be identifiable by reference to the previous years structure chart.

 

 

CONSULTATION:

 

There has been consultation at MANEX and the report was considered by Council?s Consultative Committee on 9 February 2010.

 

The Consultative Committee resolved that priority be given to the replacement of the Customer Service Officer (Technical) 3 days per week.

 

It was also resolved that the Engineering Services staff meet and report back to the General Manager on the competing alternatives which have been put forward by the staff of that Department.

 

The Engineering staff subsequently met and discussed the opportunities for additional trainees ?v- recruiting trained staff to deal with current workloads.? They believe the current requirement is to address the high workload and therefore proposed the following priorities:

 

1.?? Part time qualified engineer (3 days per week, could share with another Council) to deal with traffic management and individual construction projects.? The Manager of Technical Services cannot adequately manage his design responsibilities, plus comment on incoming development applications plus manage all the day to day matters arising out of the Local Traffic Committee.

 

2.?? Trainee Water/Sewer.? It is likely that when senior members of water and sewer leave their positions they will be filled from within the ranks and the trainee will come in at a lower level in the hierarchy.

 

The Engineering staff consider the following positions as desirable in the future:

 

??? Technical Officer Assets (other than buildings)

??? Additional administrative support for assets and works staff

 

The Engineering staff do not consider that a trainee surveyor is feasible as only full time courses of study are available and there is an additional two years in the workforce to obtain registration.? An additional trainee civil engineer was not considered viable as there is insufficient staff to provide mentoring for two trainees.

 

Kempsey and Bellingen Shire Councils have been asked to advise of their interest, if any, in sharing a qualified engineer.

 

SUSTAINABILITY ASSESSMENT:

 

Environment

 

There are no significant implications for the environment.

 

Social

 

There are no particular social implications.

 

Economic

 

There are no particular economic implications.

 

Risk

 

The report deals with many risks, including the retirement of key staff; the inability to recruit staff in areas of skills shortage; potential exposure in relation to failure to complete strategic IT tasks; and risks to Council?s good reputation for service at its front counter.? There are also risks in not having a Director of Corporate Services as there is less management oversight.

 

 

FINANCIAL IMPLICATIONS:

 

Direct and indirect impact on current and future budgets

 

If all of the recommendations were adopted there would be a cost to Council of $578,800 in year 1 which would increase in subsequent years.

 

Source of fund and any variance to working funds

 

At this stage there is no impact on working funds.

 

Attachments:

1View

?- Circularised Document only

 

??


General Purpose Committee - 17 February 2010

Review of Organisation Structure

 

 

 

Circularised Document

 

Review of Organisation Structure

 

 

 

 

?


General Purpose Committee

17 February 2010

General Manager's Report

ITEM 8.3????? SF1439??????????? 170210???????? Risk Management and Fraud and Corruption Prevention

 

AUTHOR/ENQUIRIES:???? Joanne Hudson, Manager Human Resources ????????

 

Summary:

 

The Promoting Better Practice Review covered a number of different aspects of Council?s governance practices including risk management and fraud and corruption prevention.

 

Specifically, the Review Report makes the following recommendations:

 

????????? Council should conduct a risk assessment across all operational areas to identify the levels of risk exposure that are yet to be addressed (Recommendation 10)

 

????????? Council should prepare a fraud and corruption prevention plan and undertake a fraud risk assessment (Recommendation 12).

 

By way of addressing this recommendation, Council engaged Fraud Prevention and Governance Pty Ltd to undertake a comprehensive risk assessment project with the following key deliverables:

 

????????? Risk Register (including both General Risks and Fraud and Corruption Risks)

????????? Risk Management Policy

????????? Risk Management Plan

????????? Fraud and Corruption Prevention Strategy

 

Drafts of these documents have been prepared in collaboration with key staff and have been revised following comments received from Councillors.

 

 

Recommendation:

 

1??????? That the draft Risk Management Policy, Risk Management Plan, Risk Register and Fraud and Corruption Prevention Strategy be adopted.

 

2??????? That where the Risk Register identifies action plans, progress in relation to implementation be reported to MANEX quarterly.

 

 

OPTIONS:

 

Council can make modifications to the draft documents.

 

 

DISCUSSION:

 

The Promoting Better Practice Review covered a number of different aspects of Council?s governance practices including risk management and fraud and corruption prevention.

 

Specifically, the Review Report makes the following recommendations:

 

????????? Council should conduct a risk assessment across all operational areas to identify the levels of risk exposure that are yet to be addressed (Recommendation 10)

 

????????? Council should prepare a fraud and corruption prevention plan and undertake a fraud risk assessment (Recommendation 12).

 

By way of addressing this recommendation, Council engaged Fraud Prevention and Governance Pty Ltd to undertake a comprehensive risk assessment project with the following key deliverables:

 

????????? Risk Register (including both General Risks and Fraud and Corruption Risks)

????????? Risk Management Policy

????????? Risk Management Plan

????????? Fraud and Corruption Prevention Strategy.

 

Risk Register

 

Consultant Barry Davidow conducted a number of workshops with Council?s management staff and other key staff to identify the key risks (including fraud and corruption risks), the key controls to overcome those risks and the rating of the risks. For the high residual risks identified, action plans to reduce the risks were also recommended by the participants. Councillors were encouraged to provide input by identifying any additional risks, reviewing the ratings and endorsing the action plans.

 

Risk Management Policy

 

It is considered best practice for organisations to have a Risk Management Policy so that people are aware of what is required of them for risk management.

 

Risk Management Plan

 

According to the Australian/New Zealand Standard on Risk Management, a risk management plan is an essential component of risk management in an organisation. The draft Risk Management Plan details the risk management responsibilities, structure and process.

 

The Department of Local Government expects that risk assessments will be undertaken on a regular basis. The risk management standard and other regulators also require risks assessments to be undertaken regularly. The Risk Management Plan will make it far easier for Council to undertake future risk assessments and is an important part of the skills transfer to Council.

 

Fraud and Corruption Prevention Plan

 

A fraud and corruption plan identifies the actions and responsibilities to reduce the risks of fraud and corruption. The Department of Local Government and the Independent Commission Against Corruption consider it essential for Council to have a Fraud and Corruption Prevention Plan.

 

 

CONSULTATION:

 

????????? Senior Management

????????? Key staff from different operational areas

????????? Councillors were given the opportunity to provide input into the documents and comments were received from Councillors Flack and Smyth (refer table below) in relation to the Fraud and Corruption Prevention Strategy.

 

Comments in regard to Fraud and Corruption Prevention Strategy

 

Page

Number

Proposed Changes/Comments/Questions

Councillor

Staff Response

1

?1st dot

remove the word of between ?public? and? ?acting?

Flack

Correction made.

7

?purpose section ? 2nd sentence.

Might be better to state ?It has?? rather than ?we have?? in reference to Council.? Likewise in last line ??ensure that its decisions?.?

Flack

No change. The Strategy is an internal document and use of the words ?we/us? engender a sense of ownership and reinforce individual responsibility.

8

?Managers and Team Leaders

2nd dot

Last sentence refers to oral reports needing to be documents.? Suggest that these should also be signed and dated.? This comment also applies to p11 Managers and Team Leaders 2nd dot point

Flack

Change made.

9

Customer & cmty awareness

Change ?We? to ?Council?

Flack

Sentence changed to ?Awareness should be promoted ?.against the Council..?

11

Section 2

These two sections are word for word from previous section on p8 except for last two dots of the managers and Team Leaders section on p12 .? Is the duplication necessary?

Flack

Section on responsibilities page 8 amended.

14

?unacceptably? rather than ?unacceptable?

Smyth

Correction made.

14

Corruption Risk Assessment

Suggest start with ?Council is? rather than ?We are?

Flack

Changed to ?Council is committed to??

15

4 treat the risks

4th para

The para ?Fraud and Corruption risks assessments have been conducted and are contained in Councils FCRR?? seems unsuitable for a strategy.? It is more of a report statement. The next sentence which refers to frequency of risk assessments is possibly all that is needed here and a reference that results are reported in the FCRR

Flack

Paragraph deleted.

15

Determine consequences

$ amounts to be filled in

Flack

Table amended to the same table as in Risk Management Plan.

15

Determine Consequence Table: Dollar amounts need inclusion and clarification. If this is to be reassessed by CPI increments needs to be stipulated in paragraph above.

Smyth

Table amended to the same table as in Risk Management Plan. Reference to CPI not necessary.

17

2nd dot

Suggest change ?our organisation? to ?Council?

Flack

Change made.

17

3rd dot

Suggest change ?our? to ?the ?

Flack

?Our? deleted.

17

Include mention of S355 Committees

Smyth

Section expanded to include Council delegates.

19

2nd & 3rd dots

Change ?our? to ?the?

Flack

?our? deleted.

19

2nd para

Suggest ?The Council promotes community awareness that fraud and corrupt activities against it are unacceptable.?

Flack

Changed to ?Council promotes community awareness that fraud and corrupt activities against the organisation is unacceptable?

19

3rd & 4th para

?The Council undertakes? rather than ?we undertake? likewise ?The Council encourages? rather than ?we encourage?

Flack

Changed to ?Council promotes/undertakes/ encourages?.

21

Detection systems

Wouldn?t random checks also be applicable and useful?

Flack

Covered under ?regular reviews?.

25

Last line

Do we have an Investigation Project Plan?

Flack

No; sentence deleted.

29

Code of conduct and policies

2nd para

It would be better to state that the CoC is revised regularly rather than putting in the date of the last revision, which would then make the strategy out of date as soon as we undertake the next review of the CoC

Flack

Sentence amended.

29

2nd last para

Change ?our? with ?its?

Flack

No change as the Strategy is an internal document.

 

 

SUSTAINABILITY ASSESSMENT:

 

Environment

 

Relevant risks and control measures identified in documentation.

 

Social

 

Relevant risks and control measures identified in documentation.

 

Economic

 

Relevant risks and control measures identified in documentation.

 

Risk

 

Relevant risks and control measures identified in documentation.

 

 

FINANCIAL IMPLICATIONS:

 

Direct and indirect impact on current and future budgets

 

Budget allocation ???????????????? $12000.00

Final Cost??????????????????????????? $10067.10

Saving ??????????????????????????????? $? 1932.90?????????????????????????????????????????????????????????????????????????????????????????????

Implementation of action plans may require additional funding.

 

Source of fund and any variance to working funds

 

189-000 (Internal Risk Audit) and 190-000 (Fraud and Corruption Prevention)

 

Attachments:

1View

26888/2009 - Draft Policy - Risk Management

 

2View

26942/2009 - Draft Risk Management Plan

 

3View

26950/2009 - Draft Risk Register

 

4View

29007/2009 - Fraud and Corruption Prevention Strategy - February 2010

 

??


General Purpose Committee - 17 February 2010

Risk Management and Fraud and Corruption Prevention

 

 

 

 

 

NAMBUCCA SHIRE COUNCIL

RISK MANAGEMENT POLICY

 

 

 

Function:? Governance

 

 

Adopted:?

Last reviewed:?

 

 

Our Vision

 

Nambucca Valley ~ Living at its best

 

Our Mission Statement

 

?The Nambucca Valley will value and protect its natural environment, maintain its assets and infrastructure and develop opportunities for its people.?

 

 

1????????? Policy objective

 

The aims of this policy are to:

 

?????? emphasise that a formal and systematic approach to managing risk is essential to sound management and good government; and

 

?????? demonstrate Council?s commitment to the integration and maintenance of a formal risk management process to help achieve our strategic and operational objectives.

 

 

2????????? Related Policies and Documents

 

Risk Management Plan

 

Australian/New Zealand Standard 4360:2004 Risk Management

 

HB 436:2004 Risk Management Guidelines, Standards Australia

 

 

3????????? Definitions

 

3.1???? Risk

 

Risk is defined as the chance that something will have an impact on our objectives.

 

 

4????????? Policy statement

 

Risk is inherent in all of Council?s activities. Having a formal and systematic approach to managing those risks is regarded as essential to sound management and good governance. It also helps ensure that the expectations of the public, regulators and other stakeholders are met and that Council?s resources and reputation are protected.

 

Council is therefore committed to the integration and maintenance of a formal risk management process to help achieve our strategic and operational objectives.

 

Our risk management process complies with the Australian/New Zealand Standard Risk Management.

 

The risk management process has the following components:

 

i?????????? Communicating and consulting

ii?????????? Establishing the context

iii????????? Identifying risks

iv????????? Analysing risks

v?????????? Evaluating risks

vi????????? Treating risks

vii???????? Monitoring and reviewing

 

The components and the risk management process are detailed in Council?s Risk Management Plan. Everyone following the Risk Management Plan will help ensure that a consistent, systematic approach is used to manage the risks faced by Council.

 

Risk management is to be embedded in all of Council?s important practices and processes so that it is relevant, effective, efficient and sustained.

 

Responsibilities

 

Managing risk is the personal responsibility of every person in Council.

 

All staff are expected to control the risks in their areas and carry out the principles and procedures of risk management as detailed in the Risk Management Plan. All staff are to communicate honestly on risks and related internal controls, adopting a ?no surprises? approach.

 

Supervisors and managers are to ensure that:

 

i?????????? the risks, other than insignificant risks, in their area have been identified and assessed

ii?????????? appropriate internal controls are implemented and operating to mitigate those risks

iii????????? unacceptably high risks are reported immediately to their managers

iv????????? action plans for dealing with unacceptably high risks are implemented in a timely manner

v?????????? a culture of risk management is in place in their area

vi????????? all of their staff have received training in risk and control management

vii???????? the risk register for their area is reviewed at least annually

viii???????? the Risk Management Plan has been complied with insofar as it applies to them

ix????????? third parties working with their areas are familiar with Council?s risk management practices and internal controls, and comply with them

 

 

 

 

 

---oo0oo---

?


General Purpose Committee - 17 February 2010

Risk Management and Fraud and Corruption Prevention

 

 

 

 

 

NAMBUCCA SHIRE COUNCIL

RISK MANAGEMENT PLAN

 

 

 

Function:? Governance

 

 

Adopted:?

Last reviewed:?

 

 

Our Vision

 

Nambucca Valley ~ Living at its best

 

Our Mission Statement

 

?The Nambucca Valley will value and protect its natural environment, maintain its assets and infrastructure and develop opportunities for its people.?

 

 

 

1??????? Introduction

 

The formal and systematic approach to managing risks as detailed in the Risk Management Plan will help Council comply with:

 

i?????????? the requirements of the Department of Local Government

ii?????????? the requirements of the Australian/New Zealand Standard Risk Management

iii????????? the requirements of the Australian Standard Good Governance Principles

iv????????? legislative requirements, eg occupational health and safety

v?????????? the expectations of residents, ratepayers, the general public and the media

vi????????? the expectations of regulators

vii???????? sound management practices and governance principles

 

Having a formal and systematic approach to risk management is considered integral to an organisation achieving its strategic and operational objectives.

 

?Risk? is defined as the chance that something may occur that may have an impact on our objectives.

 

 

2??????? The Risk Management Process

 

The risk management process has the following components:

 

i?????????? Communicating and consulting

ii?????????? Establishing the context

iii????????? Identifying risks

iv????????? Analysing risks

v?????????? Evaluating risks

vi????????? Treating risks

vii???????? Monitoring and reviewing

 

 


2.1???? Communicating and Consulting

 

In order to set the risk appetite for Council it is necessary to understand the stakeholders? attitudes to risk. Their attitudes and information obtained from them also help ensure that the risk management process and the reporting of risk meet their requirements. Both internal and external stakeholders should be considered.

 

The views of stakeholders may be obtained from guidelines, statements and publications from stakeholders as well as consultation with stakeholders.

 

2.2???? Establishing the context

 

In establishing the context consideration is given to the internal context within Council, the external context, the risk management context, the risk criteria and the structure for the rest of the process.

 

2.3???? Identifying risks

 

This consists of identifying what can happen to affect the achievement of Council?s objectives.

 

2.4???? Analysing risks

 

For each risk identified, list the key internal controls to reduce that risk. Estimate the consequence and likelihood of that risk occurring. The consequence measures the effect on Council if the risk occurs and the likelihood measures how likely it is that the risk will occur.

 

2.5???? Evaluating risks

 

Compare the residual risk to the criteria established above (in establishing the context). If the risk is at an unacceptably high level then actions should be taken to treat the risk.

 

2.6???? Treating risks

 

Take appropriate measures to reduce the risks which are considered to be too high, down to an acceptable level.

 

2.7???? Monitoring and reviewing

 

Monitor the effectiveness of all steps of the risk management process.

 

 

3??????? Implementation and Maintenance Plan

 

The following steps should be undertaken

 

1??? Appoint a Risk Management Coordinator.

 

2??? The Risk Management Coordinator should coordinate the ?communication and consultation? and ?establishing the context? phases. This involves research and consultation and will result in information being given to the General Manager for approval.

 

a)?? Prepare a table of Council?s key external and internal stakeholders for risk management and their attitudes to risk. (see Tables A and B).

 

b)?? Prepare a table for risk criteria (Table C). This table explains to managers what they should do for the different residual risk ratings. (See the definition of residual risk below.)

 

c)?? Prepare a table of the risk categories that will be used for the risk register (Table D). The categories are useful as a prompt to help ensure that all risks are identified later. They are also useful for reviewing the risk register.

 

d)?? Prepare the consequence and likelihood tables. (Tables E and F). The benefits of these tables include that everyone then uses the same factors to rate the risks, thus making the rating process less subjective.

 

e)?? Conduct risk assessments.

 

3??? Identify the risks. Each manager should ensure that the risks in his or her area have been identified. All risks other than insignificant risks should be identified.

 

The categories in Table D may be used in the identification process.

 

4??? Analyse the risks. For each risk that has been identified list the key controls that mitigate that risk. Once the key controls have been listed rate the consequence and the likelihood of that risk occurring. You are rating the residual risk, which is the risk taking into account all of the listed key controls for that risk.

 

Table E should be used to rate the consequence.

 

Table F should be used to rate the likelihood.

 

5??? Evaluate the risks. Table C shows the actions that should be taken for each level of risk.

 

6??? Treat the risks. For overall risks that are very high or high work out an action plan to reduce the risk level, if practical. The action plan should detail what actions will be taken, who is responsible for taking those actions and the date by which the actions should be completed.

 

7??? Monitor and review. The implementation of the action plan should be monitored. All managers should ensure that the action plans for areas under their control have been fully implemented in a timely manner.

 

8??? Update risk register. The risk register should be updated at least annually. It should also be updated if there are significant changes to Council?s processes, legislation, the external environment or the internal environment. Each manager as well as the Risk Management Coordinator is to ensure that the risk register is kept up to date.

 

9??? Manage the risks. The risks and the controls to mitigate the risks need to be managed on an ongoing basis. Table C provides guidance for this. You should take measures to ensure that the key controls are operating as stated in the risk register.

 

 

4??????? Responsibilities

 

Managing risk is the personal responsibility of every person in Council.

 

All staff are expected to control the risks in their areas and carry out the principles and procedures of risk management as detailed in the Risk Management Plan. All staff are to communicate honestly on risks and related internal controls, adopting a ?no surprises? approach.

 

Supervisors and managers are to ensure that:

 

i?????????? the risks, other than insignificant risks, in their area have been identified and assessed

ii?????????? appropriate internal controls are implemented and operating to mitigate those risks

iii????????? unacceptable high risks are reported immediately to their managers

iv????????? action plans for dealing with unacceptably high risks are implemented in a timely manner

v?????????? a culture of risk management is in place in their area

vi????????? all of their staff have received training in risk and control management

vii???????? the risk register for their area is reviewed at least annually

viii???????? the Risk Management Plan has been complied with insofar as it applies to them

ix????????? third parties working with their areas are familiar with Council?s risk management practices and internal controls, and comply with them

 


The Risk Management Coordinator is to:

 

i?????????? coordinate the implementation of the Risk Management Plan

ii?????????? monitor that risk registers have been completed for each area of Council

iii????????? report regularly to the General Manager on risk management in Council

iv????????? monitor that risk registers are updated regularly, at least annually

v?????????? liaise with appropriate managers in Council to help ensure that risk management is integrated into Council?s regular processes and activities

vi????????? provide advice on risk management

vii???????? liaise with the training area to ensure that training is provided to all staff on risk and control management

 

The Human Resources Manager is responsible for ensuring that risk management is incorporated into appropriate position descriptions, hiring criteria and performance evaluation criteria.

 

Managers responsible for annual planning are to ensure that risk management is incorporated into the planning process.

 

The General Manager is responsible for risk management across Council.

 

 

5??????? Definitions

 

Consequence:?????????????? The effect that a risk will have on Council. This measures how Council will be affected if the risk occurs.

 

Likelihood:???????????? How likely or probable it is that the risk will occur.

 

Residual risk:??????????????? Risk remaining taking into account the controls in place to mitigate that risk.

 

 

6??????? Relevant Policies and Documents

 

Risk Management Policy

 

Australian/New Zealand Standard 4360:2004 Risk Management

 

HB 436:2004 Risk Management Guidelines, Standards Australia

 

 

?
Table A

External Stakeholders

 

Stakeholder

Risk Category of Interest

Details of Risk Attitude

Notes

Independent Commission Against Corruption

Corruption

Adequate controls will be in place to deal with corruption risks and ensure probity

 

Ombudsman

Maladministration

Adequate processes and training will be in place to deal with risks of maladministration and ensure probity

 

Department of Local Government

Administration of Local Government Act 1993

Adequate measures to ensure sound governance and administration of Act.

 

WorkCover NSW

Accidents and safety, bullying

Risk management processes and training to address OH&S and bullying risks.

 

Rural Fire Service

 

 

Fire

Adequate controls to address fire risks, particularly in planning.

 

Minister for Local Government

 

Political and reputation

Adequate controls in place to address State political and reputation risks

 

Ratepayers and residents

Financial, service delivery, rates

Adequate controls and processes to address risks of inadequate services and unnecessarily high rates and charges

 

Anti-Discrimination Board of NSW

Discrimination

 

Adequate training, culture and processes to deal with risks of discrimination

 

Local media

Reputational, fraud, corruption, unethical conduct, wastage, poor performance in service delivery, etc.

Adequate controls and processes to deal with risks that show Council is wasteful, incompetent or unethical

 

?


 

Table B

Internal Stakeholders

Example

 

 

Stakeholder

Risk Category of Interest

Details of Risk Attitude

Notes

Privacy Contact Officer

Privacy risks

Expects compliance with the privacy legislation, Code and management plan.

 

OH&S Manager

OH&S

Expects compliance with OH&S legislation, WorkCover requirements, etc.

 

Anti-Corruption Coordinator

 

 

Corruption

Expects internal controls in place to prevent and detect fraud and corruption.

 

Human Resources Manager

Bullying, misconduct,? Breaches of HR policies

Deals with breaches of rules relating to misconduct and helps ensure that adequate measures and cultures are in place to ensure compliance with HR policies.

Needs to know of training requirements to ensure sound risk management occurs in Council.

 

Finance Manager

 

Fraud, financial mismanagement

Expects sound financial management, needs to be informed of any fraud or financial mismanagement

 

Internal auditor

Corruption, fraud, probity breaches, operational inefficiencies, internal control breakdowns, etc.

Needs to be informed of any breeches, control breakdowns, etc.

 

 

 


Table C

Risk Criteria and Conduct

Example

 

Overall Risk Rating (Residual Risks)

 

Conduct by Manager

 

Notes

 

Very High

Inform your Director and General Manager of risk details when your risk register is prepared or updated.

 

If practical, prepare an action plan to reduce the risk to below 20.

 

If the risk rating stays at 20 or above, manage the risk and controls to reduce it as a matter of priority. This management of this risk must be ongoing and its review frequent.

 

Report monthly or quarterly to your manager and Director on the management and control of the risk.

 

 

High

Inform your Director of risk details when your risk register is prepared or updated.

 

If practical, prepare an action plan to reduce the risk to below 16.

 

If the risk rating stays at 16 or above, manage the risk and controls to reduce it as a matter of priority. This management of this risk must be ongoing and its review frequent.

 

Report monthly or quarterly to your manager and Director on the management and control of the risk.

 

 

Medium

If it is cost effective to reduce the risk, take actions to reduce it. Otherwise tolerate the risk and control as part of normal management and internal control activities.

 

 

Low

If it is cheap and easy to reduce the risk, take actions to reduce it. Otherwise tolerate the risk and control as part of normal management and internal control activities.

 

 


Table D

Risk Categories

Example

 

 

 

Category

 

 

Explanation

 

Notes

 

Safety

 

Includes public safety, staff safety, physical and psychological

 

 

Service Delivery

 

 

This covers the delivery of all Council services, including regulatory functions and enforcement activities. It covers the efficiency and effectiveness of operations.

 

 

Fraud and Corruption

 

 

This covers theft, fraud and corruption. The ICAC Act definition of corruption is used, i.e. to include partial conduct, dishonest conduct, misuse of position, etc. that could result in disciplinary action or amount to a criminal offence.

 

 

Regulatory and Legal

 

 

This covers any legal actions against Council, eg. duty of care issues, contract violations, actions by the public, etc. It also covers any actions against Council by regulatory authorities.

 

 

Political

 

This covers political risks against Council.

 

 

Reputation

 

 

This covers risks to the good reputation of Council, whether from the media or other sources.

 

 

Financial

 

This covers financial losses or threats to sources of financial revenue for Council.

 

 

Environmental

 

This covers risks to the environment.

 

 

Other

 

 

This covers any risks that have not been covered in the above categories.

 

 

 

 


Table E

Consequence Table

 

Level

Descriptor

Description

 

5

 

 

Catastrophic

 

 

 

 

 

Death of a person.

Dismissal of General Manager.

Threat to continuation of Council.

Financial loss of over $1 million.

Sustained extremely negative state or national media attention.

Serious prosecution of Council.

 

 

4

 

 

Major

 

 

 

 

 

Serious injury requiring hospitalisation.

State or national negative media attention; or local negative media comments for more than two weeks.

Serious medium term environmental damage.

Financial loss of $500,000 to $1 million.

 

 

3

 

 

Moderate

 

 

 

 

 

Injury requiring brief hospitalisation.

Negative local media attention lasting up to two weeks.

Negative reports or comments from regulators, but no follow up action likely or negative consequences likely.

Financial loss of $200,000 to $500,000.

 

 

2

 

 

Minor

 

 

 

 

 

Minor injury requiring treatment.

Mild negative local media attention.

Mild negative regulatory attention.

Financial loss of $50,000 to $200,000.

 

1

 

 

Insignificant

 

 

 

Financial loss to $50,000.

Other insignificant damage to Council.

 

?

 


Table F

Likelihood Table

Example

 

Level

Descriptor

Description

 

5

 

 

Almost certain

 

 

 

 

 

The risk is expected to occur in most circumstances.

 

 

4

 

 

Likely

 

 

 

 

 

The risk will probably occur in most circumstances.

 

 

3

 

 

Possible

 

 

 

 

 

The risk should occur at some time.

 

 

2

 

 

Unlikely

 

 

 

 

 

The risk could occur at some time.

 

 

1

 

 

Rare

 

 

 

 

 

The risk will only occur in exceptional circumstances.

 

 

 

 

 

 

---oo0oo---

?


General Purpose Committee - 17 February 2010

Risk Management and Fraud and Corruption Prevention

 

 

 

 

 

NAMBUCCA SHIRE COUNCIL

RISK REGISTER

 

 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

76

Security of water supply ? drought security, population increase, ability to host new industry [4]

 

Action Plan

Alternate off stream water storage

Implementation of Integrated Water Cycle Management Plan

Planning restrictions on growth

 

Drought Management Plan

Maintained a permanent level 1 water restriction

Rebates on water saving devices

 

5

 

4

 

20

G

77

Viability of the Council from Water and Sewer being removed from Council control ? financial loss [4]

 

Action Plan

Demonstrate compliance with best practice

Involve the community to help lobby the government

 

Submissions to the minister

Lobbied adjacent councils

Assessed impacts on Council

 

5

 

4

 

20

G

12

Injury to livestock handlers at saleyards [1]

 

Action Plan

 

Consider disposal of facility via long term lease

Exercise conditions in licence agreement

Implement OH&S procedures at site

Insurance by licensee

Insurance

Induction

Vaccination against Q fever

Design of infrastructure

Designated loading and unloading points and procedures

Barriers

Signage

Lighting

4

4

 

16

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

31

People ignoring IT security policies ? eg. passwords are told to other people leading to a loss of accountability; people not logging out when leaving their computer ? [1]

 

 

Action Plan

 

Enforce policy and procedures

Education

Implementation of automatic log outs and password changes

 

Policies

Induction training

Emails to employees from Manager of information technology

 

4

 

4

 

16

G

65

Landslips ? injury and property [3]

 

 

Risk Management Plan developed for urban landslips ? 6 year rolling plan

Maintenance of drains

Engaged consulting engineers to address known problem areas

Building approval assessments

 

4

 

4

 

16

G

10

Injury, death etc. through people not following OHS requirements [1]

 

 

 

Documentation eg safety management plans, emergency procedures manuals, SWMS, SOPs

Formal risk assessments

Training including induction

Supervision

Contractor management ? insurances, licences

 

5

 

3

 

15

G

28

Council officials behaving contrary to Council?s charter [1]

 

 

 

Training in roles and responsibilities under the Act

Code of Conduct

Conduct Committee

Disciplinary process

Legal sanctions

 

3

 

5

 

15


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

F

29

Unauthorised changes to data or access to information through unauthorised access to IT system. [1]

 

Action Plan

 

Automatic logging out

 

Firewall

Passwords

Physical access controls

Policy

 

5

 

3

 

15

G

38

Intimidation, assault, of regulatory staff [2]

 

Training in handling difficult clients

Pairing up if perceived risk

Flagging of high risk clients

Diary and out of office board

Colleagues monitoring activities

Police involvement

 

5

 

3

 

15

G

40

Injury/assault of children in care [2]

 

Risk Assessments

Staff undergo police checks

Volunteers undergo working with children checks

Supervision ratios

Permission notes

Staff training

First aid training and equipment

Mobile phone/communication

Venue selection

Contractor management and insurance

 

5

 

3

 

15

G

41

Injury/fatality at community events [2]

 

Special event application process

Evaluation of risk assessment

Special event guidelines

Consultation with insurers

Policy, regulations, legislation

 

5

 

3

 

15


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

42

Staff safety undertaking their field duties [2]

 

Site assessment OHS checklist

SOP?s, SWMS, PPE

Policies

License checks

Legislation

Safety Management Plans

Site inductions

Workers Compensation insurance

Contractor management

Communications

Diaries and out of office boards

Pairing up for high risk sites

Vehicle safety checklists

Hazard ID sheets

Incident reports

 

5

 

3

 

15

G

48

Causing ecological or environmental damage [3]

 

Part 5 assessments

EIS for major projects

Threatened species assessments

Design of environmental controls

Set up of site eg physical controls

Monitoring of control measures

Permits eg fisheries, lands

Training

Taking climate into account

External advisors as required

Monitoring by supervisors

External monitoring on some projects by other agencies

Public scrutiny

 

5

 

3

 

15

F

11

Misuse of Council resources eg fuel, stock, plant and equipment [1]

 

 

 

Code of Conduct

Training

Specific policies eg vehicle agreements

Stock take

Supervision

Records

3

 

4

 

12


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

13

Armed hold up (cash handling) [1]

 

Action Plan

 

Design of front counter including barriers

Procedures written and enforced

Investigate collection by Armaguard

 

Security cameras

Front counter (barrier)

Encourage people to pay electronically

Collection agencies eg BCU

Duress alarm

Training

 

4

 

3

 

12

G

14

Aggressive customers [1]

 

 

 

Duress alarms

Interview room with one-way glass

Access security

Security camera

 

4

 

3

 

12

F

21

Fraud and corruption in obtaining quotes (other than tenders) [1]

 

 

 

Procurement policy

Code of Conduct

Monitoring of expenditure

Delegations of authority

Supervision

 

3

 

4

 

12

G

23

Non-compliance with requirements for grant funds [1]

 

 

 

Reporting and acquittal process

Manager checks grant is complied with

Funding body following up, auditing etc

Key milestones

 

3

 

4

 

12

F

26

Improper disclosure of personal information (privacy protection) [1]

 

 

 

Legislation

Privacy Management Plan

Code of Conduct

Induction

Security of information (access controls etc)

Supervision

 

4

 

3

 

12

F

27

Misuse and improper disclosure of confidential Council information [1]

 

 

 

Legislation

Code of Conduct

Induction

Security of information (access controls etc)

Closed Council meetings

3

 

4

 

12


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

F

36

People give inaccurate information in applications [2]

 

Professionalism of providers

Cross checking of information to Council held data

Site inspections

Critically evaluate information provided

Seek peer reviews if appropriate (external)

Public scrutiny including submissions process

Checklists

 

4

 

3

 

12

G

50

Injury or fatality at a playground [3]

 

 

Inspection regime

Upgrades to comply with Australian Standards

New equipment complies with Australian standards

Qualified and trained staff undertaking inspections

Public scrutiny

Maintenance

All head and finger entrapments have been removed

 

4

 

3 for injury requiring hospitalisation

 

12

G

51

Flood impact on infrastructure [3]

 

 

Building to standard eg bridges, roads

Load limit restrictions

Road closures

Strategic planning

Liaison with other government agencies eg SES

Communication with community

5 Exceptionally large or multiple events

4 Normal flood event

 

2 Exceptionally large or multiple events

3 Normal flood event

 

12

G

53

Injuries from accidents during traffic control ? public and staff [3]

 

 

Policy, procedures, risk assessments, compliance with standards

Training

Legislation

Supervision

Fit for duty

Contractor management - OHS documentation, insurances

External insurance

External auditing

Traffic Control Plans

Qualified persons to set up

Pedestrian control

4

 

3

 

12

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

56

Council does not have the appropriate mix and number of staff required [3]

 

Apprentices and trainees

Training

Progression plan

Skills list

Use of contractors

 

3

 

4

 

12

G

69

Off target damage from herbicides/pesticides [3]

 

 

SOP?s, SWMS,

Register of organic producers

Choice of chemicals

Use of drift retardants

Stem injection where possible

 

4

 

 

3

 

12

G

64

Injuries on footpaths [3]

 

Annual inspection of network

Recording of hazards in the Maintenance Management System

Increased the maintenance budget

Increased the standard of the new footpaths

Insurance

Grinding trip hazards

Replacement program

Pedestrian Access Mobility Plan (PAMP)

Access Committee

Complaints from the public

 

3

 

3.5

 

11

G

2

Drowning at swimming pool [1]

 

 

 

Documented safety practices

Training of staff

Lifeguard on duty

Emergency response practices

Equipment, eg defibrillator

Security measures eg man-proof fences

 

5

 

2

 

10

G

3

Injury on Council premises (indoor) [1]

 

 

 

 

Training

Equipment

Documented safety procedures, risk assessments, hazard id checklists

Supervision

 

5

 

2

 

10


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

F

4

Misappropriation of funds (investments) [1]

 

 

 

Covered by legislation and Council policy

Council makes decision on where investments can be made

Two signatories

Delegations of authority

Three quotes

Reputable investment third parties

Monthly report to Council

Regular reports from external parties

Daily monitoring of investments and cash flow

External auditors

 

5

 

2

 

10

G

7

Vandalism to Council property (land and buildings) [1]

 

Security and surveillance

 

2

 

5

 

10

G

35

Inappropriate decisions made about applications under delegation [2]

 

Checklists

Sign of by supervisor

Standard set of conditions

Council policies and Development Control Plans

Technology eg specialised measuring devices, inclinometer

 

5

 

2

 

10

F

43

Misuse and improper disclosure of information eg privacy, confidentiality [2]

 

Policies, legislation, code of conduct, public officer

Record management

Training

Delegations

Customer relationship management

CCTV

5

 

2

 

10

G

44

Fines/penalties and improvement and other notices not issued when appropriate [2]

 

SOP?s for companion animals, unauthorised development, septic tanks, licensing

Contractor Management

Improvement notices

Penalty notices

Inspection reports

Contract with service providers

Public scrutiny

Annual review of contractors

5

 

2

 

10

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

46

Failure to plan for environmental impacts [2]

 

Strategic planning

Policies, regulations, legislation, guidelines

Inter-government agencies

LEP?s, DCP?s

Structure Plan

Assessment processes

Public consultation

Community involvement

 

5

 

2

 

10

G

47

Fatality or injury as a result of Council actions eg construction, traffic control, design, faulty plant and equipment, poor handling practices. [3]

 

 

Policy, procedures, risk assessments, compliance with standards

Training

Legislation

Supervision

Fit for duty

Contractor management ? OH&S documentation, insurances

External insurance

External auditing

 

5

 

2

 

10

G

49

Fire in a Council owned public building causing injury or death

[3]

 

Action Plan

 

Pre-function emergency briefings

Isolate flammable materials

Suitable building construction

Vermin control

Electrical inspections

 

Annual Fire Safety Statement

Fire fighting equipment

Essential fire safety measures

Evacuation plans

Upgrade of all essential fire safety measures by CHUBB

 

 

5

 

 

2

 

10


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

72

Contamination of water supply at source? accidental or intentional [4]

 

Action Plan

Alternative supply or storage

 

Local Environment Plan for the catchment area

Daily monitoring of water quality for specific contaminants

Testing in accordance with the Dept of Health requirements

Security ? Man proof fencing, alarmed and monitored

 

5

 

2

 

10

F

25

Fraud in fees and charges receivable [1]

 

 

 

Adopted Fees and Charges (Revenue Policy)

Supervision

Monitoring

 

3

 

3

 

9

G

52

Dealing with irate and abusive members of the public - threat of violence [3]

 

Mobile phones ? limited coverage

UHF radios ? limited coverage

Inform people of movements

Training

 

3

 

2 Likelihood of actual violence

3 Likelihood of threat of violence

 

9

G

54

Damage or injury to people or property from brush cutting and mowing operations [3]

 

 

SWMS, SOP?s, Risk Assessments, PPE

Signage

Flashing lights

Planning times to undertake works

Supervision

Equipment guards

Training

Traffic control

 

2.5

 

3.5

 

9

G

55

Psychological injury or serious stress to employees resulting in time off work [3]

 

Action Plan

Counselling

Increase staffing

Training for managers

 

Communication

Code of Conduct

Grievance procedures

Counselling

 

3

 

3

 

9


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

68

Health risk in public conveniences as a result of infection [3]

 

Daily cleaning

Sharps containers

Inspections

Public scrutiny

Regular maintenance

Staff are entitled to inoculations

SWMS, SOP?s, PPE

 

3

 

3

 

9

G

70

Environmental pollution of a waterway from the Sewerage Treatment Plant [4]

 

Monitoring of river water quality

Monitor effluent quality and quantity being discharged

Management of Treatment Plant

Training

Plant upgrading program

Plant licensing requirements

Annual performance reports to EPA , Dept of Water and Energy

Supervision

 

4 Dry weather

3 Wet weather

 

2 Dry weather

3 Wet weather

 

9

G

73

Pump station overflow ? pollution of water course [4]

 

By-pass pumping capability

Telemetry monitoring

Overflow storage

Weekly inspections

Security ? varies dependant on site

Procedures

Clean up procedures

 

3

 

3

 

9

F

19

Allegations of fraud and corruption about tender process eg from unsuccessful tenderers [1]

 

 

 

Legislation and regulations

Procurement policy and procedure

Council decision on tenders over $150K

Electronic process (Tenderlink)

Tender panel

Tender box

Evaluation criteria

Records staff manage receipt and opening of tenders

Three written quotes under $150K

2

 

4

 

8


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

F

22

Fraud and corruption in general purchasing (i.e. purchases under $10000) [1]

 

 

 

Procurement policy

Code of Conduct

Monitoring of expenditure

Delegations of authority

Supervision

 

2

 

4

 

8

G

45

Council does not receive what it is entitled to for Planning Agreements and development contributions [2]

 

Legislation

Policies

Fees and charges

Public scrutiny

Section 94 Officer

Corporate services handle the collection of the Section 94 contributions which are allocated to a specific account

 

4

 

2

 

8

F

57

Unauthorised use of Council resources [3]

 

Code of Conduct

Training

Private use is not permitted

Supervision

Whistle blowing

Public scrutiny

Declaration of secondary employment

Identification of staff - uniforms

 

2.5

 

3

 

8

G

74

Failure to supply potable water to Australian Drinking Water guidelines [4]

 

 

Headwork?s treatment equipment

Daily monitoring of water quality parameters

Backflow prevention devices

Procedures for flushing mains

Sealing and vermin proofing reservoirs

Public scrutiny

Training and procedures for repairing broken mains

Provide advice to contractors

Section 68 Approval process

Annual mains replacement program

 

2.5

 

3

 

8


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

75

Health of employees ? contraction of disease [4]

 

Vaccinations

SWMS, SOP?s, PPE

Training

Supervision

 

4

 

2

 

8

F

32

Bribery or partiality in the development application process. [2]

 

Disclosures of interest form

Meetings in a group with applicants for major developments

Supervision

Delegations

Involvement of other departments within Council

Assessment sheets

Public scrutiny

Policies

Call in process by elected representatives

 

3.5

 

2

 

7

F

5

Investment income being misappropriated [1]

 

 

 

 

Budget reviews

Covered by legislation and Council policy

Council makes decision on where investments can be made

Delegations of authority

Monthly report to Council

Regular reports from external parties

External auditors

Reputable investment third parties

 

3

 

2

 

6

G

6

Damage to Council property (land and buildings) eg lessees/hirers not adequately maintaining property [1]

 

 

 

 

Terms of lease, licence or hire agreement

Condition reports

Regular inspections

Contract management

Committee decision/Council resolution

Insurances from lessees

Lessee report

Consideration of circumstances

 

3

 

2

 

6


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

F

8

Cash misappropriated eg cashier, mail, petty cash, waste facility, libraries, grader operators, s355 committees (eg Gumma reserve) [1]

 

 

 

 

Policies and procedures

Supervision

Reconciliations

Two people open mail

Complaints from customers

Each cashier has separate log-in and till at administration centre

Job rotation of cashiers

Receipt books for grader operators and s355 committees

Some computer generated receipts (eg admin centre and waste facility)

Petty cash controls

 

2

 

3

 

6

F

9

People purchasing items for their own purposes (foreign orders) [1]

 

 

 

Stores consider reasonableness of purchases

Authorisation of purchase orders

Goods received dockets

Sign off of receipts

Access controls to purchasing system

Delegations of authority

Procurement policy and procedures

Security of store

 

2

 

3

 

6

F

15

Fraud through payroll process ? paying people who are not employed by Council (ghosts on the payroll) [1]

 

 

Each Director signs off weekly pay run

Another officer processes electronic funds transfer

Accountant and Manager HR inspect names being paid

Timesheets and leave applications are authorised

Manager Human Resources oversees payroll

Small number of employees

Limit on funds transfer

 

3

 

2

 

6

F

20

Collusion amongst suppliers [1]

 

 

 

Industry awareness

Tendering process

Probity statement for tenders

Statement of Business Ethics

 

2

 

3

 

6


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

37

Inconsistent interpretation and/or application of policies, regulations and legislation [2]

 

 

Policies, regulations, legislation

All complaints are logged (MERIT/TRIM)

General Managers/supervisor audit of MERIT

Delegations

Supervision

Public scrutiny

SOP?s

Ranger duty book

Inspection sheets

General documentation

Diary

 

3

 

2

 

6

F

58

Corruption in the hiring or use of contractors [3]

 

Tender process

Procurement policy and guidelines

Code of Conduct

Other contractor scrutiny

 

3

 

2

 

6

F

59

Corruption in the selection of approved panel contractors (once they are on the list) [3]

 

Price ranking

Complaints from other people on the list

?Pub talk?

 

2

 

3

 

6

F

61

Theft of Council materials, plant and equipment [3]

 

 

Security fencing at certain sites

Depot ? Alarm, security fencing, security guard inspections

Lockable tool boxes

Vandal covers on plant items

Annual stock take

Insurance

Fuel consumption records

Police reports

 

2

 

3

 

6

F

66

Corruption in the disposal of scrap and waste [3]

 

Stockpile at depot for sale

Sale is authorised by management

Purchased through the store with a receipt issued

Supervision on site

Sale of items on site eg timber from bridge via stores

2

 

3

 

6


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

67

Injury through the use of boat ramps [3]

 

Monthly inspections

Monthly cleaning

Regular maintenance

Upgrades

Works recorded in Maintenance Management System

Register of maintenance and cleaning

 

2

 

3

 

6

G

71

Personal safety for employees - confined space works [4]

 

 

Training

Gas monitoring equipment

SWMS, SOP?s, PPE

Safety equipment

Confined space entry permits

 

5

 

1

 

5

F

17

Fraud through accounts payable system [1]

 

 

 

Matching of invoice, order and proof of receipt

Segregation of duties (somebody inputs the information; somebody else checks it)

Access controls

Policies and procedures

Another office does the electronic funds transfer

Two signatures on cheques

Weekly management reports (actual vs budget)

External audit

 

2

 

2

 

4

F

18

Fraud and corruption through the tendering process [1]

 

 

 

Legislation and regulations

Procurement policy and procedure

Council decision on tenders over $150K

Electronic process (Tenderlink)

Tender panel

Tender box

Evaluation criteria

Records staff manage receipt and opening of tenders

Three written quotes under $150K

 

2

 

2

 

4


 

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

34

Inconsistency of information required in applications [2]

 

Checklists with application

Checklists with application by Counter staff

Preliminary assessment checklist

Internal and external referral process

DA assessment sheets

Signed off by processing officer and manager

 

2

 

2

 

4

F

60

Corruption in collection of monies for grading private works [3]

 

 

Receipt issued by operator

Supervision

Time sheets

Cross reference of time sheets and receipts in accounts

Official receipt sent from Council

Fixed hourly rate

Works agreement is signed

Public scrutiny

 

2

 

2

 

4

F

63

Contractors overcharging [3]

 

Invoices checked for proof of service provided

Manager Civil Works checks invoices

Worksite inspections

Public scrutiny

Accounts section scrutinises rates charged

Contractor performance reviews

Delegations

 

2

 

2

 

4

G

1

Total IT system shut down eg electrical failure, server breakdown [1]

 

Back up power source

Certified hardware specified for low failure rate

Back up servers

Business Continuity Plan

Regular backups on tape

Ongoing maintenance and management of system

 

3

 

1

 

3

 

G

30

Information leakage through information storage devices ? eg. loading data disks, memory sticks, etc. ? unintentional disclosure [1]

 

Policy

induction

 

3

 

1

 

3

 

 

Risk

Key Controls

Consequence

Likelihood

Total Risk

G

39

Bodies improperly buried [2]

 

 

Interment certificate/application process

Historic and current records

Legislation

Funeral home involvement

 

1

 

2

 

2

F

62

Misappropriation or theft of fuel [3]

 

Pin numbers

Odometer readings

Monitoring of accounts ? rate of consumption compared against similar vehicles

Locks on petrol caps for most vehicles

 

1

 

2

 

2

F

16

People paid excessive amounts through payroll [1]

 

 

 

Each Director signs off weekly pay run

Another officer processes electronic funds transfer

Accountant and Manager HR inspect names and amounts being paid

Manager Human Resources oversees payroll

Small number of employees

Limit on funds transfer

 

1

 

1

 

1

F

24

Fraud in the rates process [1]

 

 

 

Legislation

Valuations

Council ?makes the rates?

Information input direct from Valuer General

Reconciliations

Checking by ratepayers

 

1

 

1

 

1

F

33

Fraud and corruption in fees for development [2]

 

Lodgement process requires fees to be paid before applications are accepted

Review of construction costs

Fees and charges are set annually and are a public document

Legislation sets some fees

Copy of receipt from cashiers is attached to application documentation

Audit at completion of each application

Inspectors note fee on the application form

 

1

 

1

 

1

Notes

G = General Risk

F = Fraud or corruption risk

?


General Purpose Committee - 17 February 2010

Risk Management and Fraud and Corruption Prevention

 

 

 

 

 

 

NAMBUCCA SHIRE COUNCIL

 

FRAUD AND CORRUPTION PREVENTION STRATEGY

 

FEBRUARY 2010

 

 

 

 

 

 

 

 

 

 

 

COUNCIL'S VISION

 

Nambucca Valley ~ Living at its Best

 

COUNCIL'S MISSION

 

The Nambucca Valley will value and protect

its natural environment, maintain its assets

and infrastructure and develop opportunity

for its people.

 


 

table of contents

 

 

 

Section 1:? Introduction. 2

Section 2:? Fraud & Corruption Prevention Policy. 7

Section 3:? Responsibility Structure. 9

Section 4:? Corruption Risk Assessment 11

Section 5:? Council Officials? Awareness. 13

Section 6:? Customer and Community Awareness. 15

Section 7:? Notification Systems. 16

Section 8:? Detection Systems. 17

Section 9:? External Notification System.. 18

Section 10:? Investigation System.. 21

Section 11:? Conduct and Disciplinary System.. 23

 

 


Section 1:? Introduction

 

Nambucca Shire Council is committed to high ethical standards. The Fraud and Corruption Prevention Strategy is aimed at helping the Council to maintain these high standards.

 

The Fraud and Corruption Prevention Strategy details the Council's commitment to fraud and corruption prevention.? The strategy supports our Council's Vision and Mission:

?????????

Vision

 

?Nambucca Valley ~ Living at its Best?

 

Mission

 

?The Nambucca Valley will value and protect its natural environment, maintain its assets and infrastructure and develop opportunities for its people.?

 

The Strategy draws together the initiatives designed to deal with the prevention, detection and investigation of any possible fraud or corruption in, and against, the Council.

 

The Corruption Prevention Strategy provides the Council's strategic approach to fraud and corruption prevention, detection and investigation.

 

It will be the responsibility of each Director to provide relevant procedural information and training to their managers and employees in order that the objectives of the Corruption Prevention Strategy are achieved.

 

 

Aim

 

The aims of the Strategy are as follows:

 

??????? To reduce the likelihood of employees, Councillors and members of the public acting in a fraudulent or corrupt manner towards the Council.

 

??????? To reduce opportunities in the Council for fraud and corrupt activity.

 

??????? To improve the possibility of detecting those employees, Councillors or members of the public who do act in a fraudulent or corrupt manner.

 

??????? To ensure appropriate action is taken with employees, Councillors or members of the public found to have acted in a fraudulent or corrupt manner.

 

??????? To clearly define the responsibility levels of employees, Councillors and managers for prevention, detection and investigation of fraud and corruption.

 

??????? To ensure employees, Councillors and managers have the necessary tools and understanding to meet these responsibilities.

 

 

Fraud and Corruption Prevention Strategy

 

The strategy examines the following areas:

 

Section 1 explains the Council's strategy in controlling fraud and corruption.? It also contains the Fraud and Corruption Policy.

 

Section 2 deals with the responsibility structure. It contains the responsibilities for the implementation and co-ordination of all aspects of the Corruption Prevention Strategy across all aspects of the Council's operations.

 

Section 3 deals with fraud and corruption risk assessment and contains the program designed to identify specific areas of fraud and corruption risk and the development of countermeasures and action plans to reduce unacceptable risks.

 

Section 4 deals with Council officials? awareness and outlines the plan of action to raise awareness and modify attitudes across the Council concerning fraud and corruption.

 

Section 5 deals with customer and community awareness.

 

Section 6 deals with the notification systems. It contains details of the procedures and systems implemented for the internal reporting and recording of suspected fraud and corruption situations, management of investigation information and distribution of information.

 

Section 7 deals with detection systems.

 

Section 8 deals with the external notification systems. It contains the guidelines for reporting suspected fraud and corruption to external authorities, especially the Independent Commission Against Corruption, Ombudsman and the Police Service.

 

Section 9 contains details of the investigation system.

 

Section 10 deals with the conduct and disciplinary systems. It contains the Code of Conduct and Disciplinary Standards of expected behaviour established by the Council.

 

 

Definitions of Fraud and Corruption

 

Fraud is defined in the Australian Standard Fraud and Corruption Control as:

 

?dishonest activity causing actual or potential financial loss to any person or entity including theft of moneys or other property by employees or persons external to the entity and whether or not deception is used at the time, immediately before or immediately following the activity. This also includes the deliberate falsification, concealment, destruction or use of falsified documentation used or intended for use for normal business purposes or the improper use of information or position?.

 

Corruption is defined in the Independent Commission Against Corruption Act 1988 (ICAC Act) in sections 7, 8 and 9.

 

Section 7 essentially refers the reader to sections 8 and 9.

 

Section 8 essentially refers to corrupt conduct including dishonest and partial conduct by a public official, breach of public trust, or misuse of information or material that he or she has acquired in the course of his or her official functions. The conduct of any person that could adversely affect the official conduct of a public officer and involves a long list of crimes is specifically included as corrupt conduct.

 

Section 9 attempts to limit the extent of the meaning of corrupt conduct by stating that for conduct to be corrupt it must involve:

 

??? a crime;

 

??? a disciplinary offence; or

 

??? grounds for firing.

 

 


The following extracts from the ICAC Act are relevant:

 

Section 7??? Corrupt conduct

 

1????????? For the purposes of this Act, corrupt conduct is any conduct which falls within the description of corrupt conduct in either or both of subsections (1) and (2) of section 8, but which is not excluded by section 9.

 

2????????? Conduct comprising a conspiracy or attempt to commit or engage in conduct that would be corrupt conduct under section 8 (1) or (2) shall itself be regarded as corrupt conduct under section 8 (1) or (2).

 

3????????? Conduct comprising such a conspiracy or attempt is not excluded by section 9 if, had the conspiracy or attempt been brought to fruition in further conduct, the further conduct could constitute or involve an offence or grounds referred to in that section.

 

Section 8??? General nature of corrupt conduct

 

1????????? Corrupt conduct is:

(a)??? any conduct of any person (whether or not a public official) that adversely affects, or that could adversely affect, either directly or indirectly, the honest or impartial exercise of official functions by any public official, any group or body of public officials or any public authority, or

(b)??? any conduct of a public official that constitutes or involves the dishonest or partial exercise of any of his or her official functions, or

(c)??? any conduct of a public official or former public official that constitutes or involves a breach of public trust, or

(d)??? any conduct of a public official or former public official that involves the misuse of information or material that he or she has acquired in the course of his or her official functions, whether or not for his or her benefit or for the benefit of any other person.

 

2????????? Corrupt conduct is also any conduct of any person (whether or not a public official) that adversely affects, or that could adversely affect, either directly or indirectly, the exercise of official functions by any public official, any group or body of public officials or any public authority and which could involve any of the following matters:

(a)??? official misconduct (including breach of trust, fraud in office, nonfeasance, misfeasance, malfeasance, oppression, extortion or imposition),

(b)??? bribery,

(c)??? blackmail,

(d)??? obtaining or offering secret commissions,

(e)??? fraud,

(f)???? theft,

(g)??? perverting the course of justice,

(h)??? embezzlement,

(i)???? election bribery,

(j)???? election funding offences,

(k)??? election fraud,

(l)???? treating,

(m)?? tax evasion,

(n)??? revenue evasion,

(o)??? currency violations,

(p)??? illegal drug dealings,

(q)??? illegal gambling,

(r)???? obtaining financial benefit by vice engaged in by others,

(s)??? bankruptcy and company violations,

(t)???? harbouring criminals,

(u)??? forgery,

(v)????? treason or other offences against the Sovereign,

(w)???? homicide or violence,

(x)???? matters of the same or a similar nature to any listed above,

(y)???? any conspiracy or attempt in relation to any of the above.

3????????? Conduct may amount to corrupt conduct under this section even though it occurred before the commencement of this subsection, and it does not matter that some or all of the effects or other ingredients necessary to establish such corrupt conduct occurred before that commencement and that any person or persons involved are no longer public officials.

4????????? Conduct committed by or in relation to a person who was not or is not a public official may amount to corrupt conduct under this section with respect to the exercise of his or her official functions after becoming a public official.

5????????? Conduct may amount to corrupt conduct under this section even though it occurred outside the State or outside Australia, and matters listed in subsection (2) refer to:

(a)???? matters arising in the State or matters arising under the law of the State, or

(b)???? matters arising outside the State or outside Australia or matters arising under the law of the Commonwealth or under any other law.

6????????? the specific mention of a kind of conduct in a provision of this section shall not be regarded as limiting the scope of any other provision of this section.

 

Section 9??? Limitation on nature of corrupt conduct

1????????? Despite section 8, conduct does not amount to corrupt conduct unless it could constitute or involve:

(a)????? a criminal offence, or

(b)????? a disciplinary offence, or

(c)????? reasonable grounds for dismissing, dispensing with the services of or otherwise terminating the services of a public official, or

(d)????? in the case of conduct of a Minister of the Crown or a member of a House of Parliament - a substantial breach of an applicable code of conduct.

2????????? It does not matter that proceedings or action for such an offence can no longer be brought or continued, or that action for such dismissal, dispensing or other termination can no longer be taken.

3????????? For the purposes of this section:

applicable code of conduct means, in relation to:

(a)????? a Minister of the Crown?a ministerial code of conduct prescribed or adopted for the purposes of this section by the regulations, or

(b)????? a member of the Legislative Council or of the Legislative Assembly (including a Minister of the Crown)?a code of conduct adopted for the purposes of this section by resolution of the House concerned.

criminal offence means a criminal offence under the law of the State or under any other law relevant to the conduct in question.

disciplinary offence includes any misconduct, irregularity, neglect of duty, breach of discipline or other matter that constitutes or may constitute grounds for disciplinary action under any law.

6????????? A reference to a disciplinary offence in this section and sections 74A and 74B includes a reference to a substantial breach of an applicable requirement of a code of conduct required to be complied with under section 440 (5) of the Local Government Act 1993, but does not include a reference to any other breach of such a requirement.

 

Public Official

The term public official is defined in section 3 of the ICAC Act.

public official means an individual having public official functions or acting in a public official capacity, and includes any of the following:

(a)??????? the Governor (whether or not acting with the advice of the Executive Council),

(b)????? a person appointed to an office by the Governor,

(c)??????? a Minister of the Crown, a member of the Executive Service or a Parliamentary Secretary,

(d)????? a member of the Legislative Council or of the Legislative Assembly,

(e)??????? a person employed by the President of the Legislative Council or the Speaker of the Legislative Assembly or both,

(f)???????? a judge, a magistrate or the holder of any other judicial office (whether exercising judicial, ministerial or other functions),

(g)??????? an officer or temporary employee of the Public Service or the Teaching Service,

(h)????? an individual who constitutes or is a member of a public authority,

(i)?????? a person in the Council of the Crown or of a public authority,

(j)???????? an individual entitled to be reimbursed expenses, from a fund of which an account mentioned in paragraph (d) of the definition of public authority is kept, of attending meetings or carrying out the business of any body constituted by an Act,

(k)????? a member of the Police Force,

(k1)?????? an accredited certifier within the meaning of the Environmental Planning and Assessment Act 1979.

(l)???????? the holder of an office declared by the regulations to be an office within this definition,

(m)?????? an employee of or any person otherwise engaged by or acting for or on behalf of, or in the place of, or as deputy or delegate of, a public authority or any person or body described in any of the foregoing paragraphs.

 


Section 2:? Fraud & Corruption Prevention Policy

 

Purpose

 

Council is committed to high ethical standards. We have a responsibility to protect taxpayer funded resources and assets from fraud and corruption and to ensure that our decisions and actions are free of any corruption.

 

This policy provides guidance as to Council?s actions and expectations in relation to fraud and corruption and the responsibilities of Council officials for dealing with the risks of fraud and corruption.

 

 

Policy

 

Fraud is:

 

dishonest activity causing actual or potential financial loss to any person or entity including theft of moneys or other property by employees or persons external to the entity and whether or not deception is used at the time, immediately before or immediately following the activity. This also includes the deliberate falsification, concealment, destruction or use of falsified documentation used or intended for use for normal business purposes or the improper use of information or position.

 

Corrupt Conduct is:

 

??????? conduct of a person (whether or not a public official) that adversely affects, or could affect the honest and impartial exercise of public official functions, or

??????? conduct of a public official that involves the dishonest or partial exercise of any of his or her public official functions, or

??????? a breach of public trust, or

??????? the misuse of information or material acquired in the course of a public official?s functions.

 

Additionally corrupt conduct can also be conduct of any person (whether or not a public official) that adversely affects or could affect the exercise of official functions and involves conduct such as bribery, blackmail, fraud, forgery and various other crimes.

 

For conduct to be corrupt it must be covered by one of the conditions above and also any one of the following:

 

??? a criminal offence; or

??? a disciplinary offence; or

??? reasonable grounds for dismissal or dispensing or terminating the services of a public official.

 

 

Responsibilities

 

All Council officials have general responsibilities in relation to reporting fraud and corruption as well as cooperating and providing assistance.

 

Managers, supervisors and the Corruption Prevention Coordinator have additional responsibilities.

 

 

Risk Assessment Reviews

 

As managers at all levels within Council are primarily responsible for fraud and corruption prevention and detection, they should conduct fraud and corruption risk assessments in their area of responsibility. Appropriate measures must be implemented to reduce the risks to a minimum level. Risk assessments must be undertaken at least every two years to three years.

 

 


Council Official Awareness

 

Employees, Councillors and Council delegates must understand that fraud and corruption are unacceptable in or against the Council. Fraud and corruption control is the responsibility of every person. All supervisors need to be aware of the behaviours that could result in corruption, either real or perceived.

 

 

Customer and Community Awareness

 

Awareness should be promoted among the community, customers, contractors, suppliers and other third parties that fraud and corruption against the Council is unacceptable.

 

Relevant managers and employees are to ensure that it is easy for third parties to report any suspected fraud or corruption. Once a report is made to an employee or Councillor then he or she is to report this in accordance with the policy for reporting corruption, maladministration and serious and substantial waste.

 

 

Reporting Suspected Fraud or Corruption

 

Ignoring fraud or corruption is tantamount to endorsing it. Ignoring fraud or corruption and turning ?a blind eye? can lead to it becoming acceptable behaviour that can taint whole sections of the Council.? Reporting fraud and corruption is an obligation imposed by honesty.

 

Councillors and employees are required to report any suspected fraud or corruption. The requirement is contained in the Code of Conduct and the Council?s Internal Reporting Policy. Managers are to ensure that employees and Councillors have easy access to the reporting policy.

 

 

Detection Systems

 

Managers are responsible for establishing appropriate fraud and corruption detection systems in their areas.

 

 

External Notification

 

Crimes committed against the Council will be reported to the police and any corruption will be reported to the Independent Commission Against Corruption.? Other external authorities will be notified of fraudulent or corrupt conduct as appropriate.

 

 

Investigations

 

All suspected or alleged fraud or corruption will be investigated. All employees and Councillors are to cooperate fully in such investigations. Investigations are undertaken in accordance with the principles of natural justice.

 

 

Conduct and Discipline

 

All Councillors and employees are to carefully read, understand and observe the Code of Conduct. Fraud and corruption are unacceptable and offenders will face disciplinary action. In addition criminal prosecution will be undertaken and civil and administrative action to recover any losses to the Council will be instituted, as appropriate.

 

 

Links

 

??? Internal Reporting policy

??? Code of Conduct

??? Corruption Prevention Strategy

??? Disciplinary Policy

??? ICAC Act


Section 3:? Responsibility Structure

 

Employees and Councillors

 

Employees and Councillors have the following responsibilities:

 

??????? report all instances of suspected fraud or corrupt conduct in accordance with the reporting policy

 

??????? report any attempts at fraud or corruption. This includes any corrupt inducements offered or hinted at.

 

??????? not to take detrimental action against any individuals reporting fraud, corruption, maladministration or serious and substantial waste. They must protect colleagues from detrimental action if they are aware of colleagues who have made any reports.

 

??????? operate systems of internal control to prevent and detect fraud or corruption in accordance with instructions and established procedures

 

??????? provide cooperation and assistance to investigators or officials? investigating suspected or reported fraud or corruption

 

 

Managers and Supervisors

 

Managers and supervisors have the following responsibilities, in addition to the responsibilities that they have as employees:

 

??????? take appropriate measures to ensure that their employees understand the standards of expected behaviour as outlined in the Code of Conduct and relevant policies and procedures

 

??????? ensure that all reports made to them of suspected fraud or corruption, maladministration and serious and substantial wastage are referred to the General Manager who carries out the role of Corruption Prevention Coordinator, without delay. If a report is received orally, it should be clearly documented, signed and dated.

 

??????? maintain the confidentiality of people making reports and the subject matter of reports, insofar as practical and in conformity with the instructions of the investigator

 

??????? ensure that employees who have reported in accordance with the reporting procedure are not disadvantaged or suffer detrimental action

 

??????? identify and assess the risks of fraud and corruption in their area of responsibility

 

??????? ensure that reasonable internal controls have been implemented to address these risks, and monitor the continued operation of controls to prevent and detect fraud and corruption in their area

 

??????? provide leadership in the area of ethics and the minimisation of fraud and corruption

 

??????? undertake regular reviews and checks to detect irregularities

 

??????? use basic data mining tools to detect possible fraud and corruption

 

??????? ensure that all employees and Councillors have been made aware of the fraud control policy document and its contents, and that the policy is readily available for them

 

??????? ensure that contractors and consultants employed by the Council are bound contractually to comply with appropriate ethical standards, including reporting any suspected or alleged fraud or corruption

 

???
ensure a disciplinary interview is conducted and appropriate action taken where evidence indicates that employees have been involved in fraud or corrupt conduct.? This action is to be taken in accordance with the Council's disciplinary standards.? The person who conducted the investigation is not to conduct the disciplinary interview.

 

??? take disciplinary action, if considered necessary, promptly following completion of the investigation report in accordance with the disciplinary standards.

 

 

Corruption Prevention Coordinator

 

The responsibilities of the Corruption Prevention Coordinator are to:

 

??????? maintain the Council's corruption prevention strategy

 

??????? coordinate the elements which form the corruption prevention strategy

 

??????? set priorities for the development and implementation of corporate wide corruption? prevention initiatives

 

??????? provide an on-going review and promotion of the corruption prevention strategy

 

??????? provide an alternative internal reporting channel and act as a clearing house for all reports

 

??????? make an initial assessment of each report, and ensure appropriate follow up action is taken

 

??????? ensure feedback is provided to the person who made the initial report

 

??????? ensure that the person against whom the complaint is made is advised at the completion of the investigation of the outcome of any investigation, irrespective of the outcome

 

??????? receive all allegations of? corruption, maladministration and serious and substantial wastage and copies of all investigation reports

 

??????? record all allegations and file all investigation reports

 

??????? update Investigation register/database on results of all investigations into allegations of corruption, maladministration and waste

 

??????? provide the General Manager with sufficient information to enable reporting of suspected corrupt conduct to the Independent Commission Against Corruption (ICAC)

 

 

General Manager

 

??????? ensure that the plan and activities adequately address the corruption risks and related systems of internal control

 

??????? ensure that regular reviews and checks are undertaken to detect irregularities

 

??????? receive summary information about investigations undertaken into suspected fraud and corruption

 

 

 


Section 4:? Corruption Risk Assessment

 

Council is committed to:

 

??? undertaking regular assessments of the fraud and corruption risks

 

??? quantifying the level, nature and form of the fraud and corruption risks to be managed

 

??? taking actions to mitigate issues identified in the fraud and corruption risk assessment

 

Corruption can occur whenever a person supplies or has access to resources or information or has responsibility for decision making.? Since this describes almost any activity, all activities should be designed with an awareness of the corruption risks, which arise in the activity and the management controls that can reduce the risk to an acceptable level.

 

Managers are responsible for assessing the risks of fraud and corruption within their areas.? They consider the internal controls in place to mitigate those risks and assess the residual risks. Where the residual risk is high they are responsible for ensuring further measures are undertaken to reduce the risk to an acceptable level.

 

The following procedures should be undertaken by managers in accordance with the Australian Standard on Fraud and Corruption Control, as adapted:

 

1??????? Identify the risks

 

The objective of this phase is to generate a register of all possible inherent risk of fraud or corruption for subsequent analysis. All inherent risks identified should be documented at this point regardless of whether a preliminary assessment concludes that internal controls currently in force will be fully effective in mitigating the risk.

 

2 ?????? Analyse the risks

 

Document key internal controls currently in force, which would tend to have the effect of mitigating the risks of fraud and corruption under consideration. Consider the fraud and corruption risks, taking into account the key controls identified for each risk. For each risk rate it in terms of likelihood and consequence. Work out the overall residual rating for each risk based on your assessments of likelihood and consequence.

 

3????????? Evaluate the risks

 

Identify the fraud and corruption risks that are unacceptably high.

 

4??????? Treat the risks

 

For all fraud and corruption risks that are unacceptably high undertake one or more of the following:

 

??? Alter the existing internal control procedures

??? Implement new internal control procedures

??? Implement procedures aimed at detecting possible fraud or corruption

??? Implement fraud prevention strategies

 

The Corruption Prevention Coordinator maintains the Council?s Fraud and Corruption Risk Register (FCRR). The FCRR contains details of all fraud and corruption risk assessments undertaken.? It is the responsibility of the Manager of the area to monitor and review their fraud and corruption risk assessment and notify the Corruption Prevention Coordinator of any changes. Assessments of the fraud and corruption risks will be undertaken at least every two to three years.

 

 


Determine Consequence

 

Rating

Description

Details

5

 

Catastrophic

 

Death of a person.

Dismissal of General Manager.

Threat to continuation of Council.

Financial loss of over $1 million.

Sustained extremely negative state or national media attention.

Serious prosecution of Council.

 

4

 

Major

 

Serious injury requiring hospitalisation.

State or national negative media attention; or local negative media comments for more than two weeks.

Serious medium term environmental damage.

Financial loss of $500,000 to $1 million.

 

3

 

Moderate

 

Injury requiring brief hospitalisation.

Negative local media attention lasting up to two weeks.

Negative reports or comments from regulators, but no follow up action likely or negative consequences likely.

Financial loss of $200,000 to $500,000.

 

2

 

Minor

 

Minor injury requiring treatment.

Mild negative local media attention.

Mild negative regulatory attention.

Financial loss of $50,000 to $200,000.

1

 

Insignificant

 

Financial loss to $50,000.

Other insignificant damage to Council.

 

 

Determine Current Likelihood

 

Likelihood

Frequency

Probability

5

Almost certain

Almost certain to occur or

will occur more than once a year

?> 85% chance of occurring

4

Likely

More than an even chance of

occurring or will occur once a year

50-85% chance of occurring

3

Possible

Quite often would occur or

should occur every one to three years

21-49% chance of occurring

2

Unlikely

Small likelihood but could happen or

may occur every five to ten years

3-20% chance of occurring

1

Rare

Not expected to occur, event would be a surprise

< 3% chance of occurring

 

 

Determine Risk Rating

 

The Business Risk Rating is a function of the impact and likelihood ratings a shown in the following Business Risk rating matrix.

 

 

Rare

Unlikely

Possible

Likely

Almost Certain

Insignificant

Low

Low

Medium

Medium

Medium

Minor

Low

Medium

Medium

High

High

Moderate

Medium

Medium

High

High

Severe

Major

Medium

High

High

Severe

Severe

Catastrophic

High

High

Severe

Severe

Severe


 

Section 5:? Council Officials? Awareness

 

Council is committed to:

 

??????? undertaking measures to help ensure that all employees, Councillors and delegates understand the ethical behaviours expected of them in the workplace

 

??????? undertaking measures to help ensure that contractors and suppliers understand that Council will not tolerate corruption, including fraudulent dealings

 

??????? providing training programs in ethical behaviours across our organisation

 

??????? providing guidance material that deals with real-life situations, conflicts and fraud risks that employees face in their work areas

 

??????? encouraging contractors and suppliers to provide information if they suspect corruption is occurring

 

 

Council Officials

 

All Council officials are to be made aware that fraud and corruption is unacceptable and must understand the levels of ethical conduct expected of them as contained in the Council?s Code of Conduct.

 

Those who have a responsibility for resources, decision making or information need to be aware of the behaviours that could result in fraud or corruption, either actual or perceived.

 

The Code of Conduct and the Fraud and Corruption Prevention Policy are to be made available to all Council officials.

 

 

Third Parties

 

Third parties who may be seen by the public as representing the Council are to be made aware of the standards of conduct and ethics expected of them.

 

Third parties dealing with the Council, such as contractors, consultants and suppliers are to be made aware of the ethical standards expected of them in their dealings with the Council and our employees and Councillors. This information is conveyed to the third parties via the Council?s Statement of Business Ethics.

 

Breaches of the Statement of Business Ethics by third parties can result in penalties being imposed and possible cancellation of the contract.

 

The third parties are also to be made aware that they are required to report any suspected or alleged fraud or corruption involving the Council to the Corruption Prevention Coordinator.

 

 

Education Plan

 

1??????????? Council Officials

 

Nambucca Shire Council undertakes training for all staff and Councillors in the Council?s Code of Conduct and the Internal Reporting Policy.

?

The objectives as covered by the Code of Conduct and Ethics training are as follows:

 

??? Define fraud and corrupt conduct

??? Understand the code of conduct and ethics

??? Understand employee responsibilities

??? Be able to identify conflicts of interest (both pecuniary and non pecuniary)

??? Hospitality, gifts and benefits

??? Understanding reporting mechanisms within the Council

??? Identify related Council Policies

 

2??????????? Contractors and Suppliers

 

All Contractors and major suppliers should be provided with a copy of the Council?s Statement of Business Ethics.

 

 

 

 


Section 6:? Customer and Community Awareness

 

The objectives of customer and community awareness are to ensure that:

 

??????? the community (ratepayers) has confidence in the integrity of Council

 

??????? customers understand that Council will not tolerate corruption, including fraudulent dealings

 

??????? the community and customers are encouraged to provide information if they suspect corruption is occurring, and there are easy channels for them to do so

 

Council promotes community awareness that fraud and corrupt activities against the organisation is unacceptable.

 

Council undertakes the provision of services to ratepayers with integrity and high ethical standards.

 

Council encourages the community and customers to report any fraud or corruption against the organisation that they suspect. Relevant managers and employees are to ensure that it is easy for members of the public and customers to report and suspected fraud or corruption. Once a report is made to a Councillor or employee then he or she is to report this in accordance with the policy for reporting corruption, maladministration and serious and substantial waste.

 

 

 

 

 

 

 

 


Section 7:? Notification Systems

 

Ignoring fraud or corruption is tantamount to endorsing it. Ignoring fraud or corruption and turning ?a blind eye? can lead to it becoming acceptable behaviour that can taint whole sections of the organisation.? Reporting fraud and corruption is an obligation imposed by honesty.

 

Councillors and employees are required to report any suspected fraud or corruption.? The requirement is contained in:

 

1??????? The Council?s Fraud and Corruption Prevention Policy

 

2??????? The Council?s Code of Conduct (Element 10.1 and 10.2)

 

10.1 You have an obligation to act honestly.? You should report any instances of suspected corrupt conduct, maladministration or serious and substantial waste of public resources in accordance with council?s internal reporting policy.

 

10.2 The Protected Disclosures Act 1994 provides certain protections against reprisals for council officials who report such matters. It is an offence to take detrimental action against people who make such reports.

 

3????????? The Council?s Internal Reporting Policy.

 

 

The Fraud and Corruption Prevention Policy, Code of Conduct and the Internal Reporting Policy are communicated to employees and Councillors in accordance with the education program as detailed in Section 5 of the FCPS Council Officials? Awareness.

 

People who make genuine reports in accordance with the reporting policy are protected from detrimental action against them.

 

The Protected Disclosures Act 1994 offers additional legislative protection to an employee that makes a protected disclosure concerning corrupt conduct.

 

 


Section 8:? Detection Systems

 

The following detection systems are applicable:

 

??????? early warning systems to alert relevant personnel to possible fraud problems

??????? undertaking regular reviews and checks to detect irregularities as a routine part of regular line management

??????? routinely using basic data mining tools, for line management

 

The Australian Standard on Fraud and Corruption Control notes that all entities should adopt a policy aimed at detecting fraud and corruption as soon as possible after it has occurred in the event that the entity?s preventative systems fail.

 

The Standard notes that fraud and corruption prevention may be achieved through:

 

??????? vigilance on the part of line management, who must be aware of their responsibility to identify early and report any fraud or corruption or suspected fraudulent or corrupt activity;

??????? strategic use of the internal audit function;

??????? the development of specific detection strategies for action by line management; and

??????? periodic management reviews instigated by the entity?s management team.

 

1????????? Investigation Results

 

The Corruption Prevention Coordinator (CPC) maintains a record of any investigation conducted as a result of suspected instances of fraud and corrupt being reported.

 

2????????? General Manager

 

The General Manager has access to:

 

??? Council?s Fraud and Corruption Risk Register

??? Management Investigation Report

 

The General Manager takes relevant fraud and corruption information into account in reviewing the Fraud and Corruption Prevention Strategy.


Section 9:? External Notification System

 

ICAC

 

Under section 11 of the Independent Commission Against Corruption Act 1988, the principal officer of a public authority has a duty to report to the Commission any matter that the officer suspects on reasonable grounds concerns or may concern corruption.

 

The principal officer is defined as the person who is the head of the authority, its most senior officer or the person normally entitled to preside at its meetings.? The Council?s principal officer is the General Manager.

 

The Corruption Prevention Coordinator reports to the General Manager any suspected corruption.

 

When another person acts as the General Manager during periods of leave or other absence, the duty applies to that person who is acting.

 

The reference to suspects on reasonable grounds, according to ICAC means that there is a real possibility that corrupt conduct may be involved.? Proof is not necessary.

 

ICAC encourage organisations to contact the Commission to discuss particular matters if they are unsure about whether or not to report, and to seek clarification about other issues related to reporting.

 

Section 11 applies despite any duty of secrecy or other restriction on disclosure.

 

The requirement to report suspected corruption to ICAC does not affect the obligations to report or refer matters to other bodies, such as the Police, the Ombudsman, or to carry out disciplinary procedures as required.

 

The Independent Commission Against Corruption (ICAC) has stated that reporting criminal matters to the Commission should not delay the matter being reported to the Police.

 

ICAC have advised that the following items should be included in reports:

 

??????? details of the allegations

 

??????? the name and position of any public official/s alleged to be involved

 

??????? the name and role of any other people relevant to the matter

 

??????? when the alleged conduct occurred

 

??????? whether the alleged conduct appears to be a one-off event or part of a wider pattern or scheme

 

??????? when the allegation was made or you became aware of the alleged conduct

 

??????? what your organisation has done about the suspected conduct, including notification to any other agency

 

??????? what further action is proposed

 

??????? an indication of the estimated amount of money (if any) involved

 

??????? any other indicators of seriousness

 

??????? any other relevant information

 


The Commission may use the matters reported to ICAC in the following ways:

 

??? all information is assessed in terms of the contribution it may make to the work of the Commission;

 

??? a small number of reports are selected for full investigation by ICAC;

 

??? reports may form the basis of corruption prevention advice and project work;

 

??? reports may be referred to more appropriate investigative authorities.

 

The Corruption Prevention Coordinator will provide the General Manager with information to enable him/her to report the matters to the ICAC.

 

 

Police

 

Where the General Manager reasonably believes that a Council official has committed a criminal offence, the matter should be referred to the police.

 

If it is suspected that a crime has been committed the police should be informed.

 

According to section 316 of the Crimes Act 1900, concealing a serious offence is a criminal offence:

 

If a person has committed a serious offence and another person who knows or believes that the offence has been committed and that he or she has information which might be of material assistance in securing the apprehension of the offender or the prosecution or conviction of the offender for it fails without reasonable excuse to bring that information to the attention of a member of the Police Force or other appropriate authority, that other person is liable to imprisonment for 2 years.

 

Where it is suspected on reasonable grounds that a crime has been committed, this should be reported in accordance with the reporting policy for corruption, maladministration and serious and substantial waste.

 

The Corruption Prevention Coordinator is responsible for making decisions about reporting matters to the police service.

 

 

Department of Community Services and Commission for Children and Young People

 

Department of Community Services

 

Where there is a reasonable suspicion that a child has experienced or is at risk of abuse, the Department of Community Services should be notified.

 

The Corruption Prevention Coordinator is responsible for making decisions about reporting matters to the Department of Community Services.

 

 

Commission for Children and Young People

 

The Commission for Children and Young People Act 1998 imposes duties to notify the Commission in relation to relevant disciplinary proceedings. These include actions taken to investigate matters that have been the subject of allegations involving:

 

??????? child abuse

??????? sexual misconduct which involves children, is directed at children , or takes place in the presence of children

??????? acts of violence committed by the employee in the course of employment which involves children, is directed at children, or takes place in the presence of children

 

It is not necessary to notify the Commission where completed relevant disciplinary proceedings have proven the allegations to be false, vexatious or misconceived.

 

The Corruption Prevention Coordinator is responsible for making decisions about reporting matters to the Commission for Children and Young People.

 

Annual Report

 

The Annual Report provides information to the community about instances of fraud and corruption reported to external bodies.

 

The Corruption Prevention Coordinator is responsible for providing information to be included in the Annual Report.

 

 

 


Section 10:? Investigation System

 

All suspected or alleged frauds will be investigated.

 

The Australian Standard on Fraud and Corruption Control notes that the overall guiding principles of any investigation into alleged improper conduct are independence and objectivity.

 

Adequate records must be made and kept of investigations.

 

Alleged criminal activity may also be investigated by the relevant law enforcement authorities.

 

1??????? Investigation Procedures

 

The Council has adopted the investigation procedures contained in the Investigation Toolkit.

 

The procedures in the Investigation Toolkit cover:

 

??? Receiving allegations or reports

??? Recording allegations or reports

??? Assessing allegations or reports

??? Initial reporting

??? Planning the investigation

??? Collecting and dealing with documents and exhibits

??? Collecting and dealing with electronic evidence

??? Conducting the interviews and interrogations

??? Assessing the findings

??? Reporting

??? Preparing a police brief.

 

The Investigation Toolkit contains standard forms and the Toolkit is designed to ensure all investigations are undertaken fairly and consistently in accordance with the rules of natural justice.

 

2??????? Investigation Training

 

All investigations will be undertaken by either external consultants or employees who have the necessary training in investigation procedures.

 

3 ?????? Procedures for Record Keeping and Information Protection

 

It is essential that allegations of corrupt conduct maladministration and serious and substantial wastage, evidence collected during investigations and the results of investigations are properly:

 

??? collected

??? recorded

??? stored; and

??? secured

 

during all phases of the investigations.

 

The following measures should be adhered to.? The Corruption Prevention Co-ordinator will provide a copy of these measures to anyone conducting an investigation into allegations of corruption, maladministration and waste on behalf of the Council.

 

1????????? Investigation files and reports should be kept securely locked when not is use.? They should not be left unattended on desks even for short periods.

 

2????????? Access to files and reports should only be given to people for official purposes and on a needs basis.

 

3????????? People to whom access is given must observe the same security procedures. This should be explained to them.

 

4????????? The name of the person suspected of the conduct should not be mentioned on the cover of any files.

 

5????????? The name of the person who reported the suspected conduct should not be mentioned on the cover of any file.

 

6????????? No information from the investigation report is to be attached to any employee's personnel file.

 

7????????? The Corruption Prevention Coordinator is responsible for all investigation files dealing with suspected corruption, maladministration and wastage.

 

8????????? All completed investigation files are to be returned to, and retained by, the Corruption Prevention Coordinator.

 

9????????? The Corruption Prevention Coordinator is responsible for maintaining an Investigation Register which details:

??? Category of allegation

??? Section

 

10???????? The Corruption Prevention Coordinator will be responsible for the destruction of investigation files in accordance with agreed destruction standards.

 

 

4????????? Management Control Structure to Monitor Investigations

 

It is essential that all allegations received and indexed onto the Corruption Investigation Register, maintained by the Corruption Prevention Coordinator.

 

The Corruption Prevention Co-ordinator will be responsible for the completion of this schedule. Each case will stay on the schedule and be reported until all action is finalised.

 

Once all action for a case is finalised, including all managerial action, it will be reported as finalised.

 

All investigation action, including any managerial disciplinary action, if applicable, is expected to be completed within three months of the allegation being received.

 

All preventative action, if any, required by management as recommended and agreed with the investigator is to be implemented within three months of the investigation being completed.

 

The Corruption Prevention Co-ordinator is responsible for analysing and undertaking trend analysis of information contained on the register/database eg by location, by investigation type.

 

Date:?

MANAGEMENT INVESTIGATION REPORT

 

Case No

Date Received

Internal/ External

Location

Type

Investigation Complete

Investigation Result

Management Action Complete

Date finalised

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


Section 11:? Conduct and Disciplinary System

 

The following contribute to a sound conduct and disciplinary system:

 

??????? employees, Councillors and delegates understand that fraud is a crime and will not be tolerated

 

??????? employees, Councillors and delegates understand that those committing fraud will be prosecuted

 

??????? employees, Councillors and delegates are clear about rules and requirements, and the values and behaviours expected of them

 

??????? the policies and actions of the Council establish a clear and consistent approach to dealing with instances of fraud

 

Fraud against the Council or corruption by its employees, Councillors and delegates are unacceptable and offender(s) will face disciplinary action. Where crimes have been committed the matters will be reported to the police. Council will implement civil action to recover any losses incurred by fraud.

 

 

1??????? Code of Conduct and Policies

 

The Council has issued a Code of Conduct, which establishes levels of expected behaviour. The Code is revised on a regular basis to ensure that it remains relevant and comprehensive. It meets the standards of the Model Code of Conduct issued by the Department of Local Government.

 

Other policies dealing with ethical and fraud control matters are issued as considered appropriate.

 

A copy of the Code and any future revisions will be given to every employee, Councillor and delegates. The Code will be included in the annual report. Posters are used to highlight key issues from the Code. Other methods are used from time to time to ensure that Council officials understand the expected standards of behaviour as regards ethics and fraud control.

 

Council?s Statement of Business Ethics has been developed to detail our high ethical standards to our suppliers, consultants and contractors.?

 

It will be written into the contracts of suppliers, consultants and contractors that they and their employees adhere to the standards. Failure to adhere to these standards can result in the cancellation of their contracts.

 

 

2??????? Disciplinary Standards

 

The Council has disciplinary standards that are detailed in the Council?s:

 

??? Code of Conduct; and

??? Disciplinary Policy.

 

In all cases of fraud and corruption, consideration will be given to restitution and criminal charges.? The General Manager is responsible for making the decision about these matters.

 

The General Manager decides what disciplinary action is appropriate for employees involved in fraud and corruption.

 

The Council and/or the Director General of Local Government decide what disciplinary action is appropriate for Councillors involved in fraud and corruption.

 

 

?


General Purpose Committee

17 February 2010

General Manager's Report

ITEM 8.4????? SF1446??????????? 170210???????? Draft Management Plan (Part 1) 20 Year Community Strategic Plan 2010/2030

 

AUTHOR/ENQUIRIES:???? Craig Doolan, Manager Financial Services ????????

 

Summary:

 

Council?s Objectives/Targets//Strategies for a 20 year Community Strategic Plan have been reviewed by Council?s Sub-Committee, General Manager, Directors and Managers and are presented for Council?s consideration for inclusion in the draft Management Plan.

 

 

Recommendation:

 

That Council adopt the Objectives/Targets/Strategies as amended for the Draft 2010/2030 Management Plan.

 

 

OPTIONS:

 

Council has the option of making changes to the draft Management Plan as it sees fit.

 

 

DISCUSSION:

 

During last year?s draft Management Plan process Council resolved to established a subcommittee to review the Draft Management Plan 2009/2029 ? Objectives/Targets/Strategies to better integrate it with other key policies and to ensure that format, layout, grammar and construction are consistent and improved.

 

Council?s Sub-Committee, General Manager, Directors and Managers have analysed these objectives, targets and strategies statements of the 20 year plan as well as the more pressing statements over the next 5 years.

 

The draft document containing the revised statements is circularised for Council?s consideration.

 

These statements are designed to reflect the enhanced forward planning focus of incorporating short, medium and long term goals.

 

In each Theme broad Target statements of desired achievements have been designed and accompanied by Strategies on how the target will be achieved.

 

Supplementing the above statements, performance objectives for the next five (5) years have been formulated detailing specific outcomes and the measurable means by which these outcomes will be achieved.

 

Note: Financial data within this attached Plan is not relevant at this point as this section of the Plan is yet to be completed.

 

 

CONSULTATION:

 

Council?s Sub-Committee, General Manager, Directors and Managers have contributed to the draft.

 


SUSTAINABILITY ASSESSMENT:

 

Environment

The draft Management Plan is Council?s major policy statement of its targets, objectives and strategies for the next 20 years.? It allocates scarce resources to competing priorities.? Under Section 7 of the Local Government Act Council must have regard to the principles of ecologically sustainable development.? Therefore it must be satisfied that funding made available directly and indirectly for the purposes of environmental outcomes are appropriate and adequate for this obligation.

 

Social

 

Therefore it must be satisfied that funding made available directly and indirectly for the purposes of the social outcomes are appropriate and adequate for this obligation.

 

Economic

 

Therefore it must be satisfied that funding made available directly and indirectly for the purposes of the economic outcomes are appropriate and adequate for this obligation.

 

Risk

 

No apparent risks

 

 

FINANCIAL IMPLICATIONS:

 

Direct and indirect impact on current and future budgets

 

Council?s forthcoming draft budget and forward financial plan will follow this step of the Management Plan process and will highlight the financial implications in achieving the draft Management Plan objectives/targets/ strategies.

 

Source of fund and any variance to working funds

 

The impact on working funds will be reported with the draft budget and forward financial plan.

 

Attachments:

1View

?- Circularised Draft Management Plan (Part 1) 20 Year Community Strategic Plan 2010/2030

 

??


General Purpose Committee - 17 February 2010

Draft Management Plan (Part 1) 20 Year Community Strategic Plan 2010/2030

 

 

 

 

 

 

CIRCULARISED DOCUMENT

GENERAL PURPOSE COMMITTEE

 

GENERAL MANAGER?S REPORT

 

ITEM 8.4

 

Draft Management Plan (Part 1) 20 Year Community Strategic Plan 2010/2030

 

 

 

??


General Purpose Committee

17 February 2010

Director of Engineering Services Report

ITEM 9.1????? PRF15????????????? 170210???????? E J Biffin Playing Fields - Review of Plan of Management

 

AUTHOR/ENQUIRIES:???? Bruce Redman, Director Engineering Services ????????

 

Summary:

 

The Plan of Management for E J Biffin Playing Fields has been revised.? The draft is presented to Council seeking consent to place the document on public exhibition.

 

Recommendation:

 

That Council place the E J Biffin Playing Fields Plan of Management on public exhibition for 28 days with a further 14 days allowed for the receipt of submissions.

 

OPTIONS:

 

????????? Place on public exhibition

????????? Revise and place on public exhibition

 

 

DISCUSSION:

 

The original Plan was adopted on 16 March 1995 and is due for a review.? In addition to the time period Council has to address the issue of the Bridge Club assuming ownership and the provision of access to the area of Operational Land within the reserve.

 

The format of the Plan is similar to other recent Plan of Management documents such as Coronation Park.

 

The Committee of Management will specifically be invited to comment particularly with regard to the history of the reserve and the proposed long term redevelopment.

 

The comments received from Councillors has been summerised in the following table along with my response.

 

 

CONSULTATION:

 

????????? Councillors

????????? Nambucca Heads Aboriginal Land Council

????????? Department of Environment, Climate Change and Water

????????? Property Officer

 


Cr Anne Smyth?s comments:

 

Page No

Proposed Changes/Comments/Questions

Staff Response

99

1.9 (second) ?missing the word ?to?, between ?pursuant? and ?this?

Corrected

99

1.9(a)(ii) As EJ Biffin Playing Fields is categorized as community land with a sub-category of Sportsground, I feel that is it probably not appropriate to include ?maternity welfare centres, infant welfare centres, kindergartens, nurseries, child care centres, family day-care centres, surf life saving clubs?.

Retained

Clause 46 of the Local Government Act states that these specific purposes may be allowed provided the Plan of Management? authorises these uses. Inclusion gives Council greater discretion in determining applications of this nature.

It is intended that this clause be a standard inclusion on all sportsground plans of management.

A copy of the clause is attached to the report.

115

6.2.2.3? Capital Cost column has $0, but the Means of Achievement column indicates that new facilities are to be built.? Needs to have a costing for the construction of these new toilet facilities.

Not intended to build new toilets. Will change the wording from "built" to "provided" in the means of achievement.

116

6.2.2.5? Capital Cost column has $0, but the Means of Achievement column indicates construction of shelters and buildings.? Needs to have a costing for their construction.?

Budget changed to $4,000.

117

6.2.2.8? Means of Achievement column ~ the word ?keep? should be replaced with ?kept?

Amended

117

6.2.2.11 Capital Cost $100,000 seems a substantial amount of money for maintenance and improvement of the existing car park. Is there to be a new car park constructed?

A new estimate has been prepared to rehabilitate and hot mix seal the carpark. Estimate is $70,000. Changed in POM.

118

6.2.2.12? Means of Achievement column ~ a)(ii) I feel that is it probably not appropriate to include ?maternity welfare centres, infant welfare centres, kindergartens, nurseries, child care centres, family day-care centres, surf life saving clubs? as this is community land with a sub-category of Sportsground.

Retained

Clause 46 of the Local Government Act states that these specific purposes may be allowed provided the Plan of Management? authorises these uses. Inclusion gives Council greater discretion in determining applications of this nature.

It is intended that this clause be a standard inclusion on all sportsground plans of management.

A copy of the clause is attached to the report.

121

6.2.2.19? Means of Achievement column ~ ?Councils are not required to pay 50% of fencing costs for reserves?.? Does this mean when private property adjoins the reserve?? If so, perhaps this could be made clear.? Also, if there is perimeter fencing and no residential property adjoins, wouldn?t Council be responsible for the entire cost?? If so, a capital cost and recurrent cost should be included in the relevant columns.?

Clarified.

No cost sharing with fences joining private land. Full cost met by Council on road frontages and public land.

Capital cost of $20,000 included for future fencing of road boundary and $1,000 maintenance.

121

6.2.2.23? Recurrent Cost column is blank.? As it is proposed to install water tanks and irrigation, new lighting, etc., as per the long term plan for re-development of the sports fields, there should probably be an amount included in this column for maintenance.?

An amount of $5,000 has been included as the recurrent cost to maintain new facilities once they occur.

 

 


Comments in regard to draft PoM EJ Biffin Playing Fields from Cr Flack

 

Cr Paula Flack comments:

 

Page No

Proposed Changes/Comments/Questions

Staff Response

1.2 2nd para

Section 2.3.1 refers to junior rugby league using field so this should also be included in this para

Included.

1.2 3rd para

Suggest ?In additional to the sports fields, other facilities on the site include:?

Change Discuss to Discus

Changed.

1.2 4th para

Suggest ?The reserve is one of two main open space areas available in the town of Nambucca Head and provides for sport, recreation and social events?

Suggested changes tighten the sentence but also reflect the fact that the playing fields are available for all residents and visitors, not just ?for the township?.

 

Changed by including the words Nambucca Heads.

1.2 6th para

1st dot

Suggest ?Provide a broad range of recreational uses for the town of Nambucca Heads and provide facilities suitable for use by the broader sporting and recreational community.?

Changed by including the words Nambucca Heads and the word "recreational".

1.3 4th para

Insert ?land? after community, on last line

Included.

1.7 Community consultation

The community consultation contains contradictory statements ie ?The plan was on display from 8 June to 6 July 2006?etc? and at 3rd para The first Plan of Management for E J Biffin Fields was adopted by council on the 16 March 1995.? This plan is the first revision of the plan and replaces it from the date of the adoption being?.etc?

 

Also the photo relating to this section should not display a doc for a valla beach PoM ? it confusing.? If we haven?t got a photo of the ad for the EJ Biffin field then suggest no photo

Actual dates to be included in the exhibited Plan of Management.

 

 

 

Sample only at this time. The actual advertisement will be used in the final document.

1.8 1st para

Both first and second sentences require improvement re grammar and clarity.? I suggest ?All operations and/or developments undertaken at EJ Biffin Field must comply with the adopted plan of Management.?

And

 

The second sentence refers to amendments.? I take it that this refers to Council making changes (amendments) to the plan without the requirement for public consultation rather than reviewing it usually involves exhibition etc.? If this is the case then such amendments should only be to bring the PoM into line with new legislation or state govt requirements.? If ?amendments were to be made to changing expectations and requirements of the community, then it should be done through the transparent process of exhibition.? I therefore suggest:

?Amendments to the adopted plan are possible under division 2 Clause 41 of the Local Government Act 1993 and may be required to ensure the PoM complies with any changes to State legislation and State Government requirements.?

 

Reference should be made in the PoM as to how and when the doc will be reviewed ie other than the amendments referred to above.? I believe given the size and significance of the fields that the plan should be reviewed on an as needs basis, but at least once every Council term and that this will involve public consultation via exhibition

?

Rewritten.

 

 

 

 

 

My interpretation is that an amendment to the Plan of Management (POM) requires adoption of a new POM via the standard exhibition process. The wording has been changed to reflect this view.

 

 

 

 

 

 

 

 

 

No set time required. Ideal would be 5 years to assess if a full review is necessary. This has been included.

1.9

 

Note inconstant formatting here with different dots. Would be better to have all the same formatting.

Made consistent.

1.9

2nd dot

Insert ?to? after pursuant

Already corrected.

1.9.

2nd dot

a ii)

The second sentence of this para should be deleted (as we did in Donnelly Welsh PoM).? So a ii) reads simply ?The physical, cultural, social and intellectual welfare or development of persons.?

Retained.

Clause 46 of the Local Government Act states that these specific purpose may be allowed provided the POM authorises these uses. Inclusion gives Council greater discretion in determining applications of this nature.

It is intended that this clause be a standard inclusion on all sportsground POM's.

A copy of the clause is attached.

2.1.1 iii Flora

1st para

The first sentence is contradictory ie tree planting is mainly a natural stand? Last sentence should read ?over the years?? ie years not year?

Corrected.

2.1.1 iv

Rather than play down the fauna ie ?Essentially no fauna exists other than?..? a more positive statement would be appropriate after all birds are fauna so fauna does exist.? How do we Know that possums and say sugar gliders do not frequent the eucs when they are flowering?? Bandicoots in the understorey? Bush rats?? Have we surveyed? The highway corridor certainly provides habitat and is immediately adjacent to the reserve and links to the stand of native veg at the SE corner so it is quite possible likely that native mammals use some of the habitat on the grounds.? It would more appropriate and accurate to state that ?Due to limited habitat availability on the grounds fauna is likely to be limited. No fauna surveys have been undertaken at the site however birds have been observed in the existing vegetation.?

 

Suggest deleting the last sentence relating to not encouraging use by native fauna. The sentence does not make sense anyway ? how can ?use of a park not provide habitat?? It is recognized that trees are important for shade in the PoM ie No1 in Action Plan ?Gradual planting of tree with native species to provide shade? ? any native trees will provide habitat so this sentence is not only a rather negative one but also a moot point.

Rewritten.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Wording changed to state that the reserve has been developed for sport rather than as a habitat area.

2.1.2 i

Was the Aboriginal Cultural Heritage Management Plan consulted or NLALC asked?

Letter sent to DECCW and NHALC. Response is that any assessment will need to be carried out at a cost. Allow $250 per hour.

2.1.2 ii

I think reference to Jack Biffin whom the park is named after should be right up front in the Plan at say 1.2

No change.

This is the relevant section for history. I am looking for community input in this area to give a fuller picture of the people involved and how the park became established.

2.2.2

Title should be moved to new page.? The first sentence might be better located in the section on licenses at 1.9

This only occurred in the business paper version. The standard document is OK.


 

2.3.2

Any development of a walking or cycle path around the perimeter should not involve the removal of native vegetation.? The sentence refers to no impact to sporting use but should also refer to no impact to native veg as well

Modified to include wording "minimal impact to native vegetation".

3.0.1

Reference is made in the 1995 PoM at p4 to the sensitivity of the soils to compaction.? This should be mentioned here also

Wording added to 3.0.1 on soil compaction.

3.0.5 2nd para

Insert word ?be? between to and subdivision

Added.

6.1.1 i)

Change ?natural flora and fauna? to ?native flora and fauna?.? All f & f is natural but not all is native.? We do not want to be protecting for example black rats

Changed.

6.1.1

Litter control should be added to the desirable outcomes

Waste management is included in 6.2.2.21 as an operational matter not a headline outcome.

6.1.2.1

We should be inspecting for unhealthy trees while we are inspecting for dangerous ones. Means of Achievement should read ?Vegetation is maintained in a safe and healthy condition?.

 

Taking responsibility for the health of our natural assets in public places will save time and money in the long run and reduce risks.? A healthy tree is more likely to be a safe one and maintaining a tree in a healthy state means less chance of loss of the shade and habitat value it provides and cost of replacement.

The wording "unhealthy" added.

6.1.2.2

What is the $100 for?? It is free to check the DECCW Wildlife Atlas and DECCW only keep threatened species records.? The listed Action and Means of Achievement for this action the action should be reversed.

Reduced to $10.

Agree and switched.

6.2.2.21

Reference to waste management but not to management of littering.? Signs re fines, locations of bins?? Ranger involvement at events is probably not financially an option but perhaps there should be some consideration of level of waste bin availability for events if littering levels are high for example?

Council commitment to litter control is limited to the provision of 2 bins for everyday use. The cost of providing a collection service for every event would be major so groups are made responsible to address their own waste collection.

 

 

SUSTAINABILITY ASSESSMENT:

 

Environment

 

No major issues.? Vegetation is discussed on the Plan.

 

Social

 

A Plan of Management determines the means of management of the facility and the user groups.? Social equity is a major issue to be put in place.

 

Economic

 

This is the largest recreation reserve in the urban areas and hosts a range of regional events.? Future upgrades will allow this aspect to grow.

 

Risk

 

The adoption of the Plan can be delayed through public consultation requiring major changes.

 

The value of future upgrades is a financial expense that may be difficult to achieve.

 

 

FINANCIAL IMPLICATIONS:

 

Direct and indirect impact on current and future budgets

 

No new costs. Future budgets will need to address the Forward Plan as funds present.

 

Source of fund and any variance to working funds

 

The Forward Plan will require considerable funding from sources other than Council.? Grants will be essential.

 

Attachments:

1View

2980/2010 - Clause 46 Local Government Act

 

2View

?- Circularised Document - Draft Plan of Management - E J Biffin Playing Fields

 

??


General Purpose Committee - 17 February 2010

E J Biffin Playing Fields - Review of Plan of Management

 


?


General Purpose Committee - 17 February 2010

E J Biffin Playing Fields - Review of Plan of Management

 

 

 

 

 

CIRCULARISED DOCUMENT

 

E J Biffin Playing Fields - Review of Plan of Management

 

 

 

- Draft Plan of Management - E J Biffin Playing Fields

 

?


General Purpose Committee

17 February 2010

Director of Engineering Services Report

ITEM 9.2????? DA2008/043????? 170210???????? DA 2008/043 - Woolworths Site, Macksville

 

AUTHOR/ENQUIRIES:???? Bruce Redman, Director Engineering Services ????????

 

Summary:

 

The Construction Company Mainbrace Constructions (NSW) Pty Ltd have agreed to provide a site tour of the site upon which the Woolworths Macksville store is being built.

 

 

Recommendation:

 

1??????? That Council note the inspection of the Macksville Woolworths construction site, Cooper Street, Macksville conducted on 17 February 2010.

 

2??????? That Council provide a letter of thanks to Mr Terry Stephens from the Company Mainbrace Constructions (NSW) Pty Ltd.

 

OPTIONS:

 

Nil

 

 

DISCUSSION:

 

The construction of the Macksville Woolworths store is a major building and engineering activity in this area.

 

Woolworths will have taken possession of their store by 15 March 2010.? Their safety requirements of hard hats, gloves, safety vests and steel cap shoes will prevent an internal tour of their store.

 

Mr Terry Stephens is the site Supervisor for the Company, Mainbrace, which is undertaking the site works.? Mr Stephens has agreed to give Councillors and Staff the opportunity to inspect the work.

 

All persons attending the site will be required to wear safety vests (Council provided) and stout boots (personal).

 

 

CONSULTATION:

 

Mainbrace Constructions (NSW) Pty Ltd

 

 

SUSTAINABILITY ASSESSMENT:

 

Environment

 

No impact arising from the site inspection.

 

Social

 

No impact arising from the site inspection.

 

Economic

 

No impact arising from the site inspection.

 


Risk

 

Participants will need to be inducted on site and wear safety equipment to reduce the risk to personal safety.

 

FINANCIAL IMPLICATIONS:

 

Direct and indirect impact on current and future budgets

 

No impact resulting from the site visit.

 

Source of fund and any variance to working funds

 

Nil.

 

Attachments:

There are no attachments for this report.


General Purpose Committee

17 February 2010

Director of Engineering Services Report

ITEM 9.3????? SF84??????????????? 170210???????? Rural Fire Service - Annual Budget 2010/2011

 

AUTHOR/ENQUIRIES:???? Bruce Redman, Director Engineering Services ????????

 

Summary:

 

Each year at this time the Rural Fire Service (RFS) submit their forward budget for Council?s adoption before submission to the RFS Commissioner.

 

Council pays 11.7% of the budget.

 

 

Recommendation:

 

That Council note the 2010/2011 projected budget for the NSW Rural Fire Service for the Nambucca Shire Local Government Area as prepared by the local officers and submitted to the Rural Fire Service Head Office for assessment.

 

 

 

OPTIONS:

 

?????? Endorse the 2010/2011 budget

?????? Not endorse the budget leaving the Commissioner to implement

?????? Seek a modification to the budget

 

 

DISCUSSION:

 

The Zone Manager, Mr D Phillips, has submitted the proposed budget for 2010/2011 for Council?s adoption.

 

The document is attached.

 

The submitted budget is summarised as follows:

 

???????????????????????????????????????????????????????????????????????????????????????? 2009/2010???????????? 2010/2011

?????????????????????????????????????????????????????????????????????????????????????????????? $?????????????????????????? $

Annual Maintenance and Repairs???????????????????????????????????????????? 192,100???????????????? 161,200

Appliances??????????????????????????????????????????????????????????????????????????? -126,000???????????????? 241,423

Second Hand Tankers???????????????????????????????????????????????????????????? 250,000???????????????? 145,000

Other Vehicles???????????????????????????????????????????????????????????????????????????????? 0?????????????????????????? 0

Equipment?????????????????????????????????????????????????????????????????????????????? 15,000?????????????????? 35,000

Brigade Stations????????????????????????????????????????????????????????????????????? 20,000?????????????????????????? 0

Reimbursable Items????????????????????????????????????????????????????????????????? 73,000?????????????????? 59,042

Hazard Reduction???????????????????????????????????????????????????????????????????? 15,752?????????????????? 16,670

District Staff Estimate???????????????????????????????????????????????????????????? 375,402?????????????????? 96,150

Other????????????????????????????????????????????????????????????????????????????????????? 15,500?????????????????????????? 0

?????????????????????????????????????????????????????????????????????????????????????????? $830,754?????????????? $754,485

 

 

Rural Fire Service staff salaries and program costs are in addition to these costs of which Council also meets 11.7% of the cost.? Last year that component was $570,000 and expected to be $560,000 in 2010/2011.

 

 


A comparison of previous years shows that the Rural Fire Service budget has? been reducing.? The totals are as follows:

 

????????????????????????????????????????????????????????? 2008/2009??????????????? 2009/2010???????????? 2010/2011

???????????????????????????????????????????????????????????????? $???????????????????????????? $?????????????????????????? $

Budget???????????????????????????????????????????????? 1,176,239?????????????????? 830,754???????????????? 754,485

Program????????????????????????????????????????????????? 629,852?????????????????? 569,151???????????????? 560,000

???????????????????????????????????????????????????????? $1,746,632?????????????? $1,388,312??????????? $1,314,485

 

The proposal is lower than 2009/2010 and significantly lower than 2008/2009.

 

 

CONSULTATION:

 

Estimate submitted to Council Rural Fire Service for consideration and endorsement.

 

Council sought? clarification of a number of matters before acceptance of the budget. The zone manager David Phillips is unable to attend the general purpose comity meeting but has provided verbal advice:

 

????????? The category 9 single cab units have proven to be unsuitable for local fire trucks. They are being phased out with the better suited land cruiser based striker units.

 

??????????? The budget shows 3 new units and 2 disposed units.? This is not an increase in the fleet size. During the year 3 units where disposed with no replacements.? Over the last ten years the number of units has decreased.

 

??????????? A second hand tanker will be secured for Talarm.

 

???????? The management of fire trails and hazard reduction work in the rural areas are done outside of the Local Government funding.? Just under $100,000 was spent in 2009/2010 on hazard reduction.

 

 

SUSTAINABILITY ASSESSMENT:

 

Environment

 

Bushfire can affect large areas of vegetation and habitat.? Hazard reduction and fire fighting attempts to minimise the impact.

 

Social

 

The role of the NSW Rural Fire Service is to protect rural property and life.? This budget provides the resources.

 

Economic

 

Protection of property and livestock assists rural agriculture viability in times of emergency.

 

Risk

 

There is no likelihood of the budget being revoked.? The Emergency Services Minister has the final say and would authorise the 2010/2011 budget.

 

 


FINANCIAL IMPLICATIONS:

 

Direct and indirect impact on current and future budgets

 

The proposed budget is a decrease to last year.? $754,354 (2010/2011) compared to $830,754 (2009/2010).

 

Source of fund and any variance to working funds

 

Council meets 11.7% of the cost down from the previous 13.3%.

 

Attachments:

1View

31594/2009 - 2010/2011 Rural Fire Fighting Fund Estimates

 

?

?


General Purpose Committee - 17 February 2010

Rural Fire Service - Annual Budget 2010/2011

 











?


General Purpose Committee

17 February 2010

Director of Engineering Services Report

ITEM 9.4????? SF1031??????????? 170210???????? Policy Review - Memorials on Council Controlled Land

 

AUTHOR/ENQUIRIES:???? Bruce Redman, Director Engineering Services ????????

 

Summary:

 

This policy was last reviewed in 2005.? Initially it was proposed to retain the policy with minor housekeeping.

 

It is now recommended to Council that the practice of allowing park benches or other public memorials cease.

 

 

Recommendation:

 

That Council discontinue the approval of memorials and plaques in public places and amend the policy accordingly to refuse all applications.

 

 

OPTIONS:

 

1??????? No longer approve public memorials

2??????? Adopt revised policy

3??????? Retain old policy

 

 

DISCUSSION:

 

The comments from Councillors (see table of Councillors? comments below) has raised the important point of adopting an assessment criteria to determine who is eligible to be publicly recognised via a plaque on a park bench.

 

The applications are currently in memory of a parent or loved one who enjoyed the view of the beach or river.? At times the location reflects an accident.

 

In practical terms it is very difficult to prescribe to a list of criteria to be applied to individuals to determine their suitability for public recognition.? It would be easier not to allow memorials in public places of any kind.

 

Councillor

Proposed Changes/Comments/Questions

Staff Response

Cr Janet Court

Is an annual review necessary?

No.? Delete reference

 

Cr Rhonda Hoban

Do we need to specify the size of the plaque?

Adopt 70 mm x 180 mm

The size of the plaque needs to fit in with the slat spacing on the seats.? A small plaque will fit wholly on one slat.? A large plaque will fit on two slats and be 180 mm x 180 mm

 

Cr Rhonda Hoban

Do we need eligibility criteria for memorials eg community service?given number of recent requests?

Council to review.

There have been around five enquiries over the last two months.? Even though Council gains an $800 seat, it is a time consuming process in determining locations.? There is no criteria for who is eligible to be remembered this way.? Applications are generally a memory to a family member who enjoyed the view rather than recognition of ?community deeds?.? Council could consider restricting approvals to residents that have contributed substantially to the community.

 

Cr Michael Moran

No staff member to decide whether there will be a memorial ? to come before Councillors.? Staff have too much delegation now.? Memorials should not be on round about traffic hazard.

 

Staff can determine application if it meets the policy.

Non conforming requests are placed before Council as per the policy.

Cr Michael Moran

If memorials are allowed, could be on gates, rocks, seats or walls.

Bench seats chosen to avoid turning parks into cemeteries.

 

Cr Michael Moran

Who pays for replacement when one is smashed or pinched?

Family replaces plaque.

Policy requires Council to maintain seat.

Cr Paula Flack

Page 1 ? 4.0 last dot

Suggest changing ?agreed? with ?achieved? ie ?if agreement cannot be achieved? with the applicant?.?

Changed

 

Cr Paula Flack

Page 1 ? 5 History

2nd para doesn?t make any sense

Deleted

 

CONSULTATION:

 

Councillors

 

 

SUSTAINABILITY ASSESSMENT:

 

Environment

 

No significant factor.

 

Social

 

The immediate family may believe there is a right to provide public recognition.

 

Economic

 

No issues.

 

Risk

 

There is a potential for non-approved memorials being erected.

 

 

FINANCIAL IMPLICATIONS:

 

Direct and indirect impact on current and future budgets

 

No direct costs.

 


Source of fund and any variance to working funds

 

Applicant pays the cost.? Council has the initial administration and future maintenance costs.

 

Attachments:

1View

4972/2007 - Current Policy - Memorials on Council Controlled Land

 

2View

941/2010 - Revised Policy - Memorials on Council Controlled Land

 

??


General Purpose Committee - 17 February 2010

Policy Review - Memorials on Council Controlled Land

 

 

 

 

 

NAMBUCCA SHIRE COUNCIL

POLICY

MEMORIALS ON COUNCIL CONTROLLED LAND

 

 

 

Function:? ENVIRONMENT AND PLANNING

 

 

Adopted: 2 November 2000??????

Last reviewed: 17 February 2005?

 

 

 

1.0???? Policy objective

 

This policy is designed to achieve the following objectives

 

????????? Provide the opportunity to place memorials on Council controlled land.

????????? Placement of the memorials for integration with public use.

 

 

2.0???? Related legislation

 

 

3.0?????? Definitions

 

 

4.0???? Policy statement

 

Council adopts, as policy, the following criteria for the erection of commemorative information on Council controlled lands.

 

MEMORIALS

 

????????? The memorial is to consist of a public seat with an appropriate plaque attached. The cost of the seat and plaque is to be borne by the applicant.

????????? Council, at its cost will provide for the installation and routine on-going maintenance of the seat.

????????? Location of the memorial is to be decided by the Director of Operations and Technical Services and the Director of Environment & Community Services in conjunction with the applicant. If an agreement cannot be agreed with the applicant, then the memorial will be the subject of a report to Council for decision.

 

HISTORICAL COMMEMORATIONS

 

????????? That the memorial consist of an information sign in the recognised colours of brown and white for Tourist Information signs.

????????? The cost of the sign, installation and maintenance is to be borne by the applicant.

 

5??????? History

 

Council has been considering the erection of memorials and plaques on an individual application basis. Memorial rocks, seats and plaques currently exist at Swimming Creek, the Break-wall and Wellington Drive. Service Clubs also have plaques in a number of Council reserves.

 

Placement of alternative identifications be with Council approval.

 


SERVICE CLUBS

 

The type of memorial may consist of a seat or information sign.

 

The service Clubs are responsible for the memorial erected within the reserves they ?manage?.

 

6??????? Exemption

 

This policy does not apply to the erection of memorial and plaques in Council?s cemeteries.

 

7??????? Policy Review

 

This Policy is to be reviewed annually. Council may amend the Policy as may be required.

 

8??????? Delegated Authority

 

Delegated Authority is given to the General Manager for approval of commemorative structures in accordance with this Policy.

 

?


General Purpose Committee - 17 February 2010

Policy Review - Memorials on Council Controlled Land

 

 

 

 

 

NAMBUCCA SHIRE COUNCIL

POLICY

MEMORIALS ON COUNCIL CONTROLLED LAND

REVISED 17 FEBRUARY 2010

 

 

 

Function:? ENGINEERING SERVICES

 

 

Adopted:?

Last reviewed:?

 

 

Our Vision

 

Nambucca Valley ~ Living at its best

 

Our Mission Statement

 

?The Nambucca Valley will value and protect its natural environment, maintain its assets and infrastructure and develop opportunities for its people.?

 

 

1.0?????? Policy objective

 

This policy is designed to achieve the following objectives

 

????????? Provide the opportunity to place memorials on Council controlled land.

????????? Placement of the memorials for integration with public use.

 

 

2.0?????? Related legislation

 

 

3.0?????? Definitions

 

 

4.0?????? Policy statement

 

4.1?????? Council adopts, as policy, the following criteria for the erection of commemorative information on Council controlled lands.

 

????????? MEMORIALS

 

???????????? The memorial is to consist of a public seat with an appropriate plaque attached. The cost of the seat and plaque is to be borne by the applicant.

???????????? Council, at its cost will provide for the installation and routine on-going maintenance of the seat.

???????????? Location of the memorial is to be decided by the Director of Operations and Technical Services Director Engineering Services and the Director of Environment & Community Services Director Environment and Planning in conjunction with the applicant. If an agreement cannot be agreed achieved with the applicant, then the memorial will be the subject of a report to Council for decision.

 

?????????


HISTORICAL COMMEMORATIONS

 

???????????? That the memorial consist of an information sign in the recognised colours of brown and white for Tourist Information signs.

???????????? The cost of the sign, installation and maintenance is to be borne by the applicant.

 

 

5.0?????? History

 

Prior to this Policy, Council has been considering the erection of memorials and plaques on an individual application basis. Memorial rocks, seats and plaques currently exist at Swimming Creek, the Break-wall and Wellington Drive. Service Clubs also have plaques in a number of Council reserves.

 

 

SERVICE CLUBS

 

The type of memorial may consist of a seat or information sign.

 

The service Clubs are responsible for the memorial erected within the reserves they ?manage?.

 

 

6??????? Exemption

 

This policy does not apply to the erection of memorial and plaques in Council?s cemeteries.

 

 

7??????? Policy Review

 

This Policy is to be reviewed annually. Council may amend the Policy as may be required.

 

 

8??????? Delegated Authority

 

Delegated Authority is given to the General Manager for approval of commemorative structures in accordance with this Policy.

 

---oo0oo---

 

?


General Purpose Committee

17 February 2010

Director of Engineering Services Report

ITEM 9.5????? SF1031??????????? 170210???????? Policy Review - Access of Vehicles on Beaches

 

AUTHOR/ENQUIRIES:???? Bruce Redman, Director Engineering Services ????????

 

Summary:

 

The policy has been re-written to state the policy objective, the cooperation approval with neighbouring Councils, grater requirements placed on Council Fishermen and exemptions notified.

 

 

Recommendation:

 

That Council adopt the reviewed Access of Vehicles on Beaches Policy dated 19 February 2010.

 

 

OPTIONS:

 

????????? Adopt reviewed Policy

????????? Retain old Policy

 

 

DISCUSSION:

 

The current policy only partly states Council?s position relating to vehicles on beaches.? It does not address the cooperative approach taken with Kempsey and Port Macquarie Councils and does not reflect the recent changes requiring permits by Commercial Fishermen.

 

Councillors comments:

 

Mayor, Cr Hoban:

 

Page No

Proposed Changes/Comments/Questions

Staff Responses

4

First sentence insert ?permit? before ?conditions? ? otherwise could mean comply with the weather conditions

Inserted

 

 

Cr Moran

 

Page No

Proposed Changes/Comments/Questions

Staff Responses

 

What about the map supplied by threes Shires if all Shires have not got the same Rules then why have a map covering the three Shires.?

 

 

We use to have meetings at Kempsey to control all rules in the three Shires.? Bellingen did not want to be part.

 

 

Kempsey and Port Macquarie Shire Councils requested to adopt the extra rule for Commercial Fishermen.

 

Not aware of joint meetings.? Nambucca requested participation in a joint meeting that included state government departments as well as the 3 Councils to finalise a draft Memorandum of Understanding for 4WD Beach Access (January 2009).? Follow up letter sent.

 

 

 

?????????????????????????????????????

 

CONSULTATION:

 

Councillors

 

 

SUSTAINABILITY ASSESSMENT:

 

Environment

 

Greater compliance in restricting vegetation dune damage required of Commercial Fishermen.

 

Social

 

Greater controls placed on Commercial Fishermen as a result of community feedback during the November to April fishing seasons.

 

 

Economic

 

Small increase in the number of permits issued.? Not expected to reduce the number of Commercial Fishermen.

 

Risk

 

Non compliance.? This is not reflected in recent patrols by Council?s Ranger.

 

FINANCIAL IMPLICATIONS:

 

Direct and indirect impact on current and future budgets

 

Negligible.

 

Source of fund and any variance to working funds

 

Small increase in permit increase, offset by greater Ranger patrols.

 

Attachments:

1View

893/2010 - Revised Policy - access of Vehicles to Council's Beaches

 

2View

3990/2006 - Current Policy - Access of Vehicles to Council's Beaches

 

??


General Purpose Committee - 17 February 2010

Policy Review - Access of Vehicles on Beaches

 

 

 

 

 

NAMBUCCA SHIRE COUNCIL

ACCESS OF VEHICLES TO COUNCIL?S BEACHES POLICY

 

 

 

Function:? ENGINEERING SERVICES

 

 

Adopted:? 2 May 1996

Last reviewed:? 16 September 2004

 

 

Our Vision

 

Nambucca Valley ~ Living at its best

 

Our Mission Statement

 

?The Nambucca Valley will value and protect its natural environment, maintain its assets and infrastructure and develop opportunities for its people.?

 

 

1.0?????? Policy objective

 

To define the locations and conditions where vehicles may drive on beaches to minimise the impact on other beach users and the environment.

 

 

2.0?????? Related legislation

 

Local Government Act 1993

Recreational Vehicles Act 1983

Road Transport (Vehicle Registration) Act 1997

Road Transport (Vehicle Registration Regulation 2007)

Road Transport (Driver Licensing) Act 1998

Road Transport (Driver Licensing Regulation 1999)

Fisheries Management Act 1994

Fisheries Management Regulation

 

 

 

3.0?????? Definitions

 

3.1??????

 

 

 

 

4.0?????? Policy statement

 

4.1?????? Council will allow vehicles to be driven on local beaches at nominated locations providing they obtain a beach access permit and comply with the permit conditions.

 

??????????? Details relating to the display of permits, offences, regulations, prohibited and permitted areas are outlined in a brochure entitled ?Vehicles on Beaches?.

 

4.2?????? Where feasible Council will maintain a cooperative arrangement with adjacent Council?s.? Currently Port Macquarie Hastings, Kempsey and Nambucca Shire Councils operate as a group whereby one permit applies to the three local government areas.

 

4.3?????? Council will allow licensed professional fishermen, beach haulers and licensed bait gatherers to drive on the beaches.? Access to beaches for these activities is allowed over a greater length of beach.? These locations are determined by State Government regulations.

 

??????????? These Commercial Operators are still required to obtain a beach access permit.? In addition to the standard requirements, these operators must comply with the ?NSW Ocean Hauling Fishery Commercial Fishers code of Practice for Hauling Activities? to retain their permit and be permitted to operate in this local government area.

 

4.4?????? Exemptions

 

4.4.1.?? Persons launching and retrieving boats at specifically designated areas.? These areas being the boat ramps at Shelly Beach, Nambucca Heads and Forster Beach, Scotts Head (near the Surf Club).

 

4.4.2??? Volunteer and professional life saving services during patrols, carnivals and training.

 

4.4.3??? Emergency services during an operation relating to rescues, environmental emergency (e.g. oil spill) illegal landings (e.g. boat people).

 

4.4.4??? Authorised Council staff and contractors relating to beach maintenance (raking and litter collections) re-levelling of boat ramp access, weed control, beach improvements (e.g. construction of erosion protection structures), restoration of dunes, revegetation, cleanups (e.g. litter from storms, collection and disposal of dead animals, large quantities of seaweed), opening or closing estuary entrances in accordance with Plans of Management and/or government approvals.

 

4.4.5??? Authorised staff, agents and contractors of State and Federal Government agencies in the performance of their duties.

 

5.0?????? History

 

 

 

---oo0oo---

?


General Purpose Committee - 17 February 2010

Policy Review - Access of Vehicles on Beaches

 

 

 

 

 

 

NAMBUCCA SHIRE COUNCIL

?POLICY

BEACHES ? PERMITS

ACCESS OF VEHICLES TO COUNCIL'S BEACHES

 

 

 

Function:? ENGINEERING SERVICES

 

 

Adopted: 2 May 1996?????

Last reviewed: 16 September 2004?

 

 

 

1.0???? Policy objective

 

2.0???? Related legislation

 

3.0?????? Definitions

 

4.0???? Policy statement

 

1????????? The regulation of motor vehicles on beaches along the defined area of the Mid North Coast applies to all motor vehicles and trailers other than those used by:

 

??????????? a.??? persons launching and retrieving boats at specifically signposted areas

??????????? b.??? emergency services and others during bona fide rescues

c.???????? authorised servants of Local, State and Commonwealth Governments in the performance of their duties.

 

2????????? Licensed professional fishers, beach haulers and licensed bait gatherers whilst at work in Kempsey and Nambucca Shires are permitted to drive on some beaches restricted to other drivers.

 

(Professional fishers operating on beaches within Kempsey Shire are subject to a separate policy and must apply for keys to gain access to certain beaches.)

 

3????????? Vehicles are not to be driven on beaches unless the vehicle carries upon it a current beach driving permit sticker.

 

????????? The sticker is to be displayed on the inside bottom left hand side of the windscreen of motor vehicles and near the registration label on motor cycles.

 

4??????? It is a finable offence not to have a permit

?

 

?? ?